Request for Offers for Website Redesign Project Services
RFO # 1029146A-BB Release Date: October 29, 2014
Written Questions Due: Monday, November 10, 2014, 2:00 p.m. Central Time
Offers Due: Tuesday, December 2, 2014, 2:00 p.m. Central Time
Teacher Retirement System of Texas 1000 Red River Street Austin, Texas 78701
Brenda Black, Purchaser
[email protected]
Table of Contents SECTION I - DESCRIPTION OF PROCUREMENT .......................................................4 1. 2. 3.
Introduction ........................................................................................ 4 Definitions and Acronyms ...................................................................4 TRS Website Redesign Project Description.........................................4
SECTION II - GENERAL OFFER INFORMATION ........................................................8 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14.
Respondent Minimum Qualifications .................................................8 Point-of-Contact for this Procurement ...............................................8 Deadline for Submission of Offer........................................................8 Calendar of Events .............................................................................. 8 Events .................................................................................................. 9 Addenda ............................................................................................11 Offer Requirements ..........................................................................11 Procurement and Contract Documents ............................................11 Respondent Forms ............................................................................12 Waiver of Claims ...............................................................................12 Disclosure of Offers under the Public Information Act.....................12 Offer Instructions ..............................................................................13 Accuracy of Response .......................................................................30 Evaluation Process ............................................................................30
SECTION III – STATEMENT OF WORK ....................................................................32 1. 2. 3. 4. 5. 6.
Website Design Commitments .........................................................32 Website Technical Architecture Commitments ................................33 Content Management System Functional Commitments ................34 Website Development and Implementation Commitments ............37 System Testing Commitments ..........................................................38 Training Commitments .....................................................................38
SECTION IV - GENERAL CONTRACTUAL INFORMATION – PART I .........................40 1.
Contract Specific Terms and Conditions...........................................40
SECTION V - GENERAL CONTRACTUAL INFORMATION – PART II.........................47 1.
Standard Terms and Conditions .......................................................47
SECTION VI - ATTACHMENTS ................................................................................60 ATTACHMENT A - EXECUTION OF OFFER ...................................................61 ATTACHMENT B - STAFFING PROFILES FORM ............................................67 ATTACHMENT C - REFERENCES ...................................................................68 Page 2 of 170
ATTACHMENT D - HUB SUBCONTRACTING PLAN (HSP) .............................75 ATTACHMENT E – MINIMUM QUALIFICATIONS CHECKLIST .......................86 ATTACHMENT F - CONFLICT OF INTEREST DISCLOSURES ...........................89 ATTACHMENT G - CONFIDENTIALITY POLICY .............................................92 ATTACHMENT H - CODE OF ETHICS FOR CONTRACTORS ...........................98 ATTACHMENT I - NON-DISCLOSURE AGREEMENT .................................. 111 ATTACHMENT J - INFORMATION SECURITY POLICY ................................ 113 ATTACHMENT K – NON-TRS-WORKER ACKNOWLEDGEMENTS .............. 114 ATTACHMENT L - CHANGE MANAGEMENT FORM .................................. 116 SECTION VII – APPENDICES................................................................................ 121 APPENDIX 1 – TEAM PROGRAM DESCRIPTION.........................................122 APPENDIX 2 – DEFINITIONS AND ACRONYMS ......................................... 128 APPENDIX 3 – TRS WEBSITE REPORT, AUGUST 2014 .............................. 134 APPENDIX 4 – TRS HANDBOOKS AND GENERAL INFORMATION..............166 APPENDIX 5 – TRS BUSINESS PROCESSES ................................................ 167 The following documents are included as separate files on the Electronic State Business Daily. ATTACHMENT M - MANDATORY PRICING – (Excel spreadsheet) ATTACHMENT N - HUB VENDOR LIST – (Excel spreadsheet) APPENDIX 6 - TRS GRAPHIC STYLE GUIDE - (PDF document)
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SECTION I – DESCRIPTION OF PROCUREMENT 1. Introduction The Website Redesign Project is one of the projects that the Teacher Retirement System of Texas (TRS) is undertaking to modernize its core processes and technologies used to administer pension benefits. The effort, known as the TRS Enterprise Application Modernization (TEAM) Program, will modernize noninvestment TRS applications to improve the quality of service delivered to its customers. For a complete description of TEAM projects, see APPENDIX 1. TRS has a vision to establish a best-in-class website design and digital experiences to serve and inform approximately 1.3 million TRS members, as well as other stakeholders, in the most effective ways possible, using the services of a qualified Contractor. By leveraging great design and by adopting technology, like Content Management System (CMS) software, TRS seeks to develop a website with clean navigation, and organized content to best serve our key audiences. The Web experience should allow visitors to easily access information when and how they want it. Internally, it is important to simplify and streamline how TRS staff manages content and the overall digital Web presence as part of TRS’ mandate to serve members. TRS has conducted research on CMS solutions that provide the best functional and technical match for our needs. Based on this research, two CMS solutions have been identified as acceptable options: • •
Microsoft SharePoint 2013 Sitecore Version 7 or higher
Respondents to this Request for Offer (RFO) shall incorporate one of the above CMS solutions in accordance with the specifications contained in this RFO as a part of their Offer. Respondents shall also provide the reasoning for the selection of the proposed CMS option. A Respondent can submit more than one Offer, each with a different CMS solution, if they want to submit more than one Offer. For the avoidance of doubt, these two CMS solutions are the only CMS solutions acceptable to TRS and Respondents not including one of the specified CMS solutions in their Offer(s), will not be evaluated. 2. Definitions and Acronyms See APPENDIX 2 for the definitions and acronyms used in this RFO. 3. TRS Website Redesign Project Description The TRS external website was last updated in December 2006. The current project to redesign the TRS website will provide new functionality, improved usability and an overall better user experience. The target completion date for this project is August 2016. 3.1. Objectives The overall objective of the Website Redesign Project is for TRS to have a “best in class” external website that will provide all TRS customers, including active members, Retirees, reporting entities, and other stakeholders with easy-to-find, updated information. It is TRS’ objective that the Website Redesign Project result in a website that is: 3.1.1. Visually appealing and consistently branded – contemporary, fresh look that is uncluttered, easily readable and consistent with TRS branding; 3.1.2. Easy to use – consistent and intuitive audience-specific navigation that requires minimal clicks and downloads;
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3.1.3. Easy to manage – easy for non-technical TRS staff to review, reformat and manage, and ensures efficient and timely archiving of content in accordance with TRS record retention requirements; 3.1.4. Accessible – website conforms to appropriate best practices and state and federal standards for persons with disabilities; 3.1.5. Robust and secure – highly available (taking into account downtime needed for maintenance), supporting high volume usage, and complying with all TRS security requirements; 3.1.6. Created with responsive design – ensuring that key content and applications will be usable on widely-used mobile devices; 3.1.7. Social media friendly – incorporating TRS’ social media presence (e.g., Facebook, LinkedIn, YouTube, Twitter) and provides a means for online feedback and interaction; 3.1.8. Searchable – easily searchable and provides multiple search methods (e.g., full text, partial text search, indexes, tagging); 3.1.9. Measurable – providing comprehensive and easy-to-use metrics to assess the site’s effectiveness; 3.1.10. Business focused – providing TRS internal and external stakeholders access to conduct their key business with TRS (e.g., purchase service, apply for refunds, report wages, apply for TRS positions); and 3.1.11. Integrated – provides a consistent look and feel throughout the entire website. 3.2. Website Audience TRS currently has more than a million active members and more than 300,000 retirees and beneficiaries. The website is one of TRS’ primary communication tools and members depend on it for important benefit and other information including access to live and recorded webcasts of each board meeting which may be of interest to stakeholders. Each stakeholder group will have differing specific needs and reasons for using the website, and those needs shall be taken into consideration during the design of the new website. Stakeholder groups include: 3.2.1. Member: Refers to an Active Contributing Member and an Active Non-contributing Member. This does not include an inactive member. 3.2.2. Retiree: A person who has taken a service or disability retirement under TRS. A member who retires terminates TRS membership through retirement. Therefore, members who retire are referred to as “retirees” rather than as “members". 3.2.3. Participant: A member, former member, retiree, annuitant, beneficiary, or alternate payee of the retirement system; includes TRS employees and former employees for the purpose of their TRS retirement plan benefits. 3.2.4. General Public: Anyone from the general public may visit the TRS website in order to get TRSrelated information, including job postings, financial information, and other TRS-specific information. 3.2.5. Reporting Entities/TRS Covered Employers: An entity in the State of Texas responsible for public education, including school districts created under the laws of Texas, any county school Page 5 of 170
board, the board of trustees, the board of regents of any college or university, or any other legally constituted board or agency of any public school which employs persons who meet the requirements of membership in TRS. This excludes the State Board of Education, the Texas Education Agency, and the State Board for Educator Certification. There are currently more than 1300 TRS-covered employers, including school districts, open enrollment charter schools, and institutions of higher education (universities and community colleges). 3.2.6. Media: Members of the media may use the website to contact communications staff or access news releases and other information. 3.2.7. Financial and Pension Industries: These groups will use the website to gain information on TRS investments and other information. 3.2.8. TRS Employees: Employees may use the website to access general TRS information relevant to them; for example, to watch board meeting webcasts. Certain TRS employees are also involved in the day-to-day maintenance and updating of the website as well as the development of new content. It is important to note that the Website Redesign Project DOES NOT include the development of any member self-services or the reporting entity applications. All member self-service and reporting entity applications will be provided in another TEAM Project. 3.3. Project Phases The Website Redesign Project will be conducted in two phases: • •
Phase One – Assessment and Design. This will include an assessment of TRS’ current website and a detailed design plan for the new website. Phase Two – Implementation Phase. This will include the development and implementation of the new website.
It is TRS’ preference to contract with a primary Website redesign contractor that can work successfully with TRS on both phases of the project. TRS believes this will ensure continuity between the two phases and make sure that the objectives of the overall project will be met. 3.3.1. Phase One deliverables include the following: 3.3.1.1. An evaluation of the current TRS website (i.e. a user experience review that would include but is not limited to: identifying usability flaws and assessing content, function, language, imagery, typography, and layout for compliance with known industry best practices); 3.3.1.2. An evaluation of TRS’ internal and external stakeholder needs using focus groups, surveys, and other methods to achieve in-depth stakeholder input; 3.3.1.3. A recommended design plan including a taxonomy and information architecture; 3.3.1.4. A “proof of concept” to demonstrate at least three (3) recommended designs using one of the specified CMS solutions that includes a sitemap, style sheets, templates, and wireframes; 3.3.1.5. Estimated pricing for implementing the TRS-selected design in Phase Two; 3.3.1.6. A proposed project schedule for the implementation of the design in Phase Two; Page 6 of 170
3.3.1.7. A detailed technical architecture required to implement the website. 3.3.2. Phase Two deliverables include the following: 3.3.2.1. Development of the website design approved in Phase One; 3.3.2.2. Migration of TRS content from the existing website; 3.3.2.3. Training of TRS staff on how to maintain and update the new site using the selected technology; 3.3.2.4. Testing all aspects of the new website; 3.3.2.5. Identifying and resolving any issues; and 3.3.2.6. Implementation of the new website. 3.3.3. Phased RFO Award Based on the two-phase approach stated above, the RFO is also being managed in a phased approach. TRS intends to award a contract to one (1) Respondent to complete Phase One. Upon completion of Phase One, TRS staff will determine, in TRS’ sole discretion, if work meets Project objectives stated above and technical requirements found in Section III. At TRS’ sole discretion, TRS shall have the option of also awarding Phase Two work to the Phase One Contractor. All work completed during Phase One shall be fully documented in such a way that would allow another vendor to develop and implement the selected design in the event that TRS elects not to continue Phase Two work with the Phase One Contractor. The completion date for Phase Two of the project is expected to be August 2016. In the event that upon conclusion of Phase One the parties agree to proceed with Phase Two, the parties will negotiate in good faith to enter into: •
A contract amendment specifying the Phase Two roles and responsibilities, scope, timeline, deliverables, pricing, and other mutually agreed terms. Pricing shall be based on the hourly rates provided in ATTACHMENT M - MANDATORY PRICING.
•
Any amendments to the contractual framework terms in this RFO that are required as a result of unforeseen factors discovered during Phase One of the Project.
Respondents are asked to submit offers with a firm-fixed price for all deliverables listed in Phase One and estimated pricing for Phase Two implementation services. Firm-fixed price for Phase One services will be used in the evaluation of responses; Phase Two estimates are for budgetary purposes only. TRS understands that the pricing for work in Phase Two is dependent on the design approved in Phase One. 3.4. Project Interdependencies The current TRS website includes links to secure logins to two existing self-service applications, currently known as MyTRS (for members) and TRAQs (for reporting entities). The new website shall also provide links to login pages for both applications or their equivalent replacement. Although there are not direct schedule dependencies between the Website Redesign Project and other TEAM projects, the Website Redesign Project will be sharing staff resources with the remainder of the TEAM Program. During the User Acceptance Testing and the actual cutover for the Line of Business project, Subject Matter resources for Benefits/Retirees, Active Membership, and Health Program will be significantly reduced. Page 7 of 170
SECTION II – GENERAL OFFER INFORMATION Respondents must read this Section II, carefully. TRS may disqualify a Respondent’s Offer if the criteria listed in this Section II are not met, demonstrated or provided. This RFO sets forth the foundational terms and conditions that form the contractual framework for Phases One through Two of the Project. In addition, this RFO specifies the Phase One roles and responsibilities, scope, deliverables, and pricing to be mutually agreed. The Phase Two estimated pricing attached to this RFO as ATTACHMENT M sets forth the parties' high-level, preliminary expectations concerning the roles and responsibilities, scope, and price for Phase Two and the assumptions upon which such estimated pricing is based. All aspects, including price, of ATTACHMENT M are subject to verification and validation during Phase One, and subject to revision based on information gathered and analysis conducted during Phase One. To the extent that any contractual terms specified in this RFO relate to Phase Two, such contractual terms may be applicable only in the event that TRS elects to award optional Phase Two services and the parties enter into a separate statement of work governing that subsequent Phase that ratifies such terms. 1. Respondent Minimum Qualifications This RFO contains minimum qualifications a Respondent shall meet in order to be evaluated for a contract award. See Section II, 12.3, TAB 2 below, for a detailed description of minimum qualifications. 2. Point-of-Contact for this Procurement Brenda Black, Purchaser Teacher Retirement System of Texas 1000 Red River St. Austin, TX 78701-2698 Telephone: (512) 542-6132 Email:
[email protected] Respondents shall make no contact concerning this RFO with TRS Board members, TRS management, or other TRS personnel, except to the Point-of-Contact listed above. Failure to comply with this requirement may result in disqualification of Offer. 3. Deadline for Submission of Offer The deadline for submitting a response to this Request for Offer is Tuesday, December 2, 2014 at 2:00 p.m. Central Time (CT). 4. Calendar of Events This information is provided for planning purposes only and is subject to change as TRS deems necessary. Any changes affecting the schedule up to and including the point of the RFO Response Due Dates will be effected via the issuance of an addendum (see Section II, 6.) DATE
EVENT
October 29, 2014
Posted to the Electronic State Business Daily
November 10, 2014
Deadline for Submission of Written Questions
November 17, 2014
Final Question and Answer Document Posted to the Electronic State Business Daily
December 2, 2014
RFO Responses Due Page 8 of 170
January 12, 2015 February 2 – February 9, 2015 February 23, 2015
Finalists Notified Finalists’ Interviews and Demonstrations Finalist Selection
5. Events 5.1. Submission of Written Questions Requirements 5.1.1.
Written questions must be submitted no later than 2:00 p.m. C.T. on Monday, November 10, 2014. All questions shall, to the highest degree possible, cite the specific RFO section and paragraph number(s) to which the question refers. All questions received will be answered in a question and answer written document issued by TRS. Only questions provided in writing and answered in writing by TRS are official or binding.
5.1.2.
All query submissions must include the identity of the sender, the sender's title, as well as Respondent’s name, mailing address, telephone number, and email address as applicable.
5.1.3. Questions must be submitted to the Point-of-Contact via email, postal mail, or hand delivery using the Point-of-Contact information found in Section II, 2. TRS is not responsible for answering questions received after the submittal deadlines. 5.1.4.
Only information in the materials constituting this RFO, including its appendices, attachments, exhibits, and forms, the question and answer document(s), and any RFO addenda issued shall be binding on TRS.
5.2. Answers Posted 5.2.1.
Questions properly submitted and Answers to all questions (See Section II, 5.1. above) will be made available in writing on the Electronic State Business Daily (ESBD) website (See Section II, 5.2.2 below) no later than the date and time indicated in the Calendar of Events (See Section II, 4).
5.2.2. The ESBD web address for this solicitation is: http://esbd.cpa.state.tx.us/bid_show.cfm?bidid=114463 5.3. Submission of Offer and Pricing 5.3.1.
Offers are due no later than 2:00 p.m., C.T. on Tuesday, December 2, 2014. Offers submitted at this time shall include both technical components (all of the requirements listed in Section II, 12.3 below, and the mandatory commitments as listed in Section III, Statement of Work), and the signed Execution of Offer, which shall include the total price of the Offer. Please note, only the Phase One pricing will be evaluated at the time of submission; Phase Two pricing will be used for budgeting purposes only.
5.3.2.
All Respondents shall provide detailed pricing in the format included as ATTACHMENT M – MANDATORY PRICING (a separate file on the Electronic State Business Daily). Pricing must be received in this format to allow accurate price comparison. FAILURE TO SUBMIT DETAILED PRICING MAY RESULT IN THE REMOVAL OF THE OFFER FROM FURTHER CONSIDERATION FOR AWARD.
5.4. Finalists Notified Page 9 of 170
5.4.1.
While the exact number of finalists cannot be determined until the evaluation committee has concluded their evaluation of responses, TRS intends to invite all finalists to the next phase of the procurement process. TRS will notify finalists no later than the date and time indicated in the Calendar of Events in Section II, 4. and allow sufficient time to prepare for Finalist Interviews and Demonstrations.
5.5. Finalist Interviews and Demonstrations 5.5.1.
Finalist Interviews and Demonstrations serve the purpose of providing an additional opportunity for both TRS and the Respondent to clarify the requested services and the Respondent’s Offer. Representations made during Interviews and Demonstrations may be documented and agreed upon. Once documented and agreed upon, these representations may be incorporated into the Finalist’s offer.
5.5.2. The Finalist Interviews and Demonstrations will be held at: Teacher Retirement System of Texas 1000 Red River St. Austin, TX 78701-2698 5.5.3.
Respondent shall be available for a Finalist Interview in accordance with the Calendar of Events in Section II, 4. Respondents that are not available within this timeframe may not be considered for a contract award.
5.5.4.
Attendance of the key staff Respondent intends to assign to the Website Redesign Project is mandatory at the Finalist Interview.
5.5.5.
Respondent’s key staff offered to perform work for TRS shall present all information during the Finalist Interview. However, Respondent may have anyone present information during the initial (30) minutes of the Interview.
5.5.6.
Respondent is hereby notified that TRS’ evaluation committee will rely on the accuracy and content of information conveyed to TRS during Finalist Interviews and Demonstrations in forming opinions of the Respondent’s offered solution. As such, TRS considers all information provided during Finalist Interviews and Demonstrations to be binding on Respondent and TRS intends to record the Finalist Interview sessions.
5.5.7. TRS shall not be responsible for payment of any amounts associated with Respondent’s costs of preparing their response, or (as applicable) attending a Pre-Offer Conference, Finalist Interview, or Product Demonstration; either prior to, or after contract award. 5.6. Review and Discussion 5.6.1.
When Offers are reviewed and evaluated, a contract may be awarded. However, TRS may request a Best and Final Offer (BAFO) phase. If TRS elects to request a BAFO, TRS may conduct discussions with Respondents who submitted Offers. In this context, “discussions” means clarifying, modifying, or negotiating. Additionally, after the initial evaluation TRS may determine it is necessary to discuss acceptable or potentially acceptable Offers with Respondents in order to determine a Respondent’s ability to meet the RFO requirements. If discussions are conducted for this purpose, Respondents whose Offers are found to be acceptable or potentially acceptable may be given equal opportunity to discuss their Offer with TRS and resubmit them accordingly. In this context “potentially acceptable” means reasonably susceptible to being made acceptable. No changes to responses or prices shall be allowed Page 10 of 170
after BAFOs are received unless TRS, in its sole discretion, determines that resubmission is in TRS’ best interest. 5.7. Selection and Contract Negotiations 5.7.1.
5.8
Upon successful contract negotiations, TRS will award a contract and both parties must execute the final contract documents.
TRS Options Throughout Solicitation Process TRS’ rights include, but are not limited to: 5.8.1.
Cancellation of the RFO at TRS’ sole discretion;
5.8.2.
Suspension of the procurement process and/or issuance of RFO addenda;
5.8.3.
Rejection of any and/or all Offers received in response to the RFO;
5.8.4.
Waiver of administrative deficiencies in Offers received;
5.8.5.
Requesting any Respondent to submit Offer modifications addressing a subsequent RFO amendment; and
5.8.6
Requesting any Respondent to clarify their Offer and/or submit additional information pertaining to their Offer.
6. Addenda 6.1. If specifications are revised, TRS will issue an addendum addressing the specific change(s). Any addenda to this RFO will be made available on the Electronic State Business Daily (ESBD) website (See Section II., 5.2.2. above). Respondents are advised that they are solely responsible for checking the ESBD website for any addenda prior to submitting a response to this RFO. Respondents shall indicate receipt of all addenda issued by TRS on ATTACHMENT A - EXECUTION OF OFFER. 7. Offer Requirements Respondent shall adhere to the following requirements when submitting an Offer: 7.1. Responsibilities of the Respondent 7.1.1. Any assumptions made in the Offer shall be specifically identified in a highly conspicuous manner and presented in written format; 7.1.2. Any exceptions to the RFO provisions shall be specifically identified in a highly conspicuous manner and presented in writing identifying the specific RFO section and the exception taken (see Section II, 12.3.3, Tab 8) along with a proposal for modification. The quantity and substance of exceptions will be used in evaluation of the quality of an Offer. Only noted exceptions will be the subject of any contract award negotiations. 7.1.3. TRS will not return any Offer submission 8. Procurement and Contract Documents
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8.1. TRS operating expenses are paid by a portion of the trust assets that it administers. Consequently, TRS may be exempt from some state law requirements applicable to legislatively-appropriated general revenue funds. Nevertheless, TRS may conduct this procurement in accordance with the rules of the Texas Comptroller of Public Accounts (CPA), including, but not limited to, the procedures prescribed by the CPA for the RFO process. TRS reserves the right to vary from CPA rules and procedures when TRS determines it has a legal responsibility to do so or it is in TRS’ best interest. The contract terms for this procurement consist of the provisions in this RFO (including its attachments, exhibits, and forms), the Respondent’s Offer, and TRS’ Contract or Purchase Order. The provisions of this RFO and those of any Contract and/or Purchase Order resulting from this RFO shall control in the case of any conflict with any of the provisions in the Respondent’s Offer, except as otherwise noted on the Contract and/or Purchase Order. 9. Respondent Forms 9.1. TRS will neither sign nor agree to be bound by any of the Respondent’s form documents or agreements. Should the Respondent desire to expound on how the Respondent shall satisfy the specifications, terms and conditions of this solicitation, the Respondent shall do so without reference to any form documents or agreements. 10. Waiver of Claims 10.1. By submitting an Offer, Respondent agrees to waive any claim it has or may have against TRS, TRS board members, and/or TRS employees, arising out of or in connection with the administration, evaluation, or recommendation of any Offer, the waiver of any requirements under the RFO, the acceptance or rejection of any Offer, and/or the award of a contract. 11. Disclosure of Offers under the Public Information Act 11.1. Respondents are advised that information included in their Offer is subject to the Texas Public Information Act, Chapter 552 of the Texas Government Code (the Act). Information a third party submits to or prepares on behalf of TRS is subject to the Act and must qualify for an exception provided by the Act to be withheld from public disclosure. Information is not confidential under the Act simply because the party submitting the information anticipates or requests that it be kept confidential. 11.2. TRS cannot bring information within an exception to disclosure under the Act merely through a contract or agreement to keep the information confidential. Accordingly, a Respondent whose Offer may include information that Respondent believes in good faith to be proprietary or commercial information and that Respondent otherwise keeps confidential for competitive reasons, is responsible for identifying and proving that such information qualifies for an exception to public disclosure under the Act. Each item of such information must be separately and conspicuously labeled “Confidential Proprietary Information” and the Respondent shall state in its Offer that the labeled information would not have been provided to TRS, if Respondent knew the information would be disclosed publicly. 11.3. When Respondent marks or identifies any confidential, proprietary, or commercial information within its Offer, Respondent shall list in a separate attachment to its Offer a listing of section reference, and page number of all such confidential information. 11.4. TRS, its trustees, officers, employees, agents, attorneys, and any trust fund managed by TRS shall not be liable for any disclosure of any information submitted in a response to this RFO. By submitting an Offer, Respondent waives any claim against, and releases from liability, TRS, its trustees, officers, employees, agents, attorneys and/or any trust fund managed by TRS with respect to disclosure of any information included in the Offer, including information labeled as “Confidential Proprietary Information.” Respondent also authorizes TRS, at its sole option, to submit any information contained in the Offer, including information Respondent has labeled as being confidential and proprietary, to the Office of the Page 12 of 170
Attorney General for a determination as to whether any such information submitted by Respondent may be excepted from public disclosure under the Act, either by its provisions alone or in conjunction with other law. For the purpose of asking the Office of the Attorney General to determine whether an exception to disclosure exists for information Respondent deems to be confidential and proprietary, TRS will submit to the Office of the Attorney General for its consideration only that information Respondent has specifically labeled “Confidential Proprietary Information” to the Office of the Attorney General for consideration. If TRS does not have a good faith belief that information may be subject to an exception to disclosure, TRS is not obligated to submit the information to the Office of the Attorney General. Consequently, Respondent should not expect TRS to submit to the Office of the Attorney General an entire Offer that Respondent has labeled “Confidential Proprietary Information.” 12. Offer Instructions 12.1. Receipt by TRS Respondent’s Offer shall be physically received by TRS no later than the date and time listed in the Calendar of Events (Section II, 4). Facsimiles and emails of the Offer will not be accepted. Responses shall be mailed or delivered to: Teacher Retirement System of Texas 1000 Red River Street, Room 413E Austin, Texas 78701-2698 Attn: Brenda Black When submitting an Offer by regular mail, certified mail, or express mail, or delivery service, it is incumbent upon Respondent to allow for sufficient time to permit delivery by the U.S. Postal Service or any other delivery service or agent and by mail services internal to TRS. THE OFFER SHALL BE RECEIVED BY TRS LOCATED AT 1000 RED RIVER STREET, AUSTIN, TEXAS BY THE REQUIRED DEADLINE. TRS’ MAILROOM TIME AND DATE STAMP WILL BE THE FINAL DETERMINANT OF WHETHER AN OFFER HAS BEEN TIMELY RECEIVED BY TRS’ PURCHASING AND CONTRACTS DEPARTMENT. OFFERS RECEIVED BY TRS AFTER THE DUE DATE AND TIME SHALL BE REJECTED. 12.2. Offer Submission and Formatting The Respondent shall format the Offer using the following rules. Replace the text between the <> symbols with the corresponding requested information: 12.2.1. Delivery and Labeling 12.2.1.1. All documents associated with Respondent’s Offer (minimum qualifications, technical, pricing, and others), and copies thereof, shall be received at TRS prior to the response deadlines listed in Section II, 4. 12.2.1.2. The Respondent shall deliver all response documents and copies in a sealed container labeled with: 12.2.1.2.1.
- in the upper left corner of the top side of the container;
12.2.1.2.2.
- in the center of the top side of the container; and
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12.2.1.2.3.
- in the lower left corner of the top side of the container for the Submission of Offer.
12.2.2. Offer Formatting 12.2.2.1. The Respondent shall submit five (5) printed copies of the Offer. Each copy shall be submitted in a 3-ring binder. 12.2.2.2. If supplemental materials are included with the Offer, each copy of the Offer must include such supplemental materials. All Offers and accompanying documentation become the property of TRS and will not be returned. 12.2.2.3. In addition to the five (5) copies, the Respondent shall submit one (1) printed copy of the Offer with the words “Master Copy” marked on the title page and on every page header. The “Master Copy” shall (1) be unbound; (2) contain no divider sheets or tabs; (3) be printed on one side only of 8-1/2 in. x 11 in. white paper to enable copying if needed; and (4) be a complete copy of all information submitted with Respondent’s Offer. Colors must reproduce in a legible manner on a black-andwhite copier. 12.2.2.4. One (1) complete copy of the “Master Copy” of the Offer shall also be submitted on electronic media (e.g., USB Drive [TRS’ preference], CD-ROM, or DVD-ROM) in a Microsoft Office (Word, Excel, Project and PowerPoint files) version 2003 or later format, or searchable Adobe .PDF files. Pertaining to the electronic version, Respondent shall submit separate electronic files containing (1) ATTACHMENT A – EXECUTION OF OFFER, and (2) Confidential Information. In the event Respondent submits information with the Offer that Respondent wishes to assert a claim of protection from disclosure (e.g., Confidential, Proprietary, or any other form), Respondent shall ensure such information is included in a separate electronic file with the words “Confidential Information” included within the filename. 12.2.2.5. Every page shall contain the Respondent’s legal name in the header. 12.2.2.6. Every page footer shall contain “Page of ” and 12.2.2.7. A legally Authorized Representative of the Respondent’s company shall manually sign the printed “Master Copy” of the Execution of Offer. 12.3. Offer Content and Organization 12.3.1. The submitted Offers shall be titled “TRS Website Redesign Project” and shall clearly show the due date and time. 12.3.2. Respondent’s submitted Offer shall include all information and be organized as required below. Offers will be evaluated based on the responses to the information below. Respondents shall provide their best response to the specifications, terms and conditions contained in this RFO. Each Respondent shall be solely responsible for its thorough understanding of the RFO, including its attachments, exhibits, and forms. In addition, each Respondent shall be solely responsible for its Offer and all documentation submitted. Respondents are cautioned to pay particular attention to the clarity and completeness of their Offer. It is TRS’ intent to receive offers that provide substantive information to address the specific areas listed below and not pre-prepared marketing materials. Respondent Page 14 of 170
shall provide detailed descriptions of how they will fulfill each requirement. The clarity and completeness of the Offer may be considered by TRS’ evaluators. TRS has no responsibility to point out weaknesses in an Offer that result from a lack of diligence, competence, effectiveness, or creative solutions. 12.3.3. Respondent shall provide written responses to each of the following areas identified in the Tab sections below reproducing the original information request or question with each answer. TRS shall view responses to the following Tabs and questions as current capabilities of the Respondent’s solution. Further, TRS will assume that all features and functionality described therein will be delivered for the quoted price presented in the Respondents’ pricing offered. TAB 1.
EXECUTIVE SUMMARY
Respondent shall provide a Concise description of its approach to meeting TRS’ requirements and objectives for the design and development of a new website. This description shall not exceed five (5) pages. Respondent shall include the highlights of Respondent’s Offer, including an overview of its plan and/or schedule. Unique characteristics of Respondent’s Offer shall be emphasized. TAB 2.
MINIMUM QUALIFICATIONS
In this section, Respondent shall state how Respondent and/or specified personnel meet the minimum qualifications reproducing the qualification with each answer. Failure to fully address each qualification and to document Respondent’s specific experience in meeting each qualification, may be cause to disqualify the Offer. TRS has no obligation to seek any clarification or additional information. A statement that Respondent “meets the requirement” is not a sufficient response. A contract cannot be awarded to a Respondent not meeting all of the minimum qualifications. 1.
Company Minimum Qualifications a. Respondent’s company or sub-contracted company shall have five (5) years of experience in website design, development, and implementation. b. Respondent’s company or sub-contracted company shall have successfully implemented a minimum of two (2) public-facing websites in the United States, within the past three (3) years. URLs to those websites must be included. URLs to additional websites may also be included. c. Respondent’s company or sub-contracted company shall have three (3) years of experience developing websites using the CMS solution proposed for TRS, which shall be one of the following: Microsoft SharePoint or Sitecore. Include URL for at least one website Respondent implemented using proposed CMS. d. Respondent’s company or sub-contracted company shall have a minimum of two (2) successful Website implementations for government, public organizations, or associations. State the names and locations of the organizations as well as URLs to the sites. e. Respondent’s company or sub-contracted company shall have implemented at least one (1) Web site for organizations with a membership or customer base size of two hundred fifty thousand (250,000) or greater. Include the organization name, location and URL for the site. Page 15 of 170
f.
Respondent’s company or sub-contracted company shall have developed a minimum of two (2) Websites that have over 14,000 visits per day with over 200,000 page views per day. Include the organization name, location and URLs for the sites.
g. Respondent’s company or sub-contracted company shall have developed a minimum of two (2) responsive website designs that are viewable via mobile devices (e.g. smart phones, tablets, etc.). Respondent shall provide two (2) examples of this work with the names of the organizations and links to the sites. Include the URLs of the websites implemented with responsive designs. h. Respondent’s company or sub-contracted company shall have five (5) years of experience designing accessible websites and at least one (1) Website that meets Web Content Accessibility Guidelines (WCAG) 2.0 AA or Section 508 guidelines. Include the name of the organization and the URL for the site. 2.
Key Personnel Minimum Qualifications a. Respondent’s Project Manager, Design Lead, User Experience Lead, Technical Lead, and Quality Assurance Lead shall each have four (4) years of experience in website design and development. Respondent can have the same individual serve multiple roles; however, the Project Manager and Quality Assurance Lead must be unique individuals that cannot fill other roles on the Project and the Project Manager must be an employee of the Respondent. List Key Personnel on ATTACHMENT B STAFFING PROFILES FORM.
3.
ATTACHMENT E – MINIMUM QUALIFICATIONS CHECKLIST a. In addition to fully addressing each qualification listed above, Respondent shall complete ATTACHMENT E – MINIMUM QUALIFICATIONS CHECKLIST and include ATTACHMENT E in TAB 2.
TAB 3.
ORGANIZATIONAL BACKGROUND
Respondents shall review and answer this section carefully. Omissions or non-responsive information may result in disqualification of Offer. 1.
State Respondent’s full name and home office address. Describe Respondent’s operational structure and legal form of business (e.g., corporation, partnership, sole proprietor, etc.) and where it is legally organized (e.g., Texas, Delaware, etc.). Identify the locations of the headquarters and/or branch offices that would be providing services under the contract. State how many employees are at the location(s) where contract-related services will be performed. If the office providing services is not in Texas, describe how the organization would service TRS if awarded a contract. If the Respondent is providing an offer on behalf of one or more individual entities, Respondent shall provide this information for each individual entity as well as state the relationship of the individual entities. Please limit the information requested in this section to five (5) pages.
2.
Respondent shall provide a discussion of the Respondent’s unique qualifications, which set them apart from other website design and implementation companies. The Respondent shall limit the discussion to two (2) pages. Page 16 of 170
3.
Describe Respondent’s implementation and documentation of a comprehensive information-security program. Respondent shall use, implement, and document reasonable and appropriate security practices to make all data and information secure.
4.
Describe Respondent’s business continuity plan for the recovery of Respondent’s electronic data and data processing equipment and how the Respondent assures that the data processing system will be operational within ten (10) days of a natural disaster, or any other business interruption, whether natural or otherwise.
5.
State whether during the last ten (10) years Respondent has been involved in or is currently in a lawsuit involving a regulatory action.
6.
State whether Respondent has ever been involved in or is currently involved in a lawsuit involving any services similar to the services requested by this RFO. If so, provide details, including dates and outcomes.
7.
State whether during the past five (5) years Respondent, related entities (affiliates under common ownership), principals, or officers have been a party in any civil or criminal litigation, whether or not directly related to services similar to those requested by this RFO. If so, provide details, including the name (style) of the case, the jurisdiction (court in which it was filed), dates the litigation was started and ended, and outcome.
8.
State whether Respondent, its principals, officers, or directors has ever been involved in any regulatory proceeding, judicial proceeding or litigation, of any kind, with TRS. If yes, please describe.
