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RFP No. 2014-020-6402 Request for Proposals For Electronic Payments Processing Services and Solution Provider for the Dallas County Tax Office E-Commerce Initiatives

Pre-Proposal Conference Date: January 22, 2014 Time: 10:00 A.M., CST Dallas County Tax Office 500 Elm Street Records Building, First Floor Dallas, Texas 75202

Submittal Location and Time Proposal Due Date: February 6, 2014 Dallas County Purchasing Department Records Building 509 Main Street, 6th Floor, Room 623 Dallas, Texas 75202 2:00 PM, CST

REQUEST FOR PROPOSAL NO. 2014-020-6402

NOTICE TO ALL PROPOSERS: •

All questions regarding this Request For Proposal (RFP) or Solicitation are to be submitted in writing to Shannon Brown, Purchasing Agent, via e-mail [email protected], fax to (214) 6537449 or mail to Dallas County Purchasing, 509 Main Street, 6th Floor, Room 623, Dallas, Texas 75202. Please reference the RFP/Solicitation number on all correspondence to Dallas County. Any oral communications shall be considered unofficial and non-binding.



All questions, comments and requests for clarification must reference the RFP/ Solicitation number on all correspondence to Dallas County. Any oral communication shall be considered unofficial and nonbinding.



Only written responses to written communication shall be considered official and binding upon the County. The County reserves the right, at its sole discretion, to determine appropriate and adequate responses to the written comments, questions, and requests for clarification.



All addendums and/or any other correspondence (general information, questions and responses) to this RFP will be made available exclusively through the Dallas County website for retrieval. Proposers are solely responsible for frequently checking this website for updates to this RFP. Addendums to this RFP can be located at the following web address: http://www.dallasCounty.org/department/purchasing/currentbids.html (go to the appropriate RFP #, click on the appropriate hyperlink for viewing and/or downloading.)



During the proposal process, firms shall not contact County staff. Additionally, firms and their employees of related companies as well as paid or unpaid personnel acting on their behalf shall not contact or participate in any type of contact outside the County offices with County employees, including elected officials. Such contact may result in the vendor being disqualified. All contact must be coordinated through Shannon Brown, Purchasing Agent, for this procurement.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

INTENT The intent of this request is to solicit Proposals from qualified agencies, companies, firms, and/or organizations to provide electronic payments processing services and serve as a solution provider. 1.0

PRE-PROPOSAL CONFERENCE A Pre-Proposal conference will be held on held on January 22, 2014, 10:00 a.m. CST, at the Dallas County Tax Office, 500 Elm Street, Records Building, First Floor, Dallas, Texas 75202. While attendance at the Pre-Proposal conference is voluntary and not a prerequisite to submitting a Proposal, it is strongly recommended that all Proposers attend. The purpose of this conference will allow potential Proposers the opportunity to ask clarifying questions associated with the scope of services, general and technical requirements, and to obtain a better understanding of the services and products required under this RFP. All responses to the questions at the Pre-Proposal conference will be oral and in no way binding to Dallas County (County). If you have questions regarding the conference/site visit, contact Shannon Brown at 214.653.6500 or email [email protected].

2.0

ADMINISTRATIVE INFORMATION 2.1

INCORPORATION OF PROPOSAL INTO THE CONTRACT The contents of this RFP, the selected Proposer’s Proposal, cost and any negotiated changes will be incorporated, in entirety, into the future formal Contract.

2.2

SCHEDULE OF EVENTS Request for Proposals Issued:

January 13, 2014

Pre-Proposal conference:

January 22, 2014

Deadline/Closing Date for submission of written questions and inquiries regarding the RFP: Email questions and inquiries to [email protected].

January 24, 2014

Dallas County’s written response to questions and inquires:

January 29, 2014

Proposal due date:

February 6, 2013

Review of Proposals and interviews (if required):

February 24, 2013March 7, 2014

Recommendation to Commissioners Court:

March 11, 2014

Court Order of awarded recommendation:

March 18, 2014

All of the above dates are subject to change as deemed necessary by Dallas County.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

2.3

COUNTY PROCUREMENT COORDINATOR The point of contact for this RFP shall be: Shannon Brown Dallas County Purchasing Department Records Building 509 Main Street, 6th Floor, Room 623 Dallas, Texas 75202 214 653-6500 / 214 653-7449 Fax [email protected] The main point of contact shall hereinafter be referred to as the County Procurement Coordinator.

2.4

COMMUNICATION REGARDING THE RFP 2.4.1

Upon release of this RFP, all communication concerning this procurement must be directed to the County Procurement Coordinator. Unauthorized contact regarding the RFP with other County employees including elected officials may result in the Proposer being disqualified.

2.4.2

All communication should be in writing to the County Procurement Coordinator. Any oral communication shall be considered unofficial and non-binding. Written comments, including questions and requests for clarification must reference the RFP number.

2.4.3

The County will accept written questions and inquiries concerning the product and services described in this RFP. E-mail all questions to County Procurement Coordinator. Deadline closing date for submission of written questions and inquiries is January 24, 2014, 5:00 pm., Central Standard Time (CST). All written questions are to be forwarded to the County Procurement Coordinator indicated in Section 2.3 of this RFP. Please reference the RFP/Solicitation number, company name, representative name and e-mail address on all written communication and correspondence to Dallas County. Only written responses to written communication shall be considered official and binding upon the County. Any oral communication shall be considered unofficial and non-binding.

2.4.4

The County Purchasing Department shall respond in writing to written communication. Such responses shall constitute an amendment (addendum) to the RFP. The County reserves the right, at its sole discretion, to determine appropriate and adequate responses to the written comments, questions, and requests for clarification.

2.4.5

Official responses to written communication will be provided by addendum.

2.4.6

NOTE: All Addendums to this RFP will be made available exclusively through the Dallas County website for retrieval. Proposers are solely responsible for frequently checking this website for updates to this RFP. Addendums to this RFP can be located at the following web address: http://www.dallasCounty.org/department/purchasing/currentbids.html.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

2.5

PROPOSAL ERRORS AND OMISSIONS Due care and diligence has been used in the preparation of this information, and it is believed to be substantially correct to secure comparable Proposals. If a Proposer discovers any ambiguity, conflict, discrepancy, omission or other error in the RFP, he/she shall immediately notify the Dallas County Procurement Coordinator of such errors in writing and request modification or clarification of the document. Any modification made to this RFP will be issued as an addendum and be posted on the Dallas County website: http://www.dallasCounty.org/department/purchasing/currentbids.html. Any and all errors, omissions, or inconsistencies in the specifications are to be reported no later than January 24, 2014, 5:00 pm., Central Standard Time (CST).

2.6

PROPOSAL WITHDRAWAL If at any time prior to the submission deadline of this Proposal, Proposer decides to withdraw its Proposal, that Proposer shall give written notice, signed by an authorized representative, to the Dallas County Purchasing Department at 509 Main Street, 6th Floor, Room 623, Dallas, Texas 75202. After withdrawing a previously submitted Proposal, the Proposer may submit another Proposal at any time up to the deadline for submitting Proposals.

2.7

ADDENDUM Dallas County may institute changes or modifications to the RFP requirements at its discretion. Such changes and/or modifications will be in the form of an addendum. All addenda will be numbered consecutively beginning with 1. Note: All addendums and any additional applicable correspondence (general information, questions/responses) to this RFP will be made available “exclusively” through the Dallas County website for viewing/retrieval. Proposers are solely responsible for frequently checking the website for updates to the RFP. Addendum(s) to this RFP can be located at the following website: http://www.dallasCounty.org/department/purchasing/currentbids.html

3.0

INSTRUCTIONS FOR PREPARING AND SUBMITTING PROPOSALS 3.1

PROPOSAL PREPARATION COSTS Dallas County shall not be responsible or liable for any costs associated with the preparation, submittal, presentation, on-site demonstration /web presentation or other costs incurred by participating in this procurement process.

3.2

DISCLOSURE OF PROPOSAL CONTENT 3.2.1

Ownership of materials: Any materials submitted to County shall become the property of Dallas County.

3.2.2

Proposal Information: Proposals are deemed to contain two types of information: (i) confidential information, also known as “proprietary information” or “trade secret information,” which must be specifically designated by Proposer in the Proposals; and (ii) non-confidential information, which is information not specifically designated as “confidential information.”

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3.3

3.2.3

Confidential information means information that (i) qualifies as trade secret or proprietary under the law; and (ii) is designated as confidential information as described below.

3.2.4

Designation of confidential information: All confidential information must be clearly identified and separated by the Proposer and prior to submission of the Proposal.

3.2.5

Management of Proposal information: (i) All Proposal information that is specifically designated by Proposer as confidential information, and meets the standard definition as such, including detail prices and cost information, shall be held in confidence during the evaluation process and thereafter to the extent authorized by law. (ii) Information not designated as confidential information may be discussed in open meetings throughout the entire RFP procurement process and thereafter and will be made available to the public subject to the Texas Public Information Act. (iii) The County will uphold the confidentially of Proposer’s trade secrets to the extent authorized by law.

3.2.6

Duty of Confidentiality upon Proposers: Any information divulged publicly by any Proposers (e.g., at an open meeting) shall, from that time forward, be deemed information that is not designated as confidential information. During all open meetings with the Commissioners Court, it is the duty of the Proposers to (i) timely assert any claim of confidentiality; and (ii) request confidential handling of any materials presented to the Commissioners Court during any open meeting.

REJECTION OF PROPOSALS 3.3.1

Dallas County reserves the right, at its sole discretion, to reject any and all Proposals received in response to this RFP or to cancel this RFP in entirety as determined to be in the best interests of Dallas County.

3.3.2

Any Proposal received which does not meet the requirements of this RFP, may be considered to be non-responsive, and the Proposal may be rejected. Proposers must comply with the terms of this RFP and all applicable Federal, State and Local laws and regulations.

3.3.3

Dallas County reserves the right, at its sole discretion, to waive any technicality in Proposals provided such action is in the best interest of Dallas County. Where Dallas County waives minor technicalities in Proposal, such waiver does not modify the RFP requirements or excuse the Proposer from full compliance with the RFP. Notwithstanding any minor technicalities, Dallas County holds any Proposer to strict compliance with the RFP.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

GENERAL AND TECHNICAL REQUIREMENTS 3.4

All Proposals shall be clearly identified/marked and delivered by the due date in a sealed package with the following information: RFP No. 2014-020-6402 for Electronic Payments Processing Services and Solution Provider for the Dallas County Tax Office E-Commerce Initiatives c/o: Dallas County Purchasing Department 509 Main Street, 6th Floor, Room 623 Dallas, Texas 75202 Dallas County is not responsible for delays in the delivery of mail by the U.S. Postal Service, private couriers, or delivery by any other means. It is the sole responsibility of the Proposer to ensure that his/her Response/Proposal reaches the Purchasing Department by the designated date and hour indicated on the Cover Page and/or Addendum, as applicable. Proposals may not be delivered orally, nor by facsimile electronic transmission, e-mail, or other telecommunication means.

3.5

All Proposals shall be valid for a period of one hundred eighty (180) days after the Proposal submission deadline. The one hundred eighty (180) days may be extended by mutual agreement of all parties.

3.6

Each Proposer must provide one (1) original copy and eight (8) electronic copies with all files saved in portable document format (pdf). One Proposal is to be clearly marked as “original” on the outside cover and contain original signatures. The one (1) original hard copy Proposal shall be presented in a professional manner such as spiral bound, perfect bound or professional grade folder/ three ring binders. The original hard copy Proposal shall be prepared on standard 8-1/2” x 11” paper. Each page shall be consecutively numbered and identified sequentially by section. The original hard copy Proposal must be tabbed and indexed in accordance with the information requested in the general and technical requirements. Foldouts that contain charts, spreadsheets, and oversize exhibits are permissible. Tabs or other separators shall serve to divide major sections of the Proposal. Manuals and other reference documentation may be bound separately. The electronic copies saved in the portable document format (pdf) will have the same information as the original proposal and be in the same sequence.