9.
State whether Respondent, its principals, officers, or directors has ever been (1) required to return public funds for failure to perform on a contract; (2) in breach of a public contract; or (3) disbarred from contracting with any (i) State of Texas agency, (ii) federal agency, (iii) political subdivision, (iv) any public pension plan, or (v) of any state or territory. If yes, please describe.
10. Provide a copy of Respondent’s Certificate of Insurance showing coverage limits. TRS’ insurance requirements are stated in Section V, 1.25. State whether Respondent shall comply with the requirements as stated in the referenced section. 11. TRS is interested in insurance or other financial instruments for Security & Privacy (Cyber) and Media Liability to cover cyber risk, data breach, and improper personal information disclosures. Describe how insurance coverage would be made available to TRS to cover these risks. TAB 4.
QUESTIONNAIRE
Phase One – Discover and Design 1.
Describe your approach in assessing the existing TRS website, including public-facing content and html. Respondent shall include the overall methodology, tasks and associated timeframes.
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2.
Describe the expected outcomes from Respondent’s assessment and how they will be used by Respondent or another vendor for the design and development of the new TRS website.
3.
Describe how Respondent’s proposed CMS solution will be used to design the new TRS website. Response shall include the overall methodology, tasks and associated timeframes and address the following: a) Describe Respondent’s proposed solution’s ability to create and maintain Web content, including ease-of-use for non-technical staff and customization features (e.g., does Respondent’s solution require HTML knowledge or knowledge of other development tools)? b) Describe how the proposed solution shall support Web production lifecycles including features for creating and customizing workflows, e.g., content editing, review, revision, approval, document lifecycles, and publishing. c) Describe the type of scheduling mechanisms the proposed solution contains. The response must address the following: i.) Automatic publishing (e.g., dates and times) ii.) Integrated content expiration management d) Describe the proposed solution’s spell check and grammar check functionality. The response shall address whether the words database can be modified. e) Describe how the proposed solution allows for the creation and capturing of metadata for administrative purposes. f)
Describe how files will be uploaded and converted into documents for publishing. The response shall address file formats that can be uploaded and converted for publishing.
g) Also include an explanation of how TRS can prepare content TRS expects to be migrated to the new TRS website, e.g. html prep. h) Describe how the proposed solution manages images, media and documents. The response shall address the following: i.) Formatted text content that is pasted into a text area and the auto format correction your solution provides ii.) Automatic image resizing i) j)
Describe the proposed solution’s integrated reporting capabilities. The response must address Web analytics software. (e.g., Google Analytics and Web Trends). Describe how the proposed solution will provide optimization for event data, registration and push notifications.
k) Describe how the proposed solution will integrate with internal and external search engines. The response must address indexing and search capability.
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4.
How many years of experience does Respondent have implementing websites with the proposed CMS solution?
5.
How many years of experience do Respondent’s key personnel have implementing websites with the proposed CMS solution?
6.
The new TRS website shall have a responsive design. (i.e. website content must be easily viewed on a variety of mobile devices such as smart phones, tablets, etc.) Describe how Respondent’s solution will meet this need.
7.
Describe how Respondent’s proposed website design will comply with WCAG 2.0 AA or 508 accessibility requirements.
8.
Provide samples of Respondent’s previous design work. Links to those sites are acceptable.
9.
Describe how content from TRS SharePoint Intranet could be integrated with Respondent’s proposed CMS solution.
10. Describe how Respondent’s solution and methodology assure reasonable page load times. 11. Describe how Respondent’s solution shall provide the ability to display personalized content to different visitors based on their browsing behavior and previous site activity. 12. Describe the process used to monitor electronic accessibility issues in the design process and the testing protocols used to test the accessibility of websites designed. 13. Are users with disabilities involved in testing? If so, explain the process and identify, roughly, the range of disabilities and access technologies used. 14. What experience do Respondent’s developers have coding for accessibility? 15. Have mobile apps (especially iOS) been tested and/or developed with accessibility in mind? 16. Describe how the Respondent’s design process will ensure the site is flexible enough to support estimated traffic load as well as projected growth in site visitors and page views. The TRS website currently averages 7,000 visits per day with over 100,000 page views per day. 17. Describe how the Respondent’s design process ensures that the resulting design will meet the TRS website objectives outlined in Section I, 3.1. 18. Provide the minimum skill set needed by role, with a corresponding description of technical skills required in order for TRS staff to be embedded in the CMS template development process. Provide a Gannt chart or other timeline format indicating when TRS staff would be embedded in the template development process. Phase Two – Development and Implementation 1.
Describe Respondent’s testing process, including the roles of Respondent’s staff and TRS staff during testing. Page 19 of 170
2.
Describe how Respondent typically tracks and manages defect reporting during the testing process?
3.
What automated tools does Respondent use for testing, including load testing?
4.
Describe Respondent’s standard support services post-implementation of the new TRS website.
5.
How and when will the Respondent involve TRS staff in the development of the website?
6.
Explain the knowledge transfer process with TRS staff.
7.
Provide IT and other department staffing projections that are required to maintain the new TRS website. Also provide the minimum skill set needed, by role.
8.
Describe the training Respondent will offer for each role (i.e. user, administrator, developer, help desk).
9.
Explain the process Respondent uses to validate that knowledge transfer is successful.
10. Describe how Respondent’s proposed solution meets the General Security Requirements detailed in the Security Requirements section in Section III of the RFO. 11. Describe how Respondent’s solution supports search engine discovery and submission. 12. Describe the search capabilities of Respondent’s solution including support for predictive search and advanced search capabilities. 13. Describe the integrated workflow capabilities of Respondent’s solution, including support for multi-step workflow, notification, and viewing workflow status. 14. Describe how Respondent’s solution supports tagging to classify and search for content. 15. Describe any support Respondent’s solution has for Search Engine Optimization (SEO) scoring as part of the content creation process. 16. Describe how Respondent’s solution supports multiple authoring tools. Are there any limitations on tools that can be used? 17. Describe how Respondent’s solution support analytics and search engine optimization either through native CMS tools or third-party reporting applications. TRS currently uses WebTrends. Will Respondent’s solution support WebTrends for continued analytics reporting? 18. Describe how Respondent’s solution supports push notifications to mobile devices. TAB 5.
RESPONDENT’S UNDERSTANDING OF REQUIREMENTS
Respondent shall provide a detailed explanation of their understanding of TRS’ Website Redesign Project commitments listed in Section III of this RFO. A statement merely indicating that Respondent “understands the requirements and will comply” is not acceptable. At a minimum, the Respondent shall indicate an understanding that Section III, Statement of Work specifies TRS’ technical requirements for the Offered solution and include an acknowledgement that all of the listed commitments are mandatory regardless of whether the commitments are currently included in the Respondent’s existing solution. Page 20 of 170
TAB 6.
METHODOLOGY AND PRELIMINARY PROJECT PLAN
1.
Respondent shall describe the project management methodology to be used for the required services identified in the RFO.
2.
Respondent shall list all of Respondent’s project management methodology deliverables and tools that are part of the services Respondent will provide for this RFO.
3.
Describe the Respondent’s approach for ensuring a quality outcome.
4.
Describe the Respondent’s approach for ensuring effective communications.
5.
Describe the biggest issues that the Respondent expects to encounter. How does the Respondent plan to address these issues to prevent them from occurring on this Project?
6.
Describe the specific system development methodology and tools to be used for the required services identified in the RFO.
7.
Describe the process the Respondent uses for estimating required work.
8.
Describe how Respondent tracks website requirements and verifies that they have been correctly implemented.
9.
All changes to deliverables or services will be managed in accordance with the TRS Change Management Process. The Respondent shall be required to utilize the Change Management Form in ATTACHMENT L. In addition to use of the TRS Change Management Process, Respondent shall describe how Respondent determines what constitutes a change.
10. Respondent shall provide a proposed implementation schedule for the Website Redesign Project development and implementation and Respondent’s best-case milestones dates, based on the information that TRS has provided in Section II. The project plan shall: a. Identify when major deliverables identified in the Respondent’s methodology response will be developed. b. Provide a detailed description of the TRS resources needed, the amount of time needed by each resource throughout the entire length of the services being provided. 11. The following sections provide the known TRS staffing constraints as they relate to the Website Redesign Project. The Respondent shall offer their solution based upon the following constraints. TRS Staffing Constraints a. TRS is providing the following staffing model for the Website Redesign Project. If the Respondent believes the Project would be more successful if TRS were to adjust this model, then the Respondent may offer adjustments to the model; however, the Respondent shall clearly indicate that an adjusted model is offered. TRS management evaluated its staff and current workload and determined that it can provide the following staff to support the implementation. The % of Time Available depicted below is based upon a forty (40) hour work week. Regular TRS work hours are 8:00 am – 5:00 pm. Page 21 of 170
TRS Staff
% of Time Available
1 FTE
10%
Executive Sponsor (Communications Director)
1 FTE
50%
Project Manager
1 FTE
40%
Communications Team Lead
1 FTE
10%
Communications Specialist (Content)
1 FTE
10%
Communications Specialist (Graphics/Photos)
1 FTE
10%
Communications Specialist (Content Support)
1 FTE
20%
Active Membership Subject Matter Expert
1 FTE
20%
Benefit/Retiree Subject Matter Expert
1 FTE
20%
Health Program Subject Matter Expert
1 FTE
10%
Solutions Architect
2 FTEs
30%
Information Technology Support
1.5 FTE
50%
Web / CMS Specialist
1 FTE
5%
Accessibility Coordinator
1 FTE
10%
Information Security Subject Matter Expert
Responsibility
TRS Holiday/Board Meeting Schedule by Year Holidays/Board Meetings
Agency Status
2014
2015
Labor Day
Closed
Sept 7
Rosh Hashanah
Optional
Sept 14
Rosh Hashanah
Optional
Yom Kippur
Optional
Board Meeting
Some Staff Impacted
Oct. 23
Board Meeting
Some Staff Impacted
Sept 24-25
Board Meeting
Some Staff Impacted
Oct 23
Veteran’s Day
Closed
Page 22 of 170
Sept 22-23
Nov 11
Nov 11
Board Meeting
Some Staff Impacted
Thanksgiving Day
Nov 20-21
Nov. 19-20
Closed
Nov 27
Nov 26
Day after Thanksgiving
Closed
Nov 28
Nov 26
Christmas Eve Day
Closed
Dec 24
Dec 24
Christmas Day
Closed
Dec 25
Dec 25
Day after Christmas
Closed
Dec 26
Dec 26
New Year’s Eve
Skeleton Crew
Dec 31
Dec 31
New Year’s Day
Closed
Jan 1
Jan 1
Day after New Year’s
Closed
Martin Luther King, Jr. Day
Closed
Board Meeting
Some Staff Impacted
Presidents’ Day
Closed
Feb 17
Feb 16
Texas Independence Day
Skeleton Crew
Mar 2
Mar 2
Board Meeting
Some Staff Impacted
Cesar Chavez Day
Optional
Mar 31
Mar 31
Good Friday
Optional
Apr 3
Apr 3
San Jacinto Day
Skeleton Crew
Apr 21
Apr 21
Board Meeting
Some Staff Impacted
Memorial Day
Closed
Board Meeting
Some Staff Impacted
Emancipation Day
Skeleton Crew
Independence Day
Closed
Board Meeting
Some Staff Impacted
LBJ’s Birthday
Skeleton Crew
Jan 2 Jan 20
Jan 19 Feb 11-13
Mar 26-27
May 1 May 26
May 25 June 11-12
June 19
June 19
July 4
July 4 July 24
Aug 27
Aug 27
Agency Status Definitions: 1. 2.
Closed Optional Holidays
TRS offices are closed for the day. TRS offices are open unless TRS or an individual elects to observe in lieu of another holiday. Page 23 of 170
3.
Skeleton Crew
TRS offices are open and a skeleton crew on premises is required at work when the holiday falls on a normal work day.
b. Exceptions to staffing availability The following are exceptions to the staffing availability indicated above: •
During the User Acceptance Testing and the actual cutover for the Line of Business project, Subject Matter resources for Benefits/Retirees, Active Membership, and Health Program will be significantly reduced.
•
During the weeks of TRS Board meetings, Communications staff will have very limited availability.
•
The first two weeks of September is the year-end close period for TRS, and Subject Matter Experts in Benefits/Retirees, Active Membership, and Health Program will only be available 10% of the time.
12. TRS Facilities a. Space for Contractor staff members needed throughout the Project can potentially be accommodated given sufficient lead-time. There is sufficient Project meeting room/space and TRS will make network/Internet connections available for Project staff. b. If needed and subject to availability, TRS may provide additional laptops, desktops, and TRS standard software necessary for Respondent’s staff to perform their work. As such, non-TRS devices (including, but not limited to, personal computers, laptops, tablets, personal or business provided mobile devices, mobile hard drives, flash drives, etc.) shall not be connected to anything other than TRS’ public wireless Internet access. TAB 7.
PERSONNEL AND REFERENCES
1.
Respondent shall provide an explanation of any planned use of offshore resources. The Respondent may use a limited number of offshore resources for development, but the offshore resources shall be made known to TRS and must not be objectionable to TRS. At no time shall TRS interface with offshore staff.
2.
Any Respondent staff that will be interfacing with TRS must have strong verbal and written communication skills in the English language. TRS reserves the right to require Contractor to replace any staff TRS deems insufficient with this requirement.
3.
Respondent shall identify the proposed key personnel. At a minimum, key personnel shall include the person who can make commitments for the Contractor, if different than the Project Manager, Design Lead, User Experience Lead, Technical Lead and Quality Assurance Lead. Respondent can have the same individual serve multiple roles, however the Project Manager and Quality Assurance Lead staff must be unique individuals that cannot fill other roles on the Project.
4.
Respondent shall not subcontract the Project Manager role.
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5.
Respondent’s proposed Account/Project Manager must be able to start work ten (10) business days after the contract is fully executed.
6.
Respondent shall provide an organizational chart of the Project team including key team members. The organizational chart shall show each team member’s name, role, responsibilities, percentage of time dedicated to TRS, and the percentage of his/her time the person is expected to be on site at TRS.
7.
Respondent shall provide resumes of all key team members. Resumes for each person must not exceed a maximum of three (3) pages and shall include the following: • Name • Position to be held • Current Job Function\Title • Current Placement (work location) • Availability date • Employment History • Education • Certificates • Licenses • Special qualifications relevant to the Project.
8.
Respondent shall develop a preliminary Staffing Plan. At a minimum, the Staffing Plan shall include (1) a description of the team structure; (2) a staffing schedule indicating staff usage over the life of the Website Redesign Project.
9.
Participation in Finalist Interviews and Demonstrations a. If the Respondent is selected as a finalist, the Respondent shall have the Key Personnel present their Offer in person. TRS requests that each individual perform part of the presentation.
10. Replacement of Staff a. Once a contract has been awarded, Respondent is highly discouraged from moving any member of the Project team to another of its projects or clients, or changing positions or duties in a way that would reduce the amount of time spent on the Website Redesign Project. When making any staffing moves, replacements, or changes, Respondent shall provide TRS with a thirty (30) day advance notice. In the event that TRS objects to the staffing change, Respondent shall immediately negotiate with TRS how to accomplish TRS’ deliverables and services with TRS-approved comparable staffing. Respondent shall not be deemed to have moved or changed position or duties of any Project team member and shall not be responsible for the removal or unavailability of Project team personnel due to the following reasons: • •
Termination of employment or leave of absence from employment of the Project team member or Death or significant illness of a Project team member or immediate family member
b. Respondent shall notify TRS in writing immediately if any Key individuals terminate employment or take a leave of absence. Page 25 of 170
c. If a Project team member is to be replaced, Respondent shall consult TRS, following an on-site interview with TRS and verification of references. The Respondent shall replace such personnel with individuals of equal or superior abilities, qualifications, and experience within twenty (20 business days), including consultation and interview of the replacement. A longer replacement period may be allowed if both parties agree to such an extension. During the absence of any Project team member, the Respondent shall: 1. Report periodically to TRS on the efforts taken and the progress made in locating replacement personnel and on the effect the absence of the Project team member is having on the progress of the Project. 2. Make reasonable interim arrangements to minimize any disruptions to the progress of the Project due to the absence of a Project team member. d. TRS has the right to request a replacement of Key Personnel for any reason, at any time by providing the Respondent a written notice. The Respondent shall honor such request and provide prospective replacements with equal or superior experience for TRS consideration, within thirty (30) business days after the written notice. 11. Company Reference Information a. Respondent shall include ATTACHMENT C – REFERENCES in this tab. A minimum of three (3) different Website design and/or implementation client references shall be provided. Respondent’s Company references should reflect the years of experience requested under TAB 2 Minimum Qualifications, Item 1. TRS reserves the option to contact any or all references provided. b. Information provided by references may be used in the evaluation of Respondent’s Offer. This information may be used in evaluating Respondent’s capabilities, Respondent’s prior performance, and other indicators of Respondent’s probable performance under any contract resulting from this RFO. 12. Project Team Reference Information a. Respondent shall provide a minimum of two (2) different references for each of the following Key Personnel fulfilling the roles of the Account/Project Manager, Design Lead, User Experience Lead, Technical Lead and Quality Assurance Lead. b. Respondent shall provide this Project Team reference information in a separate and identified section (Part 2) of ATTACHMENT C - REFERENCES. Respondent’s Project Team references should reflect the years of experience requested under TAB 2 Minimum Qualifications, Item 2. TRS reserves the option to contact any or all references provided. Any negative references may be grounds for Offer disqualification. c. One (1) of the references for each of the Key Personnel listed on ATTACHMENT C shall be a client where the individual is currently working, or was most recently working. TAB 8.
EXCEPTIONS
Any exceptions to the specifications, terms and/or conditions of the RFO shall be explicitly set forth in this tab with proposed modifications. If there are no exceptions, Respondent shall Page 26 of 170
explicitly state that “Respondent takes no exception to the RFO’s specifications, terms, and conditions.” Exceptions may result in a Contract not being awarded to Respondent. NOTE: In order to best maintain the RFO schedule listed in Section II, 4, Calendar of Events, TRS will not consider any changes to the stated terms and conditions of the RFO unless such request to amend the terms and/or conditions have been included in TAB 8 of the Respondent’s Offer. TAB 9.
SUPPLEMENTAL INFORMATION – (OPTIONAL)
Respondent may present any supplemental information in TAB 9 that Respondent deems appropriate as long as each copy of the submitted Offer contains such supplemental information. TAB 10. 1.
HUB AND MENTOR-PROTÉGÉ PROGRAM
HUB Subcontracting Plan a. TRS is required to make a good faith effort to assist Historically Underutilized Businesses (HUB’s) in receiving contract awards issued by the State. The goal of this program is to promote fair and competitive business opportunities for all businesses contracting with the State of Texas. b. Instructions for the HUB Subcontracting Plan (HSP) and the HSP forms, are included as ATTACHMENT D. The HSP forms shall be completed and attached here. Failure to complete and submit the HSP forms with Respondent’s Offer will render the Offer incomplete and the Offer shall be rejected. All proposed subcontracting shall be listed on the HUB Subcontracting Plan (HSP) form. c. If further assistance is needed in preparing the HSP, please contact the TRS HUB contact, Darryl Gaona, Senior Purchaser, at (512) 542-6312.
2.
Mentor-Protégé Program a. TRS’ Mentor-Protégé Program is designed to foster long-term relationships between prime contractors and Historically Underutilized Businesses (HUBs), and to increase the percentage of HUBs contracting with TRS or receiving subcontracts under a TRS contract. It is the intent of TRS’ Mentor-Protégé Program to build effective working relationships between leaders of mature, established companies and emerging minority and women-owned companies in order for the latter to benefit from the knowledge and experience of the established companies. Participation in the program is voluntary for both Mentors and Protégés. b. State whether Respondent currently has a similar program established. If so, please describe. c. State whether Respondent is interested in learning more about TRS’ Mentor-Protégé program. If so, please provide a contact name and phone number of person to receive additional information regarding this program.
TAB 11.
ATTACHMENT REQUIREMENTS
All documents attached and labeled as ATTACHMENT A, ATTACHMENT B, and ATTACHMENTS D through M, shall be incorporated into any resulting contract. Respondents shall as applicable complete, sign, and return ATTACHMENTS A through F, and ATTACHMENT M, with their Offer. The successful Respondent and each of Respondent’s assigned personnel (including subcontractors) will be required to comply with and sign (where Page 27 of 170
applicable) ATTACHMENT G through K, prior to the start of work. Failure to comply with these requirements may result in the disqualification of Respondent or of proposed personnel. 1.
ATTACHMENT A – EXECUTION OF OFFER – The Execution of Offer form shall be completed as instructed in its entirety and shall include the signature of an individual authorized to bind the Respondent to a legal agreement. Include this form in TAB 11 of the response. The Execution of Offer contains the following sections: a. Checklist of Required Information – This is intended to facilitate compliance with the return of all required information, documents, and Attachments. For Attachments G through K, Respondent shall indicate their willingness to comply with the requirement by checking the Compliance box. NOTE: Failure of TRS to specifically include within the Checklist information that must be returned does not alleviate the responsibility of the Respondent to provide such information. b. Respondent Affirmations – By signature thereon, Respondent accepts the stated State of Texas affirmations; c. Confidential Proprietary Information – Respondent shall indicate if their Offer contains any material marked as confidential proprietary information. See Section II, TAB 12, below for additional information pertaining to Confidential Information. d. Addenda Checklist – Respondent shall indicate the receipt and compliance with any issued addenda; e. Pricing – Respondent shall provide pricing in the format provided on ATTACHMENT M – MANDATORY PRICING. Failure to complete, sign, and/or return ATTACHMENT A, including pricing on ATTACHMENT M (a separate file on the Electronic State Business Daily) may result in disqualification of the Respondent’s Offer.
2.
ATTACHMENT B – STAFFING PROFILES FORM – This form is provided as a means for Respondent to provide information on the staff proposed to perform the required work. Include in Section II, TAB 7 of the response.
3.
ATTACHMENT C - REFERENCES - Shall be completed and included in Section II, TAB 7 of the response.
4.
ATTACHMENT D - HUB SUBCONTRACTING PLAN (HSP) - Shall be completed and included in TAB 10 of the response. a. TRS is required to make a good faith effort to assist Historically Underutilized Businesses (HUB’s) in receiving contract awards issued by the State. The goal of this program is to promote fair and competitive business opportunities for all businesses contracting with the State of Texas. b. The HUB Subcontracting Plan (HSP) forms shall be completed and attached here. Failure to do so will render the Offer incomplete and the Offer shall be rejected. c. If further assistance is needed in preparing the HSP, the Respondent may contact TRS HUB contact, Darryl Gaona, Senior Purchaser, at (512) 542-6312.
5.
ATTACHMENT F – CONFLICT OF INTEREST DISCLOSURES - Respondent shall disclose any existing or potential conflicts of interest relative to the performance of the requirements of this RFO. To assist with this, a List of TRS Persons for Ethics and Page 28 of 170
Conflicts Purposes has been provided. Examples of potential conflicts may include, but are not limited to, an existing business or personal relationship between Respondent, its principal, or any affiliate or subcontractor with a TRS employee, a TRS Board member, a TRS contractor, or any other entity or person involved in any way in any project that is the subject of this RFO. Similarly, any personal or business relationship between Respondent, the principals, or any affiliate or subcontractor with any employee of TRS, TRS Board member, or TRS contractor shall be disclosed. Any such relationship that might be perceived or represented as a conflict shall be disclosed. Failure to disclose any such relationship may be cause for disqualification of the Offer or Contract termination. If, following a review of this information, it is determined by TRS that a conflict of interest exists, Respondent may be disqualified from further consideration for award of a Contract. a. ATTACHMENT F shall be completed on behalf of Respondent and each of the proposed key personnel. The form(s) shall be completely filled out, including the applicable signature(s). b. ATTACHMENT F shall be included in TAB 11. c. Failure to include the applicable signature or return this form may result in disqualification of the Respondent’s Offer. 6.
ATTACHMENT G - CONFIDENTIALITY POLICY – This form is provided as reference to convey TRS’ Confidentiality Policy information and will be incorporated into any resulting contract. Respondent shall indicate willingness to comply with the stated requirements on ATTACHMENT A – EXECUTION OF OFFER.
7.
ATTACHMENT H – CODE OF ETHICS FOR CONTRACTORS - This form is provided to convey TRS’ ethical standards for all contractors. Contractor shall not use any TRS data or information for personal gain. NOTE: This form is not subject to negotiation and must be executed by Respondent and Respondent’s employees providing services under any resulting contract. Respondent shall indicate their willingness to comply with this requirement on ATTACHMENT A – EXECUTION OF OFFER.
8.
ATTACHMENT I – NON-DISCLOSURE AGREEMENT – This form is provided to protect the confidentiality of all TRS data. NOTE: This form is not subject to negotiation and must be executed by Respondent and Respondent’s personnel (including subcontractors) providing services under any resulting contract. Respondent shall indicate their willingness to comply with this requirement on ATTACHMENT A – EXECUTION OF OFFER.
9.
ATTACHMENT J – INFORMATION SECURITY POLICY - All persons having access to TRS computer systems, whether on-site or remotely, including, but not limited to, Contractor employees and subcontractor employees, shall abide by TRS’ Information Security Policy. Respondent shall indicate their willingness to comply with this requirement on ATTACHMENT A – EXECUTION OF OFFER.
10. ATTACHMENT K – NON-TRS-WORKER ACKNOWLEDGEMENTS Respondent shall indicate their willingness to comply with this requirement on ATTACHMENT A – EXECUTION OF OFFER. TAB 12.
RESPONDENT’S CONFIDENTIAL INFORMATION Page 29 of 170
Tab 12 shall contain any information the Respondent submits with the Offer that Respondent wishes to assert a claim of protection from disclosure (e.g., Confidential, Proprietary, or any other form) 1.
Respondent shall ensure such information is included in this separate section of the Offer and that such information is cross- referenced to the appropriate Offer section(s). The rest of the Offer shall not contain any Confidential information. Any areas of the Offer which discuss the confidential information shall generally reference the information contained in Tab 12.
2.
This requirement exists to capture all confidential information in one section of the Respondent’s Offer and not throughout the entire document and is intended to aid TRS in managing and safeguarding Respondent’s confidential information.
13. Accuracy of Response Respondent’s Offer shall be represented to be true and correct and shall contain no cause for claim of omission or error. An Offer may be withdrawn in writing (provided that the request for withdrawal is signed and dated by Respondent’s authorized representative) at any time prior to the stated response date and time deadline. However, no Offer may be withdrawn for a period of one hundred eighty (180) calendar days subsequent to the opening of responses without the prior written approval of the Executive Director of the Teacher Retirement System of Texas, or the Executive Director’s designee, the Purchasing and Contracts Manager. 14. Evaluation Process This section provides the criteria used to evaluate each Respondent’s Offer. 14.1. Evaluation Criteria Offers will be evaluated upon the response to the requirements presented in this RFO. To evaluate the submitted Offers, TRS may take into account any and all information provided within each offer, including, but not limited to such factors as: 14.1.1. Respondent’s ability to follow directions and instructions for submitting the offer; 14.1.2. Respondent’s qualifications, skills, ability, and capacity to perform the required services; 14.1.3. Quality of Respondent’s plan for providing the required services; 14.1.4. Respondent’s experience providing similar services; 14.1.5. Respondent’s proposed personnel experience providing similar services; 14.1.6. Price of services provided by Respondent; 14.1.7. Quantity and extent of exceptions to the terms of the RFO; 14.1.8. Quality of information provided in response to the questions in the TAB sections; 14.1.9. If applicable, quality of interviews and demonstrations. 14.2 Evaluation Information 14.2.1. TRS is not required to select the lowest priced Offer, but may select the Offer that in its judgment represents the best combination of demonstrated competence, experience, Page 30 of 170
knowledge, qualifications, reasonableness of the proposed fees for the services, and is in the best interest of TRS. 14.2.2. TRS has weighted Price as a percentage (30%) of the initial evaluation of Offers; therefore, Offers that meet or exceed TRS’ minimum qualifications and requirements listed herein, which are priced congruent with TRS’ requested level of effort will receive appropriately favorable consideration during evaluation. Submission of excessively priced Offers, at the sole discretion of TRS’ Evaluation Committee, may be cause for removal of the Offer from consideration for a contract award. 14.2.3. Offers from Respondents who have demonstrated compliance with the minimum requirements (Section II, 12.3.3., TAB 2 Minimum Qualifications) will be evaluated by an Evaluation Committee. The evaluation will: 14.2.3.1. Determine if the Respondent has demonstrated responsiveness and responsibility to the RFO requirements. A Respondent is responsive when they meet all terms, conditions, and specifications contained in this RFO. A Respondent is responsible if they possess the necessary skills, abilities, capabilities, and resources to successfully perform the work required by this RFO. 14.2.3.2. Evaluate the Respondent’s Offer including, but not limited to, proposed plan, schedule, qualifications, and pricing for providing the required services. Submitted Offers will be ranked as the most qualified to provide the required services for the best overall value to TRS. 14.2.3.3. Determine whether to award a contract and act in the best interest of TRS in making an award. 14.2.4. TRS specifically reserves the right not to award this RFO to any Respondent that TRS considers to be non-responsive or non-responsible and/or to make no award of a contract under this RFO at all.
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SECTION III – STATEMENT OF WORK Note that the Website Redesign Project DOES NOT include the development of any member self-services or the reporting entity applications. All member self-service and reporting entity applications will be provided in another TEAM Project.
Phase One Commitments
1. Website Design Commitments 1.1
The Contractor shall develop at least three proof of concept designs that meet TRS objectives as outlined in the RFO, from which TRS will choose one as the final Phase One design.
1.2
Contractor shall design the website in compliance with the TRS Graphic Style Guide (APPENDIX 6)
1.3
The website design shall be a responsive design in order to be compatible with the current common versions of mobile and handheld devices such as Blackberries, iPhones, iPads and Android-based smart phones and tablet computers.
1.4
The website design shall be compatible with the most current and one previous version of the following supported Web browsers: Internet Explorer, Firefox, Chrome, Safari.
1.5
The website shall provide site full text search functionality that allows public users to search for specific content within the entire page structure.
1.6
The website shall provide support for video-on-demand.
1.7
The website shall provide the ability to subscribe to content and event notifications and subscriptions,
1.8
The website shall provide the ability to incorporate content from TRS social media platforms
1.9
The website shall provide the ability to produce and subscribe to RSS feeds
1.10
The website shall provide the ability to incorporate Web forms and commenting tools,.
1.11
The Contractor shall recommend, for TRS approval, an information architecture for the labeling and organization of information.
1.12
The Contractor shall submit design specifications and design mockups with graphical elements and layout text content for TRS review, revision, and approval. TRS expects this to be an iterative process.
1.13
The website shall provide the ability to create customizable error pages.
1.14
The website shall provide the ability to embed a third party page within the framework of the current website
1.15
1.17
Links to third party websites shall be full forward links that pass the client browser directly to the targeted website. The contractor shall provide a proposed project schedule for the implementation of the approved design during Phase Two. The Phase One design shall include cascading style sheets necessary to format the website.
1.18
The Phase One design shall include a set of wireframes that illustrate the website layout.
1.19
The Phase One design shall include page templates using the proposed CMS solution.
1.20
The Phase One design document shall include an explanation of how the design meets TRS objectives and the weaknesses identified in the website assessment.
1.16
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1.21 1.22 1.23
1.24 1.25 1.26
The Phase One design document shall describe the detailed technical architecture required to implement the website. The Phase One design document shall include a proposed sitemap. Phase One research and analysis shall include focus groups with key stakeholders from each of these audience segments: members, retirees, participants, general public, reporting entities, media, financial and pension industries, and TRS employees. The Phase One design shall include an implementation plan for the website. The Contractor shall conduct an evaluation of the current website to understand its current strengths and weaknesses. The evaluation of the existing website shall address, at a minimum, the following aspects of the site: Functionality a) b) c) d) e) f) g) h) i) j)
Is the site accessible? Is it easy to navigate? What sections of the site pose problems for navigation? Is the search capability robust? Does the current role-based structure allow visitors to find pertinent information quickly? Which sections and/or pages should be considered for deletion? Is the website viewable in different browsers and operating systems? Does the site most effectively display “What’s New” information? How well does the site offer members an opportunity for online feedback (questions, comments, online surveys, etc.)? How effectively does the site help reduce the need to call the TRS Telephone Counseling Center?
Design k) l) m) n) o) p) q) r) s)
How effective is the use of spacing, layers, borders, dividers and backgrounds? Does the site adhere to the TRS Graphic Style Guide? Is it visually appealing and unique? Is there an over-all integration of design throughout the website? Is the page design overwhelming or confusing? Is there a balance of text and images? How appropriate is the use of color and shapes? How effectively are the distinct roles of website visitors defined throughout the site? How well does the site incorporate social media information?
Content a) b) c) d) e) f) g)
1.27
Is the content easily understandable by persons with various levels of education and background? Does the content have a “voice”? Does it speak to members in a conversational tone? Is the content free of spelling, grammar and punctuation mistakes? Is the content current and free of broken links? Is the content redundant? Is the purpose and scope of the website specific and well-defined; e.g., is there a site map, index or FAQs? Does the site use new technology and interactivity? Are there surveys, videos, podcasts, online tests, etc.?
The Phase One design templates shall load in less than one (1) second on the average computer.
2. Website Technical Architecture Commitments 2.1
The Contractor shall identify all of the tools and applications that will be used to support the TRS website environment. Page 33 of 170
2.2
The Contractor shall use the latest available TRS-supported production release of industry standard tools and applications and stay current with TRS-supported software upgrades during this project.
2.3
The solution shall integrate with Active Directory and LDAPv3 for secure Authentication and Authorization for internal users.
2.4
The solution shall support MS SQL Server Version 2008 R2 or later for the back-end database.
2.5
The solution shall not require programming to develop site templates
2.6
Application servers shall be JBOSS AS Version 7 (Java) or Windows Server 2012 (.NET).
2.7
The Web server must be is Apache or IIS.
2.8
The Website and CMS shall be capable of running on VMWare VSphere 5.x virtual servers.
2.9
The solution shall support clustering for high availability and scale-out architectures for scalability.
2.10
The solution shall run on Windows.
2.11
The solution shall expose an integration layer based on REST and/or SOAP protocols, and also shall provide the capability to integrate with external SOAP or REST APIs.
2.12
The solution shall use standard JavaScript libraries (i.e. jQuery, Dojo, AngularJS) for dynamic, clientside interfaces.
2.13
The solution shall not require specific plug-ins and must support Internet Explorer, Firefox, Safari, Chrome and other commonly used browsers.
3. Content Management System Functional Commitments The successful Contractor shall utilize one of the two (2) selected CMS options specified by TRS (MS SharePoint 2013 or Sitecore) and any necessary add-ons or customizations to ensure that the TRS CMS solution is implemented at TRS to meet the following commitments below. Role-Based 3.1
The CMS application shall support user login functionality with roles that map to content entitlement. Logged-in, internal users will only see that content to which they are entitled, as configured in the CMS application.
3.2
The CMS application shall allow for configuration of any number of roles, with content being tagged for any number of entitlements.
3.3
Administrative users shall be able to impersonate any role to preview pages as that specific role.
3.4
The CMS application shall support external content or applications embedded in an iFrame.
3.5
The CMS application shall enable meta tagging and keyword searches.
3.6
The CMS application shall have to ability to support user registration both for the website as well as for special events.
Multi-Channel Devices 3.7
The CMS application shall provide support for mobile device detection on published Web pages. Page 34 of 170
3.8
The CMS application shall provide support on published Web pages for the following devices: iPhones, Android devices, Blackberry devices, Windows Mobile devices, iPads, and other tablets.
3.9
The CMS application shall provide support for authentication of internal TRS users using supported mobile devices on published Web pages.
3.10
The CMS application shall provide support to build Web pages in HTML 5.
3.11
The CMS application shall support multiple CSS / HTML templates for every device.
Search Requirements 3.12
The CMS application shall provide search capabilities to enable application users to search for and locate content within the application.
3.13
The CMS application search shall support keyword-based search.
Workflow Requirements 3.14
The CMS application shall provide integrated workflow capability.