3.7

Each Proposal submitted should be specific and complete in every detail. It should be practical and should be prepared simply and economically, providing a straight forward, concise delineation of capabilities to satisfactorily perform the Contract being sought. The Proposer should not necessarily limit the Proposal to the performance of the services in accordance with this document but should outline any additional services and their associated costs if the Proposer deems them necessary to achieve the County’s task and objectives outlined in the RFP. Each Proposal should contain a statement of all the services and products being proposed including conclusions and generalized recommendations. Proposals should be all-inclusive detailing your best offer. All information presented in the Proposal must be relevant in response to a requirement of this RFP.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

3.8

By submitting a Proposal, the Proposer represents that it has thoroughly examined and is familiar with the services required under this RFP and is capable of providing the services that will achieve the County’s task and objectives.

3.9

Each Proposer must submit its Proposal in strict accordance with all requirements of this RFP and an agreement to fully comply with the requirements must be stated in the Proposal. Deviations, clarifications and/or exceptions must be clearly identified and listed separately as alternative items for the County’s consideration.

3.10

Proposer shall identify and list all exceptions of RFP No. 2014-020-6402 referencing the section (paragraph) where the exception exists and identify the exception and the proposed wording for the Proposer’s exception.

3.11

The County reserves the right to reject a Proposal as non-responsive, enter into negotiations on any of the Proposer exceptions or accept them outright.

3.12

To aid in the evaluation, all Proposals shall follow the same general format. The Proposals are to be submitted in binders and have sections tabbed as below: 3.12.1 Transmittal/Cover Letter: A formal transmittal/cover letter on official company letterhead must contain the following: Letter of introduction, executive summary, and statement of interest. The transmittal/cover letter must be signed by person(s) with authority to bind the Proposer. The executive summary of the Proposal should contain any information that might be especially important to Dallas County. The statement of interest shall indicate Proposer’s general interest and capability to meet the expectations of the project. 3.12.2 Acknowledgement of Addendum(s) 3.12.3 Contact Person: Please include the name, title, address, telephone number, fax number and e-mail of the contact person for any questions regarding your Proposal. Include the location of the office from which service will be provided, with the hours of operation of that location. 3.12.4 Include a Table of Contents 3.12.5 STATEMENT OF QUALIFICATIONS 3.12.5.1

Provide a broad overview of your organization’s understanding of the RFP and state Proposer’s expertise, capabilities, length of time in business, and other unique features that your organization has to offer.

3.12.5.2

Describe Proposer’s organizational structure and explain how Proposer qualifies to be responsive to the requirements of this RFP. This should include Proposer’s size, distribution system, customer service structure, and number of employees relative to the product or service being offered.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

3.12.5.3

Staff Qualification and Resources: Provide description of the key personnel and subcontractors’ qualifications and experience in providing the services functions, and products described in the RFP. Include a description of assignments and responsibilities, resumes, professional experiences, licenses and/or certifications of the individual(s) and other pertinent information. Provide qualifications and experience of Proposer’s Project Manager on projects with similar scope, complexity and value.

3.12.6 Implementation/Work Plan: Describe in detail the approach and methodologies that Proposer will employ to accomplish the tasks, scope of work/services and other activities outlined in this RFP. The work plan shall outline specific objectives, strategies, activities and resources. 3.12.6.1

Describe in detail Proposer’s technical approach for the services outlined in this RFP. The technical approach must demonstrate that Proposer is able to competently and timely perform all required services.

3.12.6.2

Describe Proposer's approach to quality assurance/quality control procedures for performing the services and requirements outlined in this RFP.

3.12.6.3

Describe how the interaction between Proposer and Dallas County will take place to ensure that the work is performed and reported in an accurate and timely manner.

3.12.7 Detail Cost and Fee Schedule: Cost and fee schedules must define customer cost for each transaction by product type. Proposer must be able to provide all services described in this RFP at no cost to Dallas County. Any and all fees must be charged to the customer in addition to the actual fee, tax, interest, and/or penalty being paid to Dallas County. Proposer must describe the method of determining said customer fee as well as provide Dallas County with the actual cost that will be charged to the customer. 3.12.8 References: Provide a minimum of five (5) different private sector clients and/or governmental agencies references that are comparable to Dallas County for which processing electronic payments have been performed within the past five (5) years. Each reference shall include the:       

Company/Client Name, Company Address, Contact Person and Title Telephone Number, Fax Number, E-mail address (if available), Date and length of services provided

3.12.9 Financials: Proposer(s) shall provide with the Proposal proof of financial stability. The review will focus on the Proposer’s statement of income, balance sheet and cash flow statements. In order for the County to complete its financial review, the following documentation is requested:

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REQUEST FOR PROPOSAL NO. 2014-020-6402



Audited financial statement (or if un-audited, reviewed in accordance with standards issued by the American Institute of Certified Public Accountants.) for the last two (2) years including income statements, balance sheets, and any changes in financial position.



Latest quarterly financial report and a description of any material changes in financial position



Proposer’s most recent Dun & Bradstreet, Value Line Reports or other credit ratings/report

3.12.10

Response to Minority/Women Business Participation Forms

Proposer is strongly encouraged to solicit M/WBE participation. A list of certified North Central Texas Regional Certification Agency (NCTRCA) M/WBE firms may be obtained by contacting the County Procurement Coordinator in writing. Requests will be forwarded to the Dallas County Minority Business Officer, Matthew Parson, who will provide the list directly to the requesting Proposer. 3.12.11

Proposal Exceptions, Deviations and/or Clarifications

This section should include any exceptions or requested changes by Proposer to any terms and conditions listed in the RFP. Proposers should thoroughly review Section 5 Functional and Technical Specification Requirements (Scope of Services) and Section 6 Contract Terms and Conditions and provide written documentation of any exceptions, deviations and/or clarifications. 3.12.12

Additional Information

Any information deemed necessary by the Proposer to ensure success of the project. Any exceptions that the Proposer would like to have for this project should be detailed. All attached forms shall be filled out and submitted as part of a Proposer’s Proposal. 3.12.13

Conflict of Interest Questionnaire

3.12.14

Insurance Affidavit

3.12.15

W9 Form

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REQUEST FOR PROPOSAL NO. 2014-020-6402

4.0

EVALUATION 4.1

4.2

EVALUATION PROCEDURES 4.1.1

Management and coordination of the Proposal evaluation process including all meetings, requests, and documentation will be handled by the Procurement Coordinator.

4.1.2

Review of all Proposals to conformance of this RFP will be conducted by an evaluation committee. Each Proposal will be independently evaluated by each committee member.

4.1.3

Proposals which substantially deviate from the basic intent of the RFP will be eliminated.

4.1.4

An assessment of the remaining Proposer(s) will be made to include a review of the Proposer personnel’s capability and previous experience.

4.1.5

Verification of Proposer’s references will be conducted.

4.1.6

The evaluation committee may request written and/or oral presentations to supplement the Proposal for the purpose of clarification. The time and place for oral presentations will be announced at a later date, if such presentation is required.

4.1.7

Evaluation of capability of the Proposer to participate in the program, including eligibility based on the Proposer's financial stability and viability will be made.

4.1.8

Recommendation of potential Proposer(s) will be made to Dallas County Commissioners Court.

EVALUATION PROCESS The following guidelines will be used in analyzing and evaluating this Proposal. 4.2.1

The evaluation process is designed to award the procurement to the highest rated firm.

4.2.2

The County Procurement Coordinator shall manage the proposal evaluation process and maintain proposal evaluation records. All proposals shall be reviewed by the County Procurement Coordinator to determine compliance with basic proposal requirements as specified in this RFP.

4.2.3

An Evaluation Committee will independently evaluate each proposal and selection will be made according to the highest score based on the criteria listed below.

4.2.4

The County reserves the right to accept other than the lowest priced Proposal. Cost of program to customers/end users will be a factor in the evaluation process as detailed in the Evaluation and Selection factors. No Proposal should have direct cost to the County.

Dallas County reserves the right, at its sole discretion, to request clarifications or conduct discussions for the purpose of clarification with any or all Proposers. The purpose of any such discussions shall be to ensure full understanding of the proposal. If clarifications are made as result of such discussion, the Proposer shall put such clarifications in writing. All communication (written or oral) with the Evaluation Committee will be coordinated by the County Procurement Coordinator. Proposers are prohibited from contacting the Evaluation Committee members directly.

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4.3

EVALUATION AND SELECTION FACTORS The Evaluation Committee will consider many factors of which cost to customer/user is only one factor, and will receive Proposals from all responsible Proposers. The objective is to enter into a future Contract with the best qualified Proposer at the best price. Each category shall be weighted as follows, and one hundred (100) points are the maximum total number of points, which may be awarded for a qualified Proposal. Proposal Evaluation Categories and Weights Factor 1: Cost to Customer/User through Convenience and Payment Processing Fees

0-30 Points

Variables considered in evaluating this category will include but not be limited to the following: 

Payment, processing and convenience cost for on-line web- based transactions for the following card types and applications: ACH Electronic Check MasterCard VISA Discover Card American Express Debit Card



Payment, processing and convenience cost for Pay-by-Phone transactions for the following card types and applications : ACH Electronic Check MasterCard VISA Discover Card American Express Debit Card



Payment, processing and convenience cost for Point of Sale transactions for the following card types and applications : ACH Electronic Check MasterCard VISA Discover Card American Express Debit Card

   

Returned ACH Monthly account charges Gateway transaction fees All other potential cost and fees associated with the proposed solution

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REQUEST FOR PROPOSAL NO. 2014-020-6402

Factor 2: Qualifications and Experience Capabilities

0-20 Points

Variables considered in evaluating this category will include but not be limited to the following:              

Company background. Proposed has been performing services required by the RFP for at least five years. Project experience of the company in relation to the ability to provide scope and quality of service as outlined in the RFP. Method of approach of providing the services as outlined in the RFP. Capacity and capability of the business to perform the work, including any specialized services, within the time frame. Past experiences and background regarding providing electronic payment collection services as required in the RFP. Proposed project team, members, and organizational structure, including an assessment of the capabilities of the team members who will be specifically involved in the project. The assessment may include an evaluation of educational and prior work experience. Account Management. Implementation Timeline. Innovative or creative approach. Financial Statements illustrating Proposer’s financial stability. Customer/Client References from similar implemented electronic payment and collection services projects. Proposer’s exceptions to County’s RFP requirements and the contract terms and conditions listed in Section 6. Quality, Responsiveness and Completeness of the Proposal as it addresses the needs outlined in the RFP.