3.15
Shall provide the ability to support both sequential and parallel approval processes.
3.16
Shall provide the ability to perform time sensitive and on demand publishing
3.17
Shall provide the ability to execute time sensitive and on demand content removal and archiving
3.18
Shall provide the ability to send e-mail workflow notifications
3.19
Shall provide the ability to configure workflows to run either automatically or manually.
3.20
Shall provide the ability to manually stop a workflow process
Library Services 3.21
The CMS application shall provide for check out/check in capability for content files, with the file locked for editing while checked out. The application must show who has the file checked out.
3.22
The CMS application shall provide configurable content versioning. (e.g., the number of versions saved should be configurable).
3.23
The CMS application shall support automatic document versioning, allowing users to view previous versions and roll-back to previous versions.
3.24
The CMS application shall provide an audit trail showing who made changes and when.
3.25
The CMS application must support group- and/or role-based access control that will ensure only CMS application users with permission are able to access or edit content.
3.26
The CMS application shall support content expiration or inactivation, in which content is removed from the live site but is still available for viewing or reactivation within the content management repository.
Content Authoring 3.27
The CMS application shall provide a content editing tool that is flexible enough to enable non-technical content authors to create rich HTML output capable of being rendered correctly in all supported browsers without having to write HTML. Page 35 of 170
3.28
The CMS application shall support both form-based and in-context editing for Web pages.
3.29
CMS application users shall be able to select a template from a list of templates to which the user has access to create new content.
3.30
The CMS application shall be configurable to allow users to have multiple layout options for pages.
3.31
The CMS application shall allow users to add video links to pages, which will include thumbnails, descriptive text, and links to externally hosted video content.
3.32
The CMS application shall support edit permissions at the component level, e.g. on a given page, some components are editable by a user and some are read-only, whereas a user with greater permissions may edit the entire page.
3.33
The CMS application editor tool shall support browsing of graphics via configurable thumbnail view.
3.34
CMS application users shall be able to import binary files (e.g. MS Word, PowerPoint, Excel, PDF, etc.) into the repository from their workstations, in both single and multiple file upload.
3.35
The CMS application should support created pages that utilize jQuery, Dojo or AngularJS.
3.36
The CMS application shall support the capability to copy a page as the basis for creating a new page.
3.37
The CMS application shall provide the ability for restricted users with specific permissions to override a template and create a page from raw HTML and CSS.
Content Publishing 3.38
The CMS application shall support automatic publishing and removal of content based on dates.
3.39
The CMS application shall provide functionality for managing website navigation through creating navigation links based on taxonomy, relationships, or some other mechanism.
3.40
The CMS application shall provide for link management, ensuring that links to content under management within the application are dynamically maintained or a user is notified if changes will affect links.
3.41
CMS application users shall be able to preview content in a pre-production environment as it will appear when published to production.
3.42
The CMS application shall provide a capability to automatically generate a site map based on the website structure.
3.43
The CMS application shall be able to support management of multiple websites.
Analytics and Search Engine Optimization 3.44
The CMS application shall provide support for internal and external analytics tracking and reporting.
3.45
The CMS application shall provide support for “www.Client.com/productsandservices/xenapp/features” www.Client.com/english/ps2/contentID=186.
3.46
The CMS application shall provide support for persistent aliases or Alternate Access Mapping (AAM) that will resolve to a specific page regardless of the name or location of the page.
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“friendly”
and “vanity” rather
URLs,
e.g. than
3.47
The CMS application shall support changes in URL structures that may occur
Social Media 3.48
Published Web pages must support integration to social media such as Facebook via “Like” functionality.
3.49
CMS must provide content sharing, e.g. visitor can share via page printing, email, Twitter, etc.
General Requirements 3.50
The CMS application shall provide a documented Web Services-based Application Programming Interface (API) that enables integration to third-party tools.
3.51
The CMS application shall be able to support multiple development environments.
3.52
The CMS application client tool for administrators and users shall be browser-based and support both Windows and MacOS platforms, and must support multiple browser options including Internet Explorer, Chrome, Firefox, and Safari.
Security Requirements 3.53
The CMS application shall meet OWASP and NIST 800-95 security guidelines.
3.54
The CMS application shall provide the ability to set role-based security controls.
3.55
The CMS application shall utilize known standard encryption and hashing algorithms (SSL/TLS, AES, SHA2/3). Encryption must be available for all server communications and storage of sensitive information (passwords, backups).
3.56
The CMS application shall provide the ability to hide or obfuscate administrative console pages from the internet.
3.57
The CMS application shall have the ability to produce detailed audit logs for all user actions and transactions.
3.58
The CMS application shall provide the ability to produce security alerts.
3.59
The CMS application shall have built in file integrity mechanisms or be compatible with file integrity software.
3.60
The CMS application shall provide updates and fixes to exploitable security flaws.
Phase Two Commitments
4. Website Development and Implementation Commitments 4.1
The Contractor must provide transition services necessary to migrate content and data from the existing Web environment onto the new Web environment.
4.2
The Contractor shall proactively work with TRS to provide expertise and suggestions for proper site promotion utilizing keyword indexing, site registration with major search engines, meta tag use, and other methods of driving traffic to the site.
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4.3
The Contractor shall design the site in a manner that is flexible enough to support estimated traffic load as well as projected growth in site visitors and page views. The TRS website currently averages 7,000 visits per day with over 100,000 page views per day.
4.4
The Website shall be implemented on existing TRS virtual servers running Windows Server.
5. System Testing Commitments 5.1
Draft, submit for approval, and implement a website functionality load/stress and browser compatibility test plan that meets user acceptance and the capacity and performance requirements and testing results.
5.2
Testing should include automated link testing, accessibility compliance, site functionality testing (on-line forms, search features, etc.) and demonstrate Contractor’s ability to meet capacity and performance requirements set forth.
5.3
Test case scenarios shall be established to test servers and website response times at varied loads/stress, to test website display in various browser and operating system environments (e.g. Windows with Internet Explorer, Mac OS with Safari) at typical screen resolutions and aspect ratios. Testing must also include mobile devices, e.g. smart phones, tablets, etc.
5.4
Provide testing to prove that the new website supports the Texas Administrative Code, Chapter 206 and 213 and the Texas Government Code, Section 2054.456 and 2054.457 for Website and Electronic Resources accessibility guidelines as specified by TRS. Same note as above in 5.2
5.5
Conduct internal and external stakeholder focus groups for user acceptance testing.
5.6
Documentation indicating successful results shall be submitted to TRS.
5.7
The web site must be designed with a balance of text and graphics such that each page loads in 3 seconds or less on the average computer.
6. Training Commitments 6.1
The Contractor shall provide comprehensive training on the selected CMS solution to TRS staff, including website functionality and maintenance as new applications or Web solutions are incorporated into the website.
6.2
The Contractor shall provide training for up to 15 TRS content owners who will be creating and maintaining content for the Website
6.3
The Contractors shall provide training for up to 12 technical staff who will be creating and maintaining templates for the Website
6.4
Shall provide hardcopy and electronic documentation that includes all aspects of the functionality in the release from the business and technical standpoint
6.5
Shall provide all training at TRS or at location(s) agreed to by TRS
6.6
Shall present all training material to TRS at least x days (parameter to be defined by TRS) prior to the training session for their review and approval prior to the start of any training
6.7
Shall provide training to TRS on the setup, maintenance, troubleshooting, operations, and monitoring of the website and CMS solution
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6.8
Shall provide training to TRS on the development methodology, code propagation, and all aspects of creating and maintaining the website
6.9
Shall provide training on user-accepted templates
6.10
Shall provide for embedding of up to five TRS staff in the Website development process so staff will have direct experience with the CMS solution and templates
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SECTION IV - GENERAL CONTRACTUAL INFORMATION - PART I 1. Contract Specific Terms and Conditions 1.1.
Contract Term 1.1.1.
The Contract term for the Phase One and Phase Two services described in this RFO will be from the date of Contract award through an anticipated end date of August 2016. Note: It is anticipated that the Contract term for Phase One services will be through the end of calendar year 2015 (i.e. December 31, 2015).
1.2.
Renewals 1.2.1.
1.3.
TRS reserves the option to renew the Contract term for up to five (5) additional one (1) year periods, for software maintenance and support services and/or hourly rates. Such renewals shall be made in writing upon mutual agreement of both parties, prior to the expiration of the current contract term. Renewals shall not exceed a maximum of 5% maintenance increase per renewal year.
Termination 1.3.1.
Termination for Convenience 1.3.1.1.
1.3.2.
TRS reserves the right to terminate the Contract at any time for convenience, in whole or in part, by providing thirty (30) calendar days advance written notice of intent to terminate. In the event of such a termination, Contractor shall, unless otherwise mutually agreed upon in writing, cease all work immediately upon the effective date of termination. TRS shall be liable for payments limited only to the portion of work authorized by TRS in writing and completed prior to the effective date of cancellation, provided that TRS shall not be liable for any work performed that is not acceptable to TRS and/or does not meet Contract requirements.
Termination for Cause or Default 1.3.2.1.
TRS may immediately terminate all or any part of the Contract prior to its expiration by written notice to Contractor upon the occurrence of any of the following events: (a) any voluntary petition in bankruptcy or any petition for similar relief is filed by Contractor, (b) any involuntary petition in bankruptcy is filed against Contractor, (c) a receiver is appointed for Contractor or any material portion of the property of Contractor, (d) Contractor makes an assignment for the benefit of creditors, (e) Contractor admits in writing its inability to meet its debts as they become due, (f) Contractor fails to comply with any term, including but not limited to breach of obligations, condition or covenant contained herein and Contractor fails to correct such lack of compliance; or (g) Contractor is sold or comes under the control of another entity. . Termination is not an exclusive remedy, but will be in addition to any other rights and remedies provided in equity, by law, or under the Contract.
1.3.2.2.
TRS may exercise any other right, remedy, or privilege which may be available under applicable law or proceed by appropriate court action to enforce the provisions of the Contract, or to seek damages for the breach of any agreement being derived from the Contract. The exercise of any of the foregoing remedies will not constitute a termination of the Contract unless TRS notifies Contractor in writing prior to the exercise of such remedy. Contractor will remain liable for all warranties, representations, covenants and indemnities under the Contract. Contractor will be liable for all legal fees, and other costs and expenses, including Page 40 of 170
attorney’s fees and court costs, incurred by TRS with respect to the enforcement of any of the remedies listed herein. 1.3.3.
Termination for Non-Appropriation of Funds 1.3.3.1.
1.3.4.
Termination Necessitated by Change in Federal or State Requirements 1.3.4.1.
1.3.5.
To the extent applicable laws, regulations, court orders, or official interpretations require TRS to include additional language in its contracts, Contractor agrees to amend the Contract and to cooperate in the execution of any amendment to the Contract necessary to effectuate such laws, regulations, court order, or official interpretations. In the event Federal or State laws or regulations or other Federal or State requirements are amended or judicially interpreted so that either party cannot reasonably fulfill the Contract, and if the parties cannot agree to an amendment that would enable substantial continuation of the Contract, the parties shall be discharged from any further obligations under the Contract.
Rights Upon Termination or Expiration of Contract 1.3.5.1.
1.4.
All obligations of TRS are subject to the availability of funds applicable to this procurement. TRS will not be in default for nonpayment under this Contract if such funds are not available to TRS for payment of TRS’ obligations under this Contract. In such event, TRS will promptly notify the Contractor, and the Contract may terminate, at TRS’ discretion, simultaneously with the termination of funds. Upon termination of the Contract, TRS will discontinue payment hereunder.
In the event that the Contract is terminated for any reason, or upon its expiration, all intellectual property and related work product produced by Contractor and paid for by TRS shall become the property of TRS and shall be tendered upon request. TRS shall retain ownership of all associated intellectual property and related work product and documentation with any order that results from or is associated with the Contract in whatever form that they exist.
Amendments to Contract 1.4.1.
With Contractor’s agreement, TRS may at any time, by written order designated or indicated to be a Change Notice, make changes within the general scope of the Contract, including but not limited to changes: 1. in the specifications; 2. in the manner of performance of the work; or 3. directing acceleration in the performance of the work.
1.4.2.
It is anticipated that such changes would be initiated using the Change Management Form (ATTACHMENT L) as the basis for the desired change. Only those changes specified in a Change Notice approved by TRS’ Purchasing and Contracts Office are an amendment to the Contract.
1.4.3.
Changes of an administrative nature not affecting budget or timeline of deliverable may be addressed in a Change Notice without the need for the Change Management Form.
1.4.4.
TRS’ Project Manager and Contractor’s Project Manager shall serve as the liaisons between TRS and Contractor for all Contract amendments. Page 41 of 170
1.5.
Additional Work 1.5.1.
1.6.
Pricing 1.6.1.
1.7.
TRS shall have the option of awarding additional work under the Contract provided such additional work is related to the scope of the Website Redesign project. TRS shall contact Contractor for any additional work needed. Contractor shall submit a written estimate of time, including a price estimate. Requests shall be reviewed and approved by TRS in writing in accordance with TRS’ change management process. Additionally, all additional work must be coordinated with TRS’ Purchasing and Contracts Office. All additional work shall be based on the hourly rate by position submitted in Attachment M.
Pricing for all services and/or deliverables provided shall be firm and shall be as stated in the format included as a separate file on the Electronic State Business Daily (Attachment M). Prices shall be inclusive of all costs associated with providing these services including travel and any necessary presentations to TRS’ Evaluation Committee and/or Board of Trustees.
Warranty General Warranties 1.7.1.
Contractor warrants and represents that all TRS information, equipment, and materials will be maintained in a secured area with access allowed to only authorized personnel. Contractor warrants and represents all work performed for accuracy and correctness. Contractor shall correct any Defects in Contractor’s work, at no charge to TRS.
1.7.2.
Contractor warrants and represents that (a) Contractor shall comply with all applicable laws and regulations; (b) in rendering services, it and its employees have all necessary rights, authorizations, or licenses to provide the services under the Contract and to provide all related materials and services under the Contract; (c) each of Contractor’s employees assigned to perform services shall have the proper skill, training, and background so as to be able to perform in a competent and professional manner and that all work will be so performed in accordance with the Contract; (d) TRS shall receive free, good, and clear title to all Deliverables provided under the Contract, or in the case of any Deliverable that requires a license, Contractor shall obtain for TRS the unrestricted right to use said Deliverable; (e) each and every Deliverable shall be provided in a manner consistent with good commercial industry practice, free from defects in material and workmanship, and shall conform to the specifications as set forth in this Request for Offer and shall meet the functional, performance and reliability requirements of TRS as set forth in this Request for Offer; (f) that Services conform to the objectives set forth in this Request for Offer; and (g) for one year after the TEAM Program is complete or the Contract with TRS shall terminate (whichever is earlier), Contractor will, at no charge to TRS, furnish such materials and services as shall be necessary to correct any defects in any Deliverable and maintain Deliverable(s) in good working order in accordance with the warranties and Specifications and functional, performance and reliability requirements.
Defect Warranties 1.7.3.
Contractor shall provide to TRS a defect warranty for all Defects (see definition in APPENDIX 2) for the website effective for three (3) months after each release of functionality to production. Contractor shall resolve all Defects reported to Contractor during the warranty Page 42 of 170
period at no additional expense to TRS. This defect warranty shall include both newly released functionality and previously released functionality if the Defect did not occur until the release of new functionality to production. At the conclusion of the three (3) month Defect warranty, Defects shall be corrected in accordance with the maintenance process, unless they are caused by a subsequent functionality release. 1.7.4.
Contractor shall provide to TRS a defect warranty for Critical Defects (see definition in APPENDIX 2) for the Website application effective for six (6) months after the conclusion of the three (3) month warranty for all Defects. Contractor shall resolve all Critical Defects reported to Contractor during the warranty period at no additional expense to TRS. This Critical Defect warranty shall include both newly released functionality and previously released functionality if the Critical Defect did not occur until the release of new functionality to production. At the conclusion of the six (6) month Critical Defect warranty, Critical Defects shall be corrected in accordance with the maintenance process, unless they are caused by a subsequent functionality release.
1.7.5.
For all Software provided under any contract resulting from this RFO, Contractor represents and warrants each of the following: 1.7.5.1.
Contractor has sufficient right, title, and interest in the Software to grant the license required in this RFO;
1.7.5.2.
Contractual terms and conditions included in any “clickwrap,” “browsewrap,” “shrinkwrap,” or other license agreement that accompanies any Software, including but not limited to Software Updates, Software Patch/Fix, or Software Upgrades, are void and have no effect unless TRS specifically agrees to such licensure terms in a contract resulting from this RFO;
1.7.5.3.
The Software provided does not infringe upon or constitute a misuse or misappropriation of any patent, trademark, copyright, trade secret, or other proprietary right;
1.7.5.4.
The Software provided does not contain any hidden files not known and approved by TRS;
1.7.5.5.
The Software provided does not replicate, transmit or activate itself without control of a human operating the computing equipment on which it resides in a manner not known and approved by TRS;
1.7.5.6.
The Software provided does not alter, damage or erase any data or computer programs without control of a human operating the computing equipment on which it resides in a manner not known and approved by TRS;
1.7.5.7.
The Software provided and any Software Updates, Software Maintenance, Software Patches/Fixes, and Software Upgrades provided shall not contain viruses, malware, spyware, key logger, back door or other malicious or unrequested covert communications, or any computer code intentionally designed to disrupt, disable, harm, restrict, impair, or otherwise impede in any manner, including aesthetical disruptions or distortions, the operation of the computer program, or any other associated software, firmware, hardware, or computer system, (including local area or wide-area networks), in a manner not known and approved by TRS; and
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1.7.5.8.
1.8
1.8.
1.9.
The Software provided does not and will not contain any computer code that would disable the Software or impair in any way its operation based on the elapsing of a period of time, exceeding an authorized number of copies, advancement to a particular date or other numeral, or other similar self-destruct mechanisms (sometimes referred to as a “time bombs”, “time locks”, or “drop dead” devices), or that would permit Contractor to access the Software to cause such disablement, restriction, or impairment (sometimes referred to as “trap door” devices) of TRS’ access.
Electronic and Information Resources Accessibility Standards 1.8.1.
Effective September 1, 2006 Texas state agencies and institutions of higher education shall procure products which comply with the State of Texas Accessibility requirements for Electronic and Information Resources specified in 1 TAC Chapters 206 and 213 when such products are available in the commercial marketplace or when such products are developed in response to a procurement solicitation.
1.8.2.
Upon request, but not later than thirty (30) calendar days after request, Contractor shall provide TRS with a completed Voluntary Product Accessibility Template (VPAT) of the specified product or a URL to the VPAT for reviewing compliance with the State of Texas Accessibility requirements (based on the federal standards established under Section 508 of the Rehabilitation Act or WCAG 2.0 AA standards.)
Contractor Requirements 1.9.1.
Contractor shall provide to TRS the source code for all developed software and subsequent source code updates that comprise the software for the entire new website, based on a schedule to be defined by TRS.
1.9.2.
Upon TRS exercising the option to purchase CMS application software through the Contract, Contractor shall deliver to TRS a license for the use of the CMS application software. This license shall grant TRS rights to use, maintain, support, develop, and/or modify for TRS’ business needs all software that comprises the entire new CMS Solution.
1.9.3.
Contractor shall ensure that all software licenses, warranties and support contracts required to use, maintain and support the entire new CMS Solution are in TRS’ name.
1.9.4.
Contractor shall provide to TRS any passwords or IDs for the software and hardware.
1.9.5.
Contractor shall provide to TRS all schemas and documentation for software, hardware, network, and the entire new TRS Website solution.
Acceptance, Invoicing, and Payment 1.9.1.
Acceptance and General Invoicing 1.9.1.1.
Contractor may invoice and receive payment less the agreed Performance Escrow amounts for each deliverable upon successful completion and written acceptance by TRS.
1.9.1.2.
Contractor shall only invoice upon completion of deliverables and after receipt of written acceptance of the deliverables from TRS. TRS does not wish to issue payment hereunder any more frequently than monthly, therefore Contractor shall aggregate all accepted deliverables and submit them to TRS on one monthly invoice in accordance with a mutually agreed upon payment schedule. Page 44 of 170
1.9.1.3.
Contractor shall attach a copy of the applicable written acceptance with each invoice.
1.9.1.4.
The invoice shall include TRS’ Contract Number, Contractor’s federal employer identification number, and remit to address. TRS will not be liable for any performance rendered or obligations incurred on behalf of TRS by Contractor prior to the execution of the Contract.
1.9.1.5.
TRS will not be liable for the payment of any sales, use, or other taxes incurred by Contractor in acquiring any goods or services as a part of any work called for under the Contract nor will TRS be liable to reimburse Contractor for same. TRS is exempt from payment of sales, use, and excise taxes. Upon request, TRS will furnish to Contractor suitable documentation of TRS’ exemption from any taxes on goods and services procured on TRS’ behalf.
1.9.1.6.
Contractor shall submit an original invoice to TRS via one of the methods listed below: 1.9.1.6.1.
Via email at the following address: [email protected]
1.9.1.6.2.
1.9.2.
Payment 1.9.2.1.
1.10.
Payments will be made in accordance with the provisions of the Texas Prompt Payment Act. Payments for undisputed invoices will be made thirty (30) days after receipt of Contractor’s correct invoice, and the Acceptance of Deliverables, whichever is later.
Performance Payment 1.10.1.
1.11.
Via postal mail at the address listed below: Teacher Retirement System of Texas Attn: Accounts Payable 1000 Red River Street Austin, Texas 78701-2698
Performance Escrow Payment. Ten percent (10%) of all payments (“Performance Escrow”) for Services and Deliverables under the Contract shall be held back by TRS until Final acceptance of all services under the Contract.
Contractor Limitation of Liability 1.11.1
CONTRACTOR’S LIABILITY TO TRS UNDER OR RELATING TO THE CONTRACT SHALL IN NO EVENT EXCEED THREE (3) TIMES THE TOTAL CONTRACT PRICE PAYABLE TO CONTRACTOR UNDER THE CONTRACT, EXCEPT WITH RESPECT TO (A) DAMAGES OR LOSSES ARISING FROM INTELLECTUAL PROPERTY INFRINGEMENT, (B) DAMAGES OR LOSSES ARISING FROM CONTRACTOR’S Page 45 of 170
WILLFUL MISCONDUCT, GROSS NEGLIGENCE, OR RECKLESS CONDUCT, (C) DAMAGES TO TANGIBLE PERSONAL PROPERTY, OR (D) PERSONAL INJURY. 1.12.
Liquidated Damages 1.12.1
TRS and Contractor agree that it will be extremely impractical and difficult to determine the actual damages that TRS will sustain in the event the Contractor fails to perform under the Contract. TRS may, in its discretion, assess liquidated damages at a daily Contract cost per day for each day the Contractor fails to meet a date deadline set forth in the Contract. The amount of the daily Contract cost equals the total Contract price payable to Contractor divided by the actual number of days from the Effective date to the expiration of the initial term, August 31, 2016. The parties agree that the liquidated damages specified in this Section are reasonable. TRS shall notify the Contractor in writing of the assessment of liquidated damages, which can be cumulative. Withholding of payment by TRS or payment of liquidated damages by the Contractor shall not relieve the Contractor from its obligations under the Contract. The assessment of liquidated damages shall not constitute a waiver or release of any other remedy TRS may have under the Contract for Contractor’s breach of the Contract, including without limitation, TRS’ right to terminate the Contract, and TRS shall be entitled in its discretion to recover actual damages caused by Contractor’s failure to perform its obligations under the Contract. However, TRS may reduce such actual damages by the amounts of liquidated damages received for the same events causing the actual damages. Amounts due to TRS as liquidated damages may be deducted by TRS from any payment owed to Contractor under the Contract, or TRS may separately invoice Contractor where Contractor shall promptly make payments on such invoice, but in no event later than thirty (30) days from Contractor’s receipt of invoice.
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SECTION V - GENERAL CONTRACTUAL INFORMATION - PART II 1. Standard Terms and Conditions 1.1.
Heading References 1.1.1.
1.2.
1.3.
Governing Law 1.2.1.
Contractor shall comply with all applicable federal and state statutes, rules, and regulations. All contracts shall be governed by, and all disputes between the parties construed under, the laws of the State of Texas. Any actions or remedies pursued by either party shall be pursued in the state courts of Travis County, Texas.
1.2.2.
No agreement will be binding on TRS until TRS has awarded a contract and TRS’ Purchasing and Contracts Manager or other person authorized by TRS has signed the contract.
Conflict in Language 1.3.1.
1.4.
Each and every right granted to the parties hereunder or under any other document delivered hereunder or in connection herewith, or allowed them by law or equity, shall be cumulative and may be exercised from time to time. No failure on the part of either party to exercise and no delay in exercising any right will operate as a waiver thereof, nor will any single or partial exercise thereof or the exercise of any other right.
Assignment of Claims 1.6.1.
1.7.
The invalidity, illegality, or unenforceability of any Contract provision shall in no way affect the validity, legality or enforceability of any other provision. If any provision of the Contract is held invalid or unenforceable, the Contract shall be construed and enforced as if said provision had not been included herein.
Waiver 1.5.1.
1.6.
In the event of any conflict between the terms, conditions and provisions of these requirements and the Technical Specifications, the Technical Specifications shall govern. In the event of any conflict of interpretation of any part of this overall document, TRS’ interpretation shall govern.
Enforceability of Provisions/Severability 1.4.1.
1.5.
The titles of sections of the Contract are for convenience only and shall not be interpreted to limit or amplify the provisions of the Contract.
Contractor hereby assigns to TRS any claims for overcharges associated with the Contract under the anti-trust laws of the United States, 15 USCA, Section 1, et seq. (1973), and the anti-trust laws of the State of Texas, Texas Business and Commerce Code Ann. Sec. 15.01, et seq. (1957).
Notices 1.7.1.
All notices to be given hereunder shall be in writing and shall be given by delivery thereof or by overnight courier, or certified mail, postage prepaid, return receipt requested, to the office Page 47 of 170
shown below. Any notice served by delivery shall be deemed given on the date of delivery and any mailed notice shall be deemed given three (3) days after the date of mailing. 1.7.2.
Notices given to TRS shall be sent to: Purchasing and Contracts Office Teacher Retirement System of Texas 1000 Red River Street Austin, TX 78701-2698 (512) 542-6500 Fax
1.7.3. 1.8.
Historically Underutilized Business/Good Faith Effort Program 1.8.1.
1.9.
State agencies are required to make a good faith effort to assist Historically Underutilized Businesses (HUBs) in receiving contract awards by the State. The goal of this program is to promote fair and competitive business opportunities for all businesses contracting with the State of Texas. TRS encourages all businesses to subcontract with and assist HUBs whenever possible.
Appropriations Funding 1.9.1.
1.10.
Contractor shall provide a point of contact and contact information for notices upon award of Contract.
All obligations of TRS are subject to the availability of funds applicable to this procurement, including authorization to expend funds under state appropriations laws or other applicable laws. TRS will not be in default for nonpayment under the Contract if such funds are not authorized for expenditure or available to TRS for payment of TRS’ obligations under the Contract. In such event, TRS will promptly notify Contractor, and the Contract may terminate simultaneously with the termination of funds. Upon termination of the Contract, TRS will discontinue payment hereunder.
Personnel 1.10.1.
Contractor, its agents, employees and subcontractors shall be courteous and professional in all communication during their performance of the requirements of the Contract. Contractor’s personnel shall comply with all applicable TRS policies while on TRS premises and with regard to TRS property. Any actions deemed unprofessional or non-compliant with applicable TRS policies during the term of the Contract shall be remedied to TRS’ satisfaction. If the actions are not remedied to TRS’ satisfaction, TRS, in its sole discretion, reserves the right to require that Contractor’s staff, agents, employees, or subcontractors be removed from performing work under the Contract. All Contractor personnel are subject to removal from performing work under the Contract at the sole discretion of TRS without establishing cause.
1.10.2.
Contractor acknowledges and agrees that Contractor’s personnel are independent contractors while providing the services required pursuant to the Contract. It is expressly understood and agreed that personnel assigned by Contractor to perform any services hereunder are employees of Contractor, and are not TRS or State of Texas employees for any purpose. Although TRS may give general information, review, and comment on Contractor’s work product, Contractor shall fully control and be responsible for the manner and method of performance and the accuracy and completeness of Contractor’s work product. Contractor is not acting in a fiduciary capacity to TRS. Therefore, as an independent contractor, Contractor acknowledges and agrees that its employees are not Page 48 of 170
eligible for or entitled to receive any retirement benefits pursuant to Subtitle C of Title 8 of the Texas Government Code, or any insurance benefits pursuant to Section 1551 of the Texas Insurance Code, or any other kind of benefit ordinarily provided by the Teacher Retirement System of Texas to its employees. No employer responsibilities to such personnel are, or may be, assumed by TRS, TRS’ Board of Trustees, or the State of Texas. TRS shall not be liable to Contractor, its employees, agents, or other personnel for the provision of unemployment insurance or worker’s compensation coverage to Contractor, its employees, agents, or others.
1.11.
1.10.3.
Contractor acknowledges and agrees that during the existence of the Contract, Contractor shall be entirely responsible for the liability and payment of Contractor’s and Contractor's employees' taxes of whatever kind or nature, arising out of the performances in the Contract. Contractor agrees to comply with all state and federal laws applicable to any such persons, including laws regarding wages, taxes, insurance, and workers' compensation. Contractor acknowledges and agrees that Contractor, its employees, representatives, agents or subcontractors shall not be entitled to any state benefit. TRS shall not be liable to Contractor, its employees, agents, or others for the payment of taxes or the provision of unemployment insurance and/or workers' compensation or any benefit available to a TRS employee.
1.10.4.
The Contract shall not create any joint venture, joint enterprise, or partnership relationship between TRS and Contractor and/or its agents or subcontractors.
1.10.5.
Contractor, Contractor’s employees, and subcontractors shall abide by all TRS security procedures, policies, and rules and regulations, and shall cooperate with TRS security personnel. Contractor, Contractor’s employees, and subcontractors will be required to check in with security upon arrival. The security office is open 24 hours per day, 7 days per week, including holidays and is located on the ground floor in the West building. The telephone number for TRS’ security office is (512) 542-6414.
1.10.6.
Limitation of Authority – Contractor, or Contractor’s personnel shall have no authority to act for or on behalf of the Teacher Retirement System of Texas except as expressly provided for in the Contract. No other authority, power or use is granted or implied. Contractor may not incur any debts, obligations, expenses, or liabilities of any kind on behalf of the Teacher Retirement System of Texas.
Subcontracting or Assignment 1.11.1.
Contractor shall not have the right to assign, transfer or convey any of its rights, title or interest hereunder or to delegate any of its duties or obligations without TRS’ prior written consent, which shall not be unreasonably withheld. Any assignment, transfer, conveyance, or delegation in violation of this provision shall be voidable at TRS’ option.
1.11.2.
Unless indicated otherwise, Contractor shall conduct the performances provided for under the Contract substantially with its own resources and through the services of its own staff.
1.11.3.
Contractor shall at all times be completely responsible for all contract services performed and will specifically assume all liability for any and all such services provided by (i) a subsidiary or affiliate of Contractor or (ii) a subcontractor hired by the Contractor. The services provided by a subsidiary, affiliate, and/or subcontractor shall meet or exceed the performance standards imposed upon Contractor under the Contract.
1.11.4.
TRS reserves the right to reject any subcontractor at TRS’ discretion.
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1.12.
Use of State Property 1.12.1.
1.13.
Contractor, its employees, and subcontractors are prohibited from using TRS’ equipment, TRS’ Location, or any other TRS resources for any purpose other than performing services under the Contract. For this purpose, equipment includes, but is not limited to, copy machines, computers, computer networks, and telephones or facsimile machines using long distance services. Any charges incurred by Contractor, its employees and subcontractors using TRS’ equipment for any purpose other than performing services under the Contract must be fully reimbursed by Contractor immediately upon demand by TRS. Such use may result in termination of the Contract and other remedies available to TRS under the Contract and applicable law.
Background Checks 1.13.1.
Contractor represents and warrants, to the extent permitted by applicable law, that Contractor or Contractor’s third party vendor has performed, at Contractor expense, a comprehensive national FBI (NCIC) check of any of Contractor proposed employees, including subcontractors (collectively “Contractor Resources”), who are members of the Contractor team performing work pursuant to this Agreement. Checks for Contractor Resources shall be considered acceptable if a background check was completed within 90 days immediately preceding assignment. If the background check reveals that any proposed Contractor Resource has been convicted of a criminal offense, Contractor shall either prevent any such Contractor Resources from performing any TRS work or fully advise TRS as to the facts and circumstances surrounding the conviction. Upon full advisement, TRS will determine whether the individual Contractor Resource may perform work for TRS.
1.13.2. For the duration of the contract and upon Contractor knowledge that any Contractor Resources are convicted or under indictment of a criminal offense, Contractor shall either prevent any such Contractor Resources from further performing any TRS work or fully advise TRS as to the facts and circumstances surrounding the charge or indictment. Upon full advisement, TRS will determine whether the individual Contractor Resource may perform work for TRS. 1.13.3. When Contractor does not have access or ability to conduct a comprehensive, national FBI (NCIC) check, TRS will conduct the background check. Additionally, Contractor Resources may be subject to periodic criminal history record investigations performed at the discretion of TRS. TRS will determine if any reported information prevents an individual Contractor Resource from continuing to perform work for TRS. Contractor will cooperate with TRS in complying with such checks. Contractor shall reimburse TRS the cost of any criminal history background investigations TRS performs for Contractor Resources. 1.14.
Eligibility to Work 1.14.1.
Contractor shall ensure all personnel provided to perform work at TRS' facility under the Contract possess proof of eligibility/authorization to work in the United States in compliance with the Immigration Reform and Control Act of 1986. Contractor shall maintain written records on all personnel provided under the Contract and shall provide such records to TRS upon request. Failure to maintain and provide records upon request shall represent a material breach of Contract and TRS shall have the right to terminate the Contract for cause in accordance with Section IV,1.3.2. Contractor shall ensure this section is included in all subcontracts.
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1.15.
Civil Rights 1.15.1.
1.16.
1.17.
1.18.
Contractor agrees that no person shall, on the grounds of race, color, religion, sex, national origin, age, disability, political affiliation, or religious belief, be excluded from the participation in, be denied the benefits of, be subjected to discrimination under, or be denied employment in the administration of, or in connection with, any program or activity funded in whole or in part with funds available under the Contract. Contractor shall comply with Title VI of the Civil Rights Act of 1964 (Public 88Law 88-352, 42 U.S.C. §2000d), Section 504 of the Rehabilitation Act of 1973 (Public Law 93 112, 29 U.S.C. §794), and the Americans with Disabilities Act of 1990 (Public Law 101 336, 42 U.S.C. §12101). Contractor shall comply with Executive Order 11246, “Equal Employment Opportunity,” as amended by Executive Order 11375, “Amending Executive Order 11246 relating to Equal Employment Opportunity,” and as supplemented by regulations at 41 C.F.R. Part 60, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity Department of Labor.” Contractor shall ensure that all subcontracts comply with the above-referenced provisions.
Travel 1.16.1.
TRS will not pay for any travel, housing, transportation, meals or any other cost of that nature unless approved in writing by TRS prior to travel in association with pre-approved additional work.
1.16.2.
Such travel cost, if any, shall be reimbursed subject to the State of Texas rules and at the rates specified for travel by TRS’ own classified employees. Any claim for travel reimbursement by Contractor shall be submitted in accordance with the rules prescribed in the State of Texas Travel Allowance Guide. Airfare will be reimbursed at the actual cost of the airfare not to exceed the cost of the lowest priced airfare available. Under no circumstances will TRS reimburse the Contractor for first-class airfare.
Force Majeure 1.17.1.
TRS may grant relief from performance if Contractor is prevented from compliance and performance by force majeure. Force majeure may include: an act of war; order of legal authority; act of God (except that certain natural phenomena, such as rain, wind, drought, electrical or other power outages, ice, or flood, which are normally expected for the locale in which performance is to take place, shall not be considered acts of God for purposes of the Contract); work stoppages due to labor strikes; fires; explosions; epidemics; riots; war; or sabotage. The burden of proof for the need for such relief shall rest on Contractor.
1.17.2.
To apply for relief based upon force majeure, Contractor shall file a written request with TRS (See Section V, 1.7 - Notices).
1.17.3.
In the event Contractor requests relief due to force majeure, Contractor shall be required to use due diligence to overcome obstacles to performance created by the force majeure. In the event such relief is granted, Contractor shall resume performance immediately after the obstacles have been removed. No extension of time shall be granted to the extent that any delay or failure to perform was caused by the negligence or other fault of Contractor.
1.17.4.
If any strike, boycott, picketing, work stoppage, slowdown, or other labor activity is directed against Contractor at TRS' facility that results in the curtailment or discontinuation of services performed hereunder, TRS shall have the right during said period to employ any means legally permissible to have the work defined in the Contract performed.
News Releases or Pronouncements
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1.18.1.
1.19.
TRS does not endorse any contractor, commodity, or service. News releases pertaining to the Contract and/or advertisements, publications, declarations and any other pronouncements by Contractor using any means or media mentioning the State of Texas or TRS shall be approved in writing by TRS prior to public dissemination.
Security and Confidentiality 1.19.1.
Texas Government Code Section 825.507 provides that information in records in the custody of TRS concerning its individual members, former members, retirees, annuitants, beneficiaries, and alternative beneficiaries is confidential under Texas Government Code Section 552.101 (Texas Public Information Act) and may not be disclosed in a form identifiable with a specific individual except as provided for in Texas Government Code section 825.507. Information that is confidential information under Texas Government Code section 825.507 shall hereinafter be referred to as Confidential Information.
1.19.2.
In order for a Contractor to perform the work specified by the Contract it will be necessary for TRS to provide Contractor with access to certain confidential information from TRS records. Contractor shall be responsible for maintaining the confidentiality of the information in its possession or in the possession of its officers, employees, subcontractors, agents, representatives or suppliers. Contractor shall notify all officers, employees, subcontractors, agents, representatives or suppliers to whom Contractor discloses Confidential Information of the confidentiality terms of the Contract. Contractor shall ensure that each officer, employee, subcontractor, agent, representative or supplier to whom Contractor discloses the Confidential Information shall adhere to the confidentiality terms and conditions of the Contract. Contractor shall be liable for any violation of the Contract by any officer, employee, subcontractor, agent, representative or supplier of Contractor.
1.19.3.
Contractor shall comply with all applicable federal and state statutory and regulatory provisions requiring that information be safeguarded and kept confidential. Contractor will also comply with TRS policy, including the Confidentiality Policy which is attached as ATTACHMENT G.
1.19.4.
Information obtained by Contractor in the performance of the Contract shall be used only for the purposes of carrying out the provisions of the Contract. Inspection by or disclosure of any such information to anyone other than an officer or employee of Contractor or TRS, other than for the purposes of carrying out, and in accordance with, the provisions of the Contract, shall require prior written approval of TRS.
1.19.5.
All Confidential Information is the property of TRS and will be returned to TRS or destroyed, at TRS’ direction, upon satisfactory completion or termination of the Contract or at TRS’ request. In the event TRS directs Contractor to destroy TRS’ confidential information in Contractor’s or any subcontractor’s custody, Contractor shall destroy all specified TRS information, in whatever form or format it may exist, including, but not limited to hardcopy, electronic, backup, or machine readable forms. Within thirty (30) days of receiving TRS’ direction to return or to destroy the Confidential Information, Contractor shall comply with TRS’ direction and provide a written certification, signed by Contractor’s officer, of its compliance.
1.19.6.
Contractor shall use, implement, and document reasonable and appropriate security practices to make information secure. Contractor shall implement and document a comprehensive information security program for itself, employees, agents, and subcontractors. If the security of any shared data is compromised or breached by Contractor or subcontractors, Contractor shall notify TRS immediately, but no later than twelve (12) Page 52 of 170
hours after the compromise or breach. Contractor shall be liable to TRS for any compromise or breach whatsoever and shall be liable for all reasonable and appropriate costs (as determined by TRS) associated with remedying the compromise or breach.
1.20.
1.19.7.
In response to a request for the disclosure of Confidential Information, Contractor shall decline to release the Confidential Information, shall timely notify TRS, shall direct the requester to TRS, and shall timely request an attorney general decision under the Open Records Act if applicable unless TRS notifies Contractor in writing that an attorney general decision is neither required nor desired.
1.19.8.
Contractor shall immediately, but no later than twelve (12) hours afterward, notify TRS both verbally and in writing if any data in Contractor’s or subcontractor’s possession is subpoenaed or improperly used, copied, disclosed, disseminated, or removed (except in the ordinary course of business) by anyone except an authorized representative of TRS. Contractor shall cooperate with TRS in taking all steps, as TRS deems advisable and/or necessary, to prevent misuse, regain possession, and/or otherwise protect TRS’ rights and the data subject’s privacy.
1.19.9.
The requirements of this Security and Confidentiality section shall be included in all subcontracts. The obligations of Contractor under this Security and Confidentiality section shall survive the termination and/or completion of the Contract.
Property Rights in Materials Developed Under the Contract 1.20.1.
TRS shall retain any and all property rights or ownership in any software or intellectual property including copyrights, trade secrets, and/or patents developed under the Contract. Full and exclusive rights and ownership in all materials or work product developed under the Contract and in any and all related patents, trademarks, copyrights, trade secrets and any other property rights which Contractor possesses or may be entitled to shall vest in and are hereby assigned to TRS. Contractor shall execute all documents necessary to assign ownership to TRS.
1.20.2.
Contractor shall not publish any of the results of the services other than as provided by the Contract. Contractor shall not sell any of the results of the services. All work product generated as a result of the Contract either completed or partially completed, shall be the sole property of TRS and may be used in any manner, in whole or in part, as desired by TRS. Contractor shall assert no right in law or equity to such products. All right, title, and interest in and to the property, including publication, duplication and distribution rights, shall vest in TRS upon creation and shall be deemed to be a “work made for hire” and made in the course of the services rendered. To the extent that title to any such work may not, by operation of law, vest in TRS or such work may not be considered a work made for hire; all rights, title and interest therein are hereby irrevocably and indefinitely assigned to TRS. TRS shall have the right to obtain and to hold in its own name any and all patents, copyrights, marks, or such other protection as may be appropriate to the subject matter, and any extensions and renewals thereof. Contractor shall ensure publication, duplication and distribution rights are secured to TRS from all subcontractors.
1.20.3.
Contractor hereby irrevocably and forever waives, and agrees never to assert, any Moral Rights in or to the materials and work product developed under the Contract which Contractor may now have or which may accrue to Contractor’s benefit under U.S. or foreign copyright or other laws and any and all other residual rights and benefits which arise under any other applicable law now in force or hereafter enacted. Contractor acknowledges the receipt of equitable compensation for its assignment and waiver of such Moral Rights. The term “Moral Rights” shall mean any and all rights of paternity or integrity of work created and Page 53 of 170
delivered to TRS under the Contract and the right to object to any modification, translation or use of such work, and any similar rights existing under the judicial or statutory law of any country in the world or under any treaty, regardless of whether or not such right is denominated or referred to as a moral right. 1.20.4.
The Contract is intended to protect TRS’ proprietary rights pertaining to the work created under the Contract, and the intellectual property rights therein, and any misuse of such rights would cause substantial and irreparable harm to TRS’ business. TRS may seek injunctive relief to protect TRS’ proprietary rights; therefore, Contractor acknowledges and stipulates that a court of competent jurisdiction may immediately enjoin any material breach of the intellectual property, use, and confidentiality provisions of the Contract, upon a request by TRS, without requiring posting of a bond and proof of irreparable injury as same should be presumed.
1.20.5.
TRS may request return of materials pertaining to work product. Upon TRS’ request, but in any event upon termination or expiration of the Contract, Contractor shall surrender to TRS all documents and things pertaining to the work product, including but not limited to drafts, memoranda, notes, records, drawings, manuals, computer software, reports, data, and all other documents or materials (and copies of same) generated or developed by Contractor or furnished by TRS to Contractor, including all materials embodying the work product, any TRS confidential information, or intellectual property rights in such work product, regardless of whether complete or incomplete. This section is intended to apply to all work product as well as to all documents and things furnished to Contractor by TRS or by anyone else that pertains to the work product.
1.20.6.
TRS recognizes that Contractor may have a library of previously developed computer instructional code, firmware, software, etc. (hereinafter, Stock Code) from which Contractor may draw upon to develop portions of the solution requested under the Contract. TRS shall accept the use of Stock Code based on the following conditions: 1.20.6.1.
Under no circumstances shall TRS be liable for payment of on-going license fees or other amounts solely for the purposes of maintaining the right to use the Stock Code.
1.20.6.2.
Contractor shall warrant that Contractor is the owner of the intellectual property constituting the Stock Code and maintains the copyright, trade secrets, and/or patents to such property. If Contractor is not the owner of the intellectual property or does not maintain the copyright, trade secrets, and/or patents to such property, provision of a warranty from the owner or copyright, trade secret, and/or patent holder shall meet this requirement.
1.20.6.3.
Contractor or owner or copyright, trade secret, and/or patent holder shall grant an irrevocable, perpetual, non-restricted license to TRS that grants TRS express authority to amend, modify, change, update, supplement, add to, or delete from computer programs developed under the Contract.
1.20.6.4
Contractor shall indemnify and hold harmless TRS, its directors, officers, agents, employees, and contractors against patent and copyright infringement or trade secret misappropriation of any form regarding the Stock Code. Contractor shall be solely responsible for identifying which specific sections of any code provided are Stock Code and which specific sections of any code provided are TRS-owned code. Contractor understands that as a Texas public entity, TRS is subject to the provisions of the Texas Open Records Act.
1.20.6.5
1.20.6.6
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1.21.
Records Retention and Inspection 1.21.1.
1.22.
Contractor shall retain all financial records, supporting documents, statistical records, and any records or books relating to the performances called for in the Contract. Contractor shall retain all such records for a period of four (4) years after the expiration of the term of the Contract, or until TRS is satisfied that all audit and litigation matters are resolved, whichever period is longer. Contractor shall grant access to all books, records, documents, and data pertinent to the Contract as well as the services performed under the Contract to TRS, the State Auditor of Texas, and/or a third party selected by TRS for the purposes of inspecting, auditing, or copying such books, records, documents, and data. The requirements of this provision shall be included in all subcontracts.
Contractor’s Indemnifications 1.22.1.
Contractor agrees to hold TRS, its Board of Trustees, officers, directors, agents, and employees harmless and to defend and indemnify TRS, its board of trustees, officers, directors, agents, and employees from and against any and all claims, demands, damages, liabilities and causes of action of every kind and character, in any way incident to, arising out of, or in connection with any acts or omissions of Contractor or any agent, employee, subcontractor, or supplier of Contractor. Contractor also agrees to hold harmless and indemnify TRS, its board of trustees, officers, directors, agents, and employees from any and all expenses of whatever kind including attorney’s fees incurred in litigation or administrative proceedings or otherwise resulting from such claims, suits, demands action of every kind and character brought by employees, agents, or others of either the damages, liabilities and causes of action of every kind and character occurring from, in any way incident to, arising out of, or in connection with the activities to be performed by Contractor hereunder. Further, Contractor agrees to hold harmless and indemnify TRS, its board of trustees, officers, directors, agents, and employees from and against any and all claims, demands, damages, liabilities and causes of Contractor or TRS due to personal injuries or injuries of whatever sort and/or the death or disability of such employees, agents, or others resulting from any alleged negligent act of commission or omission on the part of Contractor.
1.22.2.
Additionally, if Contractor requires or desires to use any design, trademark, device, material, or process covered by letters of patent or copyright, Contractor shall indemnify, defend, and hold harmless the State of Texas, TRS as well as TRS’ board of trustees, officers, directors, agents, and employees, from any liability for any and all claims, demands, fees, suits, or actions of any nature whatsoever, from any and all claims for infringement by reason of the use of any such patented design, device, trademark, copyright, material or process in connection with the work agreed to be performed and shall indemnify, TRS as well as TRS’ board of trustees, officers, directors, agents, and employees, from any cost, expense, royalty or damage which TRS as well as TRS’ board of trustees, officers, directors, agents, and employees, may be obligated to pay by reason of any infringement at any time during the performance of or after completion of the work. Contractor’s liability shall not be limited for claims of trade secret misappropriation, or of patent, trademark, or copyright infringement.
1.22.3.
Contractor agrees to indemnify and hold harmless TRS, its Board of Trustees, officers, directors, agents, and employees, representatives, contractors, assignees, and/or designees from any and all liability, actions, claims, demands, or suits, and all related costs, attorney fees, and expenses, relating to tax liability, unemployment insurance and/or workers' compensation, or expectations of benefits by Contractor, its employees, representatives, agents or subcontractors in its performance under the Contract.
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1.23.
1.22.4.
Notwithstanding any indemnification clause, TRS shall have full authority to conduct its own defense, negotiations, and settlements, but Contractor's indemnification nevertheless remains in full force and effect. Any settlement shall be reimbursable by Contractor if Contractor approves such settlement in advance, and any liability upon unsuccessful defense shall be reimbursable by Contractor if Contractor has opportunity to participate in the defense of the action. Contractor shall be liable to pay all costs of defense including attorneys' fees. The defense shall be coordinated by the Texas Office of the Attorney General.
1.22.5.
The indemnities contained in the Contract shall survive the termination of the Contract.
Liability for Damage to Property and Injuries to Persons 1.23.1
Damage to TRS Facilities and Suppliers 1.23.1.1.
1.23.2.
Injuries to Persons 1.23.2.1.
1.23.3.
Contractor shall, at TRS’ the sole option, repair, replace, or pay for any and all TRS equipment damaged or lost by Contractor, its employees, agents, subcontractors, and suppliers, including any delivery or cartage company. If TRS directs Contractor to repair, replace, or pay for such equipment, then Contractor shall do so within forty-eight (48) hours of being notified of same by TRS.
Non-Release from Liability or Obligation 1.24.1.
1.25.
Contractor shall be responsible for injury to persons caused by the negligence of Contractor, its employees or agents, its subcontractor(s), and supplier(s) including any delivery or cartage company.
Repair or Replacement of TRS’ Equipment 1.23.3.1.
1.24.
Contractor shall be liable for all damages caused by Contractor, Contractor’s employees or agents, and Contractor’s subcontractor(s), in connection with any performance pursuant to the Contract.
Termination of the Contract for any reason shall not release Contractor from any liability or obligation set forth in the Contract that is expressly stated to survive any such termination or by its nature would be intended to be applicable following any such termination.
Insurance 1.25.1.
Contractor shall procure and maintain on a continuous basis, at Contractor’s expense during the term of the Contract, and any extensions thereof, to include any period after the term of the Contract during which Contractor continues to provide services to TRS, insurance coverage as required by TRS below. Contractor shall comply with the following: 1.25.1.1.
Contractor acknowledges and agrees that it shall have total responsibility for its employees and its employment practices, including in the areas of wrongful discharge lawsuits, unemployment issues, workers compensation, employment taxes and reimbursement due to losses in these areas.
1.25.1.2.
Contractor shall carry and provide evidence of the following types of insurance for each occurrence and in the aggregate: 1.25.1.2.1.
Commercial General Liability/Commercial Umbrella – covering bodily injury, property damage, damage to premises rented or occupied, products and completed operations, personal injury and medical payments;
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1.25.1.3.
1.25.2
1.25.1.2.2.
Commercial Automobile Liability – covering owned, hired, or nonowned vehicles;
1.25.1.2.3.
Commercial Crime Insurance Policy or Employee Fidelity Bond – including Employee Dishonesty with an endorsement to include Property of Others;
1.25.1.2.4.
Cyber Liability - covering computer theft of money, securities, and any other property. Computer theft of information and computer vandalism, including introduction of malicious code or other devices that severely disrupt business;
1.25.1.2.5.
Professional Liability (Errors and Omissions) - including coverage for the rendering of, or failure to render, professional services, including but not limited to, installation, service or repair; instruction; data preparation & processing; software development and design; consulting; and intellectual property infringement;
1.25.1.2.6.
Commercial Property Insurance - including an endorsement to include the Property of Others in Contractor’s care, custody and control; and
1.25.1.2.7.
Workers’ Compensation and Employer’s Liability – including protection of employees in accordance with Texas Workers Compensation Commission laws, rules, and regulations.
1.25.1.2.8.
In the event one or more insurance coverage types listed above are covered by a general liability or umbrella type policy, Contractor shall identify the specific types of insurance covered by the general liability or umbrella type policy.
Minimum Limits of Coverage 1.25.1.3.1.
Automobile - $500,000 per occurrence, $1,000,000 combined single limit for bodily injury and property damage liability.
1.25.1.3.2.
Professional Liability (Errors and Omissions) – Not less than $2,000,000.
1.25.1.3.3.
Commercial General Liability (CGL) or Umbrella - $1,000,000 per occurrence, and $2,000,000 aggregate for personal injury, bodily injury, and property damage liability.
1.25.1.3.4.
Cyber Liability - $200,000 per occurrence.
All insurance policies shall be issued by companies authorized to do business under the laws of the State of Texas and shall be in a form satisfactory to TRS. Contractor agrees that with respect to the above required insurance, all insurance contracts and certificate(s) of insurance will contain and state in writing the following required provisions. Each insurance contract or certificate of insurance shall: 1.25.2.1.
Be issued from a company or companies having both an Financial Strength Rating of “A” or better, and a Financial Size Category Class of “VIII” or better from A. M. Best Company, Inc.;
1.25.2.2.
Be on an occurrence-made basis with the exception of Professional Liability (Errors and Omissions) coverage. If Professional Liability (Errors and Omissions) coverage is written on a claims-made form, coverage shall be continuous (by renewal or extended reporting period) for not less than twenty-four (24) months Page 57 of 170
following completion of the Contract and acceptance by TRS. Coverage, including any renewals, shall have the same retroactive date as the original policy applicable to the Contract; 1.25.2.3.
Make available upon request the endorsement to name “Teacher Retirement System of Texas and its Board of Trustees, officers, directors, and employees” as additional insureds to all applicable coverages;
1.25.2.4.
State that coverage shall not be cancelled, non-renewed, or materially changed except after at least thirty (30) days prior written notice to TRS;
1.25.2.5.
Require that required notification be sent to TRS, Attn: Purchasing and Contracts Manager, 1000 Red River St., Austin, Texas 78701;
1.25.2.6.
Provide that renewal policies shall be furnished to TRS not less than thirty (30) days prior to the expiration of current policies;
1.25.2.7.
Waive subrogation against Teacher Retirement System of Texas and its Board of Trustees, officers, directors, and employees to include bodily injury (including death), property damage, or any other loss;
1.25.2.8.
Provide that Contractor’s insurance is primary insurance and shall not require contribution by any other similar insurance available to Teacher Retirement System of Texas and its Board of Trustees, officers, directors, and employees;
1.25.2.9.
Provide that all provisions of the Contract concerning liability, duty, and standard of care, together with the indemnification provision, shall be underwritten by contractual liability coverage sufficient to include such obligations to TRS within applicable policies; and
1.25.2.10. Ensure that all certificates of insurance identify the service or product being provided to TRS.
1.26.
1.25.3.
Insurance shall be effective and evidence of acceptable insurance furnished prior to commencing operations under the Contract. Contractor shall furnish to TRS evidence of required insurance naming “Teacher Retirement System, 1000 Red River Street, Austin, Texas 78701” as a certificate holder. Upon request, Contractor shall furnish certified true copies of liability policies, and manually countersigned endorsements of any changes thereto.
1.25.4.
The Contractor shall, within ten (10) days after issuance of the Contract, deliver to TRS the evidence of the required insurance. Failure upon the part of the Contractor to furnish the evidence of required insurance, within ten (10) days of the Contract shall be cause for the cancellation of the Contract.
1.25.5.
TRS may, at any time during the Contract term, require written documentation from Contractor that all insurance is effective and in compliance with TRS requirements.
Ethics in Public Contracting 1.26.1.
By submitting an Offer, Respondent certifies that their Offer is made without collusion or fraud and that they have not offered or received any kickbacks or inducements from any other Respondent, supplier, manufacturer, or subcontractor in connection with their Offer, and that they have not conferred on any public employee having official responsibility for this procurement transaction any payment, loan, subscription, advance, deposit of money, services, or anything of value, present or promised.
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1.27.
Failure to Agree to the Terms and Conditions 1.27.1.
1.28.
Alterations, Additions and Deletions 1.28.1.
1.29.
Any alterations, additions, or deletions to the terms of the Contract shall be by an amendment in writing. No alteration, addition, or deletion shall occur without the issuance of a Change Notice by TRS’ Purchasing and Contracts Office.
Collaboration with Other Contractors 1.29.1.
1.30.
Failure of any Respondent to agree to the terms and conditions of the RFO may result in rejection of the Respondent’s Offer.
Contractor acknowledges that its provision of the Services and Deliverables shall require significant cooperation with other TRS contractors, and Contractor shall fully cooperate with and work in good faith with third parties as described in the Contract and to the extent requested by TRS. Such cooperation shall include providing access to Contractor information regarding the TRS operating environment, constraints and other operating parameters as a person with reasonable commercial skills and expertise would find reasonably necessary for the third parties to perform their work. TRS contractors shall comply with Contractor’s reasonable security and confidentiality requirements and shall, to the extent performing work on Software, Equipment or Systems for which Contractor has any responsibility, comply with Contractor’s reasonable standards, methodologies, and procedures.
Entire Agreement 1.30.1
The Contract contains the final, complete and exclusive understanding of, and supersedes all prior contemporaneous, oral or written, agreement, understandings, representations and negotiations between parties relating to the subject matter of the Contract. The parties further agree that the Contract may not in any way be explained or supplemented by a prior or existing course of dealings between the parties, by usage of trade or custom, or by any prior performance between the parties pursuant to the Contract or otherwise.
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SECTION VI – ATTACHMENTS
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ATTACHMENT A - EXECUTION OF OFFER for WEBSITE REDESIGN PROJECT SERVICES RFO # 1029146A-BB
NOTE: THIS ATTACHMENT MUST BE SIGNED AND RETURNED WITH THE OFFER. OFFERS THAT DO NOT INCLUDE THIS ATTACHMENT SHALL BE DISQUALIFIED. THE OFFER OR ANY RESULTING CONTRACT MAY BE VOID IF FALSE STATEMENTS ARE CONTAINED IN THIS ATTACHMENT.
1. As a courtesy, the following Checklist of Required Information has been provided to assist in assembling the Respondent’s Offer. Respondent is solely responsible for ensuring that all items listed below are included with their submitted Offer.
CHECKLIST OF REQUIRED INFORMATION Item
Action
ATTACHMENT A - EXECUTION OF OFFER
Signed and Submitted with Offer in Section II, TAB 11
Respondent’s Offer Addressing the Requirements of TABS 1-12
Submitted in accordance with Section II, 12.3.
ATTACHMENT B - STAFFING PROFILES FORM
Submitted with Offer in Section II, TAB 7
ATTACHMENT C - REFERENCES
Submitted with Offer in Section II, TAB 7
ATTACHMENT D – HUB SUBCONTRACTING PLAN (HSP) HSP Signed and Submitted with Offer in Section II, TAB 10 ATTACHMENT E – MINIMUM QUALIFICATIONS CHECKLIST
Completed and Submitted with Offer in Section II, TAB 2
ATTACHMENT F - CONFLICT OF INTEREST DISCLOSURES - for Company and Staff
Signed and Submitted with Offer in Section II, TAB 11
ATTACHMENT G - CONFIDENTIALITY POLICY
In Checking the Compliance Box, Respondent Indicates their Willingness to Comply
ATTACHMENT H – CODE OF ETHICS FOR CONTRACTORS
In Checking the Compliance Box, Respondent Indicates their Willingness to Comply
ATTACHMENT I – NON-DISCLOSURE AGREEMENT
In Checking the Compliance Box, Respondent Indicates their Willingness to Comply
ATTACHMENT J - INFORMATION SECURITY POLICY
In Checking the Compliance Box, Respondent Indicates their Willingness to Comply
ATTACHMENT K – NON-TRS-WORKER ACKNOWLEDGEMENTS
In Checking the Compliance Box, Respondent Indicates their Willingness to Comply
ATTACHMENT M – MANDATORY PRICING – separate Excel spreadsheet
Completed, Signed, and Submitted with Offer in Section II, TAB 11
Insurance Certificate
Submitted with Offer in Section II, TAB 3, Question 10.
Background Checks
Respondent shall acknowledge that all individuals assigned to provide services to TRS are subject to background checks in accordance with Section V, 1.13.
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Compliance
2. By signature hereon, Respondent certifies that: 2.1. Respondent Affirmations 2.1.1.
All statements and information prepared and submitted in the response to this RFO are current, complete, and accurate.
2.1.2.
Signing any response to this RFO with a false statement is a material breach of contract and shall void the submitted response or any resulting contract, and the Respondent will be reported for removal from all bid lists. By signature hereon affixed, Respondent certifies that:
2.1.3.
Respondent has not given, offered to give, nor intends to give at any time hereafter any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor or service to a public servant in connection with the submitted response. Violation of this requirement may result in the termination of the Contract at TRS’ discretion.
2.1.4.
Pursuant to 15 U.S.C. §1, et seq. and Tex. Bus. & Comm. Code §15.01, et seq., neither Respondent nor the firm, corporation, partnership, or institution represented by Respondent, or anyone acting for such firm, corporation, partnership or institution has violated the antitrust laws of this state, or the federal antitrust laws, and has not communicated, directly or indirectly, their response to any competitor or any other person engaged in such line of business.
2.1.5.
Pursuant to Section 2155.004, Texas Government Code, "Under Section 2155.004, Government Code, the vendor certifies that the individual or business entity named in this bid or contract is not ineligible to receive the specified contract and acknowledges that this contract may be terminated and payment withheld if this certification is inaccurate." §2155.004 prohibits a person or entity from receiving a state contract if they received compensation for participating in preparing the solicitation or specifications for the contract.
2.1.6.
Pursuant to Section 231.006(d), Texas Family Code, regarding child support, "Under Section 231.006, Family Code, the vendor or applicant certifies that the individual or business entity named in this contract, bid, or application is not ineligible to receive the specified grant, loan, or payment and acknowledges that this contract may be terminated and payment may be withheld if this certification is inaccurate."
2.1.7.
Pursuant to Section 2252.903, Texas Government Code, Respondent agrees that any payments due under a contract resulting from this RFO shall be directly applied towards eliminating any debt or delinquency including, but not limited to, delinquent taxes, delinquent student loan payments, and delinquent child support, until the debt is paid in full. Respondent shall comply with rules adopted by the Texas Comptroller of Public Accounts under Sections 403.055, 403.0551, and 2252.903, Texas Government Code and other applicable laws and regulations regarding satisfaction of debts or delinquencies to the State of Texas.
2.1.8.
Pursuant to Section 669.003, Texas Government Code, TRS may not enter into a contract with a person who was an executive head, or employs a current or former executive head of TRS until four years has passed since that person was the executive head of TRS. By submitting an offer, Respondent certifies compliance with Section 669.003. If Respondent does employ a person who was the executive head of TRS, Respondent will complete the following information in order for the Offer to be evaluated: Name of Former Executive: Name of State Agency: Date of Separation from State agency: Position with Respondent: Date of Employment with Respondent:
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2.1.9.
Pursuant to Section 2155.4441, Texas Government Code, Respondent agrees that during the performance of a contract for services it shall purchase products and materials produced in Texas when they are available at a price and time comparable to products and materials produced outside Texas.
2.1.10. Respondent certifies that Respondent and its principals (1) are eligible to participate in this transaction, (2) have not been subjected to suspension, debarment, or similar ineligibility determined by any federal, state or local governmental entity, (3) are in compliance with the State of Texas statutes and rules relating to procurement, and (4) are not listed on the federal government's terrorism watch list as described in Executive Order 13224. Entities ineligible for federal procurement are listed at http://www.epls.gov. 2.1.11. Pursuant to Sections 2155.006 and 2261.053, Texas Government Code, prohibit state agencies from awarding contracts to any person who, in the past five years, has been convicted of violating a federal law or assessed a penalty in connection with a contract involving relief for Hurricane Rita, Hurricane Katrina, or any other disaster, as defined by §418.004, Gov't Code, occurring after September 24, 2005. “Under Section 2155.006, Government Code, the vendor certifies that the individual or business entity named in this bid or contract is not ineligible to receive the specified contract and acknowledges that any contract may be terminated and payment withheld if this certification is inaccurate.” 2.1.12. Pursuant to Section 556.005, Texas Government Code, relating to the prohibition of using state funds for lobbying activities, Respondent represents and warrants that payment to the Respondent and the Respondent’s receipt of appropriated or other funds under any contract resulting from this RFO are not prohibited. 2.1.13. Respondent represents and warrants that it has no actual or potential conflicts of interest in providing the requested items to TRS under the RFO and any resulting contract, if any, and that Respondent’s provision of the requested items under the RFO and any resulting contract, if any, would not reasonably create an appearance of impropriety. 2.1.14. All Associated Costs: TRS will not be responsible for any costs directly or indirectly related to preparation of a response, or any participation in Finalist Interviews and Demonstrations, or negotiations. 2.1.15. Respondent warrants that Respondent will not engage in employment practices that have the effect of discrimination against employees or prospective employees because of age, religion, race, color, sex, disability, or national origin and will submit a report as TRS may hereafter require to assure compliance. 2.1.16. Respondent certifies by signature hereon that either (a) its Texas State Franchise taxes are current, or (b) it is not subject to the Texas State Franchise Tax. Making a false statement as to corporate franchise status with regard to a state contract shall be grounds for the cancellation of the Contract at TRS’ option. 2.1.17. Sales tax is not applicable to any parts, material, labor or specialized service furnished hereunder on all amounts becoming payable by TRS to Respondent under the contract. 2.1.18. To the extent applicable laws, regulations, court orders, or official interpretations require TRS to include additional language in its contracts, Respondent agrees to amend the contract and to cooperate in the execution of any amendment to the contract necessary to effectuate such laws, regulations, court order, or official interpretations. 2.1.19. TRS is subject to the provisions of Section 552, Texas Government Code, commonly referred to as the Texas Public Information Act “the Act”. If a request for disclosure of the contract or any information related to the services performed pursuant to the contract or information provided to TRS under the contract constituting a record under the Act is received by TRS, the information must qualify for an exception provided by the Act to be withheld from public disclosure. Respondent authorizes TRS to submit any information contained in the contract, provided under the contract, or otherwise requested to be disclosed, including information Respondent has labeled as confidential proprietary information, to the Office of the Attorney General for a determination as to whether any such information may be excepted from public disclosure under the Act. If TRS does not have a good faith belief that information may be subject to an Page 63 of 170
exception to disclosure, TRS is not obligating itself by the contract to submit the information to the Office of the Attorney General. It shall be Respondent’s responsibility to make any legal argument to the Office of the Attorney General or appropriate court of law regarding the exception of the information in question from disclosure. Respondent waives any claim against and releases from liability TRS, its trustees, officers, directors, employees, agents, attorneys, any trust fund managed by TRS with respect to disclosure of information provided under or in the contract or otherwise created, assembled, maintained, or held by Respondent and determined by the Office of the Attorney General or a court of law to be subject to disclosure under the Texas Public Information Act. 2.1.20. Respondent shall promptly notify TRS in the event that any representations and warranties provided herein are no longer true and correct. Respondent acknowledges that all of its representations and warranties contained in any part of the offer are material and have been relied upon by TRS in selecting a Contractor to provide the services specified herein and in entering into a contract with Respondent. Further, Respondent warrants and represents that all of its statements and representations made to TRS prior to being selected to provide the services specified herein, and made herein and during the negotiation of the contract, are material, true and correct. 2.1.21. Prohibited Interest: A TRS Board member, officer, director, or employee may not have a direct interest in the gains or profits from any contract executed by TRS pursuant to this RFO, and may not receive any pay or emolument for any service performed for Contractor. 2.1.21.1. In the case where a TRS Board member, officer, director, or employee receives any payment from Contractor for any services performed by Contractor or for any gains or profits from the Contract, TRS may terminate the Contract immediately. Under such circumstances, Contractor must complete any outstanding TRS transactions and provide transition data and information as required to a new contractor within thirty (30) days. TRS may not consider Offers from Contractor for two full years thereafter. Contractor shall hold TRS harmless for any costs, expenses and damages associated with such termination. This section survives termination of the contract.
PREFERENCES See Section 2.38 of the State of Texas Procurement Manual regarding preferences. Check below to claim a preference under 34 TAC Rule 20.38 □ Goods produced or offered by a Texas bidder that is owned by a Texas resident service-disabled veteran □ Goods produced in Texas or offered by a Texas bidder that is not owned by a Texas resident service-disabled veteran □ Agricultural products grown in Texas □ Agricultural products offered by a Texas bidder □ Services offered by a Texas bidder that is owned by a Texas resident service-disabled veteran □ Services offered by a Texas bidder that is not owned by a Texas resident service disabled veteran □ Texas Vegetation Native to the Region □ USA produced supplies, materials or equipment □ Products of persons with mental or physical disabilities □ Products made of recycled, remanufactured, or environmentally sensitive materials including recycled steel □ Energy Efficient Products □ Rubberized asphalt paving material □ Recycled motor oil and lubricants □ Products produced at facilities located on formerly contaminated property □ Products and services from economically depressed or blighted areas □ Vendors that meet or exceed air quality standards □ Recycled or Reused Computer Equipment of Other Manufacturers □ Foods of Higher Nutritional Value
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3. Confidential Proprietary Information – Respondent shall indicate whether their Offer contains any information marked as confidential proprietary information. If any material in the Offer is marked as confidential proprietary information, include a separate sheet behind this ATTACHMENT A that indicates the section(s) and page(s) so marked. This Offer contains confidential proprietary information: Yes_______
4.
No_______
ADDENDA CHECKLIST By so marking below, Respondent acknowledges receipt of the following addenda to the RFO. No. 1
No. 2
No. 3
No. 4
No. 5
5. PRICING Required Pricing Format a.
Respondent shall provide their price for the services identified in response to Section II, General Offer Information and listed in Section III, Statement of Work, in the areas indicated below. All pricing shall be quoted on a fixedfee, all-inclusive basis, including travel, lodging, meals, and other out-of-pocket expenses.
b.
Respondent shall use the Excel pricing spreadsheet included as a separate file on the Electronic State Business Daily (ATTACHMENT M – MANDATORY PRICING).
c.
For additional evaluation purposes, TRS wishes to receive separate price information pertaining to the rate per hour offered for each position. Respondents shall provide hourly pricing for all positions offered in the format included as a separate file on the Electronic State Business Daily (ATTACHMENT M).
Page 65 of 170
6. CONTACT INFORMATION AND AUTHORIZED SIGNATURE Respondent represents and warrants that the individual signing this Execution of Offer is authorized to sign this document on behalf of Respondent and to bind Respondent under any contract resulting from this Offer. Respondent’s Business Name: Respondent’s Address: City, State, Zip: Texas Identification #:
Respondent’s Contact: Phone Number: Fax Number: Email Address:
Authorized Signature: Printed Name: Title: Date:
Respondent’s authorized agent must manually sign above. Failure to sign Offer shall result in disqualification of the Offer.
THIS FORM SHALL BE RETURNED WITH OFFER OR OFFER SHALL BE DISQUALIFIED
Page 66 of 170
ATTACHMENT B - STAFFING PROFILES FORM
Enter "P" for Prime Contractor Employee or "O" for Other Contractor Employee
Enter "P" for Permanent Employee or "C" for Contracted Employee
# of Months Employed with Current Company
100%
# of Previous Similar Projects Worked On
Ellen Doe
# of Months Experience on Previous Similar Projects
Project Manager
# of Projects with Experience in this Role
Team Member Name
# of Months Experience in this Role
Project Role
% of Time on this Project in this Role
Name of Respondent: Enter information for each individual team member and their project role.