Factor 3: Settlement Funding and Reporting Capabilities

0-20 Points

Variables considered in evaluating this category will include but not be limited to the following:       

Settlement Timeframe Charge backs and reverse Timeframe Ad-Hoc Reporting Detailed Auditable Reporting Downloadable transaction detail On-line Services Exception Monitoring

Factor 4: Equipment and System Capabilities

0-15 Points

Variables considered in evaluating this category will include but not be limited to the following:     

Reliability and Ease of Data Transfer Types of Connectivity Fraud Detection System Security and Back-up Procedures Equipment, peripherals and supplies to include type and quantity of equipment provided, supplies provided and proposed plan for replacing/upgrading equipment

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REQUEST FOR PROPOSAL NO. 2014-020-6402

Factor 6: Minority/Women Business Participation   

0-15 Points

*Certified NTCRCA M/WBE Firm (6 points) *Certified NTCRCA M/WBE Subcontractors being utilized (6 points) Minority Makeup of Firm (3 points) *North Central Texas Regional Certification Agency (NCTRCA)

*Certified by the North Central Texas Regional Certification Agency (NCTRCA) Total Points 4.4

100 Points

AWARD AND NEGOTIATION PROCESS All proposals received by the specified deadline will be reviewed and evaluated consistently with the stated Evaluation and Selection Factors. Before the final evaluation and ranking of Proposals is complete, the County, at its sole discretion, may choose to interview Proposers found to be among the most qualified. Proposals will be ranked based on final evaluation with a recommendation to begin negotiations with the Proposer that received the highest evaluation. The Proposer awarded or chosen pursuant to the provisions of this section will not be based solely on price, but will include and be limited to evaluation criteria listed in the RFP. Upon completion of the evaluation process, the Evaluation Committee will make a recommendation for award to the Dallas County Commissioners Court for approval of the negotiation for Contract for services requested in this Solicitation/RFP. Negotiations may or may not be conducted with the finalist(s); therefore, the Proposal submitted should contain Proposer’s most favorable terms and conditions, since selection and award may be made without further discussion or need for clarification. Any exceptions to the terms and conditions of the proposed Contract or the statements regarding Proposer’s inability to comply with any of the provisions thereof are to be declared in the Proposer’s Proposal. If a satisfactory Contract cannot be negotiated in a timely manner, the County, in its sole discretion, may terminate negotiations with the selected Proposer and begin Contract negotiations with the next highest ranked finalist.

4.5

USE OF CONTRACT BY OTHER POLITICAL JURISDICTIONS Proposers are advised that all resultant contracts may be extended, with the authorization of the proposer, to other political jurisdictions to permit their ordering of services/supplies at the prices and terms of the resulting contract. If any other jurisdiction decides to use the final contract, the Contractor(s) must deal directly with that jurisdiction or political subdivision concerning the placement of orders, issuance of purchase orders, contractual disputes, invoicing and payment. Dallas County acts only as the "Contracting Agent" for these jurisdictions and political subdivisions. Failure to extend a contract to any jurisdiction will have no effect on consideration of your offer. Each participating jurisdiction and political subdivision has the option of executing a separate contract with the awardee. Contracts entered into with them may contain general terms and conditions unique to those jurisdictions and political subdivisions covering minority participation, non-discrimination, etc. If, when preparing such a contract, the general terms and conditions of a jurisdiction are unacceptable to the awardee, the awardee may withdraw its extension of the award to that jurisdiction. 14

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Dallas County shall not be held liable for any costs or damages incurred by another jurisdiction as a result of any award extended to that jurisdiction or political subdivision by the awardee. 5.0

FUNCTIONAL AND TECHNICAL SPECIFICATION REQUIREMENTS (SCOPE OF SERVICES) 5.1

Dallas County Tax Office (DCTO) is seeking a third party solution provider of electronic payment services for integration into the County web/on-line systems and pay-by-phone access for the purpose of processing electronic payments. The County anticipates accepting payments from major credit cards (MasterCard, VISA, American Express and Discover), debit cardholders, as well as in the form of electronic checks and Automated Clearing House (ACH) originations. The County will consider accepting other forms of payment the Proposer may offer if the County deems them a beneficial service to either the County or the public. The solution should improve the County’s ability to efficiently and accurately conduct various types of credit card, debit card, e-check collection transactions, manage financial information, allow for integration into existing County operations, interact and interface with existing Dallas County Tax Office systems, improve workflow, maintain data integrity, etc. A key expectation of this RFP is that the selected Proposer will collect and process all property tax and motor vehicle financial transaction information and maintain PCI compliance on all information collected. Proposer must be in compliance and certified compliant with all PCI standards. If circumstances exist where the County will be expected to maintain financial information, the circumstances must be clearly disclosed. The County will work with the awarded Proposer in developing appropriate customer and information links to allow the awarded Proposer to process the payment, provide the customer a confirmation, and provide payment information back to the Dallas County Tax Office for the updating of the property tax or motor vehicle records. The Dallas County Tax Office intends to award a single Proposer. The Proposal should include interface solutions if a single or multiple third party application is presented. This RFP sets forth requirements for these services and solicits a detailed Proposal from Proposer(s) to include functional and technical requirements, implementation services, on-going software maintenance and support, and pricing.

5.2

Proposer must be able to provide all services described in this RFP at no cost to Dallas County. Any and all fees must be charged to the customer in addition to the actual fee, tax, interest and/or penalty being paid to the Dallas County Tax Office. Proposer must describe the method of determining said customer fee as well as providing the Dallas County Tax Office the actual cost that will be charged to the customer.

5.3

Proposer shall have minimum of five (5) years experience in the development, installation and operation of a credit and debit card processing services.

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5.4

Proposer will furnish and install all applicable software, hardware, equipment, card processing machines/terminals, data lines, cabling, internet and/or wireless connections, expendable supplies, and provide services related to the training including training material, installation and optimization of the system, subsystems, and other ancillary devices described by this RFP. Proposals must describe all software components, hardware components, services, and tasks required to implement a working, fully functional system, whether supplied by Proposer or the Dallas County Tax Office. Any and all components whether hardware or software required to make the system usable and fully operational that are not described in the Proposal documents as being necessary, shall be provided at Proposer ’s expense.

5.5

Proposer must provide processing for multiple “brands” and types of cards such as, MasterCard, VISA, Discover and American Express. In addition, the Proposer must arrange for and support any agreements required to process debit/ACH transactions from multiple debit networks. Payment collection method type shall include point of sale, on-line internet/web based, and a pay-by-phone solution to be provided by the Proposer. A summary of the Dallas County Tax Office’s activity level for various payment collection types is provided below. This information reflects Visa, Mastercard, Discover and e-check internet payments and point-of-sale (POS) for credit/debit card transactions. The Dallas County Tax Office began accepting POS credit/debit card payments in the 2010/2011 fiscal year.

5.6

Fiscal Year

# Internet Payments

$ Internet Payments

# POS * Payments

$ POS Payments

2009/2010

253,371

$282,866,405

-0-

-0-

2010/2011**

251,851

$212,150,329

188

$28,394

2011/2012

320,064

$225,726,111

109,190

$18,937,610

2012/2013

352,030

$253,830,642

140,358

$24,657,267

Project Implementation Schedule The implementation of a service for an organization of this size and complexity is a significant undertaking. Consideration must be given to the day-to-day operations of the Dallas County Tax Office, which must not be adversely disrupted. Proposer shall provide an estimate of the timeline needed to complete the system implementation and training, including any lead time before work can begin. Proposer shall not be held responsible for delays in implementation caused by the County. Proposer shall supply approximately one hundred (100) POS terminals at no charge to the County.

5.7

System Functionality and Performance In addition to basic electronic transaction presentment and processing functions, Proposer’s systems shall provide the following minimum functionality: 5.7.1

At all times make available the option for a customer to stop the information gathering and transaction process

5.7.2

Provide an active message to the customer indicating that a transaction has been either accepted or rejected. 16

REQUEST FOR PROPOSAL NO. 2014-020-6402

5.7.3

Allow the customer to review charges before final submission.

5.7.4

Show Proposer fees separately from County charges.

5.7.5

Provide the capability for the customer to obtain a tangible order confirmation such as a printable form from a web page.

5.7.6

Allow the customer to try a different card or payment type if a transaction is rejected.

5.7.7

Provide continuity in appearance and sound of the County's web site to the Proposer’s payment screens on their respective web site.

5.7.8

Populate information that is passed from the County's web site application so that taxpayers do not need to enter duplicate information that they have already provided to the County's application.

5.7.9

Provide the ability to block certain users, card numbers, account numbers, etc.,

5.7.10 Provide services in additional languages other than English. 5.7.11 Processing cut-off periods must be in sync with payment requirements as stated in the Texas Property Tax Code – taxpayers can make payments up to 12 A.M. and receive same day credit. 5.7.12 Provide electronic acceptance files formatted for auto posting to financial application. 5.7.13 Provide option for settlement directly with the Dallas County Tax Office’s designated depository through ACH and next day transfer of funds. 5.7.14 Financial Requirements 5.7.14.1

Settlement Time: Unless otherwise requested by the Dallas County Tax Office, all transaction funds shall be settled and in the Dallas County Tax Office's bank account(s) by ACH by 10:00 A.M. the next business day.

5.7.14.2

Separation of Fees from Charges: Proposer’s financial systems shall have the ability to itemize separately the County Tax Office charges and the Proposer’s fees. The Dallas County Tax Office will not be responsible for the collection or remittance of any Proposer fee.

5.7.14.3

Multiple Bank Accounts: Upon request of the Dallas County Tax Office, Proposer shall remit collected funds by daily ACH into several different depository bank accounts as defined by the Tax Office.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

5.7.14.4

Exceptions and Charge Backs: Proposer shall provide reasonable processes, systems, and data necessary for either the Proposer and/or the County Tax Office to adjust credits and debits to the accounts of both the Dallas County Tax Office and the taxpayers. Please describe how you will deal with these. The Dallas County Tax Office will not be responsible to Proposer for any fees or refunds or charge backs.

5.7.14.5

Billing Statements: Transaction information appearing on a taxpayer's monthly credit/debit card statement shall contain enough information so that the taxpayer can contact either the Proposer or the Dallas County Tax Office to obtain detailed information about his/her transaction.

5.7.15 Effectiveness Level: The effectiveness level of a system is defined as the ratio of: Effectiveness Level = Amount of time in given period that system is functioning correctly Total amount of time in that period The proposed system shall perform at an average effectiveness level of 99%, including scheduled maintenance downtime, each month during the entire Term of the Contract. In the event that the effectiveness level is not met for three (3) consecutive calendar months, the Dallas County Tax Office reserves the right to terminate the Contract without penalty. The system must be available for use 24 hours per day, 7 days per week, 365 days a year less scheduled maintenance and downtime. Scheduled maintenance shall not occur at the end of any month and the system must be available 24/7 during the months of December and January. The Proposer shall provide a copy of their annual maintenance schedule upon request by the Tax Office. 5.8

Proposer must have the ability to process transactions and accept settlement files as required through the appropriate authorization and settlement networks. The method of application shall include standard point of sale equipment, on-line internet/web based application, and various types of software data capture via personal computer. The Proposer shall: 5.8.1

Provide a pay-by-phone solution.

5.8.2

Provide an Internet processing solution. Any Proposer’s provided internet solution must employ current encryption standards established through ANSI, etc.

5.8.3

Provide their own merchant bankcard services provider or may choose to process merchant transactions through the County's merchant bankcard services provider (Bank of America).

5.8.4

Provide for the authorization and settlement of transactions though the appropriate authorization and settlement networks.

5.8.5

Provide research and problem resolution to transaction and/or settlement discrepancies such as copy requests and charge backs. Handle all charge backs and returns/reversals on behalf of the Dallas County Tax Office.

5.8.6

Payment file format must be compatible with DCTO Property Tax System (ACT) in order to update tax accounts via daily lockbox files.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

5.8.7

Must have the capability to accept property tax numbers up to 17 digits, numeric and/or alpha characters.

5.8.8

Transaction File/Lockbox File Layout: Proposer shall provide to the County an electronic data file of all transactions. The file shall use the American Standard Code for Information Interchange (ASCII) standard, be fixed-length delimited, and contain the following minimum information: Field Name Length 6 16 6 6 20 20 20 23 25 14 2 13 8 8 2 6 4 2

Agency ID Merchant ID Application ID Sub-application ID Agency/Dept Defined 1 Agency/Dept. Defined 2 Agency/Dept. Defined 3 Transaction ID Customer Name Date and Time Payment Type Total Amount County Charges Amount Proposer Fees Amount Card Type IIN / BIN the first 6 digits Last four digits of card number Authorization Code

The transaction file shall contain all of a day's transactions up to an agreed upon time (e.g. 12:00 A.M.). All transactions after that agreed upon time shall appear in the next day's transaction file. Proposer shall make the transaction file available to the County departments no later than 8:00 A.M., Central Standard Time on the following business day. The file shall reside on computer equipment ("Transaction File Server") that is protected from unauthorized access by means of a firewall. The Dallas County Tax Office's access to the files shall be a password protected 128-bit encrypted, nondegradable, Secure Sockets Layer (SSL), connection. In no event shall the full credit/debit card # be passed through the County’s network. Upon request of the Dallas County Tax Office and at the expense of Proposer, Proposer shall agree to have annual security audits conducted by a third party who shall be chosen by the Dallas County Tax Office. 5.9

Data Capture Capabilities 5.9.1

Proposer will be responsible for customer authentication, payment authorization, security, error processing, and reports.