48
3
12
1
P
P
60
Name of Current Employer if Not a Prime Contractor Employee
THIS PAGE SHALL BE RETURNED WITH OFFER OR OFFER MAY BE DISQUALIFIED Page 67 of 170
Work Locations of this Team Member While on this Project (with % of Time )
Austin - 95%; Houston - 5%
ATTACHMENT C - REFERENCES Part 1 - COMPANY References Respondent shall provide a minimum of three (3) different Website design and/or implementation client references. This information may be used in evaluating Respondent’s capabilities, Respondent’s prior performance, and other indicators of Respondent’s probable performance under any contract resulting from this RFO. Respondent’s Company references should reflect the years of experience requested under TAB 2 Minimum Qualifications, Item 1. TRS reserves the right to contact any or all references provided. (See SECTION II, 12.3.3.; TAB 2, Item 1. and TAB 7, Item 11.) REFERENCE #1 Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date: Project End Date: Project Budget: Project Objectives: Project URL: Respondent’s Role:
REFERENCE #2 Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Page 68 of 170
Project End Date: Project Budget: Project Objectives: Project URL: Respondent’s Role:
REFERENCE #3 Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date: Project End Date: Project Budget: Project Objectives: Project URL: Respondent’s Role:
THIS PAGE SHALL BE RETURNED WITH OFFER OR OFFER MAY BE DISQUALIFIED.
ATTACHMENT C – REFERENCES continued on next page
Page 69 of 170
Part 2 - PROJECT TEAM References Respondent shall provide a minimum of two (2) different references for each of the following Key Personnel proposed to fulfill the roles of: Project Manager, Design Lead, User Experience Lead, Technical Lead, and Quality Assurance Lead. (See SECTION II, 12.3.3.; TAB 2, Item 2.a. and TAB 7, Item 3. & 12.)
References for Respondent’s proposed PROJECT MANAGER, shall be entered below: Reference #1 – Reflects the required years of experience as outlined in Section II, 12.3.3., TAB 2, Item 2.a. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project: Reference #2 – Current work or most recent assignment. See Section II, 12.3.3., TAB 7, Item 12.c. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project: Page 70 of 170
Part 2 - PROJECT TEAM References - Continued
References for Respondent’s proposed DESIGN LEAD, shall be entered below: Reference #1 – Reflects the required years of experience as outlined in Section II, 12.3.3., TAB 2, Item 2.a. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project: Reference #2 – Current work or most recent assignment. See Section II, 12.3.3., TAB 7, Item 12.c. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project:
Page 71 of 170
Part 2 - PROJECT TEAM References - Continued
References for Respondent’s proposed USER EXPERIENCE LEAD, shall be entered below: Reference #1 – Reflects the required years of experience as outlined in Section II, 12.3.3., TAB 2, Item 2.a. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project: Reference #2 – Current work or most recent assignment. See Section II, 12.3.3., TAB 7, Item 12.c. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project:
Page 72 of 170
Part 2 - PROJECT TEAM References - Continued
References for Respondent’s proposed TECHNICAL LEAD, shall be entered below: Reference #1 – Reflects the required years of experience as outlined in Section II, 12.3.3., TAB 2, Item 2.a. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project: Reference #2 – Current work or most recent assignment. See Section II, 12.3.3., TAB 7, Item 12.c. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project:
Page 73 of 170
Part 2 - PROJECT TEAM References - Continued
References for Respondent’s proposed QUALITY ASSURANCE LEAD, shall be entered below: Reference #1 – Reflects the required years of experience as outlined in Section II, 12.3.3., TAB 2, Item 2.a. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project: Reference #2 – Current work or most recent assignment. See Section II, 12.3.3., TAB 7, Item 12.c. Client Name: Project Name: Project Contact Person: Contact Person’s Role: Contact Phone Number: Contact Email Address: Project Start Date:
Project End Date:
Project Budget: Project Objectives: Project URL: Individual’s Role on Project: REFERENCE PAGES SHALL BE RETURNED WITH OFFER OR OFFER MAY BE DISQUALIFIED. Page 74 of 170
Attachment D
ATTACHMENT D - HUB SUBCONTRACTING PLAN (HSP)
INSTRUCTIONS All Respondents are required to complete and return the HUB Subcontracting Plan (HSP) included in this attachment. If subcontracting is proposed for this procurement, the Respondent shall include a list of ALL sub-contractors, whether they are a Historically Underutilized Business (HUB) or not. If no services will be subcontracted, the Respondent should indicate so in Section 2 of the HSP form, and complete the remaining applicable sections of the HSP. TRS has determined that subcontracting may be likely in the following areas: Graphics: Clip Art, Demos, Presentation, Slide Shows, etc. Web Page Design Services – 915-96; 208-50; Data Conversion Services - 920-24; Programming Services, Computer - 920-40; Integrated Software - 208-53; Software Maintenance/Support - 920-45; Utilities Software: Back-up, Batch File, Firewall, Menus, System Implementation and Engineering Services- 920-64; Operating System, Network Operating System, Network Training, Computer Based (Software Supported)- 920-91 Management, Recovery, Screen, Security, Virus Protection, etc. - 208-90 To assist Respondents subcontracting in any of these areas, an excel spreadsheet containing HUB vendor and related contact information has been included as a separate file with the solicitation posting, on the Electronic State Business Daily. See ATTACHMENT N – HUB VENDOR LIST. For each area of potential subcontracting, a tab has been created within the spreadsheet with HUB vendor information specific to that area. If subcontracting in any other areas, the Respondent may use the State’s Centralized Master Bidders List (CMBL) to find certified Texas HUB vendors. To use, go to the following link:
https://mycpa.cpa.state.tx.us/tpasscmblsearch/index.jsp Under “Search For” at the top of the page, select “All Vendors.” Under “Multiple Vendor Search” insert the Class and Item number for the type of work you will be subcontracting. Class/Item Designations - All products and services for the State are classified by a commodity code. The first three numbers are the Class code. The second two numbers are the more specific Item codes within the Class. Class/Item Designations may be found at the following web links: Alphabetical List: http://www2.cpa.state.tx.us/com_book/alpha_index.html List by Class Number: http://www2.cpa.state.tx.us/com_book/index.html Under “Select Fields For Output” you can choose the information to be shown with your search results. Be certain to check the boxes for “HUB Eligibility” and “HUB Gender.” For those vendors that are certified Texas HUB’s, these boxes will be populated in your search results. Clicking on a vendor name will bring up all information regarding the selected vendor. Additionally, the Texas Comptroller of Public Accounts has created an instructional video on how to fill out the HSP. This video may be accessed at the following link: http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HSPvideo.swf If further assistance is required when preparing the HSP, you may contact TRS HUB contact Darryl Gaona, at (512) 542-6312.
Page 75 of 170
Attachment D
HUB SUBCONTRACTING PLAN (HSP) QUICK CHECKLIST While this HSP Quick Checklist is being provided to merely assist you in readily identifying the sections of the HSP form that you will need to complete, it is very important that you adhere to the instructions in the HSP form and instructions provided by the contracting agency.
If you will be awarding all of the subcontracting work you have to offer under the contract to only Texas certified HUB vendors, complete:
Section 1 – Respondent and Requisition Information Section 2 a. – Yes, I will be subcontracting portions of the contract Section 2 b. – List all the portions of work you will subcontract, and indicate the percentage of the contract you expect to award to Texas certified HUB vendors
Section 2 c. – Yes Section 4 – Affirmation GFE Method A (Attachment A) – Complete an Attachment A for each of the subcontracting opportunities you listed in Section 2 b.
If you will be subcontracting any portion of the contract to Texas certified HUB vendors and Non-HUB vendors, and the aggregate percentage of all the subcontracting work you will be awarding to the Texas certified HUB vendors with which you have a continuous contract* in place for five (5) years or less meets or exceeds the HUB Goal the contracting agency identified in the “Agency Special Instructions/Additional Requirements”, complete:
Section 1 – Respondent and Requisition Information Section 2 a. – Yes, I will be subcontracting portions of the contract Section 2 b. – List all the portions of work you will subcontract, and indicate the percentage of the contract you expect to award to Texas certified HUB
vendors and Non-HUB vendors Section 2 c. – No Section 2 d. – Yes Section 4 – Affirmation GFE Method A (Attachment A) – Complete an Attachment A for each of the subcontracting opportunities you listed in Section 2 b.
If you will be subcontracting any portion of the contract to Texas certified HUB vendors and Non-HUB vendors or only to Non-HUB vendors, and the aggregate percentage of all the subcontracting work you will be awarding to the Texas certified HUB vendors with which you have a continuous contract* in place for five (5) years or less does not meet or exceed the HUB Goal the contracting agency identified in the “Agency Special Instructions/Additional Requirements”, complete:
Section 1 – Respondent and Requisition Information Section 2 a. – Yes, I will be subcontracting portions of the contract Section 2 b. – List all the portions of work you will subcontract, and indicated the percentage of the contract you expect to award to Texas certified HUB
vendors and Non-HUB vendors Section 2 c. – No Section 2 d. – No Section 4 – Affirmation GFE Method B (Attachment B) – Complete an Attachment B for each of the subcontracting opportunities you listed in Section 2 b.
If you will not be subcontracting any portion of the contract and will be fulfilling the entire contract with your own resources, complete:
Section 1 – Respondent and Requisition Information Section 2 a. – No, I will not be subcontracting any portion of the contract, and I will be fulfilling the entire contract with my own resources Section 3 – Self Performing Justification Section 4 – Affirmation
ontract: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts. Page 76 of 170
Attachment D (Rev. 02/12)
HUB SUBCONTRACTING PLAN (HSP) In accordance with Texas Gov’t Code §2161.252, the contracting agency has determined that subcontracting opportunities are probable under this contract. Therefore, all Respondents, including State of Texas certified Historically Underutilized Businesses (HUBs) must complete and submit this State of Texas HUB Subcontracting Plan (HSP) with their response to the bid requisition (solicitation).
NOTE: Responses that do not include a completed HSP shall be rejected pursuant to Texas Gov’t Code §2161.252(b). The HUB Program promotes equal business opportunities for economically disadvantaged persons to contract with the State of Texas in accordance with the goals specified in the 2009 State of Texas Disparity Study. The statewide HUB goals defined in 34 Texas Administrative Code (TAC) §20.13 are:
1. 11.2 percent for heavy construction other than building contracts, 2. 21.1 percent for all building construction, including general contractors and operative builders contracts, 3. 32.7 percent for all special trade construction contracts, 4. 23.6 percent for professional services contracts, 5. 24.6 percent for all other services contracts, and 6. 21 percent for commodities contracts.
- - Agency Special Instructions/Additional Requirements - In accordance with 34 TAC §20.14(d)(1)(D)(iii), a Respondent (prime contractor) may demonstrate good faith effort to utilize Texas certified HUBs for its subcontracting opportunities if the total value of the Respondent’s subcontracts with Texas certified HUBs meets or exceeds the statewide HUB goal or the agency specific HUB goal, whichever is higher. When a Respondent uses this method to demonstrate good faith effort, the Respondent must identify the HUBs with which it will subcontract. If using existing contracts with Texas certified HUBs to satisfy this requirement, only contracts that have been in place for five years or less shall qualify for meeting the HUB goal. This limitation is designed to encourage Vendor rotation as recommended by the 2009 Texas Disparity Study.
For assistance in completing the HSP, please view the video available at http://www.window.state.tx.us/procurement/prog/hub/hubforms/HSPvideo.swf or contact TRS’ HUB contact, Darryl Gaona, at: [email protected]
SECTION 1 RESPONDENT AND REQUISITION INFORMATION a.
Respondent (Company) Name:
State of Texas VID #:
Point of Contact:
Phone #:
E-mail Address:
Fax #:
b.
Is your company a State of Texas certified HUB?
c.
Requisition #:
- Yes
- No Bid Open Date:
/ (mm/dd/yyyy)
Page 77 of 170
/
Attachment D Enter your company’s name here:
SECTION 2
Requisition #:
SUBCONTRACTING INTENTIONS
After dividing the contract work into reasonable lots or portions to the extent consistent with prudent industry practices, and taking into consideration the scope of work to be performed under the proposed contract, including all potential subcontracting opportunities, the Respondent must determine what portions of work, including goods and services, will be subcontracted. Note: In accordance with 34 TAC §20.11., an “Subcontractor” means a person who contracts with a prime contractor to work, to supply commodities, or to contribute toward completing work for a governmental entity. a. Check the appropriate box (Yes or No) that identifies your subcontracting intentions: - Yes, I will be subcontracting portions of the contract. (If Yes, complete Item b, of this SECTION and continue to Item c of this SECTION.) - No, I will not be subcontracting any portion of the contract, and I will be fulfilling the entire contract with my own resources. (If No, continue to SECTION 3 and SECTION 4.) b. List all the portions of work (subcontracting opportunities) you will subcontract. Also, based on the total value of the contract, identify the percentages of the contract you expect to award to Texas certified HUBs, and the percentage of the contract you expect to award to Vendors that are not a Texas certified HUB (i.e., Non-HUB).
Item #
Subcontracting Opportunity Description
HUBs
Non-HUBs
Percentage of the contract Percentage of the contract expected to be subcontracted expected to be subcontracted to HUBs with which you have to HUBs with which you have a continuous contract* in place a continuous contract* in place for five (5) years or less. for more than five (5) years.
Percentage of the contract expected to be subcontracted to non-HUBs.
1
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Aggregate percentages of the contract expected to be subcontracted:
%
(Note: If you have more than fifteen subcontracting opportunities, a continuation sheet is available online at http://window.state.tx.us/procurement/prog/hub/hub-subcontracting-plan/) c.
Check the appropriate box (Yes or No) that indicates whether you will be using only Texas certified HUBs to perform all of the subcontracting opportunities you listed in SECTION 2, Item b. - Yes (If Yes, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed.)
- No (If No, continue to Item d, of this SECTION.) d. Check the appropriate box (Yes or No) that indicates whether the aggregate expected percentage of the contract you will subcontract with Texas certified HUBs with which you have a continuous contract* in place with for five (5) years or less meets or exceeds the HUB goal the contracting agency identified on page 1 in the “Agency Special Instructions/Additional Requirements”. - Yes (If Yes, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed.) - No (If No, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method B (Attachment B)” for each of the subcontracting opportunities you listed.) t: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts.
Page 78 of 170
Attachment D (Rev. 02/12)
Enter your company’s name here:
SECTION 2 a.
Requisition #:
SUBCONTRACTING INTENTIONS (CONTINUATION SHEET)
This page can be used as a continuation sheet to the HSP Form’s page 2, SECTION 2, Item b. Continue listing the portions of work (subcontracting opportunities) you will subcontract. Also, based on the total value of the contract, identify the percentages of the contract you expect to award to Texas certified HUBs, and the percentage of the contract you expect to award to Vendors that are not a Texas certified HUB (i.e., Non-HUB).
Item #
Subcontracting Opportunity Description
HUBs
Non-HUBs
Percentage of the contract Percentage of the contract expected to be subcontracted expected to be subcontracted to HUBs with which you have to HUBs with which you have a continuous contract* in place a continuous contract* in place for five (5) years or less. for more than five (5) years.
Percentage of the contract expected to be subcontracted to non-HUBs .
Aggregate percentages of the contract expected to be subcontracted:
%
%
%
%
%
%
%
%
%
%
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t: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts.
Page 79 of 170
Attachment D (Rev. 02/12)
Enter your company’s name here:
Requisition #:
SECTION 3 SELF PERFORMING JUSTIFICATION (If you responded “No” to SECTION 2, Item a, you must complete this SECTION and continue to SECTION 4.)
Check the appropriate box (Yes or No) that indicates whether your response/proposal contains an explanation demonstrating how your company will fulfill the entire contract with its own resources. - Yes (If Yes, in the space provided below list the specific page(s)/section(s) of your proposal which explains how your company will perform the entire contract with its own equipment, supplies, materials and/or employees.) - No
(If No, in the space provided below explain how your company will perform the entire contract with its own equipment, supplies, materials and/or employees.)
SECTION 4 AFFIRMATION As evidenced by my signature below, I affirm that I am an authorized representative of the Respondent listed in SECTION 1, and that the information and supporting documentation submitted with the HSP is true and correct. Respondent understands and agrees that, if awarded any portion of the requisition: 1.
The Respondent will provide notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor for the awarded contract. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity they (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded.
2.
The Respondent must submit monthly compliance reports (Prime Contractor Progress Assessment Report – PAR) to the contracting agency, verifying its compliance with the HSP, including the use of and expenditures made to its subcontractors (HUBs and Non-HUBs). (The PAR is available at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/progressassessmentrpt.xls).
3.
The Respondent must seek approval from the contracting agency prior to making any modifications to its HSP, including the hiring of additional or different subcontractors and the termination of a subcontractor the Respondent identified in its HSP. If the HSP is modified without the contracting agency’s prior approval, Respondent may be subject to any and all enforcement remedies available under the contract or otherwise available by law, up to and including debarment from all state contracting.
4.
The Respondent must, upon request, allow the contracting agency to perform on-site reviews of the company’s headquarters and/or work-site where services are being performed and must provide documentation regarding staffing and other resources.
____________________________________
Signature
_________________________________
Printed Name
Page 80 of 170
___________________
Title
___________________
Date
Attachment D REMINDER: → If you responded “Yes” to SECTION 2, Items c or d, you must complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed in SECTION 2, Item b.
→ If you responded “No” SECTION 2, Items c and d, you must complete an “HSP Good Faith Effort - Method B (Attachment B)” for each of the subcontracting opportunities you listed in SECTION 2, Item b.
Page 81 of 170
Attachment D
HSP Good Faith Effort - Method A (Attachment A) Enter your company’s name here:
(Rev. 02/12)
Requisition #:
IMPORTANT: If you responded “Yes” to SECTION 2, Items c or d of the completed HSP form, you must submit a completed “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed in SECTION 2, Item b of the completed HSP form. You may photo-copy this page or download the form at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HUBSubcontractingPlanAttachment-A.doc SECTION A-1 SUBCONTRACTING OPPORTUNITY Enter the item number and description of the subcontracting opportunity you listed in SECTION 2, Item b, of the completed HSP form for which you are completing this attachment. Item #:
Description:
SECTION A-2 SUBCONTRACTOR SELECTION List the subcontractor(s) you selected to perform the subcontracting opportunity you listed above in SECTION A-1. Also identify whether they are a Texas Certified HUB and their VID number, the approximate dollar value of the work to be subcontracted, the expected percentage of work to be subcontracted, and indicate whether the company is a Texas certified HUB. Company Name
Texas Certified HUB
VID #
(Required if Texas Certified HUB)
Approximate Dollar Amount
Expected Percentage of Contract
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
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%
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- No
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- No
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- No
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- No
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- No
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- Yes
- No
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- Yes
- No
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%
REMINDER: As specified in SECTION 4 of the completed HSP form, if you (Respondent) are awarded any portion of the solicitation you are required to provide
notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity they (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded. Page 82 of 170
Attachment D
HSP Good Faith Effort - Method B (Attachment B) Enter your company’s name here:
(Rev. 02/12)
Requisition #:
IMPORTANT: If you responded “No” to SECTION 2, Items c and d of the completed HSP form, you must submit a completed “HSP Good Faith Effort-Method B (Attachment B)” for each of the subcontracting opportunities you listed in SECTION 2, Item b of the completed HSP form. You may photo-copy this page or download the form at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HUBSubcontractingPlanAttachment-B.doc
SECTION B-1 SUBCONTRACTING OPPORTUNITY Enter the item number and description of the subcontracting opportunity you listed in SECTION 2, Item b, of the completed HSP form for which you are completing this attachment. Item #:
Description:
SECTION B-2 MENTOR PROTÉGÉ PROGRAM If Respondent is participating as a Mentor in a State of Texas Mentor Protégé Program, submitting its Protégé (Protégé must be a State of Texas certified HUB) as a subcontractor to perform the subcontracting opportunity listed in SECTION B-1, constitutes a good faith effort to subcontract with a Texas certified HUB towards that specific portion of work. Check the appropriate box (Yes or No) that indicates whether you will be subcontracting the portion of work you listed in SECTION B-1 to your Protégé. - Yes (If Yes, to continue to SECTION B-4.) - No / Not Applicable (If No or Not Applicable, continue to SECTION B-3 and SECTION B-4.)
SECTION B-3 NOTIFICATION OF SUBCONTRACTING OPPORTUNITY When completing this section you MUST comply with items a, b, c and d, thereby demonstrating your Good Faith Effort of having notified Texas certified HUBs and minority or women trade organizations or development centers about the subcontracting opportunity you listed in SECTION B-1. Your notice should include the scope of work, information regarding the location to review plans and specifications, bonding and insurance requirements, required qualifications, and identify a contact person. When sending notice of your subcontracting opportunity, you are encouraged to use the attached HUB Subcontracting Opportunity Notice form, which is also available online at http://www.window.state.tx.us/procurement/prog/hub/hub-subcontracting-plan/. Retain supporting documentation (i.e., certified letter, fax, e-mail) demonstrating evidence of your good faith effort to notify the Texas certified HUBs and minority or women trade organizations or development centers. Also, be mindful that a working day is considered a normal business day of a state agency, not including weekends, federal or state holidays, or days the agency is declared closed by its executive officer. The initial day the subcontracting opportunity notice is sent/provided to the HUBs and to the minority or women trade organizations or development centers is considered to be “day zero” and does not count as one of the seven (7) working days. a. Provide written notification of the subcontracting opportunity you listed in SECTION B-1, to three (3) or more Texas certified HUBs. Unless the contracting agency
specified a different time period, you must allow the HUBs at least seven (7) working days to respond to the notice prior to your submitting your bid response to the contracting agency. When searching for Texas certified HUBs, ensure that you use the State of Texas’ Centralized Master Bidders List (CMBL) and Historically Underutilized Business (HUB) Search directory located at http://www.window.state.tx.us/procurement/cmbl/cmblhub.html. HUB Status code “A” signifies that the company is a Texas certified HUB.
b. List the three (3) Texas certified HUBs you notified regarding the subcontracting opportunity you listed in SECTION B-1. Include the company’s Vendor ID (VID)
number, the date you sent notice to that company, and indicate whether it was responsive or non-responsive to your subcontracting opportunity notice. Company Name
VID #
Date Notice Sent (mm/dd/yyyy)
Did the HUB Respond?
/
/
- Yes
- No
/
/
- Yes
- No
/
/
- Yes
- No
c. Provide written notification of the subcontracting opportunity you listed in SECTION B-1 to two (2) or more minority or women trade organizations or development
centers in Texas to assist in identifying potential HUBs by disseminating the subcontracting opportunity to their members/participants. Unless the contracting agency specified a different time period, you must provide your subcontracting opportunity notice to minority or women trade organizations or development centers at least seven (7) working days prior to submitting your bid response to the contracting agency. A list of trade organizations and development centers that have expressed an interest in receiving notices of subcontracting opportunities is available on the Statewide HUB Program’s webpage at http://www.window.state.tx.us/procurement/prog/hub/mwb-links-1/.
d. List two (2) minority or women trade organizations or development centers you notified regarding the subcontracting opportunity you listed in SECTION B-1.
Include the date when you sent notice to it and indicate if it accepted or rejected your notice. Minority/Women Trade Organizations or Development Centers
Date Notice Sent (mm/dd/yyyy) / / /
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/
Was the Notice Accepted? - Yes - No - Yes
- No
Attachment D
HSP Good Faith Effort - Method B (Attachment B) Cont. Enter your company’s name here:
Requisition #:
SECTION B-4 SUBCONTRACTOR SELECTION a. Enter the item number and description of the subcontracting opportunity for which you are completing this Attachment B continuation page. Item #:
Description:
b. List the subcontractor(s) you selected to perform the subcontracting opportunity you listed in SECTION B-1. Also identify whether they are a Texas Certified HUB and their VID number, the approximate dollar value of the work to be subcontracted, the expected percentage of work to be subcontracted, and indicate whether the company is a Texas certified HUB. Company Name
Texas Certified HUB
VID #
(Required if Texas Certified HUB)
Approximate Dollar Amount
Expected Percentage of Contract
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
c. If any of the subcontractors you have selected to perform the subcontracting opportunity you listed in SECTION B-1 is not a Texas certified HUB, provide written justification for your selection process (attach additional page if necessary):
REMINDER: As specified in SECTION 4 of the completed HSP form, if you (Respondent) are awarded any portion of the solicitation, you are required to provide
notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity it (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded. Page 84 of 170
HUB Subcontracting Opportunity Notification Form
In accordance with Texas Gov’t Code, Chapter 2161, each state agency that considers entering into a contract with an expected value of $100,000 or more shall, before the agency solicits bids, proposals, offers, or other applicable expressions of interest, determine whether subcontracting opportunities are probable under the contract. The state agency I have identified below in Section B has determined that subcontracting opportunities are probable under the requisition to which my company will be responding. 34 Texas Administrative Code, §20.14 requires all Respondents (prime contractors) bidding on the contract to provide notice of each of their subcontracting opportunities to at least three (3) Texas certified HUBs (who work within the respective industry applicable to the subcontracting opportunity), and allow the HUBs at least seven (7) working days to respond to the notice prior to the Respondent submitting its bid response to the contracting agency. In addition, the Respondent must provide notice of each of its subcontracting opportunities to two (2) or more minority or women trade organizations or development centers at least seven (7) working days prior to submitting its bid response to the contracting agency. We respectfully request that Vendors interested in bidding on the subcontracting opportunity identified in Section C reply no later than the date and time identified in Section C, Item 1. Submit your response to the point-of-contact referenced in Section A
Section A
PRIME CONTRACTOR’S INFORMATION
Company Name:
State of Texas VID #:
Point-of-Contact:
Phone #:
E-mail Address:
Fax #:
Section B
CONTRACTING STATE AGENCY AND REQUISITION INFORMATION
Agency Name: Point-of-Contact:
Phone #:
Requisition #:
Bid Open Date:
Section C
Potential Subcontractor’s Bid Response Due Date:
3.
SUBCONTRACTING OPPORTUNITY RESPONSE DUE DATE, DESCRIPTION, REQUIREMENTS AND RELATED INFORMATION If you would like for our company to consider your company’s bid for the subcontracting opportunity identified below in Item 2, we must receive your bid response no later than 5:00p.m. Central Time on:
1.
2.
(mm/dd/yyyy)
(Date) In accordance with 34 TAC §20.14, each notice of subcontracting opportunity shall be provided to at least three (3) Texas certified HUBs, and allow the HUBs at least seven (7) working days to respond to the notice prior to submitting our bid response to the contracting agency. In addition, we must provide the same notice to two (2) or more minority or women trade organizations or development centers at least seven (7) working days prior to submitting our bid response to the contracting agency. (A working day is considered a normal business day of a state agency, not including weekends, federal or state holidays, or days the agency is declared closed by its executive officer. The initial day the subcontracting opportunity notice is sent/provided to the HUBs and to the minority or women trade organizations or development centers is considered to be “day zero” and does not count as one of the seven (7) working days.)
Subcontracting Opportunity Scope of Work: Required Qualifications: - Not Applicable
4.
Bonding/Insurance Requirements: - Not Applicable
5.
Location to review plans/specifications: - Not Applicable
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ATTACHMENT E – MINIMUM QUALIFICATIONS CHECKLIST Company and Key Personnel Minimum Qualifications (reference Section II, 12.3.3.,TAB 2. MINIMUM QUALIFICATIONS)
Item
1.a.
1.b.
1.c.
1.d.
Company – Minimum Qualification Description
Organization & Location
Associated Website URL
Respondent’s company or sub-contracted company shall have five (5) years of experience in website design, development, and implementation. Respondent’s company or sub-contracted company shall have successfully implemented a minimum of two (2) public-facing websites in the United States, within the past three (3) years. URLs to those websites must be included. URLs to additional websites may also be included.
URL(1):
URL(2):
Respondent’s company or sub-contracted company shall have three (3) years of experience developing websites using the CMS solution proposed for TRS, which shall be one of the following: Microsoft SharePoint or Sitecore. Include URL for at least one website Respondent implemented using proposed CMS.
URL:
Respondent’s company or sub-contracted company shall have a minimum of two (2) successful Website implementations for government, public organizations, or associations. State the names and locations of the organizations as well as URLs to the sites.
URL(1):
URL(2):
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Location (page number(s)) in Respondent’s Offer where qualification is documented
1.e.
1.f.
1.g.
1.h.
Respondent’s company or sub-contracted company shall have implemented at least one (1) Web site for organizations with a membership or customer base size of two hundred fifty thousand (250,000) or greater. Include the organization name, location and URL for the site.
URL:
Respondent’s company or sub-contracted company shall have developed a minimum of two (2) Websites that have over 14,000 visits per day with over 200,000 page views per day. Include the organization name, location and URLs for the sites.
URL(1):
URL(2):
Respondent’s company or sub-contracted company shall have developed a minimum of two (2) responsive website designs that are viewable via mobile devices (e.g. smart phones, tablets, etc.). Respondent shall provide two (2) examples of this work with the names of the organizations and links to the sites. Include the URLs of the websites implemented with responsive designs.
URL(1):
URL(2):
Respondent’s company or sub-contracted company shall have five (5) years of experience designing accessible websites and at least one (1) Website that meets Web Content Accessibility Guidelines (WCAG) 2.0 AA or Section 508 guidelines. Include the name of the organization and the URL for the site.
URL:
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Item
2.a.
Location (page number(s)) in Respondent’s Offer where qualifications are documented
Key Personnel – Minimum Qualification Description
Respondent’s Project Manager, Design Lead, User Experience Lead, Technical Lead, and Quality Assurance Lead shall each have four (4) years of experience in website design and development. Respondent can have the same individual serve multiple roles; however, the Project Manager and Quality Assurance Lead must be unique individuals that cannot fill other roles on the Project and the Project Manager must be an employee of the Respondent.
THIS PAGE SHALL BE RETURNED WITH OFFER OR OFFER MAY BE DISQUALIFIED
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ATTACHMENT F - CONFLICT OF INTEREST DISCLOSURES
CONFLICT OF INTEREST DISCLOSURE STATEMENT- COMPANY An individual authorized to bind the company contractually shall fill out and sign the below form. The Respondent shall disclose any potential or actual conflict of interest that may impair the objectivity of the responding company in performing the services described in the Request for Offer (RFO). If the independence or objectivity of a company may be viewed as impaired either in fact or appearance, the details of the impairment shall be disclosed below. The nature of the disclosure will depend upon the impairment. This shall include the disclosure of any relationship(s) with any person or entity included on the attached List of TRS Persons for Ethics and Conflicts Purposes. Describe below the facts and circumstances that could create any potential or actual conflict of interest that could preclude the company from objectively performing the services as described in the RFO. Specify the direct or indirect pecuniary interest or the direct, indirect, personal, private, commercial, or business relationship that could create a conflict. Name all relevant parties.
By signing this form, the Respondent attests that: We have disclosed any information of which we are aware that could be viewed as an impairment to our independence in providing the service as described in the RFO. We will report any possible future impairment to our independence to the TRS Purchasing and Contracts Manager and the identified TRS Contract Sponsor if and when it occurs. Respondent Name: Authorized Signature: Printed Name:
Date: Title:
For TRS Use Only: Reviewed by: TRS Contract Sponsor
Date
THIS PAGE SHALL BE RETURNED WITH OFFER OR OFFER MAY BE DISQUALIFIED Page 89 of 170
ATTACHMENT F - CONFLICT OF INTEREST DISCLOSURES
CONFLICT OF INTEREST DISCLOSURE STATEMENT- STAFF Each individual who will perform a significant role on behalf of the Contractor shall complete and submit this form prior to providing the contracted services. Each individual shall disclose any potential or actual conflict of interest that may impair the objectivity of said personnel in performing the services described in the Request for Offer (RFO). If the independence or objectivity of a company may be viewed as impaired either in fact or appearance, the details of the impairment shall be disclosed below. The nature of the disclosure will depend upon the impairment. This shall include the disclosure of any personal or business relationship(s) with any person or entity included on the attached List of TRS Persons for Ethics and Conflicts Purposes. Describe below the facts and circumstances that could create any potential or actual conflict of interest that could preclude you from objectively performing the services as described in the RFO. Specify the direct or indirect pecuniary interest or the direct, indirect, personal, private, commercial, or business relationship that could create a conflict. Name all relevant parties.
By signing this form, the individual listed below attests that: I have disclosed any information of which I am aware that could be viewed as an impairment to my independence in providing the service as described in the RFO. I will report any possible future impairment to my independence to the TRS Purchasing and Contracts Manager and the identified TRS Contract Sponsor if and when it occurs. Respondent Name: Authorized Signature: Printed Name:
Date: Title:
For TRS Use Only: Reviewed by: TRS Contract Sponsor
Date
EACH PROPOSED KEY TEAM MEMBER SHALL COMPLETE, SIGN, AND RETURN THIS FORM WITH OFFER OR OFFER MAY BE DISQUALIFIED
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List of TRS Persons for Ethics and Conflicts Purposes RFO # 1029146A-BB October 2014
Board of Trustees (Terms Expire August 31, 20xx) R. David Kelly, Chairman (2017)
Nanette Sissney, Vice Chair (2015)
Todd Barth (2015)
T. Karen Charleston (2017)
Joe Colonnetta (2019)
David Corpus (2019)
Christopher Moss (2015)
Anita Smith Palmer (2017)
Dolores Ramirez (2019)
Charlotte Clifton (2013)*
Eric C. McDonald (2013)*
*Recently exited trustees.
Executive, Legal and Selected Staff Albright, Jerry
de Onís, Carolina
Green, Don
Merrill, Rebecca
Welch, Ken
Ballard, Don
Dobrich, John
Guthrie, Brian
Miller, T.A.
Woods Wiley, Marianne
Barrett, Amy
Dunn, Robert
Harris, Britt
Parker, Kelly
White, Susan
Black, Brenda
Fakhreddine, Youssef
Howard, Wm. Clarke
Pearson, Barbie
Bray, Janet
Gaona, Darryl
Jones, Betsey
Pierce, Jamie
Cook, David
Gold, Dennis
Junell, Dan
Price, Rhonda
Cutler, Chris
Goldman, Howard
Masci, Jay
Sitz, Garry
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ATTACHMENT G – CONFIDENTIALITY POLICY
Confidentiality Policy Teacher Retirement System of Texas Interpretation Contact: Deputy Director
Purpose
References
•
To protect the confidentiality of information from unauthorized disclosure or access as required by law or by TRS policies and procedures.
•
To notify employees and third parties, including contract workers, of their responsibility to classify and secure TRS information.
45 C.F.R. § 164.502 (a) [Uses and disclosures of protected health information: general rules] and § 164.530 [Administrative requirements] Americans with Disabilities Act of 1990, 42 U.S.C.A. §§ 1210112213 Communicable Disease Prevention and Control Act, TEX. HEALTH & SAFETY CODE, ch. 81 Family and Medical Leave Act of 1993, 29 U.S.C.A. §§ 26012654 Human Immunodeficiency Viruses Act, TEX. HEALTH & SAFETY CODE, ch. 85 Privacy Protection Act of 1980, 42 U.S.C.A. §§ 2000aa to 2000aa-12 Rehabilitation Act of 1973, 29 U.S.C.A. §§ 701 to 796l Texas Administrative Code (TAC 202.21-Management and Staff Responsibilities) Texas Commission on Human Rights Act, TEX. LAB. CODE, ch. 21 TEX. GOV'T CODE § 411.084 [Use of Criminal History Record Information] Texas Public Information Act, TEX. GOV'T CODE, ch. 552 (including TEX. GOV'T CODE § 552.0038 [Public Retirement Systems Subject to Law], § 552.0225 [Right of Access to Investment Information], and §552.143 [Confidentiality of Certain Investment Information]) TEX. GOV'T CODE § 661.202 [Entitlement to Sick Leave; General Provisions and Procedures] TEX. GOV'T CODE § 825.507 [Record Confidentiality] TEX. INS. CODE § 1575.456 [Confidentiality of Records (TRS-Care program]; TEX. INS. CODE § 1579.005 [Confidentiality (TRS-ActiveCare program)]
Applies To
All TRS employees Note:
TRS agents, independent contractors, contract workers assigned to TRS, and other third parties are expected to adhere to this policy while on TRS premises, while conducting TRS business, or while otherwise holding, collecting, assembling, maintaining, or having access to TRS information.