5.9.2

Proposer shall have an automated system in place to capture all payment processing transaction data for descriptive billing, management reporting, and exception reporting purposes.

5.9.3

Proposer shall provide the County Tax Office with the capability to securely access, via password-protected site, real-time transaction information, generate reports with user 19

REQUEST FOR PROPOSAL NO. 2014-020-6402

defined parameters, exportable to excel and CRM (Customer Resource Management) a MicroSoft data base application.

5.10

5.9.4

All financial data and information regarding actual collections provided to the Dallas County Tax Office from Proposer shall maintain an accuracy level of 100%. Proposer shall not be responsible for any data or information that it provides to the County Tax Office which reflects inaccurate information provided to it by either the County or a taxpayer.

5.9.5

Payment history must be archived for no less than twelve months.

Reporting Capabilities 5.10.1 Reporting capabilities must be flexible enough to allow Tax Office the option to choose the report that best meets their specific needs. 5.10.2 Provide custom daily, weekly, and monthly detail and summary reports electronically to the Dallas County Tax Office the information needed to receipt the payment to the proper accounts. Reports should also be available via facsimile or regular mail if electronic reporting is not available for all reports that may be needed. 5.10.3 Provide a monthly report to the Accounting Divisions of the Dallas County Tax Office and the Auditor’s Office summarizing the activity of all payment channels by card type and issuing agency that includes gross sales, returns, net sales, total transaction counts, transaction type (i.e. online, POS, debit cards, credit cards, ACH, e-check) as well as any declined, rejected and failed transactions. This report must include all card types. 5.10.4 Provide exception reports of transactions that exceed control parameters to assist in the detection of fraud and misuse. 5.10.5 Proposer shall retain authorization logs and transaction records for such period of time as required by applicable law, regulations, and Dallas County Tax Office policies. The Proposer shall establish and maintain adequate records of all expenditures incurred under the Contract. All records shall be kept in accordance with generally accepted accounting principles. All procedures shall be in accordance with federal and State laws, local ordinances and County regulations. Throughout the Term of the Contract, the Dallas County Tax Office shall have the right at any time upon reasonable prior written notice to inspect Proposer’s transaction records for Dallas County Tax Office charges and associated Proposer fees. Any such inspection shall be made during regular business hours and comply with any reasonable security and confidentiality procedures of Proposer.

5.11

Security, Back-up and Compliances 5.11.1 Proposer is responsible for ensuring that appropriate security and encryption technology measures, features, mechanisms, and assurances are in place to safeguard the County’s and public information assets. This does not replace the obligation of the Proposer to comply with all of the County’s security policies and standards. 5.11.2 Proposer shall have security and control procedures in place to ensure the use of the card is legitimate. 5.11.3 Proposer will be required to provide a description of downtime procedures in the event that POS terminals or communication links are not operational.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

5.11.4 All networks being utilized to provide service and process transactions pursuing to this RFP must meet or exceed industry standards and is audited annually for confirmation of PCI Level 1 compliance, the highest possible level. 5.11.5 Proposer systems, software, processes and partners must adhere to the stringent requirements of the national Cardholder Information Security Program (CISP) and maintain full Payment Card Industry Data Security Standard (PCI DSS) compliance, AMEX Data Security Operations Policy (DSOP) and MasterCard Security Rules and Regulations. This insures that all transaction information will be protected from those not directly involved in the processing of a payment. The Proposer must include acknowledgement of responsibility for the security of cardholder data. 5.11.6 All transactions processed must be in accordance with and governed by applicable statutes and regulations, including NACHA operating rules and Federal Reserve Bank Regulation E. 5.11.7 Provide a copy of privacy policy to all users and to taxpayers upon request. 5.11.8 Proposer must adhere and abide to the requirements of Visa Tax Payment Program and MasterCard Convenience Fee Program rules and restrictions on fees on debit cards, credit cards and other payments types. 5.11.9 Must be fully in compliance with Texas Local Government Codes 130.0045 and 130.0046 Tax Assessor/Collector. 5.12

Restrictions and Limits 5.12.1 Proposer shall set control parameters for all payment processing services to the Dallas County Tax Office’s specifications.

5.13

Liability 5.13.1 The County will not accept any liability or financial responsibility for charges that have been incorrectly authorized.

5.14

Technical Support 5.14.1 Proposer shall provide a single point of contact for account management during the hours 8:00 am-5:00 pm (CST) Monday through Friday. 5.14.2 Proposer is responsible for providing live technical response to the Dallas County Tax Office and the general public taxpayers within one hour and resolution to problem or performance issues within 24 hours of the time the problem is reported. Technical response should be available from 6:00 a.m. – midnight (CST), seven days a week, 52 weeks a year to the Dallas County Tax Office and the general public taxpayer.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

5.14.3 Any planned upgrades and maintenance of the system will require 72-hour notice from the Proposer to the Dallas County Tax Office and the general public, via e-mail and posting on the payment website. 5.14.4 Shall keep the Dallas County Tax Office informed in a timely manner of all process or system changes required by the payment credit card industry. 5.14.5 Shall have adequate backup and Disaster Recovery plans as dictated by industry best practices and provide sample of plans. 5.14.6 Responsible for coordinating repairs among multiple vendors. 5.14.7 Shall assume responsibility for the performance of all equipment, materials, labor, software and programs. 5.14.8 Provide all updates and upgrades to the system during the Contract at no cost to Dallas County. 5.15

Customer Service Support Proposer shall provide a Customer Support Center (CSC) that taxpayers may call. The CSC shall have the capability to answer questions from taxpayers and the Dallas County Tax Office directly pertaining to the services provided by Proposer hereunder. The CSC shall also have the capability to direct taxpayers to the appropriate County Tax Office resources for non-billing issues. The CSC shall have the following minimum requirements: 5.15.1 Toll free phone number(s) for access to CSC attendants and/or pay-by-phone services. 5.15.2 CSC shall meet or exceed industry standard performance metrics for service levels including but not limited to the number of busy signals, average time that a call is placed on hold, average number of calls resolved on the first call, and call-back times. 5.15.3 Self-serve options to customers via a website and/or pay-by-phone channel. 5.15.4 Secure access to real-time transaction data, as necessary to research a given transaction. 5.15.5 Maintain a log of all calls received. 5.15.6 Attend phones at any time (i.e. 7/24/365). 5.15.7 Support additional languages other than English.

5.16

Personnel Resources 5.16.1 Proposer shall have the resources to ensure that services will be provided in an efficient and problem-free manner. 5.16.2 Proposer shall have assigned staff to handle account reconciliation and database updates.

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5.17

Training 5.17.1 Proposer shall provide training as related to payment and credit/debit processing requirements, such as procedures for handling retrieval requests, charge backs, accessing reports and transaction data, and/or other processes and procedures which may be required. 5.17.2 Proposer shall provide training on the utilization of the payments processing system software, hardware, terminals, and all other system functionalities. 5.17.3 Proposer shall provide training and all training materials. 5.17.4 Proposer shall continue to provide comprehensive training support for any new or expanded programs as well as other refresher courses to the Program Administrators as needed or requested by the County. 5.17.5 Proposer shall coordinate training with the Dallas County Tax Office designated representative. 5.17.6 The Dallas County Tax Office shall provide training facilities.

6.0

CONTRACT TERMS AND CONDITIONS 6.1

FORMAL REQUIREMENTS CONTRACT NECESSARY Proposer agrees that any Contract resulting from this RFP and award will be the formal requirements Contract between Proposer and the Dallas County Tax Office. This RFP or any resulting award does not guarantee any acceptance of products or services and does not guarantee that any purchases of products or services will be made.

6.2

CONTRACT TERM Any future Contract to be drafted and negotiated as a result of this RFP and award shall be for a two (2) year period from the date of the execution of Contract. The County reserves the right to renew this Contract for up to two (2) additional one (1) year term(s) subject to the availability of departmental funding, Proposer’s performance, mutual agreement by all parties, and the approval of the Dallas County Commissioners Court. All renewals/extensions shall be based on existing terms, conditions, and price structures set forth in the Contract or in formally signed amendments. Dallas County reserves the right, upon notice to the Proposer, to extend the term of the Contract, or any part of the Contract, for up to three (3) months upon the same terms and conditions. This will be utilized to prevent a lapse in Contract coverage and only for the time necessary, up to three (3) months, to enter into a new Contract.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

6.3

APPROPRIATION CONTINGENCY The Proposer recognizes that any Contract entered into should commence on the day first provided and continued in full force and effect until terminated in accordance with its provisions. The Proposer and the County Tax Office herein recognize that the continuation of any Contract after the close of business on September 30 of any given fiscal year of the County, shall be subject to approval by Dallas County Commissioners Court, of the budget of the Dallas County Tax Office providing for or covering such Contract item as an expenditure therein. The County does not represent that said budget item will be adopted, said determination being the determination of the Dallas County Commissioners Court at the time of the adoption of the budget. If such funds become reduced, unavailable, are not forthcoming, or are otherwise limited, the County may immediately terminate, reduce or modify the Contract without penalty.

6.4

INDEPENDENT CONTRACTOR Proposer at all times shall be an independent Contractor. The Proposer shall be fully responsible for all acts and omissions of its employees, subcontractors, and their suppliers, and shall be specifically responsible for sufficient supervision and inspection to insure compliance in every respect with the Contract requirements. There shall be no Contractual relationship between any subcontractor or supplier of the Proposer and the County by virtue of the Contract. No provision of the Contract shall be for the benefit of any party other than the County and Proposer.

6.5

CONTRACT REPRESENTATIVES Any changes in the method or nature of work to be performed under the Contract must be processed by the Dallas County Tax Office through the Proposer’s Contracts manager. Upon the execution of the Contract, the County will name its representative who will be legally authorized to obligate the County under the Contract.

6.6

INDEMNIFICATION To the fullest extent authorized by law, Proposer agrees that it will protect, defend, indemnify, and save whole and harmless the County and all of its officers, agents, and employees from and against all claims, demands, causes or action, damages, judgments, loss and expenses, including attorney’s fees, of whatsoever nature, character, or description that any person or entity has or may have arising from or on account of any injuries or damages (including but not restricted to death) received or sustained by any person, persons, or property, on account of, arising out of, or in connection with the performance of the work, including without limiting the generality of the foregoing, any negligent act or omission of the Proposer or any agent, servant, employee or sub-Contractor of the Proposer in the execution or performance of the Contract. Proposer further agrees to protect, indemnify and hold County harmless against and from any and all claims and against and from any and all loss, cost, damage, judgments or expense, including attorney’s fees arising out the breach of any of the requirements and provisions of the Contract of any failure of Proposer, its employees, officers, agents, Contractors, invitees, or assigns in any respect to comply with and perform all the requirements and provisions hereof.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

6.7

BILLS AND LIENS Proposer shall pay promptly all indebtedness for labor, materials, and equipment used in performance of the work. Proposer shall not permit any lien or charge to attach to the work or the premises, but if any does so attach, Proposer shall promptly procure its release and, in accordance with the executed contract, indemnify, defend, and hold County harmless and be responsible for payment of all costs, damages, penalties and expenses related to or arising from or related thereto.