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Definitions
Classification—Arrangement of information into categories according to a set of established criteria. Confidential Information—For purposes of this policy and related procedures, information maintained by or for TRS that must or may be withheld from public disclosure under a law, either a constitutional provision, statute or judicial decision. Examples of “confidential information” under this policy and related procedures may include PHI, participant information maintained by TRS, information relating to the Human Immunodeficiency Virus (HIV) infection or related illness of an individual, personally identifiable information (PII), participant record information, pre-investment and post- investment diligence information, sensitive information, vital or critical information, and non- public information. Legally, information that is “confidential by law” is information that TRS is prohibited from releasing and its disclosure is subject to criminal penalties. Other law may permit TRS to withhold certain information at TRS' discretion but does not make disclosure subject to criminal penalties. In accordance with TRS policies and procedures and, as appropriate, in consultation with the Executive Council or a director, information owners may exercise discretion in releasing information pursuant to a permissive law. But in implementing this policy and related procedures, TRS employees and contractors must handle information subject to permissive release as if it were confidential. In addition, this policy and related procedures treat the other information categories covered by them as "confidential" to facilitate compliance with the policy and implementation of the procedures by information owners, employees, and contractors. Contract Sponsor—The sponsor or department that requires the product or services. For Legal Services reviewed contracts, the contract sponsor will be the chief officer for the area requesting the goods or services. For all other contracts, the contract sponsor will be the person delegated authority to initiate the purchase and contract process within his or her respective area. Critical Information—Information determined to be essential to TRS’ mission and functions, the loss of which would have a significant negative impact. HIPAA—The Health Insurance Portability and Accountability Act of 1996 as amended by the Health Information Technology for Economic and Clinical Health (HITECH) Act of 2009. Examples of HIPAA information may include protected health information (PHI), personally identifiable information (PII), and individually identifiable health information (IIHI). Individually Identifiable Health Information (IIHI)—Health information that is created or received by a health care provider, health plan, or health care clearinghouse and relates to the past, present, or future physical or mental health or condition of an individual; the provision of health care; or the past, present, or future payment for the provision of health care to an individual; and that identifies the individual, or with respect to which there is reasonable basis to believe the information can be used to identify the individual. Information Asset—Information that has value to the organization, regardless of its physical form or characteristics. Information Owner—A person with statutory or operational authority for specified information (e.g., supporting a specific business function) and responsibility for establishing the controls for its generation, collection, processing, access, dissemination, and disposal.
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Information Resources—The information maintained by or for TRS and the procedures, equipment, software, and data that are designed, built, operated, and maintained to collect, record, process, store, retrieve, display, and transmit information. Participant—A TRS member, former member, retiree, annuitant, beneficiary, or alternate payee, program participant, or person eligible for TRS benefits. Personally Identifiable Information (PII)—Information that can be used to individually identify a person. Conventional PII includes the following: first name or first initial and last name in combination with one or more of the following data elements, but not limited to social security number, date and place of birth, mother’s maiden name, driver’s license number, state identification card number, passport number, financial account numbers and required codes or passwords. PII also includes information other than the conventional personal identifiers listed above that TRS determines could be used to identify an individual, including data derived from reccords of individual TRS participants. Protected Health Information (PHI)—Individually-identifiable health information (IIHI) that is transmitted or maintained by TRS in any form or medium. Public Information—Information that is intended or required for public release as described in the Texas Public Information Act. Records of Individual TRS Participants or Information About the Records of Individual Participants (Participant Record Information)—Records of individual TRS members, annuitants, retirees, beneficiaries, alternate payees, program participants, or persons eligible for benefits from TRS that are in the custody of the system or in the custody of an administering firm, a carrier, or another governmental agency, including the comptroller, acting in cooperation with or on behalf of TRS or information about such a record. Security Incident—An event resulting in accidental or deliberate unauthorized access, loss, disclosure, modification, or destruction of information resources. Sensitive Information—Information maintained by TRS that requires special precautions to protect it from unauthorized modification or deletion. Sensitive information may be either public or confidential. It is information that requires a higher than normal assurance of accuracy and completeness. Third Party—An entity or associate that conducts business on behalf of or in cooperation with TRS or provides services to TRS. Unauthorized Disclosure or Access—Includes unauthorized disclosure, release, access, transfer, dissemination, modification, misuse, destruction, or otherwise communicating all or part of any confidential information orally, in writing, or by electronic or any other means to a person or entity, or using confidential information in a manner that is not:
• •
authorized by law, TRS rule, or TRS policy and procedures or
authorized in writing by an individual or entity with authority to give permission for the release of or access to the confidential information. Vital Information—Information that is necessary to resume or continue TRS’ business, recreate its legal and financial status, or preserves the rights of TRS, its employees, and its participants.
Policy
Each TRS information asset is classified, managed, and protected based on its confidentiality.
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TRS complies with all laws, rules, and regulations that protect the confidentiality of information maintained by TRS and does not disclose confidential information to unauthorized parties. Additionally, TRS establishes policies and procedures to protect information designated as confidential for TRS business purposes but not specifically made confidential by law, rule, or regulation. TRS complies with the procedures and disclosure requirements of the Texas Public Information Act when applicable to such information designated as confidential for TRS business purposes. Employees and contract workers: •
• • •
Have read the Confidentiality Policy, Information Security Policy and Manual, and the Confidential Information Procedures and Standards and are knowledgeable of the requirements to classify and secure TRS confidential information. Are given authorized access to confidential information only when access is necessary for them to perform their assigned duties or to conduct TRS business. Protect confidential information from unauthorized disclosure and do not disclose or provide access to confidential information except as permitted by law or TRS policies and procedures. Only disclose the minimum amount of information necessary to accomplish the purpose of the disclosure.
TRS ensures that agents, independent contractors, vendors, and other third parties have notice of any applicable confidentiality requirements and agree to protect confidential information from unauthorized disclosure before access is granted to the confidential information as required by law or TRS policies and procedures.
Classifying Information
Information assets are classified as high risk, medium risk, or low risk as defined in the Information Security Manual, Section 6.3 (Classifying TRS Information). Information classified as high risk is designated “confidential” for TRS business purposes but may not be specifically confidential by law, rule, or regulation. High risk information requires a higher level of protection than information classified as medium or low risk. Information designated by TRS as “confidential” includes the following information categories: confidential by law, HIPAA, sensitive, and vital or critical information. On an annual basis, information owners recertify information classified as high risk.
Monitoring Responsibility
Directors or Executive Council members designate owners for their information resources. The information owners are responsible for identifying and classifying information, approving or establishing access requirements, assigning custody, and specifying and communicating security controls for information assets as defined in the Information Security Manual, Section 6.0 (Security Planning and Administration). Information owners provide guidance to division and department employees and contract workers for adherence to this policy. Information owners and the Information Security Officer are responsible for monitoring compliance with classifying and protecting confidential information.
Reporting Noncompliance & Security Incidents
All employees must immediately report noncompliance with the Confidentiality Policy to their designated information owners or manager and the Information Security Officer. Contractors must report noncompliance with this policy to their contract sponsor.
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If an unauthorized disclosure or access of HIPAA or confidential information is suspected, immediately contact the following: • •
Privacy Officer in Legal Services (HIPAA information) Information Security Officer (Confidential information—non-HIPAA)
TRS investigates all allegations of unauthorized disclosure or access and does not retaliate against anyone who reports noncompliance with this policy or reports a security incident. Refer to the Information Security Manual, Section 4.0 (Reporting Information Resources Security Incidents) for further guidance.
Training
Confidentiality and HIPAA training is provided to new employees within 30 days of employment and annually thereafter for current employees. Departmental specialized HIPAA training is provided annually and documentation is retained and reported to Human Resources. Contract sponsors will ensure contractors are provided individual training on confidentiality and HIPAA according to the Code of Ethics for Contractors. Information related to the protection of confidential information is routinely communicated and readily available to TRS agents, employees, and contractors.
Corrective Action
An employee who makes an unauthorized disclosure of confidential information is subject to corrective action, which may include termination without warning, as provided in the Positive Performance Management Policy. An agent, contract worker, independent contractor, vendor, or other third party who makes an unauthorized disclosure of confidential information is subject to any sanction or penalty available by contract or law. If required by law, certain illegal activities will be reported to the proper law enforcement agencies.
Related Policies & Procedures
• • • • • • • • • • • • • • •
Americans with Disabilities Act (ADA) Employment Practices Policy Code of Ethics for Contractors Confidential Information Procedures & Standards Employee Ethics Policy Family and Medical Leave Policy Fraud, Waste, & Abuse Policy HIV/AIDS in the Work Place Policy Information Security Policy & Manual Involuntary Termination of Employment Policy Other Leave Policy Positive Performance Management Policy Records Management Program and Retention Policy Sick Leave Policy Social Media Policy, Guidelines, and TRS Terms of Service and Use Policy Staff External Communications Policy
•
Trading Policy for Employees and Certain Contractors
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Administrative Policy Reviewer:
Human Resources & Legal Services
Normal Review Cycle: Approved By:
Five Years Brian Guthrie
First Issued:
June 5, 2003
Last Revised:
October 2008
Next Review Due:
April 2017
Date:
April 27, 2012
This policy does not constitute a contract nor a guarantee of employment and may be modified, superseded, or eliminated by TRS without notice to the employee. This policy supersedes all previous policies on this subject.
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ATTACHMENT H – CODE OF ETHICS FOR CONTRACTORS
Code of Ethics for Contractors Adopted: September 9, 1994 Revised: April 20, 2012
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TABLE OF CONTENTS I. Conflicts of Interest....................................................................................................................1 A. Conflicts of Interest Defined ................................................................................................1 B. Determination of a Potential Conflict of Interest ....................................................................... 3 C. Disclosure..................................................................................................................................... 3 D. Cure, Prevention, and Mitigation ............................................................................................... 3 E. Waiver .......................................................................................................................................... 4 II. Standards of Conduct .................................................................................................................4 A. Professional Standards and Laws ............................................................................................... 5 B. Benefits ........................................................................................................................................ 5 C. Individual Advisor ....................................................................................................................... 5 D. Personal Business Relationship .................................................................................................. 5 E. Employment of Former Trustee or Employee ........................................................................... 5 F. Confidential Information ............................................................................................................. 6 G. Use of Information for Advantage or Gain ................................................................................ 6 H. Bids............................................................................................................................................... 6 I. Foreseeable Conflicts of Interest................................................................................................. 6 J. Controls ........................................................................................................................................ 6 K. Signed Acknowledgement ...................................................................................................7 L. Reporting ..............................................................................................................................7 M. Covered Contractor Ethics ...................................................................................................7 III. Periodic Disclosures...................................................................................................................7 A. Annual Compliance Statement .............................................................................................7 B. Disclosure Statement............................................................................................................7 C. Expenditure Report ..............................................................................................................8 IV. Compliance and Enforcement ....................................................................................................8 A. Enforcement .........................................................................................................................8 B. Termination ..........................................................................................................................8 C. Fiduciary Duties ...................................................................................................................8 D. Report Violations .................................................................................................................8 E. Internal Reporting and Enforcement ....................................................................................9 Appendix A - Definitions...............................................................................................................10
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Revised 3/11/2013
The Teacher Retirement System of Texas (“TRS”) is charged by the Texas Constitution and state law with the administration and investment of pension assets held in trust for the exclusive benefit of active or retired TRS members and their beneficiaries; assets may not be diverted for other purposes. The TRS Board of Trustees is the trustee of all plan assets, responsible for the general administration and operation of TRS and authorized by law to adopt rules for TRS administration and Board business. The Board has similar responsibilities for the health benefits programs under the Texas Public School Retired Employees Group Benefits Act, the Texas School Employees Uniform Group Health Coverage Act, and other trusts or programs authorized by law to be administered by TRS. The Code of Ethics for Contractors ("Code") sets forth the ethical responsibilities and requirements of Contractors, as that term is defined in the Code, in performing services for TRS. I. Conflicts of Interest A.
Conflicts of Interest Defined. (1)
Conflict of Interest for Contractors (excluding Brokers). A conflict of interest exists for a Contractor (excluding a Broker) when the Contractor has a personal, commercial (including private commercial), or business relationship or interest, unrelated to the services that the Contractor performs for TRS, that could reasonably be expected to diminish the Contractor's independence of judgment in the performance of the Contractor's responsibilities to TRS. For example, a person's independence of judgment reasonably could be diminished when he or she is in a position to take action or not take action with respect to TRS or its business and a reasonable person could expect that such act or failure to act on behalf of TRS is influenced by considerations of gain or benefit to the Contractor, a Trustee, an Employee or a third party, rather than motivated by the interests of TRS, its members, and beneficiaries. A conflict of interest shall not be deemed to exist solely because a Contractor is or has a relative who is a member, retiree, annuitant or beneficiary of TRS, provided the relative is not also an Employee. For example, a Contractor may not participate in or advise or consult on a specific matter before TRS that involves a business, contract, property or investment in which the Contractor has a pecuniary interest if it is reasonably foreseeable that action or inaction by or on behalf of TRS on that matter would be likely to, directly or indirectly, confer a benefit on the Contractor by reason of the Contractor’s interest in such business, contract, property or investment. The foregoing prohibition does not apply if • •
(2)
The benefit is merely incidental to the Contractor’s membership in a large class sharing a common class interest, such as the class of TRS members. The benefit is merely an increase in fees or the awarding of another contract to the Contractor for other business with TRS.
Additional Conflicts of Interest for Brokers, Financial Advisors and Financial Services Providers. A conflict of interest exists for a Broker, Financial Advisor or a Financial Services Provider when the Broker, Financial Advisor or Financial Services Provider has one of the following: •
A direct or indirect pecuniary interest in any party to a transaction with TRS and the transaction is connected with any financial advice or service the Broker, such Financial Page 100 of 170
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•
Advisor, or Financial Services Provider provides to TRS or to a Trustee concerning TRS matters. A relationship (without regard to whether the relationship is direct, indirect, personal, private, commercial, or business) with one of the following: • Any party to a transaction with TRS, other than a relationship necessary to provide the Broker, Financial Advisor or such Financial Services Provider services to TRS; • An Employee; or • A Trustee if a reasonable person could expect the relationship to diminish the Broker, Financial Advisor, or Financial Services Provider independence of judgment in the performance of the Broker, Financial Advisor or Financial Services Provider responsibilities to TRS.
Notwithstanding the definition of a conflict in this subsection I.A.2, if a TRS Financial Advisor is asked to advise TRS in a transaction and the Financial Advisor or the Financial Advisor’s affiliate holds or intends to hold or acquire a direct or indirect pecuniary interest in a limited partnership (or similar vehicle, including a co-investment or alternate or parallel investment vehicle) in which TRS is considering investing, the Financial Advisor will not be deemed, in future or past applications of this subsection, to have a disqualifying conflict of interest under this Code solely because of that pecuniary interest. The Financial Advisor must disclose such a pecuniary interest in writing to TRS as soon as practicable, but to the extent possible before performing any services for TRS related to the particular transaction. The General Counsel may review any such disclosures to analyze whether the Financial Advisor’s exercise of judgment on behalf of TRS in performing advisory or consulting services is, or is likely to be, affected by the Financial Advisor’s interest under the circumstances. The General Counsel may consider whether the disclosed interest aligns the Financial Advisor’s interests with TRS’ interest (or is at least not harmful or opposed to TRS’ interests) in the transaction. If the General Counsel determines that no conflict of interest exists based on the Financial Advisor’s disclosures, then, to the extent applicable, the Financial Advisor shall further disclose the interest in any written advice, prudence letter, or recommendation provided to TRS for the transaction. B.
Determination of a Potential Conflict of Interest. If a Contractor, Trustee, or Employee (to the extent a Trustee or an Employee is or reasonably should be aware of the circumstances) is uncertain whether a Contractor has or would have a conflict of interest under a particular set of circumstances then existing or reasonably anticipated to occur, the Contractor, Trustee, or Employee should promptly inform the General Counsel, who shall determine whether a conflict of interest exists under the circumstances presented. If the General Counsel determines that a conflict does not now exist but would exist upon the occurrence of the anticipated circumstances and they later do occur, the Contractor must file a disclosure statement on the occurrence of such events.
C.
Disclosure. Contractors must promptly disclose conflicts in writing to the General Counsel by submitting a completed Conflict of Interest Disclosure Statement. A Contractor who files a Conflict of Interest Disclosure Statement must refrain from giving advice or making decisions about any matters affected by the conflict of interest until the Contractor cures the conflict under Section I.D or obtains a waiver under Section I.E. The General Counsel shall send a copy of all Conflict of Interest Disclosure Statements received to the Ethics Committee of the Board. If a person or entity with a duty to disclose conflicts reasonably believes that disclosure to the General Counsel would be ineffective, the person or entity shall disclose the conflict to the Ethics Committee of the Board by submitting a Conflict of Interest Disclosure Statement to the Chair of such committee, addressed to: Page 101 of 170
D.
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Chair of the Ethics Committee of the Board c/o Executive Director of TRS 1000 Red River Street Austin, Texas 78701-2698 Whether disclosure is made to the General Counsel or to the Ethics Committee of the Board, a Contractor shall provide a copy of the Conflict of Interest Disclosure Statement to the Employee assigned to monitor or manage the performance of the Contractor. Brokers, Financial Advisors and Financial Services Providers must additionally file a Disclosure Statement for Brokers, Financial Advisors and Financial Services Providers as provided in Section III.B. This Disclosure Statement for Brokers, Financial Advisors and Financial Services Providers is not the same form as the Conflict of Interest Disclosure Statement referenced above. Cure, Prevention, and Mitigation. A Contractor with a conflict of interest must disclose that conflict and cure (eliminate) it. A Contractor who cannot or does not want to eliminate the conflict of interest must terminate his or its relationship with TRS as promptly as responsibly and legally possible, or seek a waiver of the conflict under Section I.E. Alternatively, if a Contractor or a Contractor's employee may prudently refrain or withdraw from taking action on a particular TRS matter in which a conflict or potential conflict exists, he or it may cure the conflict or prevent or mitigate the potential conflict in that manner provided that • • •
The person, persons, or entity may be and is or are effectively separated from influencing the action taken. The action may properly and prudently be taken by others without undue risk to the interests of TRS. The nature of the conflict is not such that the person, persons, or entity must regularly and consistently withdraw from decisions that are normally his, their, or its responsibility with respect to the services provided to TRS.
The General Counsel shall determine whether or not the Contractor’s proposed cure of an existing conflict or a preventive or mitigating measure for a potential conflict is appropriate and sufficient under this Section. The General Counsel shall inform the Executive Director and the Chief Audit Executive of any such determination. Waiver. The Chief Investment Officer or Executive Director may determine that a Broker, or Financial Services Provider does not need to take further actions to cure a conflict provided the disclosures by the Broker or Financial Services Provider are deemed sufficient under the circumstances to inform TRS of the nature and extent of any bias, and to form a judgment about the credibility or value of the analysis, research, recommendations or other services provided by the Broker or such Financial Services Provider. The Chief Investment Officer or Executive Director shall notify the Chief Audit Executive and the General Counsel of the relevant facts and determination. In such an event, the Broker or Financial Services Provider may continue to provide analysis or research or recommendations and perform services without taking further action to cure the disclosed conflict of interest. For all other conflicts where a Contractor seeks a waiver, the Board, after consultation with the General Counsel, may expressly waive a conflict. The Board will decide whether to waive the prohibition against involvement in any matter affected by a disclosed conflict of interest at a meeting held in compliance with the Texas laws governing open meetings of the Board. To assist the Board in deciding whether to grant waivers, the Board may develop criteria Page 102 of 170
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for determining the kinds of relationships or interests that do not constitute material conflicts of interest. Any waiver granted by the Board, including the reasons supporting the waiver, must be included in the minutes of the meeting. Records of all waivers granted, including reasons supporting the Board’s decision in each case, will be maintained by the Office of the General Counsel. II. Standards of Conduct Professional Standards and Laws. Contractors must comply with all applicable professional standards and laws, including, without limitation, the following: • • •
• • • •
Section 36.02 of the Texas Penal Code, which prohibits bribery. Section 36.09 of the Texas Penal Code, which prohibits the offering or conferring of benefits to public servants. Section 825.211 of the Texas Government Code, which prohibits applicable Contractors and certain relatives from participating in or being the beneficiary of, directly or indirectly, a loan, commitment to lend, a guarantee or endorsement to lend, or an investment by TRS or a contract to advise TRS or manage property or investments for TRS. Section 825.212 of the Texas Government Code. Chapter 2263 of the Texas Government Code. All applicable securities laws. Any applicable requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act and accompanying regulations as published. These laws mandate many of the requirements found in this Code.
B.
Benefits. Contractors must avoid offering, conferring, soliciting, or accepting any benefit to or from Trustees, Employees, or Covered Contractors, except as otherwise allowed in Trustee and Employee ethics policies, incorporated herein by reference and available at http://www.trs.state.tx.us/. For example, a Contractor cannot provide a special discount on services to a TRS Trustee or Employee if the discount is based on the Contractor's relationship with TRS.
C.
Individual Advisor. A Contractor may not be a representative of or be hired by an individual Trustee if, in either case, the Contractor's role with respect to the Trustee is to provide advice that could reasonably be expected to form the basis for a significant TRS decision made by the Trustee.
D.
Personal Business Relationship. Contractors may not have a personal business relationship with a Trustee or Employee unless the Executive Director consents to the continuation of TRS' relationship with the Contractor after full disclosure. A personal business relationship exists when a Contractor and a Trustee or Employee operate a business together or co-invest in a business, other than through publicly traded securities. If a personal business relationship exists, a Contractor must promptly disclose the personal business relationship in writing to the Executive Director with a copy to the General Counsel. The Executive Director, after consultation with the General Counsel, will then determine whether to approve the continuation of TRS' relationship with the Contractor while the Trustee or Employee continues in his or her respective role for TRS. Alternatively, the Executive Director may require the Contractor, Trustee and/or Employee to be screened from TRS matters in which the personal business relationship may reasonably be expected to diminish the Contractor's independence of judgment in the performance of duties for TRS.
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Employment of Former Trustee or Employee. Contractors may not employ a former Trustee or a former Executive Director for two years after termination of such former Trustee's TRS board service or such Executive Director's Employee relationship with TRS unless the former Trustee or Executive Director will not provide services to TRS or work on or have any involvement in TRS-related business of the Contractor. Further, Contractors may not employ any former Trustee or Employee, including the former Executive Director, at any time if the person's services to TRS, work, and involvement in TRS-related business of the Contractor would violate Government Code § 572.054(b) of the Texas "Revolving Door" statute. The prohibition on former Employees in the preceding sentence applies only to those former Employees who were compensated, as of the last date of TRS employment, at or above the minimum amount prescribed by the Texas General Appropriations Act for salary group A17, of the position classification salary schedule. The amount prescribed for fiscal year 2011 is $35,651. To the extent that it does not violate statutory law, the Executive Director can waive the application of this prohibition in a specific situation. To the extent that it does not violate statutory law or that it would be in the best interest of TRS, the Executive Director can waive the application of this policy provision in a specific situation.
F.
Confidential Information. A Contractor may not make unauthorized use or disclosure of confidential or sensitive information acquired as a result of the relationship with TRS. A Contractor receiving or having access to sensitive or confidential TRS information must use its best efforts to protect such TRS information and may use such information only for performing the services for which the Contractor is engaged and for legitimate TRS business purposes in accordance with the engagement agreement.
G.
Use of Information for Advantage or Gain. A Contractor may not use information derived from a relationship with TRS in a manner that might reasonably be expected to affect the value of any investment or contemplated investment if such use would provide advantage or gain to the Contractor or any third party.
H.
Bids. A Contractor may not be awarded a contract that is funded from the general revenue fund if (1) TRS paid the Contractor to participate in preparing the specifications for, or request for proposals related to, the contract or (2) the Contractor assisted TRS in the selection process to award the contract. For example, an actuary may advise TRS to obtain actuarial services for an issue and may serve as the actuary to provide the services to TRS under its existing contract, but the actuary may not participate in developing the specifications on which the contract is to be based. If the contract is not funded using money appropriated from the general revenue fund, TRS may still take these factors into consideration when awarding the contract.
I.
Foreseeable Conflicts of Interest. Contractors may not take action personally or on behalf of TRS that would reasonably be likely to result in a foreseeable conflict of interest. If a Contractor believes that taking a particular action would be in the best interest of TRS but such action would foreseeably result in a conflict of interest for the Contractor, the Contractor must proceed under the conflict of interest provisions of Section I.
J.
Controls. Contractors must observe the accounting and operating controls established by law and TRS policies, including restrictions and prohibitions on the use of TRS property for non-TRS purposes, including personal purposes.
K.
Signed Acknowledgement. On the commencement of business with TRS (including but not limited to entering into a contract with TRS or being named as a Broker to the TRS Approved Broker List) and at any time this Code is revised by TRS, each Contractor must sign, date, and return to TRS a copy of this Code.
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L.
Reporting. Contractors shall complete all reporting requirements in accordance with TRS prescribed systems or processes, including any electronic reporting system implemented by TRS.
M.
Covered Contractor Ethics. Any Covered Contractor is subject to the Employee ethics policy, incorporated herein by reference and available at http://www.trs.state.tx.us/. III. Periodic Disclosures
A.
Annual Compliance Statement. On the commencement of business with TRS (including but not limited to entering into a contract with TRS or being named as a Broker to the TRS Approved Broker List) and at least once every twelve-month period, each Contractor must read and review any applicable policies and sign and date a Contractor Annual Ethics Compliance Statement and any other forms as required by TRS.
B.
Disclosure Statement. In addition to the Annual Compliance Statement filed pursuant to the paragraph immediately above, all Brokers, Financial Advisors, and Financial Services Providers shall also file annually a Disclosure Statement for Brokers, Financial Advisors, and Financial Services Providers with the General Counsel and the State Auditor’s Office. Also, all Brokers, Financial Advisors, and Financial Services Providers must promptly file a new or amended statement with the General Counsel and the State Auditor’s Office when there is new information to report.
C.
In filing this statement, the Broker, Financial Advisor, or Financial Services Provider will disclose in writing the following: (1)
Any relationship (without regard to whether the relationship is direct, indirect, personal, private, commercial, or business) the Broker, Financial Advisor or Financial Services Provider has with any party to a transaction with TRS, other than a relationship necessary to the advice or services that the Broker, Financial Advisor or Financial Services Provider performs for TRS, if a reasonable person could expect the relationship to diminish the Broker, Financial Advisor or Financial Services Provider independence of judgment in the performance of the Broker, Financial Advisor or Financial Services Provider responsibilities to TRS; and
(2)
Any direct or indirect pecuniary interests in any party to a transaction with TRS if the transaction is connected with any financial advice or service the Broker, Financial Advisor, or Financial Services Provider provides to TRS or to a Trustee concerning TRS matters.
If no relationship or pecuniary interest described in (1) or (2) immediately above existed during the disclosure period, then the Broker, Financial Advisor or Financial Services Provider must affirmatively state that fact. The Disclosure Statement for Brokers, Financial Advisors, and Financial Services Providers must be filed not later than April 15 and will cover the previous calendar year (the reporting period). Expenditure Report. Each Contractor must file annually an expenditure report on the prescribed TRS form, including itemized, reasonably detailed lists of expenditures of more than $50 per day made by or on behalf of the Contractor with respect to or for the benefit of each Trustee or Employee. Each Contractor shall comply with TRS rules governing the filing of and requirements for the expenditure reporting form promulgated by TRS.
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IV. Compliance and Enforcement A.
Enforcement. The Board will enforce this Code through the Executive Director who is responsible for its implementation with respect to Contractors. The Executive Director will inform the Board of any significant enforcement action taken by TRS concerning a violation of this Code by a Contractor. The Executive Director may approve a system or process through which Contractors may electronically submit to TRS the forms, disclosures, and statements required by this Code. Any such system must, to the Executive Director’s satisfaction, require Contractors to submit all information required by this Code with sufficient guarantees of accuracy and authenticity. Implementation of any such system in no way alters or waives any requirement of filing any form, disclosure, or other information with any governmental body other than TRS.
B.
Termination. The requirements of this Code applicable to Contractors will constitute a part of the contract or agreement with these parties. Violations of this Code by any Contractor are grounds for terminating the contract or relationship. Any Contractor whose contract or business relationship with TRS is terminated by TRS because of a violation of this Code may not have another contract or relationship with TRS for a period of time up to ten years, as determined by the Executive Director or his designee, commencing from the date of the termination of the contract or relationship. The Executive Director will maintain and serve as custodian for a list of the Contractors whose contract or relationship with TRS is terminated because they were found to be in violation of this Code. This listing shall include information regarding the length of time during which the Contractor may not have another contract or relationship with TRS.
C.
Fiduciary Duties. Contractors who are Fiduciaries shall take appropriate action as co-fiduciaries in the event a violation of this Code involves a breach of fiduciary duties.
D.
Report Violations. Contractors with knowledge of a violation of this Code, by themselves or others, must report promptly such violation to the General Counsel or to a member of the Ethics Committee of the Board. No retaliatory action will be taken for any such report made regarding others' violations if the report is made in good faith.
E.
Internal Reporting and Enforcement. A Contractor shall be responsible for compliance with this Code by the Contractor and each of its employees and representatives working on TRS matters. Any disclosure or report required by this Code must be submitted to TRS by such entity rather than by individual employees and representatives. A Contractor is responsible for making a diligent inquiry of each of the Contractor's employees and representatives working on TRS matters before each submission and from time to time during engagement as a Contractor to determine if further submissions are required. The Contractor's inquiry shall include any employee or representative who worked on TRS matters during the reporting period, regardless of whether the employee or representative works on TRS matters at the reporting time, ceased working on TRS matters during that time or has since left employment with the Contractor. This inquiry obligation may be satisfied by an inquiry made near or at the time of a former employee's departure from a Contractor's employment.
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I, the undersigned, acknowledge that I have read this Code and am familiar with the standards that govern the conduct of Contractors. If the undersigned is executing this Code on behalf of an entity engaged by TRS as a Contractor, I further acknowledge that I have distributed this Code to those persons who work for or represent the Contractor on TRS matters. They have read this Code and are familiar with the standards that govern the conduct of Contractors. Further, the Contractor shall distribute this Code (i) immediately to any other person with the Contractor who begins working on or representing the Contractor on TRS matters and (ii) once a year to all persons with the Contractor who work on or represent the Contractor on TRS matters.
Signature Printed Name Title Contractor Entity Name Date
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Appendix A
Definitions In this Code the following definitions apply unless the context requires otherwise: (1)
“Agent.” An entity or person, engaged as an independent contractor, performing material or significant duties on behalf of TRS as its representative. For purposes of this Code, the term “Agent” does not include a Broker, Consultant, Financial Advisor or Financial Services Provider. However, if an Agent also falls within the definition of a Broker, the entity or person will be considered a Broker under this Code. If an Agent also falls within the definition of a Consultant, the entity or person is considered a Consultant under this Code. If an Agent also falls within the definition of a Financial Advisor or Financial Services Provider, the entity or person is considered a Financial Advisor or Financial Services Provider, respectively, for all purposes. If questions exist regarding who constitutes an Agent, the Executive Director or his designee shall make that determination.
(2)
“Board.” The Board of Trustees of TRS.
(3)
“Broker.” Any entity or person (i) who is named from time to time on the TRS Approved Broker List and (ii) who provides TRS assistance in the buying or selling of stocks, bonds, commodities, options, and other securities, including related analysis or research. For example, on a security, company, industry, or sector. For purposes of reporting compliance, the term “Broker” includes an entity or person who appeared on the TRS Approved Broker List during any portion of the period of time covered by a particular report, even if that entity or person is no longer named on the TRS Approved Broker List. Broker does not include an Agent, Consultant, Financial Advisor or Financial Services Provider. However, if a Broker also falls within the definition of a Consultant, the entity or person is considered a Broker. If a Broker acts in more than one capacity for TRS such that the definition of Financial Advisor hereafter also applies, then as to those additional duties or services performed in the other capacity, the entity or person is considered a Financial Advisor. If questions exist regarding who constitutes a Broker, the Executive Director or his designee shall make that determination.
(4)
“Consultant.” An entity or person, other than an Employee or Trustee, (i) who provides advice to TRS intended to affect or form a basis for significant TRS decisions, including but not limited to an actuary or insurance and health care plan advisor or (ii) who provides advice to TRS and may reasonably be expected to receive for its services more than $10,000 in compensation from TRS during a fiscal year (September 1 to August 31). Consultant does not include a Broker, Financial Advisor or a Financial Services Provider. However, if a Consultant also falls within the definition of a Financial Advisor or Financial Services Provider, the entity or person is considered a Financial Advisor or Financial Services Provider, respectively, for all purposes. If questions exist regarding who constitutes a Consultant, the Executive Director or his designee shall make that determination.
(5)
“Contractors.” A collective term used to signify inclusion of all groups. For example, Agents, Brokers, Consultants, Financial Advisors, and Financial Services Providers, as each separate term is defined herein.
(6)
“Covered Contractor.” A Contractor who works on location at TRS or a worker assigned by or paid, directly or indirectly, by the Contractor to work at TRS.
(7)
“Employee.” A person who works for TRS in an employer-employee relationship and not in an independent contractor capacity, and includes the Executive Director and Chief Investment Officer of TRS. Page 108 of 170
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(8)
"Executive Director." The individual appointed as the executive director pursuant to Section 825.202 of the Texas Government Code.
(9)
“Fiduciary.” For purposes of this Code, a Contractor identified or appointed by contract or otherwise designated by TRS as a TRS fiduciary. If questions exist regarding who constitutes a Fiduciary for purposes of this Code, the Executive Director or his designee shall make that determination.
(10)
“Financial Advisor.” A person or entity, other than an Employee, Trustee or Broker, who provides financial management or advice to TRS or to a Trustee intended to affect or form a basis for significant financial, investment, or fund management decisions by TRS, and whose primary role is to provide such management or advice, including but not limited to (i) financial advisors, (ii) financial consultants, (iii) investment counselors, (iv) money or investment managers, (v) custodian banks and security lending agents, (vi) Strategic Partners, and (vii) external managers retained pursuant to agency agreements.
(11)
Financial Advisor is not intended to include a Broker. However, if the Broker acts in more than one capacity for TRS such that the definition of “Financial Advisor” immediately above also applies, then as to those additional duties or services performed in the other capacity, the person or entity is considered a Financial Advisor. If questions exist regarding who constitutes a Financial Advisor, the Executive Director or his designee shall make that determination. Notwithstanding the above, the following persons or entities are not considered Financial Advisors: (i) attorneys and law firms, (ii) companies that provide actuary services that impact investment strategies, (iii) companies that only provide financial information or software by subscription or license agreement, (iv) companies that provide software and services to transmit data between or among TRS operating systems, (v) the medical board, and (vi) health care consultants. “Financial Services Provider.” A person or entity, other than an Employee, Trustee, or Broker and who does not meet the definition of a Financial Advisor above, who provides financial services to TRS in connection with the management or investment of TRS trust funds and who may reasonably expect to receive for its services more than $10,000 in compensation from TRS during a fiscal year (September 1 to August 31). Financial Services Provider is not intended to include a Broker. If questions exist regarding who constitutes a Financial Services Provider, the Executive Director or his designee shall make that determination. Notwithstanding the above, the following persons or entities are not considered Financial Services Providers: (i) attorneys and law firms, (ii) companies that provide actuary services that impact investment strategies, (iii) companies that only provide financial information or software by subscription or license agreement, (iv) companies that provide software and services to transmit data between or among TRS operating systems, (v) the medical board, and (vi) health care consultants. (12)
“General Counsel.” The Employee of TRS serving in the position of chief legal advisor for TRS.
(13)
“Strategic Partner.” The institutions that are advisors that provide services under relationships designated by TRS as Strategic Partners. Page 109 of 170
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(14)
“TRS.” The Teacher Retirement System of Texas.
(15)
“Trustee.” A member of the Board of TRS.
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ATTACHMENT I – NON-DISCLOSURE AGREEMENT This Non- Disclosure Agreement (the “Agreement”) is made this ____ day of _____________, 2014, by and between _________________________ (hereinafter referred to as "the Recipient") and the Teacher Retirement System of services Texas (hereinafter referred to as "TRS").In connection with providing
to TRS, (the “Business Purpose”), TRS will provide the Recipient with access to certain non-public, proprietary, and confidential information, including but not limited to, information pertaining to TRS computer systems or computer network security, configuration, equipment, software, or processes; TRS participant or member information and Protected Health Information including without limitation any information that is confidential under Texas law and the Federal HIPAA; employer-related information; investment or security account information, banking or similar account information (hereinafter referred to collectively as the “Information”). All such information provided by TRS shall be considered to be confidential Information regardless of the form, format, or media upon which or in which such information is contained or provided, regardless of whether it is oral, written, electronic, or any other form, and regardless of whether the information is marked as “Confidential.” As a condition for its receipt and access to the Information, Recipient agrees as follows: 1. Recipient and Recipient’s employees will keep the Information confidential and secure and will not copy, disclose, publish, release, transfer, disseminate or use for any purpose in any form, in whole or in part, any Information, except in connection with the Business Purpose. Further, only those employees or agents who need access to Information for the Business Purpose and who are informed of the confidential nature of the Information will be allowed to access, use, or see Information. 2. Recipient shall be liable for any violations by any employees or agents who are provided or given access to Information. 3. Recipient shall destroy in a secure and confidential manner the Information, including any copies, remaining in its possession within five business days of TRS’ notice or when the Business Purpose is satisfied, whichever is sooner. 4. Recipient shall immediately notify TRS of any breach or unauthorized disclosure of Information. 5. Recipient acknowledges that the disclosure of the Information may cause irreparable harm to TRS, and agrees that TRS will be entitled to an injunction to prevent the disclosure, copying, or other impermissible use of the Information. TRS’ rights and remedies hereunder are cumulative and TRS expressly reserves any and all rights, remedies, claims and actions that it may have now or in the future to protect the Information or to seek damages for the Recipient’s or its employees’ or agents’ failure to comply with the requirements of this Agreement. 6. In the event TRS suffers any losses, damages, liabilities, expenses, or costs (including, by way of example only, attorneys’ fees and disbursements) that are attributable, in whole or in part to any failure by the Recipient or any employee or agent of the Recipient to comply with the requirements of this Agreement, Recipient shall hold harmless and indemnify TRS from and against any such losses, damages, liabilities, expenses (including but not limited to credit monitoring services or attorney’s fees), and costs. 7. This Agreement shall be governed by the laws of the State of Texas. The Recipient consents to exclusive jurisdiction of Texas state district courts, and exclusive venue shall be in the state district courts sitting in Travis County, Texas. The undersigned individual below warrants and represents that he or she is are authorized to execute this Agreement on behalf of the Recipient. Page 111 of 170
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Recipient: By: Signature
Name:
Title:
Date:
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ATTACHMENT J – INFORMATION SECURITY POLICY Teacher Retirement System of Texas Information Security Policy Interpretation Contact: Information Security Officer Purpose
To provide the basis for managing and protecting TRS information resources.
Reference
1 Texas Administrative Code §202, Information Security Standards
Definitions
Information Resources: the information maintained by or for TRS and the procedures, equipment, software, and data that are designed, built, operated, and maintained to collect, record, process, store, retrieve, display, and transmit information. User: an individual who is authorized access to the resource by the owner, in accordance with the owner’s procedures and rules. Owner: The person or persons responsible for the business function that primarily utilizes the information resource or modifies the information maintained in the information resource.
Applies To
All information resources used by or for TRS and all users of TRS information resources.
Policy
It is the policy of the Teacher Retirement System (TRS), with regard to the TRS pension plan and the other trusts and programs it administers, to ensure the confidentiality, integrity, and availability of its information resources as required by law, rule and fiduciary duty.
Corrective Actions
Violation of this policy by a TRS employee may be grounds for corrective action, including termination of employment without warning. (See Positive Performance Management Policy and Involuntary Termination of Employment Policy). Criminal acts may also be prosecuted under applicable federal and state laws, including Texas Computer Crimes Law (Texas Penal Code Title 7, §33.01-33.04). Violation of this policy by a user who is not a TRS employee may result in the termination of the employment or contractual relationship with the offender. Criminal acts may also be prosecuted under applicable federal and state laws, including Texas Computer Crimes Law (Texas Penal Code Title 7, §33.01-33.04).
Related Policies/Programs (for reference)
• Positive Performance Management Policy • Involuntary Termination of Employment Policy • TRS InfoSec Manual
Administrative Policy First Issued: June 2003 Reviewer: Information Technology Last Revised: _July 2013_ Review Cycle: 5 Years Next Review Due: July 2018 Approved By: ___B. Guthrie__ Date: 7-18-2013 This policy does not constitute a contract or a guarantee of employment and may be modified, superseded, or eliminated by TRS without notice to the employee. This policy supersedes all previous policies on this subject.
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ATTACHMENT K – NON-TRS-WORKER ACKNOWLEDGEMENTS
Teacher Retirement System of Texas Non-TRS-Worker Acknowledgements First Name
Middle Name
Last Name
Employer Name (For Contract Worker) or School Name (For Unpaid Intern)
TRS Assignment Start Date
Not a TRS Employee I understand and agree that I am not a TRS employee and as such I am not entitled to the benefits offered to TRS employees, such as health insurance, paid leave, and membership in the TRS pension plan. My temporary services will not be used for membership in the TRS pension plan or for determining eligibility for pension benefits. Conflicts of Interest In addition, I represent and warrant that I am not a relative of a TRS trustee or employee, nor do I have a personal or private commercial or business relationship, unrelated to the services that I will perform for TRS, with any other party that could reasonably be expected to diminish my independence of judgment in the performance of my services for the retirement system. Information Security I acknowledge that I have reviewed the TRS Information Security Policy (Policy) and TRS Information Security Manual (Manual). I understand that I am responsible for complying with and adhering to the Policy and Manual. I understand that I will have online access to the Policy and Manual. I also understand that the Policy and Manual may be periodically updated and that it is my responsibility to comply with any updates. Policy Review and Adherence I acknowledge that I have reviewed all TRS policies pertinent to non-TRS workers. I understand and agree that I must abide by those policies, including any future revisions, and that I will have online access to the policies. I also understand that any noncompliance with these policies or any other TRS policy pertinent to non-TRS workers can make me ineligible to provide contract or volunteer services to or at TRS. Training I acknowledge that I have completed training on TRS policies related to Health Insurance Portability and Accountability Act; Fraud, Waste, and Abuse Prevention; Equal Employment Opportunity; and Ethics/Trading. My signature below affirms that I have read the TRS Information Security Policy, TRS Information Security Manual, and all other TRS policies pertinent to non-TRS workers and that I agree to comply with the policies and manual and any future revisions. Page 114 of 170
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Signature of Non-TRS Worker
Date
Note to Contract Sponsor: Please forward completed form to TRS Contract Worker Coordinator in Human Resources.
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ATTACHMENT L – CHANGE MANAGEMENT FORM Teacher Retirement System of Texas TEAM Program Management Contract Number: Change Management Form ##### NOTE: This form shall not serve as an official Contract amendment (a change to the Contract document) even if executed by both parties. Only a Contract Change Notice (CCN) issued by TRS’ Purchasing and Contracts Office shall serve as an official Contract amendment and have the effect of modifying the Contract document.
Change Request Control #: Prepared By: Change Request Title:
Requires Contract Change: __ YES __ NO
Enter a brief, descriptive name for this change request.
Priority Change Request Details
High X Medium
Low
Emergency
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Description: Describe the change being requested. Include any new objectives and deliverables.
Justification: Provide a business case for the change being requested.
Impact of Not Implementing Change: Describe the impact if the requested change is not implemented as requested. Discuss any issues of timing of implementation.
Change Request Impact Analysis
Scope & Requirements Describe the impacts on: Project requirements including whether this is in or out of scope of the project; Work in progress and/or completed work; Program standards and acceptance criteria.
☐ Does ☐ Does Not affect scope
Schedule
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the
project
Revised 3/11/2013 Describe potential impacts of change on project schedule. Include description of proposed implementation schedule associated with this change.
☐ Does ☐ Does Not affect the schedule
project
Budget Include information about impacts on Project budget. Provide specific details on costs associated with the change. Include any increase or decrease to TRS overhead.
☐ Does ☐ Does Not affect the budget
project
Project Risk Describe risks associated with this change or overall impacts of change on Program risks.
Functions, programs, documentation, configuration items affected
Estimated
Describe other items that will be impacted by this change.
Analysis:
hrs
Programming:
hrs
Documentation:
hrs
Testing:
hrs
Other:
hrs
change
Total:
Alternatives Describe alternatives to the proposed change.
Recommendation
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workload
0
hrs
of
Revised 3/11/2013 Include a recommendation of proposed action based on recommended change and impacts.
Resolution Description Include information about what is to happen with this change request (e.g., approved, denied, on hold, etc.), the date this decision was made, who was involved in the decision and the rationale for the decision.
Request Implementation Activities Describe specific follow-on activities required by the resolution, assigned resource, timeline and other details. Include references to modifications to the Program schedule and Program or project management deliverables as appropriate.
Contract Cost Information (if applicable) Total Current Contract Value Deliverable #
Net Total Contract Value before Change
Amount
Requested Change Deliverable #
Amount
Revised Total Contract Value Deliverable #
Net Total Contract Value after Change:
Net Change
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Amount
Revised 3/11/2013
Change Approval List any TRS divisions or staff to review the change prior to acceptance here.
(Approved/Disapproved) Project Manager
By:_______________________ Date:___________
(Approved/Disapproved) Project Sponsor
By:_______________________ Date:___________
Legal (if applicable) CCN Recommended__Y / N____
By:_______________________ Date:___________
(Approved/Disapproved) Chair, TEAM CMT (if applicable)
By:_______________________ Date:___________
(Approved/Disapproved) Budget (if applicable)
By:_______________________ Date:___________
(Approved/Disapproved) Chair, TEAM ESC (if applicable)
By:_______________________ Date:___________
(Approved/Disapproved) Contractor’s Program Manager
By:_______________________ Date:___________
(if applicable)
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SECTION VII – APPENDICES
APPENDIX 1 - TEAM PROGRAM DESCRIPTION This section provides an overview of the TEAM Program organization. Note that this is the Program organization and not the agency organization. 1. TEAM Program Organization 1.1. The TRS Board of Trustees (Board) is responsible for the administration of the system under provisions of the state constitution and laws. The Board will receive routine and ad hoc status reports, and serve as the final decision-making authority for the TEAM Program. The board is composed of nine appointed trustees with staggered terms of six years. 1.2. Independent Program Assessment (IPA) will provide an independent assessment of the TEAM Program, interface with other project contractors, and provide analyses and status reports to the Board and the Executive Director, or the Executive Director’s designee. 1.3. The Executive Sponsor will provide ongoing, day-to-day oversight of the TEAM Program and leads the Executive Steering Committee. 1.4. The Executive Steering Committee (ESC) provides ongoing oversight of the TEAM Program and reports to TRS’ Executive Director. ESC Members include the Executive Sponsor, Chief Benefit Officer; Chief Financial Officer; Director of Healthcare Policy and Administration; Chief Information Officer, Human Resources Executive (non-voting, advisory) and Chief Audit Executive (non-voting, advisory). 1.5. The State of Texas Quality Assurance Team’s (QAT) primary purpose is to review the status of major information resources projects, based on a framework of templates, reports and processes, and to make recommendations to the legislature to reduce risk of project overruns and failures. TRS is reporting under the Department of Information Resources (DIR) Texas Project Delivery Framework for the TEAM Program. 1.6. TRS Enterprise Risk Management (ERM) is responsible for providing risk assessment facilitation and identification for TRS. ERM interfaces with TEAM Program Management, the Executive Steering Committee, Core Management Team and the Project Management Office (PMO). 1.7. Core Management Team (CMT) is responsible for the daily operation of the TEAM Program. This team reports to the TEAM Executive Steering Committee and is comprised of managers and team leads including, but not necessarily limited to: Benefit Accounting; Benefit Counseling; Benefit Processing; General Accounting; and Information Technology.
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1.8. TEAM Program Manager acts as a liaison between the TEAM projects and selected contractors under the direction of TEAM CMT and TEAM ESC. The TEAM Program Manager is responsible for overall Program management and review of the various Program elements (e.g., data management, reporting entity outreach, new Pension Administration Line of Business (LOB) system solution, and other associated Program elements) and will provide independent objective advice, recommendations, and solutions to achieve Program success, transparency, and delivery. 1.9. TRS Project Management Office (PMO) and the TEAM Program Manager will provide project management of the projects that comprise the TEAM Program. Daily project management includes: risk identification and mitigation; issue tracking and resolution; project scheduling and resource loading; project status reporting; deliverable review; and requirements traceability. 1.10. Core Program Team (CPT) supports the entire TEAM Program and consists of Business Process Managers, Business Process Analysts, and the Solutions Architect, all of whom are one hundred percent (100%) dedicated to the TEAM Program and each project within the TEAM Program.
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1.11.
TEAM Program and Associated Projects Structure
TEAM PROGRAM AND ITS ASSOCIATED PROJECTS State of Texas Quality Assurance Team
TRS Board --------------Executive Director
Independent Program Assessment (Bridgepoint)
TEAM Program Executive Sponsor
TRS Enterprise Risk Management
TRS Executive Steering Committee
TRS Core Management Team
TEAM Program Management (Provaliant)
Line of Business Solution
Data Management
Line of Business Vendor’s Project Team (HP)
Data Mgmt Vendor’s Project Team (Allied Consulting)
Financial System Replacement
Organizational Change Management
Business Rules
Reporting Entity Outreach
Business Procedures and Training
Website Redesign
Legacy System Decommissioning
Financial System Vendor’s Project Team
Core Program Team TEAM Program Org Chart – no names
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Maintenance & Enhancements New Solution
2. TEAM Program: Project Descriptions The TEAM Program is a cohesive collection of projects that, upon completion, will enable TRS to meet business and technology objectives over the next ten to twenty (10-20) years. The following projects make up the TEAM Program and will be conducted at various stages throughout the new LOB development cycle. Additionally, these projects may be scheduled to run concurrently or individually and the individual projects may be conducted by TRS staff or by contractors. 2.1. Pension Administration Line of Business (LOB) System Replacement Project The Pension Administration Line of Business (LOB) System Replacement project is at the core of the TEAM Program. The LOB project is singularly larger and more complex than all of the other projects combined, because it is the system that provides benefit administration. The LOB project will provide all of the necessary functionality to support every transaction that can occur during the life of the relationship between a member and an employer with TRS. TRS recently finalized a contract with Hewlett Packard Enterprise Services to purchase and implement their pension management software, Clarety. This includes replacing functionality found in TRS’ current internally developed and maintained pension administration systems containing member contribution, benefit, demographic, financial, and health care related data. The LOB project is responsible for providing all of the member self-services functionality. 2.2. Data Management Project The Data Management Project will prepare TRS’ data for migration to the new LOB. To ensure that the data contained in the new LOB is accurate, complete and consistent, TRS needs to analyze existing data on all platforms to determine the scope of potential data issues and identify redundant data that can be eliminated with the modernization effort. TRS can then address the issues and eliminate redundancies by correcting the data through a conditioning process. Appropriate data will then be ready to migrate to the new LOB. 2.3. Financial System Replacement Project The Financial System Replacement Project (FSR) will replace the current General Ledger Accounting System (GLAS) and the Budget, Expense and Vouchering System (BEVO). In addition to financial management functionality, purchasing and contract management, budget planning, and human resources and payroll management functionality is included within the FSR scope. 2.4. Organizational Change Management Project The Organizational Change Management (OCM) Project addresses the unique challenges that arise when implementing a large initiative such as TEAM. It involves strategies to help TRS employees transition to the new business processes, roles and responsibilities resulting from TEAM with the least amount of confusion, resistance, and anxiety possible. The OCM efforts are distinct from technical project change management activities. Page 125 of 170
2.5. Business Rules Project The Business Rules Project is chartered with creating a single source for recording and maintaining business rules. The business rules need to be maintained as frequently as changes occur and be readily available to both internal and external parties who may need the rules, including TRS staff and potential or current contractors. The Business Rules Project will capture all TRS business rules related to the LOB in a template to be developed for this purpose. The project consists of two teams: a writing team that will prepare the templates and draft initial business rules, and a review/approval team that will review and approve all business rules as they are prepared for accuracy and completeness of information. 2.6. Reporting Entity Outreach Project The Reporting Entity Outreach Project will prepare Reporting Entities, Education Service Centers, and Software Providers (collectively referenced here as “REs”) to use the new LOB, including a new web interface, reporting format, queries, reports, enrollment and payroll reporting screens. To ensure that REs are fully prepared, the project includes frequent communication with REs, and comprehensive training for all REs on the new screens, queries, report submission process, and other features of the new web interface. This project will also help to ensure that all REs have as much time as possible to change their current reports. New reporting formats will be provided to the REs as soon as they’re available and all REs will be provided with access to a testing environment. Each RE will submit report(s) to a certification environment for final validation and approval which will help to ensure a successful transition to the new LOB. 2.7. Business Procedures and Training Project The Business Procedures and Training Project will ensure that TRS staff is trained on new business processes and are well-prepared to use the new LOB. This will be accomplished by developing desk-side procedures and conducting a comprehensive training program for all staff which covers all features and functionality of the new LOB. 2.8. Decommissioning Legacy Systems Project TRS has determined that the new LOB will be implemented in stages. As functionality becomes available in the new LOB following each staged implementation, there will be components of the current TRS legacy system(s) that need to be turned off (decommissioned, disabled, or removed.) Examples of items included in the decommissioning effort are disabling or removing full and partial screens, reports, batch jobs, etc. The decommissioning effort requires changes to the TRS Legacy system(s). When TRS decommissions components of the legacy system(s), TRS has to test to be certain those changes do not affect other associated TRS legacy system components or programs that are still needed. Page 126 of 170
This testing also ensures that the remaining components in the TRS legacy systems(s) continue to work properly with the new functionality provided by the new LOB. The Legacy System Decommissioning Project is responsible for managing the updates, testing, and deployment of the remaining portions of the TRS legacy system(s) at each stage of deployment of the LOB. 2.9. Maintenance & Enhancements (M&E) of the New LOB After functionality in the new LOB is deployed into production there will be a need to maintain (fix) and possibly enhance the new LOB functionality. The M&E of the new LOB will be responsible for managing the development, testing and deployment of the maintenance and enhancements in the new LOB. 2.10. TRS Website Redesign The purpose of this RFO is to solicit a vendor for this project. Maintaining and improving the external TRS website are ongoing responsibilities that are included in the TEAM Program. The project to redesign the TRS Website will ensure consistency with the TRS look and feel, enhance the website with new functionality, and provide additional security. Usability changes that will make it easier and faster to find information on the TRS website are also required. These enhancements will allow TRS to provide enhanced services to participants.
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APPENDIX 2 – DEFINITIONS AND ACRONYMS Acceptance – Acceptance means written approval by authorized TRS staff, that acceptance criteria for deliverables have been met. Acceptance Criteria - The criteria for accepting artifacts and deliverables to satisfy the deliverables in this RFO, including but not limited to all requirement specifications. Active Contributing Member - A member who is currently working for a TRS-covered employer and is contributing to the TRS retirement plan. Active Directory (AD) - is a directory service created by Microsoft for Windows domain networks. It is included in most Windows Server operating systems. Active Directory provides a central location for network administration and security. Server computers that run Active Directory are called domain controllers. An AD domain controller authenticates and authorizes all users and computers in a Windows domain type network—assigning and enforcing security policies for all computers and installing or updating software Active Non-contributing Member - A member who fits into one of the two following categories: (1) has at least five years of service credit and is not currently employed in a TRS-covered position, or (2) has less than five years of service credit, is not currently employed in a TRS-covered position, and has been absent from TRS-covered service for less than five years. Agency - The Teacher Retirement System of Texas (TRS) Authentication - The process that verifies the claimed identity of a station, originator, or individual as established by an identification process. Authorization - Positive determination by the owner of an information resource that a specific individual may access that information resource, or validation that a positively identified user has the need and the owner's permission to access the resource. Authorized Representative - A person representing a party who is authorized to make commitments and decisions on behalf of the party regarding the offers and acceptance of the conditions of this RFO. Best and Final Offer (BAFO) – The Best and Final Offer process allows Respondents to make their offer more attractive by either including additional products or services at no additional charge, lowering initial price offerings, or a combination of the two. Board of Trustees - The governing board of the Teacher Retirement System of Texas. Business Hours - TRS business hours are 8:00 am – 5:00 pm Monday through Friday, excluding holidays. Page 128 of 170
Contractor – A person or entity receiving a contract and who will be responsible for designing, developing and implementing the new TRS Website as described in this RFO. Critical Defect – A system Defect that (a) causes a business process of the system to fail to reach completion; (b) causes or is likely to cause data to be lost, corrupted, or destroyed; or (c) prevents the system from being installed or executed on the property configured environment. Day(s) - All references to “day” or “days” shall mean calendar days unless otherwise explicitly stated. Defect - Work that does not conform to requirements specifications. Deliverable - A group of one or more artifacts. TRS will make payment to the contractor for accepted deliverables based on the contractual payment schedule. Detail Information - A more complex level of data which displays all calculation components (e.g., benefit estimates). Documentation - A set of documents in either hardcopy or electronic format which provides (a) a tangible record of knowledge or communications, (b) evidence of an occurrence, or (c) provides instruction on technical procedures, processes, specifications, functionality, or operation. Documentation includes, but is not limited to reports, plans, meeting minutes, artifacts or deliverables, user guides, online help, and quick-reference guides. Employee - A person who is employed in a TRS-eligible position in a Texas public educational institution. For service and position eligibility in TRS, see ‘Eligible Service’. Employer - See 'TRS-Covered Employer'. HUB (Historically Underutilized Business) - The Texas statewide Historically Underutilized Business (HUB) Program facilitates the use of HUBs in state procurement and provides information on the state's procurement process to minority and woman-owned businesses. More information about this program may be accessed at: http://www.cpa.state.tx.us/procurement/prog/hub/. Independent Contractor - A worker hired by TRS to accomplish a given result who has the right to control or direct his or her own work as to the details and means by which the desired results are achieved. Independent Contractors are not TRS employees or members, nor are they eligible for retirement, healthcare, or other benefits available to TRS members or retirees. Legacy System - As used in this document, “Legacy System”, “Legacy Pension Administration System” or “Legacy Line of Business” refers to the existing hardware, software, processes, and methods TRS uses for pension administration.
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Lightweight Directory Access Protocol (LDAP) - is an application protocol for accessing and maintaining distributed directory information services over an Internet Protocol (IP) network Mandatory - All references in this RFO (e.g., requirements, information, features, functions, deliverables, artifacts) that indicate the Respondent or Contractor “shall,” “should,” “must,” “will,” or otherwise provide unless specifically identified as Optional. Member - Refers to an active contributing member and an active non-contributing member. This does not include an inactive member. Membership Service - Service during a time that a person is employed in a TRS eligible position requiring them to be a member of the retirement system. Offer – A formal response to this RFO representing a legally-binding offer to enter into a contract for the services requested herein. Optional - Only those instructions, requirements that are specifically identified in this RFO as optional. All other instructions and requirements are mandatory. Participant - A member, former member, retiree, annuitant, beneficiary, or alternate payee of the retirement system; includes TRS employees and former employees for the purpose of their TRS retirement plan benefits. Partner - Means any entity, whether legally separate, affiliated, or associated with Respondent that Respondent proposes to utilize in performing a solution for the work defined by the RFO. Partner is not an entity with which the Respondent plans to subcontract. Rather, a Partner is an entity joining the response to the RFO to perform the solution. Payee - A person or entity that receives a payment from the TRS retirement plan based on a member's participation in the plan. This includes annuitants, benefit recipients, and persons receiving refunds of their accumulated contributions. Person - See 'Participant'; note that this can be any, all, or none of the entities listed in 'participant', depending on the situation. Prime Contractor – A Prime Contractor is an entity directly contracting with TRS to provide the services requested herein. A prime contractor, may, with TRS’ approval and in accordance with the RFO, hire subcontractors to perform portions of the contracted services; however shall remain responsible for the entire scope of work defined in the RFO. Project – When capitalized (i.e. “Project”), a reference to the Website Redesign project.
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Project Manager – An individual primarily responsible for initiating, planning, executing, monitoring, and controlling major projects. Project Managers work closely with the Project Sponsor to ensure projects stay on schedule, on budget, and meet goals. Project Sponsor – An individual who approves the project charter and champions the project. The Project Sponsor provides oversight, direction, and support of individual projects to ensure that the project meets its goals. Public Pension System – Any public (i.e. government, municipal, county, state or federal) plan, fund, or scheme which provides retirement income. Public Retirement System – This term is also known as 'statewide retirement system' and includes the following: Employees Retirement System of Texas, Judicial Retirement System of Texas Plan One, Judicial Retirement System of Texas Plan Two, Teacher Retirement System of Texas, Texas County and District Retirement System, Texas Municipal Retirement System, and any other continuing, organized program of service retirement, disability retirement, or death benefits for officers or employees of the state or a political subdivision or of an agency or instrumentality of the state or a political subdivision and includes the optional retirement program governed by Chapter 830. This term does not include: a program, other than the optional retirement program, for which benefits are administered by a life insurance company; a program providing only workers' compensation benefits; a program administered by the federal government; an individual retirement account or individual retirement annuity within the meaning of Section 408,1 or a retirement bond within the meaning of Section 409, of the Internal Revenue Code of 1986;2 a plan described by Subsection (d) of Section 401 of the Internal Revenue Code of 1986;3 a group or an individual account plan consisting of an annuity contract described by Subsection (b) of Section 403 of the Internal Revenue Code of 1986,4 other than a 403(b) contract or plan under the optional retirement program; an eligible state deferred compensation plan described by Subsection (b) of Section 457 of the Internal Revenue Code of 1986;5 or the program established by Chapter 615. Reporting Entity - See 'TRS-Covered Employer' Request for Offer (RFO) - A solicitation document inviting entities to submit an offer for products or services. RFOs are used by Texas state government entities to procure information technology goods or services. Negotiations are allowed under this procurement method. Page 131 of 170
Requirement – Complete and detailed documentation that will be supported by the Respondent's solution. Respondent – An entity who submits an Offer in response to the RFO. The term “Respondent” is used herein to indicate an entity who submits an Offer in response to this RFO for the purposes of being considered for a contract award. The term Respondent also includes Partners, employees, contractors, subcontractors, interns, volunteers, and any other resources applied by the Respondent. In cases where a requirement herein is applicable to both the solicitation process and provision of services under a contract, upon TRS awarding a contract resulting from this RFO the term “Respondent” shall have the same meaning as “Vendor,” or “Contractor,” and indicate the party receiving a contract. Retiree - A person who has taken a service or disability retirement under TRS. A member who retires terminates TRS membership through retirement. Therefore, members who retire are referred to as “retirees” rather than as “members". Solutions Architect – TRS and the Respondent are both responsible for ensuring that the future systems architecture is sufficient to meet business needs and ensuring that the architecture and corresponding infrastructure are capable of meeting the Respondent(s) requirements for projects within the TEAM Program. Subcontractor – A third-party hired by the Contractor to perform portions of the work. The Prime Contractor remains obligated for the portions of work performed by Subcontractors and all Subcontractors must be approved by TRS. Subject Matter Expert (SME) - A subject matter expert is an individual who understands a business process or area well enough to answer questions from people in other groups. It is most commonly used to describe the people who explain the current process to IT and then answer their questions as they try to build a technology system to automate or streamline a process. System - A general term which refers to a set of one or more highly related products or applications, which service a particular customer transaction or business need or a set of critical computer applications perceived as vital to running an enterprise. Teacher Retirement System of Texas (TRS) - A Texas state government entity, TRS manages retirement and health benefits of Texas public education employees. TEAM Core Management Team (TEAM CMT) - Responsible for the daily operation of the TEAM Program. This team reports to the Executive Steering Committee. TEAM Executive Steering Committee (TEAM ESC) - Responsible for the oversight of the TEAM Program. This committee reports to the Executive Director.
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TRS User - Internal TRS staff and contractors working with TRS staff. TRS-Covered Employer - An entity in the State of Texas responsible for public education, including school districts created under the laws of Texas, any county school board, the board of trustees, the board of regents of any college or university, or any other legally constituted board or agency of any public school which employs persons who meet the requirements of membership in TRS. This excludes the State Board of Education, the Texas Education Agency, and the State Board for Educator Certification. There are currently more than 1300 TRS-covered employers, including school districts, open enrollment charter schools, and institutions of higher education (universities and community colleges). TRS Enterprise Application Modernization (TEAM) Program - A cohesive collection of interdependent, interrelated projects designed to meet TRS’ future business and technology objectives. Collectively, the individual TEAM projects comprise the TEAM Program. User - Any internal or external individual (e.g., TRS employee, member, reporting entity staff) or software (e.g., application, system, program, or process) that accesses a TRS information resource. Vendor - A person or agency that sells or provides a service. WCAG - Web Content Accessibility Guidelines
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APPENDIX 3 – TRS WEBSITE REPORT, AUGUST 2014
Overview Dashboard This dashboard provides an overview of the data available in the report template. You can click a graph title to navigate to the corresponding report page. Visits Trend
Visit Summary
Visits Average per Day Average Visit Duration Median Visit Duration International Visits Visits of Unknown Origin Visits from Your Country: United States (US)
259,910 8,384 00:11:14 00:03:11 7% 1% 92%
Visitor Summary
Active Visits Trend
Visitors Visitors Who Visited Once Visitors Who Visited More Than Once Average Visits per Visitor
Page Views Trend
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153,639 117,729 35,910 1.69
Hits Trend
Page View Summary
Page Views Average per Day Average Page Views per Visit
3,063,271 98,815 11.79
Hit Summary
Successful Hits for Entire Site Average Hits per Day Home Page Hits
3,258,043 105,098 2,295,809
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Referring Site This report identifies web sites that refer visitors to your site. The top referrers are your site's primary acquisition channels, and may include a partner sites, search engines, portals or marketing programs.
Referring Site
Referring Site
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Site Direct Traffic http://www.google.com/ https://www.google.com/ http://www.trs.state.tx.us/ http://www.bing.com/ http://r.search.yahoo.com/ http://search.yahoo.com/ http://1.1.1.1/ http://trs.state.tx.us/ http://www.mybenefitshub.com/ http://us.yhs4.search.yahoo.com/ http://search.aol.com/ http://cms.springbranchisd.com/ http://www.utsystem.edu/ http://search.tb.ask.com/ http://hr.utmb.edu/ http://www.utexas.edu/ http://www.utmb.edu/ http://home/ http://www.mdanderson.org/ Subtotal for rows 1–20 Other Total Items 1–20 of 1,398 Page 136 of 170
Visits 113,275 40,987 32,128 27,840 12,639 6,155 2,990 1,822 1,056 736 603 550 448 421 419 403 387 308 299 293 243,759 16,151 259,910
% Visits 44% 16% 12% 11% 5% 2% 1% 1% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 93.79% 6.21% 100.00%
Search Engines with Keywords This report identifies which search engines referred visitors to your site most often, the number of referrals, and its percentage of the total, as well as the most popular keywords for each search engine.
Search Engines Trend
Search Engines with Keywords
1.
2.
3.
4.
Engines Keywords Bing trs texas retirement system teacher Google trs texas retirement care active Yahoo trs retirement texas teacher system AOL NetFind trs texas retirement teacher Page 137 of 170
Referrals
% Referrals
17,056 8,622 4,864 4,702 2,981 2,812 14,210 9,374 3,286 3,180 2,316 2,015 4,586 2,599 1,916 1,506 822 817 689 322 266 194 138
45.52% 23.01% 12.98% 12.55% 7.96% 7.51% 37.93% 25.02% 8.77% 8.49% 6.18% 5.38% 12.24% 6.94% 5.11% 4.02% 2.19% 2.18% 1.84% 0.86% 0.71% 0.52% 0.37%
Search Engines with Keywords
5.
6.
7.
8.
9.
10.
11.
12. 13.
Engines Keywords system Ask trs retirement texas teacher system Yandex trs www.trs.state.tx.us trs.state.tx.us | 620-44-11 Google India trs of retirement teacher for Earthlink trs retirement teacher www.trs.state.tx.us texas dogpile trs retirement texas system teacher Yahoo Japan texas system teachers trs refund Google UK retirement texas of teachers system Google Indonesia trs Google Venezuela texas trs Page 138 of 170
Referrals
% Referrals
103 554 235 186 168 109 99 115 70 18 12 4 2 46 13 8 7 7 6 40 20 8 8 7 7 35 14 11 11 7 7 11 4 4 3 3 3 10 7 7 6 5 5 8 8 7 3 2
0.27% 1.48% 0.63% 0.50% 0.45% 0.29% 0.26% 0.31% 0.19% 0.05% 0.03% 0.01% 0.01% 0.12% 0.03% 0.02% 0.02% 0.02% 0.02% 0.11% 0.05% 0.02% 0.02% 0.02% 0.02% 0.09% 0.04% 0.03% 0.03% 0.02% 0.02% 0.03% 0.01% 0.01% 0.01% 0.01% 0.01% 0.03% 0.02% 0.02% 0.02% 0.01% 0.01% 0.02% 0.02% 0.02% 0.01% 0.01%
Search Engines with Keywords
14.
15. 16.
17.
18.
19.
20.
Engines Keywords retirement system trs.state.tx.us Sogou time for to have part Google Brazil trs Google Nigeria of a records is legal Google Canada trs for activecare teachers system Google Mexico trs care application doctors loan Google Pakistan trs auditor resume http://www.trs.state.tx.us/about/documents/ board_meeting_audit_committee_jul2014.pdf book Google Philippines teacher texas retirement ethics of Subtotal for rows 1–20 Other Total Items 1–20 of 59
Page 139 of 170
Referrals
% Referrals
2 2 2 7 4 3 3 3 2 7 7 6 6 3 3 3 3 5 3 2 1 1 1 5 5 1 1 1 1 5 3 1 1 1
0.01% 0.01% 0.01% 0.02% 0.01% 0.01% 0.01% 0.01% 0.01% 0.02% 0.02% 0.02% 0.02% 0.01% 0.01% 0.01% 0.01% 0.01% 0.01% 0.01% 0.00% 0.00% 0.00% 0.01% 0.01% 0.00% 0.00% 0.00% 0.00% 0.01% 0.01% 0.00% 0.00% 0.00%
1 4 2 2 2 1 1 37,406 61 37,467
0.00% 0.01% 0.01% 0.01% 0.01% 0.00% 0.00% 99.84% 0.16% 100.00%
Search Engines with Phrases This report identifies which search engines referred visitors to your site most often, the number of referrals, and its percentage of the total, as well as either the most popular search phrases for each search engine. Search Engines Trend
Search Engines with Phrases
1.
2.
3.
4.
5.
Engines Phrases Bing trs teacher retirement system of texas www.trs.state.tx.us texas teacher retirement system trs.state.tx.us Google trs trs active care teacher retirement system of texas trs calculator texas teacher retirement Yahoo trs trs retirement trs texas teacher retirement system of texas texas teacher retirement system AOL NetFind trs trs texas texas teacher retirement texas teacher retirement system www.trs.state.tx.us Ask Page 140 of 170
Referrals
% Referrals
17,056 3,883 1,155 933 602 463 14,210 3,370 1,059 819 296 259 4,586 570 528 186 179 178 689 92 78 45 22 21 554
45.52% 10.36% 3.08% 2.49% 1.61% 1.24% 37.93% 8.99% 2.83% 2.19% 0.79% 0.69% 12.24% 1.52% 1.41% 0.50% 0.48% 0.48% 1.84% 0.25% 0.21% 0.12% 0.06% 0.06% 1.48%
Search Engines with Phrases
6.
7.
8.
9.
10.
11.
12. 13.