6.8

LIABILITY AND OTHER INSURANCE COVERAGE REQUIREMENTS Any Proposer and subcontractors that conduct business with Dallas County, whether it is for goods and/or services, must maintain lawful worker's compensation/self-insured employee coverage requirements and adequate liability limitations. The Proposer, at its own expense, shall purchase and maintain the herein stipulated minimum insurance with companies duly licensed to do business in the State of Texas, possessing a current A.M. Best, Inc. Rating of “A” or better. The policies may provide coverage, which contain deductible or self- insured retention. Such deductible and/or self-insured retention shall not be applicable with respect to the coverage provided to Dallas County under such policies. The Proposer shall be solely responsible for all deductibles and/or self-insured retention. Prior to the execution of the award/issuance of a Contract, the purchasing agent requires the Proposer(s) to submit verification of the following coverage, showing Dallas County as the certificate holder and additional insurer with all dates inclusive of that of the awarded Contract. All insurance required herein shall be maintained in full force and effect throughout the term of the Contract, including all extensions. 6.8.1

6.8.2

Workers’ Compensation Insurance: Proposer shall procure and maintain, at its sole cost and expense Workers’ Compensation Insurance in the amount and in compliance with the provisions as provided for by Texas Law as established by the Texas Workers Compensation Act, Title 5, Subtitle A, Texas Labor Code for all of his employees assigned to operate or work under the Contract. In the event the Proposer elects to sublet any work, Proposer shall require subcontractors to provide Workers’ Compensation Insurance for all of the latter’s employees unless the Proposer affords such employees protection. Workers Compensation:

Statutory Limits

Employer’s Liability:

500,000 per occurrence (minimum)

Commercial General/Business Liability Insurance: Proposer shall procure and maintain, at its sole cost and expense, Commercial General/Business Liability Insurance with a limit not less than $1,000,000.00 for each occurrence with a $1,000,000 Products/Completed Operations Aggregate and a $2,000,000 General Aggregate Limit. The policy shall include coverage for bodily injury, personal injury, medical payments, broad form property damage, fire damage, legal liability, products and completed operations, independent Contractor’s, Contractual liability, and blanket Contractual coverage.

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REQUEST FOR PROPOSAL NO. 2014-020-6402

6.8.3

Error and Omission Liability Policy: Proposer shall procure and maintain, at its sole cost and expense, an Error and Omission Liability Policy with a limit not less than $2,000,000.00 for each occurrence.

6.8.4

Crime Policy/Fidelity Bond: Proposer shall procure and maintain, at its sole cost and expense, a Crime Policy/Fidelity Bond covering property of clients for inside/outside premises, including theft via electronic means; money & securities; depositors forgery; covering each employee of Proposer, whether or not they are compensated. The fidelity bond may be either a primary commercial blanket bond or a blanket position bond written by an insurer licensed by the Texas Insurance Commissioner. Proposer shall name Dallas County as Loss Payee. The fidelity bond shall provide a minimum coverage equivalent to Two Million Dollars ($2,000,000) for each occurrence. Proposer shall maintain the fidelity bond for the duration of the Contract. Proposer agrees that, with respect to the above referenced insurance, all insurance Contracts will contain the following required provisions a.

Except for Workers Compensation and Professional Liability, Dallas County and its officers, employees and elected officials as additional insured(s) (as the interest of each insured may appear) as to all applicable coverage.

b.

Provide for thirty (30) days’ notice to the County for cancellation, non-renewal or material change.

c.

Provide for endorsement that the “other insurance” clause shall not apply to Dallas County where County is the additional insured on the policy.

d.

Provide for notice to the County of any changes to policy.

e.

Proposer agrees to waive subrogation against Dallas County, its officers and employees for injuries, including death, property damage or any other loss.

f.

Proposer will agree that all provisions of the Contract concerning liability, duty and standard of care, will be underwritten by Contractual liability coverage sufficient to include obligation within applicable policies.

g.

Proposer and/or their freight Contractors must be prepared to show coverage verification prior to entering upon Dallas County premises.

Failure to comply with lawful requirements or adequate liability requirements may result in delay of payments, subject to the orders of the Commissioners Court, not to exceed a period of up to two years from the termination of the Contract, or cancellation of the Contract or both. (Court Order 2003-1792, September 30, 2003)

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6.8.5

INSURANCE LAPSES In the event Proposer fails to maintain insurance as required by the Contract, Proposer shall immediately cure such lapse in insurance coverage at Proposer’s sole expense, and pay County in full for all costs and expenses incurred by County under the Contract as a result of such failure to maintain insurance by Proposer, including costs and reasonable attorney’s fees relating to County’s attempt to cure such lapse in insurance coverage. Such costs and attorney’s fees, not to exceed fifteen hundred and 00/100 dollars ($1,500.00), shall be automatically deducted from monies or payments owed to Proposer by County. Moreover, the County shall retain five percent (5%) of the value of the Contract that shall be placed into an account from monies or payments owed to Proposer by County to cover County’s potential exposure to liability during the period of such lapse. The retainage shall be held by County until six (6) months after the term of the Contract has ended or has otherwise been terminated, cancelled or expired and shall be released if no claims are received or lawsuits filed against County for any matter that should have been covered by the required insurance. SUCCESSFUL PROPOSER FURTHER AGREES TO INDEMNIFY COUNTY FOR ANY PENALTIES, FINES, JURY AWARDS, COURT COSTS, LITIGATION EXENSES, AND ATTORNEYS’ FEES INCURRED BY COUNTY DUE TO PROPOSER’S FAILURE TO MAINTAIN THE REQUIRED INSURANCE AT ALL TIMES DURING THE TERM OF THE CONTRACT. PROPOSER (S), AT ITS OWN EXPENSE WITH COUNSEL OF COUNTY’S CHOICE, WILL DEFEND AND HOLD COUNTY HARMLESS IN ANY CLAIM OR ACTION AGAINST COUNTY THAT OCCURRED AS A DIRECT OR INDIRECT RESULT OF PROPOSER’S FAILURE TO MAINTAIN INSURANCE AT ALL TIMES DURING THE TERM OF THE CONTRACT. WITHOUT WAIVING ANY RIGHTS UNDER SOVEREIGN IMMUNITY, THE COUNTY SHALL COOPERATE WITH AND MAY MONITOR PROPOSER (S) IN THE DEFENSE OF ANY CLAIM, ACTION, OR PROCEEDING AND WILL, IF APPRORIATE, MAKE EMPLOYEES AVAILABLE AS PROPOSER MAY REASONABLY REQUEST WITH REGARD TO SUCH DEFRENSE, SUBJECT TO THE REIMBURSEMENT BY PROPOSER OF ALL COSTS AND EXPENSES OCCASIONED BY THE COUNTY’S COOPERATION IN SUCH DEFENSE. PROPOSER AGREES NOT TO SETTLE ANY SUCH CLAIM WITHOUT THE COUNTY’S CONSENT, WITH CONSENT WILL NOT BE UNREASONABLY WITHHELD OR DELAYED.

6.8.6

PROVISION OF HEALTH INSURANCE COVERAGE Dallas County may elect to give preference to Proposers who provide health insurance coverage to the Proposers’ employees that is comparable to the coverage Dallas County provides to its employees as allowed by Texas Local Government Code 262.0271. This RFP/Solicitation packet contains information concerning Dallas County’s health insurance coverage. Proposer s should review this information and determine if the level of coverage they provide is comparable. If subcontractors are to be utilized, this preference will only be considered if all subcontractors also provide comparable health insurance coverage to the subcontractors’ employees.

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6.9

DISCLOSURE FORM CIQ Effective January 1, 2006, Chapter 176 of the Texas Local Government Code requires that any Proposer or person considering doing business with a local government entity disclose in the Questionnaire Form CIQ, the Proposer or person's affiliation or business relationship that might cause a conflict of interest with a local government entity. By law, this questionnaire must be filed with the records administrator of Dallas County no later than the 7th business day after the date the person becomes aware of facts that require the statement to be filed. See Section 176.006, Local Government Code. A person commits an offense if the person violates Section 176.006, Local Government Code. An offense under this section is a Class C misdemeanor. The questionnaire is included in this solicitation. By submitting a response to this Questionnaire, the Proposer represents that it is in compliance with the requirements of Chapter 176 of the Texas Local Government Code. Please send completed forms to the Dallas County Clerk at 509 Main Street, 2nd Floor, Dallas, Texas 75202.

6.10

COMPLIANCE WITH THE LAW In providing the services required by this RFP and any future Contract, Proposer agrees to observe and comply with all applicable grant requirements, licenses, legal certifications, or inspections required for the services, facilities, personnel, equipment, or materials, and all applicable federal, state, and local statutes, ordinances, rules, and regulations.

6.11

LEGAL AUTHORITY Proposer is authorized to enter into the Contract pursuant to the authorization of its governing board or controlling owner or officer. The person or persons signing and executing the Contract on behalf of the parties, or representing themselves as signing and executing the Contract on behalf of the parties, warrant and guarantee that he, she, or they have been duly authorized by the parties to execute the Contract on behalf of the parties and to validly and legally bind the parties to all of its terms, conditions, performances, and provisions.

6.12

JURISDICTION AND VENUE The laws of the State of Texas shall govern any Contract, and all obligations of the parties created hereunder are performable in Dallas County, Texas. In any legal action arising from the Contract, the laws of Texas shall apply and exclusive venue shall lie in Dallas County, Texas.

6.13

LITIGATION In the best interest of the Dallas County, any Proposer who is currently involved, either directly or indirectly, with any litigation against or involving Dallas County may be disqualified and/or not considered for an award.

6.14

TERMINATION FOR CONVENIENCE The County may terminate the Contract for convenience. The County shall exercise its termination option by delivering to Proposer written notice of such termination identifying the termination date which shall be at least fifteen (15) days after the date of such notice. In connection with any such termination County shall have no liability to Proposer for amounts in excess of the normal charges through the date of termination. Such notice of termination shall be by registered or certified mail, return receipts requested, and will be deemed given upon receipt of such notice by the other party.

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6.15

TERMINATION FOR INSOLVENCY County shall have the option to terminate the Contract in its entirety if Proposer (i) becomes insolvent or is unable to meet its debts as they mature, (ii) files a voluntary petition in bankruptcy or seeks reorganization or to effect a plan or other arrangement with creditors, (iii) files an answer or other pleasing admitting, or fails to deny or contest, the material allegations of an involuntary petition filed against it pursuant to any applicable statute relating to bankruptcy or reorganization, (iv) shall be adjudicated a bankrupt or shall make an assignment for the benefit of its creditors generally, (v) shall apply for, consent to or acquiesce in the appointment of any receiver or trustee for all or a substantial part of its property, (vi) any such receiver or trustee shall appointed and shall not be discharged within thirty (30) days after date of such appointment.

6.16

TERMINATION FOR NON-PERFORMANCE The County may suspend, terminate, or modify the Contract immediately upon written notice to the Proposer in the event of a non-performance of stated objectives or other material breach of Contractual obligations; or upon the happening of any event which would jeopardize the ability of the Proposer to perform any of its Contractual obligations. If the Proposer should persistently or repeatedly refuse or should fail, except in cases for which extension of time is provided, to provide enough properly skilled workers or proper materials, or persistently disregard laws and ordinances, or not proceed with work or otherwise be guilty of, a substantial violation of any provision of the Contract, then the County may terminate the Contract. Prior to termination of the Contract, the County shall give the Proposer fifteen (15) days written notice. Upon receipt of such termination notice, the Proposer shall be allowed fifteen (15) days to cure such deficiencies or non-performance issues.

6.17

MONETARY RESTITUTION In the event the Contract is prematurely terminated due to breach, non-performance and/or withdrawal by the Contractor, Dallas County reserves the right to seek monetary restitution (to include but not limited to; withholding of monies owed) from the Contractor to cover costs for interim services and/or to cover the difference of a higher cost (difference between termination Proposer’s rate and new company’s rate) beginning the date of Proposer ’s termination through the Contract expiration date. In the event civil suit is filed to enforce this provision, Dallas County will seek attorney fees and cost of suit from the Proposer.

6.18

TERMINATION FOR CAUSE The County shall have the option to terminate the Contract, for cause: (i) for a material breach of such Contract by Proposer that is not cured by Proposer within fifteen (15) days of the date on which the County provides written notice of breach; (ii) for a material breach of such Contract by Proposer that is not reasonably subject to cure within fifteen (15) days after it occurrence; (iii) if it is determined by County, that there exists a plurality of non-material breaches by Proposer that have a material adverse impact on of services. County shall exercise its termination option by delivering the termination date which shall be at least fifteen (15) days from the date such termination notice is delivered to Proposer. Such notice of termination shall be by registered or certified mail, return receipts requested, and will be deemed given upon receipt of such notice by the other party.

29

REQUEST FOR PROPOSAL NO. 2014-020-6402

6.19

FAILURE TO PROVIDE SERVICES The County reserves the right to have service provided by other than the Proposer if the Proposer is unable or fails to provide requested service within the specified time frame.

6.20

CONFLICT OF INTEREST No official or employee shall have any financial interest, direct or indirect, in any Contract with the County or be financially interested, directly or indirectly, in the sale to the County of any land, materials, supplies or services, except on behalf of the County as an official or employee. Any violation of this section, with knowledge, expresses or implied, of the person or corporation contracting with the County shall render the Contract involved voidable by the Commissioners Court of Dallas County. It is the responsibility of the Contractor during all phases of the Contract process to notify the County in writing of any potential conflict of interest.

6.21

COLLUSION Proposer expressly warrants and certifies that neither the Proposer nor its employees or associates has directly or indirectly entered into any agreement, participated in any collusion or otherwise taken any action in restraint of free competition in conjunction with the Proposal or Contract. This paragraph does not however, preclude two or more supplier of certain parts of the requirements from presenting a combined or joint Proposal for the purpose of providing a complete Proposal.

6.22

SEVERABILITY Should any provision of the Contract which is determined to be invalid, void, or illegal shall in no way affect, impair, or invalidate any other provision hereof, and remaining provisions shall remain in full force and effect.

6.23

ADDITIONS/DELETIONS OF SERVICE The Dallas County Tax Office reserves the right to add and/or delete services to the Contract. Should a service requirement be deleted, agreed payment to the Proposer will be reduced proportionally to the amount of service reduced. Should additional services be required from the Contract, prices for such additions will be negotiated between the Proposer and County.

6.24

ASSIGNMENT OR SUBCONTRACTING The Proposer shall not sell, assign, transfer or convey the Contract, in whole or in part, without the prior written consent of the Dallas County. Should Dallas County authorize the Proposer to subcontract (assign) any portion of the Contract, the Proposer will maintain the ultimate legal responsibility for all services according to Contract specifications. In the event of a subcontract, the Proposer must maintain a continuous effective business relationship with the subcontractor(s) including, but not limited to, regular payments of all monies owed to any subcontractor. Any attempt by the Proposer to assign or subcontract any performance (in whole or part) of the Contract without the written consent of the County shall be null and void and shall constitute a breach of the Contract and will result in termination of the Contract and/or legal ramifications, due to nonperformance. Should Dallas County authorize the original Contractor to transfer the Contract, in whole or part, the secondary Contractor will maintain all the legal responsibilities set forth in the context of the Contract.

30

REQUEST FOR PROPOSAL NO. 2014-020-6402

6.25

AMENDMENTS All amendments to the Contract must be in writing and signed by all parties with approval by the Dallas County Commissioners Court through Court Order.

6.26

CHANGES The County may require changes in the scope of the services to be performed by the Proposer hereunder. All such changes, which are mutually agreed upon by and between all the parties, shall be incorporated in written amendments to the Contract and approved by the Dallas County Commissioners Court through a formal Court Order. All such amendments shall state any increase or decrease and the amount of the compensation due to the Proposer for the change in scope. Any alterations, additions, or deletions to the terms of the Contract which are required by changes in federal law and regulations or state statute are automatically incorporated into the Contract without written and administrative code amendment hereto, and shall become effective on the date designated by such law or regulation.

6.27

RECORDS, BOOKS, AND DOCUMENTS Upon reasonable notice, Proposer must provide, and cause its subcontractors to provide, the officials and entities identified in this section with prompt, reasonable, and adequate access to any and all authorization logs, transaction records, books, documents, and papers that are directly pertinent to the performance of the services covered under the Contract. Proposer and its subcontractors must provide the access described in this Section upon request for the following purposes: Examination; Audit; Investigation; Contract administration; or The making of copies, excerpts, or transcripts. The access required must be provided to the following officials and/or entities: Dallas County Tax Office Dallas County Auditor’s Office Any independent verification and validation Contractor or quality assurance Contractor, when acting on behalf of Dallas County; Proposer agrees to provide the access described wherever Proposer maintains such books, records, and supporting documentation. Proposer further agrees to provide such access in reasonable comfort and to provide any furnishings, equipment, or other conveniences deemed reasonably necessary to fulfill the purposes described in this section. Proposer will require its subcontractors to provide comparable access and accommodations

31

REQUEST FOR PROPOSAL NO. 2014-020-6402

6.28

RETENTION OF RECORDS The Proposer agrees to retain all financial books, records, and other documents relevant to the Contract for four (4) years after final payment or until after the resolution of any audit questions which could be more than four (4) years, whichever is longer. The County, Federal or State auditors, and any other persons duly authorized by the County shall have full access to, and the right to examine copy and make use of any and all said materials.

6.29

ADEQUACY OF RECORDS If the Proposer’s books, records and other documents relevant to the Contract are not sufficient to support and document that allowable services were provided to eligible clients the Proposer shall reimburse Dallas County for the services not so adequately supported and documented.

6.30

AUDIT DISALLOWANCES If at any time it is determined by the County that a cost for which payment has been made is a disallowed cost, the County shall notify the Proposer in writing of the disallowance and the required course of action, which shall be at the option of the County either to adjust any future claim submitted by the Proposer by the amount of the disallowance or to require repayment of the disallowed amount by the Proposer forthwith issuing a check payable to Dallas County.

6.31

RIGHTS IN DATA The County shall have the use of data and reports resulting from the Contract without additional cost or other restriction except as may be established by law or applicable regulation. Each party shall supply to the other party, upon request, any available information that is relevant to the Contract and to the performance hereunder.

6.32

VALIDITY The invalidity, in whole or in part, of any provision of the Contract shall not void or affect the validity of any other provision of the Contract.

6.33

CONTRACTOR LICENSE REQUIREMENT The Proposer shall procure all permits and licenses, and pay all charges, fees and incidentals necessary to the lawful conduct of his business. He shall keep himself fully informed of existing and future Federal, State, and Local laws, ordinances and regulations which in any manner affect the fulfillment of the Contract and shall comply with the same.

6.34

CONTRACTOR RESPONSIBILITY The Proposer will be responsible for any damages whatsoever to County and/or client property as applicable when such property is the responsibility or in the custody of the Proposer, his employees or subcontractors. Proposer agrees that all subcontractors performing work under the Contract shall comply with its provisions and it is expressly understood that all persons employed by the Proposer, either directly or indirectly, shall be considered employees of the Proposer, and not employees of Dallas County.

32

REQUEST FOR PROPOSAL NO. 2014-020-6402

Proposer acknowledges and agrees that it is liable and responsible for any act or omission by the Proposer, its employees, agents, officers, representatives, and subcontractors occurring in the course of Proposer’s performance of the Contract, whether such act or omission occurs on County property or elsewhere. Proposer shall be liable for any loss or damage arising out of or related to Proposer’s performance of the Contract. Proposer shall bear the above stated liability, even in absence of its own negligence, unless County actions caused the loss or damage (i.e., if regulation, but damage occurs. Proposer is responsible for such damages.) Proposer shall bear the above stated liability, consequential, incidental, direct, and indirect damages, and shall be liable for all costs, including attorney's fees, incurred by the County to enforce this provision. 6.35

EMPLOYEE RESPONSIBILITY No responsibility will attach to a County employee for the premature opening of a Proposal not properly addressed and identified in accordance with the Proposal requirements.

6.36

CONTRACT ADMINISTRATION To help ensure Solicitation/RFP/Proposal process and Contract compliance, a Contract administration will be made an integral part of this process and Contract. County employees will be assigned as Contract monitors. The Proposer (s) will be made aware of the findings from the process and participate in the post award meeting. The Contract administration is an audit and feedback system and will be in addition to any of the other policies and procedures contained therein. The Contract administration process is a quality management tool that empowers the participants to monitor and assure process and Contract compliance. The Proposer (s) would be closely monitored for process and Contract compliance. No additional cost is anticipated to be incurred by the Proposer (s) by the presence of the Contract administration as long as process and Contract compliance is maintained. Except for the more formalized feedback of findings, the normal Proposer relationship will exist when within compliance and the Contract administration should be transparent.

6.37

DELIVERY It shall be the Proposer’s responsibility to meet the County's delivery requirements, as called for in the General and Technical Specifications. Dallas County reserves the right to obtain material on the open market in the event the Proposer fails to make delivery and any price differential will be charged against the Proposer.

6.38

COMPENSATION This is a Contract between the County and Proposer for Electronic Payments Processing Services and Solution Provider as provided in the Functional and Technical Specifications. The Proposer agrees to provide all goods, perform all services, and furnish all staffing and materials required, for any reasonably unforeseen difficulties which may arise or be encountered in the execution of the services until acceptance, for risks connected with the services, and for performance by the Proposer of all its duties and obligations hereunder.

6.39

PROPOSERS WARRANTIES AND REPRESENTATION By signing any Contract resulting from this RFP, Proposer further warrants and represents that it has become fully acquainted with conditions, facts, and circumstances related to providing services as requested in the RFP. The failure or omissions of the Proposer to acquaint itself with the existing conditions, facts, and circumstances, shall in no way relieve it of any obligation with respect to the Contract

33

REQUEST FOR PROPOSAL NO. 2014-020-6402

VOLUNTARY MORATORIUM ON CAMPAIGN CONTRIBUTIONS In accordance with Dallas County’s Transparency Policy, parties interested in responding to this RFP/RFQ are encouraged to sign this statement indicating your willingness to temporarily refrain from making any donation to any Dallas County elected official or candidate for office whose office (or potential office) has any involvement in the selection process for the associated contract during the pendency of the RFP/RFQ through thirty (30) days after the contract is awarded. We hereby agree as stated;

Firm Name: ____________________________________________________________ Signature and Title of Individual Authorized to Bind Company:

__________________________________

Title: ___________________________

Print Name: ____________________________________________________________ Date: __________________________________________________________________ 34

REQUEST FOR PROPOSAL NO. 2014-020-6402

DALLAS COUNTY INSURANCE REQUIREMENT AFFIDAVIT THIS FORM IS NOT A SUBSTITUTE FOR THE REQUIRED POLICY AND/OR STATE APPROVED CERTIFICATE OF INSURANCE FORM To Be Completed By Insurance Agent/Broker and Bidder I, the undersigned Agent/Broker, reviewed the insurance requirement contained in this bid document. If the Bidder shown below is awarded this contract by Dallas County, I will be able to, within ten (10) days after contract award and prior to commencement of services, meet all of the insurance requirements in this bid. Insurance Coverage Reviewed:

_________________________________________________________________________________

Agent’s Name:

_________________________________________________________________________________

Agency Name:

_________________________________________________________________________________

Address:

___________________________________________________________________________________

City/State/Zip:

___________________________________________________________________________________

Telephone No:

(_____)______________________________________________________________________________

Fax No:

(_____)_____________________________________________________________________________

Bidder’s Name and Company:

__________________________________________________________________________________

Project/Bid No. and Title:

__________________________________________________________________________________

By submitting a bid and signing below I affirm the following: I am aware of all costs to provide the required insurance, will do so pending contract award, and will have my insurance agent provide this information to Dallas County, meeting all requirements within ten days of notification of award.