Engines Phrases trs www.trs.state.tx.us teacher retirement system of texas state of texas teacher retirement system trs active care Yandex trs www.trs.state.tx.us trs.state.tx.us global trs system (499) & («9754448» | «975-4448» | «975-44-48») Google India trs tr s retirement payment for teacher advantages of trs survey list of companies in which change occur Earthlink trs www.trs.state.tx.us teacher retirement system of texas mytrs.com teacher retirement of texas dogpile trs www.trs.state.tx.us teacher retirement system of texas how is ers different than trs texas teacher retirement Yahoo Japan trs teachers retirement system of texas memberdata trs refund request formã?? trsã??refund form Google UK wwwtrs.uz pdf proxy policy aifm texas teachers retirement trs retirement teachers retirement of texas Google Indonesia trs Google Venezuela trs.state.tx.us can receive social security and trs rule of 80 Page 141 of 170
Referrals
% Referrals
79 24 17 16 15 115 63 18 12 2 2
0.21% 0.06% 0.05% 0.04% 0.04% 0.31% 0.17% 0.05% 0.03% 0.01% 0.01%
46 4 4 2 2 1 40 18 7 3 3 1 35 7 4 3 2 2 11 2 2 1 1 1 10 1 1 1 1 1 8 8 7 2 1 1
0.12% 0.01% 0.01% 0.01% 0.01% 0.00% 0.11% 0.05% 0.02% 0.01% 0.01% 0.00% 0.09% 0.02% 0.01% 0.01% 0.01% 0.01% 0.03% 0.01% 0.01% 0.00% 0.00% 0.00% 0.03% 0.00% 0.00% 0.00% 0.00% 0.00% 0.02% 0.02% 0.02% 0.01% 0.00% 0.00%
Search Engines with Phrases
14.
15. 16.
17.
18.
19.
20.
Engines Phrases trs texas teacher retirement system of texas prescription costs Sogou part time staff have equal rights to full time equivalent for www.trs. www.questingholding.met to participate in i have received your mail requesting for the withdrawaç¿»è¯?æ??ä¸æ??æ?¯ï¼? Google Brazil trs Google Nigeria what is the legal position of contract of a records audit plans and reports will august 2014 pension be paid to first bank retirees budget plan and strategic audit.pdf Google Canada activecare trs working for trs process for replacing retiring employees texas teachers retirement system trs Google Mexico trs trs active care doctors trs loan application texas Google Pakistan book for senior auditor domestic trs trs resume http://www.trs.state.tx.us/about/documents/ board_meeting_audit_committee_jul2014.pdf trs Google Philippines annual audit planning using coso 2013 approaches texas teacher retirement teacher retirement system of texas ethics and employment policies Subtotal for rows 1–20 Other Total Items 1–20 of 59
Page 142 of 170
Referrals
% Referrals
1 1
0.00% 0.00%
7 2
0.02% 0.01%
1 1 1 1
0.00% 0.00% 0.00% 0.00%
7 7 6 3
0.02% 0.02% 0.02% 0.01%
1 1
0.00% 0.00%
1 5 1 1 1 1 1 5 3 1 1 5 1 1 1 1
0.00% 0.01% 0.00% 0.00% 0.00% 0.00% 0.00% 0.01% 0.01% 0.00% 0.00% 0.01% 0.00% 0.00% 0.00% 0.00%
1 4 1
0.00% 0.01% 0.00%
1 1 1 37,406 61 37,467
0.00% 0.00% 0.00% 99.84% 0.16% 100.00%
Top Visitors This report provides information about individual visitor activity on your site. Top visitors are identified by cookie, IP address, or domain name, with the most accurate identification method taking priority. If you use cookies to track visits, Webtrends can differentiate between traffic from different visitors with the same IP address.
Top Visitors Trend
Top Visitors
Top Visitors
1.
Visitor 178.255.215.77_Mozilla/5.0 (compatible; Exabot/3.0; +http://www.exabot.com/go/ robot) Page 143 of 170
Visits 251
% Visits 0%
Hits 610
Top Visitors
2.
3.
4.
5. 6. 7. 8.
9.
10.
11.
12. 13.
Visitor 178.255.215.81_Mozilla/5.0 (compatible; Exabot/3.0 (BiggerBetter); +http:// www.exabot.com/go/robot) -_Mozilla/4.0 (compatible; MSIE 7.0; Windows NT 6.1; WOW64; Trident/5.0; SLCC2; .NET CLR 2.0.50727; .NET CLR 3.5.30729; .NET CLR 3.0.30729; Media Center PC 6.0; InfoPath.3; MS-RTC LM 8) 205.172.134.23_Mozilla/4.0 (compatible; MSIE 8.0; Windows NT 6.1; WOW64; Trident/4.0; SLCC2; .NET CLR 2.0.50727; .NET CLR 3.5.30729; .NET CLR 3.0.30729; Media Center PC 6.0; .NET4.0C; .NET4.0E; InfoPath.3) -_-_Mozilla/5.0 (compatible; MSIE 10.0; Windows NT 6.1; WOW64; Trident/6.0) -_Mozilla/5.0 (Windows NT 6.1; WOW64; rv:10.0) Gecko/20100101 Firefox/10.0 68.180.224.243_Mozilla/5.0 (compatible; Yahoo! Slurp; http://help.yahoo.com/help/ us/ysearch/slurp) -_Mozilla/4.0 (compatible; MSIE 7.0; Windows NT 6.1; WOW64; Trident/5.0; SLCC2; .NET CLR 2.0.50727; .NET CLR 3.5.30729; .NET CLR 3.0.30729; Media Center PC 6.0; InfoPath.3; MS-RTC LM 8; .NET4.0C; .NET4.0E) 206.213.209.31_Mozilla/4.0 (compatible; MSIE 8.0; Windows NT 6.1; Trident/4.0; chromeframe/21.0.1180.83; SLCC2; .NET CLR 2.0.50727; .NET CLR 3.5.30729; .NET CLR 3.0.30729; Media Center PC 6.0; InfoPath.3; .NET4.0C; .NET4.0E; MSRTC LM 8) 206.213.251.31_Mozilla/4.0 (compatible; MSIE 8.0; Windows NT 6.1; Trident/4.0; chromeframe/21.0.1180.83; SLCC2; .NET CLR 2.0.50727; .NET CLR 3.5.30729; .NET CLR 3.0.30729; Media Center PC 6.0; InfoPath.3; .NET4.0C; .NET4.0E; MSRTC LM 8) 63.96.144.202_Mozilla/5.0 (Windows NT 5.1; rv:24.0) Gecko/20100101 Firefox/24.0 75.141.184.3_Mozilla/5.0 (compatible; MSIE 9.0; Windows NT 6.1; WOW64; Trident/5.0)
Page 144 of 170
Visits 166
% Visits 0%
Hits 418
147
0%
594
126
0%
745
124 122
0% 0%
2,135,640 320
120
0%
356
114
0%
166
111
0%
397
109
0%
299
99
0%
317
96
0%
394
90
0%
262
Top Visitors
14.
15.
16. 17.
18.
19. 20.
Visitor Visits -_Mozilla/5.0 (iPhone; CPU iPhone OS 7_ 89 0_3 like Mac OS X) AppleWebKit/537.51.1 (KHTML, like Gecko) Version/7.0 Mobile/ 11B511 Safari/9537.53 220.181.125.155_Sogou web spider/ 87 4.0(+http://www.sogou.com/docs/help/ webmasters.htm#07) -_Mozilla/5.0 (compatible; MSIE 9.0; 87 Windows NT 6.1; WOW64; Trident/5.0) 206.213.209.31_Mozilla/4.0 (compatible; 83 MSIE 8.0; Windows NT 6.1; Trident/4.0; chromeframe/21.0.1180.83; SLCC2; .NET CLR 2.0.50727; .NET CLR 3.5.30729; .NET CLR 3.0.30729; Media Center PC 6.0; InfoPath.3; MS-RTC LM 8; .NET4.0C; .NET4.0E) 93.160.60.22_Mozilla/4.0 (compatible; 81 MSIE 7.0; Windows NT 5.0) LinkCheck by Siteimprove.com 75.142.189.22_Mozilla/5.0 (Windows NT 80 6.1; Trident/7.0; rv:11.0) like Gecko 166.127.1.182_Mozilla/5.0 (compatible; 78 MSIE 9.0; Windows NT 6.1; WOW64; Trident/5.0) Subtotal for rows 1–20 2,260 Other 258,224 Total 260,484 Items 1–20 of 4,656
Page 145 of 170
% Visits 0%
Hits 133
0%
801
0%
9,013
0%
177
0%
249
0%
218
0%
389
0.87% 99.13% 100.00%
2,151,498 1,106,545 3,258,043
Organizations If the Webtrends GeoTrends Database is enabled for this profile, this report lists the most active companies and other organizations visiting your web site. Because the data for this report comes from GeoTrends using a DNS lookup, it can differ from the data presented in the Domain Names report, which is based solely on DNS lookup.
Organizations
Organizations
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11.
Organization Domain Name AOL Unresolved IP Address Att Internet Services Unresolved IP Address Comcast Unresolved IP Address Suddenlink Communications Unresolved IP Address Verizon Online Llc Unresolved IP Address Service Provider Corporation Unresolved IP Address American Registry For Internet Numbers Unresolved IP Address Mci Unresolved IP Address Att Worldnet Unresolved IP Address Google Unresolved IP Address Ripe Ncc Unresolved IP Address Page 146 of 170
Visits
% Visits
Hits
29,734 29,734 27,936 27,936 13,044 13,044 10,325 10,325 8,669 8,669 6,531 6,531 6,449 6,449 6,374 6,374 5,891 5,891 5,577 5,577 5,538 5,538
11.58% 11.58% 10.88% 10.88% 5.08% 5.08% 4.02% 4.02% 3.38% 3.38% 2.54% 2.54% 2.51% 2.51% 2.48% 2.48% 2.29% 2.29% 2.17% 2.17% 2.16% 2.16%
110,721 110,721 104,570 104,570 45,552 45,552 39,470 39,470 31,194 31,194 14,643 14,643 23,472 23,472 18,847 18,847 16,436 16,436 22,748 22,748 19,523 19,523
Organizations
12. 13. 14. 15. 16. 17. 18. 19. 20.
Organization Visits Domain Name Charter Communications 3,571 Unresolved IP Address 3,571 Sprint Nextel Corporation 3,464 Unresolved IP Address 3,464 Embarq Corporation 3,297 Unresolved IP Address 3,297 T-Mobile Usa Inc. 3,201 Unresolved IP Address 3,201 University Of Texas 2,901 Unresolved IP Address 2,901 Windstream Communications 2,761 Unresolved IP Address 2,761 Microsoft 2,280 Unresolved IP Address 2,280 Dallas Isd 1,773 Unresolved IP Address 1,773 Beijing Sun Rise Technology Co.Ltd 1,770 Unresolved IP Address 1,770 Subtotal for rows 1–20 151,086 Other 105,679 Total 256,765 Items 1–20 of 200
Page 147 of 170
% Visits
Hits
1.39% 1.39% 1.35% 1.35% 1.28% 1.28% 1.25% 1.25% 1.13% 1.13% 1.08% 1.08% 0.89% 0.89% 0.69% 0.69% 0.69% 0.69% 58.84% 41.16% 100.00%
12,637 12,637 9,163 9,163 11,698 11,698 8,737 8,737 11,381 11,381 10,537 10,537 199,706 199,706 6,657 6,657 1,778 1,778 719,470 364,603 1,084,073
Countries This report identifies the top countries of the visitors to your site. Use this report to understand how broadly your site is used.
Countries
Countries
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Countries United States (US) Netherlands (NL) China (CN) Unknown Country France (FR) Denmark (DK) Germany (DE) Ukraine (UA) India (IN) Russian Federation (RU) United Kingdom (UK) Canada (CA) Brazil (BR) Australia (AU) Mexico (MX) Japan (JP) Philippines (PH) Singapore (SG) Spain (ES) Korea (South) (KR) Subtotal for rows 1–20 Other Total
Visits 239,202 5,765 4,343 3,141 852 582 558 538 537 526 460 367 202 185 179 166 149 126 104 98 258,080 1,830 259,910 Items 1–20 of 153 Page 148 of 170
% Visits 92% 2% 2% 1% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 99.30% 0.70% 100.00%
Pages This report identifies the most popular pages on your site and shows you key metrics for each page such as Visits, Page Views and Average Time Viewed.
Pages Trend
Pages
Pages
Pages
1.
http://www.trs.state.tx.us/
Visits
Views
122,362
2,295,531
Page 149 of 170
Average Average Time Time to Viewed Serve (ms) (seconds) 7 0
Pages
Pages
2.
3.
4. 5.
6.
7.
8.
9.
10. 11. 12.
13. 14.
15.
16.
http://www.trs.state.tx.us/active. jsp?page_id=/global/welcome_ active http://www.trs.state.tx.us/retirees. jsp?page_id=/global/welcome_ retirees http://www.trs.state.tx.us/info.jsp? page_id=/global/welcome_info http://www.trs.state.tx.us/active. jsp?submenu=trs_activecare& page_id=/TRS_activecare/ introduction http://www.trs.state.tx.us/info.jsp? submenu=about&page_id=/about/ contacts http://www.trs.state.tx.us/active. jsp?submenu=trs_activecare& page_id=/TRS_activecare/plans http://www.trs.state.tx.us/ employers.jsp?page_id=/global/ welcome_employers http://www.trs.state.tx.us/active. jsp?submenu=retirement&page_ id=/ossa/retirement_estimate_ calculators http://www.trs.state.tx.us/global. jsp?page_id=/onac/mytrs http://www.trs.state.tx.us/global. jsp?page_id=/ossa/calculators http://www.trs.state.tx.us/active. jsp?submenu=retirement&page_ id=/benefits/retirement_eligibility_ checklist http://www.trs.state.tx.us/global. jsp?page_id=/onac/faq_mytrs http://www.trs.state.tx.us/active. jsp?submenu=retirement&page_ id=/benefits/planning_your_ retirement http://www.trs.state.tx.us/active. jsp?submenu=retirement&page_ id=/benefits/annuity_payment_ options http://www.trs.state.tx.us/info_ 2col.jsp?submenu=jobs&page_ id=/jobs/neogov_external_joblist
Visits
Views
39,395
58,026
24,875
37,091
109
0
23,389
32,320
65
0
19,838
25,923
98
0
17,276
22,473
174
0
15,282
19,441
235
0
14,057
20,072
90
0
11,704
13,916
299
0
10,923
14,680
171
0
9,922
12,402
63
0
7,625
8,842
192
0
7,573
8,311
219
0
7,169
8,853
60
0
6,183
8,175
188
0
5,837
7,866
184
0
Page 150 of 170
Average Average Time Time to Viewed Serve (ms) (seconds) 93 0
Pages
Pages
17. 18.
19.
20.
Visits
Views
http://www.trs.state.tx.us/TRS5,519 9,095 ActiveCare/ http://www.trs.state.tx.us/ 5,515 6,662 employers.jsp?submenu=traqs& page_id=/traqs/traqs http://www.trs.state.tx.us/active. 5,270 6,755 jsp?submenu=retirement&page_ id=/ossa/calculators http://www.trs.state.tx.us/retirees. 4,905 6,629 jsp?submenu=trs_care&page_id= /TRS_care/trs_care_health_ insurance Subtotal for rows 1–20 2,623,063 Other 440,208 Total 3,063,271 Items 1–20 of 2,000
Page 151 of 170
Average Average Time Time to Viewed Serve (ms) (seconds) 51 0 281
0
63
0
143
0
-
-
Downloaded Files This report identifies the most popular files downloaded from your site.
Downloaded Files Trend
Downloaded Files
Downloaded Files
1. 2. 3.
Downloaded Files http://www.trs.state.tx.us/benefits/ documents/benefits_handbook.pdf http://www.trs.state.tx.us/trs_activecare/ documents/ppo_rates_benefits_fy15.pdf http://www.trs.state.tx.us/benefits/ documents/employment_after_retirement. pdf
Downloads % Downloads 22,985 12%
Page 152 of 170
Visits 16,741
8,932
5%
7,845
8,754
4%
6,379
Downloaded Files
4. 5.
6.
7. 8. 9.
10. 11.
12. 13. 14. 15. 16. 17. 18. 19.
20.
Downloaded Files Downloads % Downloads http://www.trs.state.tx.us/TRS_activecare/ 7,098 4% documents/plan_highlights_fy15.pdf http://www.trs.state.tx.us/TRS_care/ 6,592 3% documents/trs_care_benefit_plan_ summary.pdf http://www.trs.state.tx.us/benefits/ 6,261 3% documents/brochure_texas_service_ credit.pdf http://www.trs.state.tx.us/TRS_activecare/ 6,017 3% documents/enrollment_guide.pdf http://www.trs.state.tx.us/about/ 5,715 3% documents/trs_newsletter.pdf http://www.trs.state.tx.us/TRS_care/ 5,439 3% documents/trs_care_benefit_plan_ changes.pdf http://www.trs.state.tx.us/reporting/forms/ 4,926 3% form_6.pdf http://www.trs.state.tx.us/TRS_care/ 4,843 2% documents/standard_premium_rates_ FY15.pdf http://www.trs.state.tx.us/TRS_activecare/ 3,323 2% documents/request_refund.pdf http://www.trs.state.tx.us/about/archive_ 3,321 2% annual_report/cafr_2004.pdf http://www.trs.state.tx.us/benefits/forms/ 3,151 2% form_15.pdf http://www.trs.state.tx.us/reporting/ 3,135 2% documents/update.pdf http://www.trs.state.tx.us/about/ 3,024 2% documents/strategic_plan.pdf http://www.trs.state.tx.us/trs_activecare/ 2,729 1% documents/hmo_rates_benefits_fy15.pdf http://www.trs.state.tx.us/TRS_activecare/ 2,540 1% documents/cobra_rates.pdf http://www.trs.state.tx.us/benefits/ 2,511 1% documents/benefits_handbook_spanish. pdf http://www.trs.state.tx.us/about/ 2,321 1% documents/trs_value_brochure.pdf Subtotal for rows 1–20 113,617 58.35% Other 81,084 41.65% Total 194,701 100.00% Items 1–20 of 895
Page 153 of 170
Visits 6,315 5,861
4,519
5,278 3,965 4,737
4,271 3,796
2,758 1,364 2,817 1,608 1,544 1,860 2,159 1,148
997 85,962 67,037 152,999
Accessed File Types This report provides summary statistics on the file types that can be accessed on your site. It highlights the file types that are driving the greatest data transfer volumes on your site. Cached requests and file requests that resulted in errors are not included.
Accessed File Types by Files
Accessed File Types
File Type 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16.
No Extension jsp pdf htm html pps docx wma wmv wav jsp;jsessionid=3FA9C055600A225C2F3 50A7E2FA3EA4F jsp;jsessionid=99EF991E1E6BD2C26A B865A0F246647C jsp;jsessionid=CEF73E990CA3A9F541 BF419528580AA5 jsp;jsessionid=915F2D5C35EEF0866C E1F5503862AC11 jsp;jsessionid=EF88AEB14A5F28ABA0 EC269AE00D4E70 jsp;jsessionid=F89819143CA3D696349 49D6E99EA7CF6
Files
% Files
2,304,818 750,971 49,609 6,720 318 100 45 30 14 7 5
74% 24% 2% 0% 0% 0% 0% 0% 0% 0% 0%
Kbytes Transferred 50,639,811 19,667,234 127,068,564 9,028 3,791 41,081 3,258 123,458 392,251 135,135 71
3
0%
58
2
0%
46
1
0%
15
1
0%
22
1
0%
15
Page 154 of 170
Accessed File Types
File Type 17. 18. 19. 20.
Files
% Files
jsp;jsessionid=DA8C6F2999E353AD1D 1 1268484CD6CB06 jsp;jsessionid=DF4F92E9571270E1411 1 9006A5192ED95 jsp;jsessionid=1FADA6924750800F725 1 51D3B8113DF59 jsp;jsessionid=865BEA126CF0D3FA27 1 19A35827C80CBF Subtotal for rows 1–20 3,112,649 Other 54 Total 3,112,703 Items 1–20 of 74
0%
Kbytes Transferred 21
0%
24
0%
23
0%
24
100.00% 0.00% 100.00%
198,083,930 1,033 198,084,963
Page 155 of 170
Entry Pages This report focuses on pages that were most often the first or "entry" page of a visit. Each visit can have only one entry page. You can use this report to determine whether visitors are entering your web site using the pages you expect.
Entry Pages: Trend Over Time
Entry Pages
Entry Pages
1. 2.
3.
Pages http://www.trs.state.tx.us/ http://www.trs.state.tx.us/active.jsp?submenu= trs_activecare&page_id=/TRS_activecare/ introduction http://www.trs.state.tx.us/global.jsp?page_id=/ onac/mytrs Page 156 of 170
Visits 112,691 10,543
% Visits 49% 5%
7,619
3%
Entry Pages
4. 5. 6. 7. 8. 9. 10. 11. 12.
13. 14. 15.
16. 17. 18.
19. 20.
Pages http://www.trs.state.tx.us/active.jsp?submenu= trs_activecare&page_id=/TRS_activecare/plans http://www.trs.state.tx.us/info.jsp?submenu= about&page_id=/about/contacts http://www.trs.state.tx.us/active.jsp?page_id=/ global/welcome_active http://www.trs.state.tx.us/global.jsp?page_id=/ ossa/calculators http://www.trs.state.tx.us/TRS-ActiveCare/ http://www.trs.state.tx.us/retirees.jsp?page_id=/ global/welcome_retirees http://www.trs.state.tx.us/employers.jsp? submenu=traqs&page_id=/traqs/traqs http://www.trs.state.tx.us/info.jsp?page_id=/ global/welcome_info http://www.trs.state.tx.us/active.jsp?submenu= retirement&page_id=/benefits/retirement_ eligibility_checklist http://www.trs.state.tx.us/employers.jsp?page_id= /global/welcome_employers http://www.trs.state.tx.us/active.jsp?page_id=/ ossa/retirement_estimate_calculators http://www.trs.state.tx.us/retirees.jsp?submenu= trs_care&page_id=/TRS_care/trs_care_health_ insurance http://www.trs.state.tx.us/global.jsp?page_id=/ onac/faq_mytrs http://www.trs.state.tx.us/info_2col.jsp?submenu= jobs&page_id=/jobs/neogov_external_joblist http://www.trs.state.tx.us/active.jsp?submenu= retirement&page_id=/ossa/retirement_estimate_ calculators http://www.trs.state.tx.us/MyTRSRewards.htm http://www.trs.state.tx.us/active.jsp?page_id=/trs_ activecare/aetna_provider_network Subtotal for rows 1–20 Other Total Items 1–20 of 1,665
Page 157 of 170
Visits 7,528
% Visits 3%
6,737
3%
5,968
3%
5,918
3%
5,079 4,642
2% 2%
4,054
2%
3,940
2%
2,766
1%
2,505
1%
1,939
1%
1,937
1%
1,826
1%
1,340
1%
1,271
1%
1,239 1,236
1% 1%
190,778 41,351 232,129
82.19% 17.81% 100.00%
Exit Pages This report focuses on pages that were most often the final or "exit" page of a visit. You can use this report to determine whether visitors are exiting your web site using the pages you expect, such as a specially designed Thank You page, or whether certain pages are causing visitors to abandon the visit prematurely.
Exit Pages: Trend Over Time
Exit Pages
Exit Pages
1. 2. 3.
Pages http://www.trs.state.tx.us/ http://www.trs.state.tx.us/active.jsp?page_id=/ global/welcome_active http://www.trs.state.tx.us/info.jsp?submenu= about&page_id=/about/contacts Page 158 of 170
Visits 55,297 11,594
% Visits 24% 5%
11,182
5%
Exit Pages
4. 5.
6. 7. 8.
9. 10. 11. 12. 13.
14. 15.
16. 17.
18. 19.
20.
Pages http://www.trs.state.tx.us/active.jsp?submenu= trs_activecare&page_id=/TRS_activecare/plans http://www.trs.state.tx.us/active.jsp?submenu= trs_activecare&page_id=/TRS_activecare/ introduction http://www.trs.state.tx.us/retirees.jsp?page_id=/ global/welcome_retirees http://www.trs.state.tx.us/employers.jsp?page_id= /global/welcome_employers http://www.trs.state.tx.us/active.jsp?submenu= retirement&page_id=/ossa/retirement_estimate_ calculators http://www.trs.state.tx.us/info.jsp?page_id=/ global/welcome_info http://www.trs.state.tx.us/global.jsp?page_id=/ onac/mytrs http://www.trs.state.tx.us/employers.jsp? submenu=traqs&page_id=/traqs/traqs http://www.trs.state.tx.us/info_2col.jsp?submenu= jobs&page_id=/jobs/neogov_external_joblist http://www.trs.state.tx.us/active.jsp?submenu= retirement&page_id=/benefits/retirement_ eligibility_checklist http://www.trs.state.tx.us/MyTRSRewards.htm http://www.trs.state.tx.us/active.jsp?submenu= retirement&page_id=/benefits/annuity_payment_ options http://www.trs.state.tx.us/global.jsp?page_id=/ onac/faq_mytrs http://www.trs.state.tx.us/active.jsp?submenu= refunding_member_account&page_id=/benefits/ refunding_member_account http://www.trs.state.tx.us/active.jsp?page_id=/ ossa/retirement_estimate_calculators http://www.trs.state.tx.us/retirees.jsp?submenu= trs_care&page_id=/TRS_care/trs_care_health_ insurance http://www.trs.state.tx.us/TRS-ActiveCare/ Subtotal for rows 1–20 Other Total Items 1–20 of 2,134
Page 159 of 170
Visits 10,546
% Visits 5%
8,285
4%
7,498
3%
6,198
3%
6,099
3%
5,269
2%
4,646
2%
4,380
2%
4,282
2%
3,459
1%
3,075 2,820
1% 1%
2,755
1%
2,257
1%
2,125
1%
2,019
1%
1,994 155,780 76,363 232,143
1% 67.11% 32.89% 100.00%
Visits by Number of Pages Viewed This report shows you how many times visitors viewed one page, how many viewed two pages, etc. Visits by Number of Pages Viewed
Visits by Number of Pages Viewed
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Number of Pages Viewed 0 Pages 1 Page 2 Pages 3 Pages 4 Pages 5 Pages 6 Pages 7 Pages 8 Pages 9 Pages 10 Pages 11 Pages 12 Pages 13 Pages 14 Pages 15 Pages 16 Pages 17 Pages 18 Pages 19 Pages Subtotal for rows 1–20 Other Total
Visits 27,778 102,922 40,610 25,597 16,135 11,089 7,966 6,095 4,358 3,496 2,610 2,052 1,527 1,193 977 813 636 524 388 353 257,119 2,802 259,921 Items 1–20 of 101 Page 160 of 170
% Visits 11% 40% 16% 10% 6% 4% 3% 2% 2% 1% 1% 1% 1% 0% 0% 0% 0% 0% 0% 0% 98.92% 1.08% 100.00%
Hits by Day of the Week This report shows the activity for each day of the week within the reporting period. Unsuccessful hits are not included.
Hits by Day of the Week
Hits by Day of the Week
Day Sun Mon Tue Wed Thu Fri Sat Total
Hits 458,709 458,222 459,926 456,642 442,633 522,934 458,977 3,258,043
Page 161 of 170
% Hits 14% 14% 14% 14% 14% 16% 14% 100.00%
Browsers This report identifies the most popular browsers used by visitors to your site. You can use this information to improve your understanding of which technologies your visitors use so you can configure your web site to optimize their visit experience.
Browsers Trend
Browsers
Browsers
1. 2. 3. 4. 5. 6.
Browser Safari Google Chrome Microsoft Internet Explorer Mozilla Firefox Spiders
Hits 194,462 200,355 208,710 156,113 94,925 240,283 Page 162 of 170
Visits 66,928 55,927 52,146 35,153 26,545 12,842
% Visits 26% 22% 20% 14% 10% 5%
Browsers
7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Browser Hits Google Android Browser 20,656 Other Netscape Compatible 3,099 Not Logged 2,136,160 Microsoft Internet Explorer Mobile 1,135 Opera Mini 217 Microsoft Office 210 Opera 192 Nokia 90 A6-Indexer 71 python-requests 60 WordPress 78 Imperva 238 Google-HTTP-Java-Client 42 Netscape 383 Subtotal for rows 1–20 3,257,479 Other 564 Total 3,258,043 Items 1–20 of 83
Page 163 of 170
Visits 7,874 595 458 422 148 141 116 86 69 42 41 41 24 21 259,619 291 259,910
% Visits 3% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 99.89% 0.11% 100.00%
Platforms This report identifies the operating systems most frequently used by the visitors to the site. You can use this information to improve your understanding of which technologies your visitors use so you can configure your web site to optimize their visit experience.
Platforms Trend
Platforms
Platforms
1. 2. 3. 4. 5. 6.
Platform Windows 7 64 bit Apple iOS Windows 7 Macintosh OS X Google Android Windows NT
Hits 310,650 140,456 123,862 78,935 47,940 57,347 Page 164 of 170
Visits 74,642 51,676 34,012 22,212 16,680 14,356
% Visits 29% 20% 13% 9% 6% 6%
Platforms
7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Platform Windows XP Spiders Windows 8 64 bit Windows Vista Unknown Windows Vista 64 bit Linux Not Logged Windows Mobile Windows 2000 Windows 8 Windows 2003 BlackBerry Windows 2003 64 bit Subtotal for rows 1–20 Other Total
Hits 49,273 240,283 26,621 20,445 8,878 8,777 4,133 2,136,160 1,047 1,205 791 641 99 194 3,257,737 306 3,258,043 Items 1–20 of 30
Page 165 of 170
Visits 13,257 12,842 6,951 5,051 2,930 2,031 1,377 458 390 337 258 197 74 49 259,780 130 259,910
% Visits 5% 5% 3% 2% 1% 1% 1% 0% 0% 0% 0% 0% 0% 0% 99.95% 0.05% 100.00%
APPENDIX 4 – TRS HANDBOOKS AND GENERAL INFORMATION The following are links to the corresponding handbook or general information on the subject.
TRS Benefits Handbook http://www.trs.state.tx.us/benefits/documents/benefits_handbook.pdf#Home TRS Service Credit http://www.trs.state.tx.us/benefits/documents/brochure_texas_service_credit.pdf TRS-ActiveCare http://www.trs.state.tx.us/global.jsp?page_id=/TRS_activecare/general http://www.bcbstx.com/trs/pdf/1112_benefits_booklet.pdf TRS-Care http://www.trs.state.tx.us/TRS_care/documents/highlights.pdf http://www.trs.state.tx.us/TRS_care/documents/trs_care_group_plan_booklet.pdf Long Term Care Insurance http://www.trs.state.tx.us/info.jsp?submenu=long_term_care_insurance&page_id=/benefits/ltc Requesting a Refund http://www.trs.state.tx.us/TRS_activecare/documents/request_refund.pdf Transfers between the Teacher Retirement System (TRS) of TX and the Employees Retirement System (ERS) of TX http://www.trs.state.tx.us/benefits/documents/brochure_trs_ers_transfer.pdf Employment After Retirement http://www.trs.state.tx.us/benefits/documents/employment_after_retirement.pdf Partial Lump Sum Option (PLSO) at Retirement http://www.trs.state.tx.us/benefits/documents/plso.pdf The Employer Reporting System (TRAQS) Information http://www.trs.state.tx.us/employers.jsp?submenu=traqs&page_id=/traqs/traqs
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APPENDIX 5 – TRS BUSINESS PROCESSES The following table represents an inventory of TRS’ Current Business Processes TRS Functional Area Annual Statements Annual Statements Annual Statements Annuity Payroll Annuity Payroll Annuity Payroll Annuity Payroll Annuity Payroll Annuity Payroll Annuity Payroll Annuity Payroll Benefit Adjustments Benefit Adjustments Benefit Adjustments Benefit Calculation Benefit Calculation Benefit Calculation Benefit Calculation Benefit Calculation Benefit Calculation Benefit Counseling Benefit Counseling Benefit Estimate Claims Processing Claims Processing Disability Benefits Disability Benefits Disability Benefits Disability Benefits Disability Benefits/Employment After Retirement Disability Benefits/Employment After Retirement Employer Reporting Employer Reporting Employer Reporting Employer Reporting
Process Ad-Hoc Member Statement Duplicate Annual Member Statement Member Annual Statements Annuity Payment Collections Annuity Payment Revocation Annuity Payroll Process Generate Monthly Pension Trial PreNote Deductions Suspend/Unsuspend Annuity Payment Returned Warrants Benefit Adjustments COLA Application Benefit Payments Stop/Cancel Benefit Calculation Adjustment Benefit Deductions Benefit Calculation Excess Benefit Calculation IRC415 Limit Reserve Value Calculation Personal Identification Number Benefit Counselor Appointment Benefit Estimate Death Benefits Administration Proof of Life Disability Certification Disability Appeal Management Annual Disability Review Reimbursement Request Disability Excess Earnings Disability Return to Work Penalty Calculation and Application Surcharge Calculation and Application Determine Eligibility of Comparable Salary Average Employee Eligibility Determination Page 167 of 170
Employer Reporting Employer Reporting Employer Reporting Employer Reporting Employer Reporting Employer Reporting Employer Reporting Employer Setup Employer Setup Employer Setup Employer Setup Employment After Retirement Enrollment Enrollment Enrollment Federal Tax Withholding Federal Tax Withholding Financial Financial Financial Financial Financial Financial Financial Healthcare Healthcare Healthcare Healthcare Healthcare Healthcare Healthcare Healthcare Legal Orders Legal Orders Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance
Invoicing Report Maintenance and Validation Member Status Update Reporting Entity Payments Temporary Identification Number Member Record Adjustments Transfer of Funds from One Source to Another Reporting Entity Status Employer Record Reporting Entities Re-Certification Set Up Reporting Entity Employment after Retirement Enrollment Packet Member Enrollment Enrollment Data Validation Federal Tax Withholding Reconcile Tax Payments Actuarial Assumptions Participant Invoicing Check Payment Stop/Cancel Check Payment Cash Receipts Insufficient Funds Undistributed Cash ActiveCare Payment Collection and Reconciliation TRS-Care Payment Collection and Reconciliation Insurance Eligibility TRS-Care Enrollment Activecare Eligibility Appeal Activecare Enrollment Exceptions Delinquent Premium Warrant Hold Direct Bill Administer Legal Orders Administrative Appeals Interest Application Beneficiary Updates Demographic Updates Direct Deposit Updates Member History Maintenance Participant SSN Change Member Account Activity Report Page 168 of 170
Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance Member Account Maintenance ORP Refund Processing Refund Processing Retirement Retirement Retirement System Transfer Retirement System Transfer Service Credit Purchase Service Credit Purchase
Death Reconciliation SSN Merge Escheated Account Account Termination Due to Refund Process Reinstate Account Recreate Account Suspend/Unsuspended Account Lock/Unlock Account Service Credit Maintenance ORP Elections Refund Hold/Cancellation Refund Process Retirement Process Final Service and Salary Certification Retirement System Transfer Invoicing Retirement System Transfer Process Service Credit Purchase Payment Service Credit Purchase Cost Statements
Page 169 of 170
TRS offers a range of web self services on the TRS website. MyTRS is a secure portion of the website. Through the current web self service application members may make limited account related requests and updates to demographic data. Participants may view account information, calculate retirement benefits, tax withholding, and certain service credit purchases. They may elect to receive electronic publications, annual statements, and federal tax forms. Specific functionality includes: 1. Request • Service retirement estimate • New or duplicate retirement packet • New service purchase cost statement for previously withdrawn service 2. Update • Mailing address • Federal tax withholding (NOTE: This functionality is expected to be implemented within the next calendar year) • Email address • Phone number • Modify security questions • Password and User ID 3. View • Demographic information • Account balance • Annual statements • Beneficiary information • Highest salary information • Health benefits premiums paid • Monthly annuitant payment information • Special service purchase cost statements • Current withholding information • Federal tax withholding forms (available to download and view once original is mailed by TRS) 4. Calculate (available on TRS website and the current web self service application) • Service retirement estimates • Federal tax withholding deductions • Special service purchase cost statement o Unused state sick and/or personal leave service credit o Unreported service 5. Electronic registration • TRS news, webcasts and meetings, Announcements, Benefits Handbook, New Legislation, Other Publications, TRS email subscription service • Group benefit presentations and individual field office visits 6. Email notification when items are complete and ready to view/download • Federal tax withholding forms • Annual statements
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