If the above ten day requirement is not met, Dallas County reserves the right to cancel the contract for non-performance. If you have any questions concerning these requirements, please contact the Dallas County Human Resource / Civil Service’s Risk Manager at 214-653-7668. Insurance Agent/Broker Signature:

______________________________________________________________________________

Date:

______________________________________________________________________________

Bidder’s Signature:

______________________________________________________________________________

Date:

______________________________________________________________________________

35

REQUEST FOR PROPOSAL NO. 2014-020-6402

WAIVER OF WORKERS' COMPENSATION INSURANCE AFFIDAVIT STATE OF TEXAS COUNTY OF DALLAS

§ § §

BEFORE ME, the undersigned authority personally appeared _____________________________________________________, individually and doing business as _____________________________________________________________________________________, who after being by me first duly sworn, deposed and stated as follows: 1.

“My name is ___________________________________________________ appearing herein individually and as president and

sole owner of _______________________________________________________________________. I am over 21 years of age, of sound mind, authorized and fully competent to make this affidavit. I have never been convicted of a felony or misdemeanor involving moral turpitude. I have personal knowledge of the facts and representations stated for the reasons stated herein, and such facts and representations are true and correct. 2.

“My name is __________________________________________________________.

I am president and sole owner of

_______________________________________________________________________________________________________________ located at

__________________________________________________________________________________________________________________.

Dallas County issued Solicitation No. ______________________ (hereinafter “Bid/RFP”). Bid/RFP provisions required the successful contractor to maintain Workers’ Compensation Insurance Coverage meeting the requirements and coverage amounts as established by the Texas Workers’ Compensation Act, Title 5, Subtitle A, Texas Labor Code. I do not maintain Workers’ Compensation Insurance as required by the proposed bid. I am ineligible for purchasing Workers’ Compensation Insurance as required by the proposed bid in that I do not meet the minimum requirements to purchase such insurance for the following reasons: ___________________________________________________________________________. Further affiant sayeth not.”

___________________________________________ Name

_____________________________________________________________ Company

SWORN TO AND SUBSCRIBED TO BEFORE ME, on this _____ day of ___________________________________, 20_____.

____________________________________________________________ Notary Public in and for the State of _____________________ _______________________________________ Commission Expires

36

REQUEST FOR PROPOSAL NO. 2014-020-6402

DALLAS COUNTY M/WBE SPECIFICATIONS Matthew Parson, Minority Business Officer Minority & Women Business Enterprises

37

REQUEST FOR PROPOSAL NO. 2014-020-6402

MINORITY/WOMAN BUSINESS SPECIFICATIONS For Bids/RFPs I. POLICY STATEMENT Dallas County is wholly committed to developing, establishing, maintaining, and enhancing minority involvement in the total procurement process. It is the policy of Dallas County to involve qualified minority/women-owned businesses to the greatest extent feasible in the County's procurement of goods, equipment, services, and construction projects. The County, its contractors, their suppliers and subcontractors, and vendors of goods, equipment services, and professional services shall not discriminate on the basis of race, color, religion, national origin, handicap, or sex in the award and/or performance of contracts. However, competition and quality of work remains the ultimate "yardstick" in contractor, subcontractor, vendor, service, professional service, and supplier utilization. All vendors, suppliers, professionals, and contractors doing business or anticipating doing business with Dallas County shall support, encourage, and implement affirmative steps toward our common goal of establishing equal opportunity for all citizens of Dallas County.

II. REQUIREMENT OF ALL BIDDERS/PROPOSERS: Each firm responding to this solicitation shall be required to submit with their bid/proposal information regarding minority/women business participation in this project. This would include: Check upon completion (forms attached):  1. Compliance with Dallas County's Good Faith Effort Policy  2. MBE/WBE Participation Report Form  3. A Letter of Assurance A or Letter of Assurance B  4. MBE/WBE Identification  5. EEO-1 Form (To be submitted by the prime and any sub with 20% or more of the contract).  6. Dallas County M/WBE Payment Report.

Note In the event that the awarded vendor is authorized to subcontract and commits effort to utilize minority and/or women-owned businesses as subcontractors, the name, address and telephone number of the actual subcontractor(s) with actual dollar awards to these subcontractors must be submitted to the Purchasing Department within five (5) working days after bids are opened. Once work commences, the awarded vendor (prime contractor) must submit an M/WBE subcontractor status payment report (attached) with each payment invoice before payments will be authorized for release.

38

REQUEST FOR PROPOSAL NO. 2014-020-6402

1. GOOD FAITH EFFORT Prior to an award, all bidders/proposers will be required to document a "Good Faith Effort" to secure minority/women-owned businesses as subcontractors/subconsultants. In the case of some construction projects, this documentation may be submitted after award of the contract, for those subcontract areas occurring later in the construction process. However, if the successful bidder/proposer does not document a "Good Faith Effort" in securing minority/women-owned businesses, a representative of the company must appear before the Dallas County Commissioners Court and explain the situation and answer any questions raised by the Court. Fulfillment of the "good faith effort" can be accomplished by: 1.

Attendance of pre-bid/pre-proposal conference, as scheduled by the County.

2.

Efforts to follow-up initial solicitation of interest by contacting minority/women-owned firms to determine with certainty whether these firms are interested.

3.

Efforts made to select portions of the work proposed to be performed by minority/women-owned firms in order to increase the likelihood of achieving participation (including, where appropriate, breakdown of subcontracts into economically feasible units to facilitate participation).

4.

Documenting each minority/woman-owned firm contacted, the conclusion or decision regarding inclusion and reasons for the conclusions.

5.

Efforts to assist the minority/women-owned firms contacted that needed assistance in obtaining bonding, lines of credit or insurance.

6.

Efforts that demonstrate that the contractor effectively used the services of available community organizations, contractor's groups, local, state and federal agencies, small businesses, minority/women business assistance offices and other organizations that provide assistance and placement of minority/woman-owned businesses.

Signed: _______________________________________

Printed Name:__________________________________

Title:

_______________________________________

Date: _________________________________________

39

REQUEST FOR PROPOSAL NO. 2014-020-6402

2. MBE/WBE PARTICIPATION REPORT ___________________________________________________________ PROJECT NUMBER

____________________________________________________ PROJECT TITLE

Total Amount of Your Bid/Proposal $__________________________________ (The amount above should equal the total amount as shown on the bid sheet) List each MBE/WBE business that you plan to use on this initiative. Deletion of firms must be approved by Dallas County prior to finalization. Name of MBE/WBE

NCTRCA* Certification #

Phone #

S / M**

Description of Work

Amount

%

________________________

______________________

__________

________

_______________________

__________

___

________________________

______________________

__________

________

_______________________

__________

___

________________________

______________________

__________

________

_______________________

__________

___

________________________

______________________

__________

________

_______________________

__________

___

*North Central Texas Regional Certification Agency - **S = Sub (contractor/consultant) **M= Material Supplier  No MBE/WBE’s Added: Please Explain:____________________________________________________________________________________________________________ _________________________________________________________________________________________________________________________________________________ COMPLETE THIS PORTION OF THE FORM WITH DATA ON YOUR COMPANY. NAME OF YOUR BUSINESS:

ADDRESS:

PHONE#

______________________________

_________________________________________________________

(_____)____________

_____________________________ Printed Name Of Preparer

_______________________________ Signature

__________________ Date

_____________________ Title

40

REQUEST FOR PROPOSAL NO. 2014-020-6402

3. LETTERS OF ASSURANCE Letter Of Assurance "A" The undersigned bidder/proposer hereby assures that our firm will meet or exceed submitted M/WBE goals and shall demonstrate and document a Good Faith Effort to comply with the Dallas County’s Minority and Woman-Owned Business Involvement Policy in subcontract/subconsultant awards. The undersigned further agrees that any deviation from the initial goals will be done so only with the concurrence of Dallas County.

_________________________________ Name of Company

________________________ Signature

_________________ Title (Officer of firm)

____________ Date

(Complete this section only if you’re planning to use the services of an NCTRCA certified vendor) or Letter Of Assurance "B" The undersigned bidder/proposer hereby certifies that our firm will perform the contract:  with our own work forces, and submit information sufficient to demonstrate that it is your normal business practice to do so. or  without the services of M/WBE subcontractors/subconsultants. The undersigned further submits GFE documented attempt(s).

_________________________________ Name of Company

________________________ Signature

_________________ Title (Officer of firm)

____________ Date

(Complete this section only if you’re not planning to use the services of an NCTRCA certified vendor) NOTE: Each bidder/proposer will be required to sign one of the above letters of assurance which should be returned with proposal. ============================================================================

4. PRIME CONTRACTOR MBE/WBE IDENTIFICATION Minority Business Enterprise (MBE) - The bidder/proposer represents that it:  is,  is not a minority-owned business, NCTRCA* #_________________________________________________ Woman Business Enterprise (WBE) - The bidder/proposer represents that it:  is,

 is not a woman-owned business, NCTRCA* #_________________________________________________

*NCTRCA = North Central Texas Regional Certification Agency

41

REQUEST FOR PROPOSAL NO. 2014-020-6402

5. EEO-1 Form (To be submitted by the prime and any sub with 20% or more of the contract). NAME OF FIRM: 5. Section D- EMPLOYMENT DATA Employment at this establishment- Report all permanent full and part-time employees including apprentices and on-the-job trainees unless specifically excluded as set forth in the instructions. Enter the appropriate figures on all lines and in all columns. Blank spaces will be considered as zeros. Number of Employees (Report employees in only one category) Race/Ethnicity Not-Hispanic or Latino TOTAL COL. Hispanic or Latino Male Female A-N Native Native American American Black or Hawaiian or Hawaiian Black or Two or Indian or Indian or Two or more Male Female White African Asian Asian Other or Other White African more Alaska Alaska races American Pacific Pacific American races Native Native Islander Islander

Job Categories

Executive/Senior Level officials and Managers First/Mid-Level Officials and Managers Professionals Technicians Sales Workers Administrative Support Workers Craft Workers Operatives Laborers and Helpers Service Workers TOTAL PREVIOUS YEAR TOTAL

A

B

C

D

E

F

G

H

I

J

K

L

M

N

O

1.1 1.2 2 3 4 5 6 7 8 9 10 11

1. Date(s) of payroll period used: __________________________________ (Omit on the Consolidated Report.) Section E-ESTABLISHMENT INFORMATION (Omit on the Consolidated Report). What is the major activity of this establishment? (Be specific, i.e., manufacturing steel casings, retail grocer, wholesale plumbing supplies, title insurance, etc. Include the specific type of product or type of service provided, as well as the principal business or industrial activity.) Section F- REMARKS-Use this item to give any identification data appearing on the last EEO-1 report which differs from that given above, explain major changes in composition of reporting units and other pertinent information Section G- CERTIFICATION 1 □ All reports are accurate and were prepared in accordance with the instructions. (Check on Consolidated Report only.) Check One 2 □ This report is accurate and was prepared in accordance with the instructions. Name of Certifying Official

Title

Signature

Name of person to contact regarding this report

Title

Address (Number and Street)

City and State

Zip Code

Telephone No. (including area code and extension)

Date Email address

All reports and information obtained from individual reports will be kept confidential as required by Section 709(e) of Title VII. WILLFULLY FALSE STATEMENTS ON THIS REPORT ARE PUNISHABLE BY LAW, U.S CODE, TITLE 18, SECTION 1001 Description of Race and Ethnic Identification and Job Categories are found @ http://www.eeoc.gov/employers/eeo1survey/2007instructions.cfm / Appendix 4. Race and Ethnic Identification / and Appendix 5. Description of Job Categories 42

REQUEST FOR PROPOSAL NO. 2010-067-5121

6. DALLAS COUNTY MBE/WBE PAYMENT REPORT ________________________ Project Number

________________________________________________ Project Title

____________ Invoice #

____________ Work Order Date

____________ Job #

Prime/General Contractor:_____________________________________________________________________________________ List each MBE/WBE business that you plan to use on this initiative. Deletion of firms must be approved by Dallas County prior to finalization. Name of MBE/WBE

Planned Amount

Planned %

Amount of invoice

Amt Paid to Date

% to Date

______________________________

___________________

__________

___________________

_________________

____________

______________________________

___________________

__________

___________________

_________________

____________

______________________________

___________________

__________

___________________

_________________

____________

______________________________

___________________

__________

___________________

_________________

____________

______________________________

___________________

__________

___________________

_________________

____________

Note: This form must be completed and submitted with each payment request. Any (significant) deviation from planned should include attached explanation ============================================================================================================================================================= Reviewed by:

The information listed above is certified to be correct: ______________________________ ________________________________ Printed Name of Officer/Director Signature of Officer/Director

____________ Date

43

__________________________ Dallas County Project Manager

_______ Date

W-9

Request for Taxpayer Identification Number and Certification

Form (Rev. January 2011) Department of the Treasury Internal Revenue Service

Give Form to the requester. Do not send to the IRS.

Print or type See Specific Instructions on page 2.

Name (as shown on your income tax return) Business name/disregarded entity name, if different from above Check appropriate box for federal tax classification (required):

Individual/sole proprietor

C Corporation

S Corporation

Partnership

Trust/estate Exempt payee

Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership) ▶ Other (see instructions) ▶ Address (number, street, and apt. or suite no.)

Requester’s name and address (optional)

City, state, and ZIP code List account number(s) here (optional)

Part I

Taxpayer Identification Number (TIN)

Enter your TIN in the appropriate box. The TIN provided must match the name given on the “Name” line to avoid backup withholding. For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3.

Social security number

Note. If the account is in more than one name, see the chart on page 4 for guidelines on whose number to enter.

Employer identification number

Part II







Certification

Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. I am a U.S. citizen or other U.S. person (defined below). Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 4.

Sign Here

Signature of U.S. person ▶

Date ▶

General Instructions Section references are to the Internal Revenue Code unless otherwise noted.

Purpose of Form A person who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) to report, for example, income paid to you, real estate transactions, mortgage interest you paid, acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA. Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN to the person requesting it (the requester) and, when applicable, to: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners’ share of effectively connected income.

Note. If a requester gives you a form other than Form W-9 to request your TIN, you must use the requester’s form if it is substantially similar to this Form W-9. Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: • An individual who is a U.S. citizen or U.S. resident alien, • A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States, • An estate (other than a foreign estate), or • A domestic trust (as defined in Regulations section 301.7701-7). Special rules for partnerships. Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax on any foreign partners’ share of income from such business. Further, in certain cases where a Form W-9 has not been received, a partnership is required to presume that a partner is a foreign person, and pay the withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid withholding on your share of partnership income.

Cat. No. 10231X

Form W-9 (Rev. 1-2011)

Page 2

Form W-9 (Rev. 1-2011)

The person who gives Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business in the United States is in the following cases: • The U.S. owner of a disregarded entity and not the entity, • The U.S. grantor or other owner of a grantor trust and not the trust, and • The U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Foreign person. If you are a foreign person, do not use Form W-9. Instead, use the appropriate Form W-8 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a “saving clause.” Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes. If you are a U.S. resident alien who is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of income, you must attach a statement to Form W-9 that specifies the following five items: 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese student who qualifies for this exception (under paragraph 2 of the first protocol) and is relying on this exception to claim an exemption from tax on his or her scholarship or fellowship income would attach to Form W-9 a statement that includes the information described above to support that exemption. If you are a nonresident alien or a foreign entity not subject to backup withholding, give the requester the appropriate completed Form W-8. What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS a percentage of such payments. This is called “backup withholding.” Payments that may be subject to backup withholding include interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive if you give the requester your correct TIN, make the proper certifications, and report all your taxable interest and dividends on your tax return.

Payments you receive will be subject to backup withholding if: 1. You do not furnish your TIN to the requester, 2. You do not certify your TIN when required (see the Part II instructions on page 3 for details), 3. The IRS tells the requester that you furnished an incorrect TIN, 4. The IRS tells you that you are subject to backup withholding because you did not report all your interest and dividends on your tax return (for reportable interest and dividends only), or 5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only).

Certain payees and payments are exempt from backup withholding. See the instructions below and the separate Instructions for the Requester of Form W-9. Also see Special rules for partnerships on page 1.

Updating Your Information You must provide updated information to any person to whom you claimed to be an exempt payee if you are no longer an exempt payee and anticipate receiving reportable payments in the future from this person. For example, you may need to provide updated information if you are a C corporation that elects to be an S corporation, or if you no longer are tax exempt. In addition, you must furnish a new Form W-9 if the name or TIN changes for the account, for example, if the grantor of a grantor trust dies.

Penalties Failure to furnish TIN. If you fail to furnish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failure is due to reasonable cause and not to willful neglect. Civil penalty for false information with respect to withholding. If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty. Criminal penalty for falsifying information. Willfully falsifying certifications or affirmations may subject you to criminal penalties including fines and/or imprisonment. Misuse of TINs. If the requester discloses or uses TINs in violation of federal law, the requester may be subject to civil and criminal penalties.

Specific Instructions Name If you are an individual, you must generally enter the name shown on your income tax return. However, if you have changed your last name, for instance, due to marriage without informing the Social Security Administration of the name change, enter your first name, the last name shown on your social security card, and your new last name. If the account is in joint names, list first, and then circle, the name of the person or entity whose number you entered in Part I of the form. Sole proprietor. Enter your individual name as shown on your income tax return on the “Name” line. You may enter your business, trade, or “doing business as (DBA)” name on the “Business name/disregarded entity name” line. Partnership, C Corporation, or S Corporation. Enter the entity's name on the “Name” line and any business, trade, or “doing business as (DBA) name” on the “Business name/disregarded entity name” line. Disregarded entity. Enter the owner's name on the “Name” line. The name of the entity entered on the “Name” line should never be a disregarded entity. The name on the “Name” line must be the name shown on the income tax return on which the income will be reported. For example, if a foreign LLC that is treated as a disregarded entity for U.S. federal tax purposes has a domestic owner, the domestic owner's name is required to be provided on the “Name” line. If the direct owner of the entity is also a disregarded entity, enter the first owner that is not disregarded for federal tax purposes. Enter the disregarded entity's name on the “Business name/disregarded entity name” line. If the owner of the disregarded entity is a foreign person, you must complete an appropriate Form W-8. Note. Check the appropriate box for the federal tax classification of the person whose name is entered on the “Name” line (Individual/sole proprietor, Partnership, C Corporation, S Corporation, Trust/estate). Limited Liability Company (LLC). If the person identified on the “Name” line is an LLC, check the “Limited liability company” box only and enter the appropriate code for the tax classification in the space provided. If you are an LLC that is treated as a partnership for federal tax purposes, enter “P” for partnership. If you are an LLC that has filed a Form 8832 or a Form 2553 to be taxed as a corporation, enter “C” for C corporation or “S” for S corporation. If you are an LLC that is disregarded as an entity separate from its owner under Regulation section 301.7701-3 (except for employment and excise tax), do not check the LLC box unless the owner of the LLC (required to be identified on the “Name” line) is another LLC that is not disregarded for federal tax purposes. If the LLC is disregarded as an entity separate from its owner, enter the appropriate tax classification of the owner identified on the “Name” line.

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Form W-9 (Rev. 1-2011)

Other entities. Enter your business name as shown on required federal tax documents on the “Name” line. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on the “Business name/ disregarded entity name” line.

Exempt Payee If you are exempt from backup withholding, enter your name as described above and check the appropriate box for your status, then check the “Exempt payee” box in the line following the “Business name/ disregarded entity name,” sign and date the form. Generally, individuals (including sole proprietors) are not exempt from backup withholding. Corporations are exempt from backup withholding for certain payments, such as interest and dividends. Note. If you are exempt from backup withholding, you should still complete this form to avoid possible erroneous backup withholding. The following payees are exempt from backup withholding: 1. An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the requirements of section 401(f)(2), 2. The United States or any of its agencies or instrumentalities, 3. A state, the District of Columbia, a possession of the United States, or any of their political subdivisions or instrumentalities, 4. A foreign government or any of its political subdivisions, agencies, or instrumentalities, or 5. An international organization or any of its agencies or instrumentalities. Other payees that may be exempt from backup withholding include: 6. A corporation, 7. A foreign central bank of issue, 8. A dealer in securities or commodities required to register in the United States, the District of Columbia, or a possession of the United States, 9. A futures commission merchant registered with the Commodity Futures Trading Commission, 10. A real estate investment trust, 11. An entity registered at all times during the tax year under the Investment Company Act of 1940, 12. A common trust fund operated by a bank under section 584(a), 13. A financial institution, 14. A middleman known in the investment community as a nominee or custodian, or 15. A trust exempt from tax under section 664 or described in section 4947. The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above, 1 through 15. IF the payment is for . . .

THEN the payment is exempt for . . .

Interest and dividend payments

All exempt payees except for 9

Broker transactions

Exempt payees 1 through 5 and 7 through 13. Also, C corporations.

Barter exchange transactions and patronage dividends

Exempt payees 1 through 5

Payments over $600 required to be Generally, exempt payees reported and direct sales over 1 through 7 2 1 $5,000 1 2

See Form 1099-MISC, Miscellaneous Income, and its instructions. However, the following payments made to a corporation and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys' fees, gross proceeds paid to an attorney, and payments for services paid by a federal executive agency.

Part I. Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN is your IRS individual taxpayer identification number (ITIN). Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN below. If you are a sole proprietor and you have an EIN, you may enter either your SSN or EIN. However, the IRS prefers that you use your SSN. If you are a single-member LLC that is disregarded as an entity separate from its owner (see Limited Liability Company (LLC) on page 2), enter the owner’s SSN (or EIN, if the owner has one). Do not enter the disregarded entity’s EIN. If the LLC is classified as a corporation or partnership, enter the entity’s EIN. Note. See the chart on page 4 for further clarification of name and TIN combinations. How to get a TIN. If you do not have a TIN, apply for one immediately. To apply for an SSN, get Form SS-5, Application for a Social Security Card, from your local Social Security Administration office or get this form online at www.ssa.gov. You may also get this form by calling 1-800-772-1213. Use Form W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an ITIN, or Form SS-4, Application for Employer Identification Number, to apply for an EIN. You can apply for an EIN online by accessing the IRS website at www.irs.gov/businesses and clicking on Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS-4 from the IRS by visiting IRS.gov or by calling 1-800-TAX-FORM (1-800-829-3676). If you are asked to complete Form W-9 but do not have a TIN, write “Applied For” in the space for the TIN, sign and date the form, and give it to the requester. For interest and dividend payments, and certain payments made with respect to readily tradable instruments, generally you will have 60 days to get a TIN and give it to the requester before you are subject to backup withholding on payments. The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester. Note. Entering “Applied For” means that you have already applied for a TIN or that you intend to apply for one soon. Caution: A disregarded domestic entity that has a foreign owner must use the appropriate Form W-8.

Part II. Certification To establish to the withholding agent that you are a U.S. person, or resident alien, sign Form W-9. You may be requested to sign by the withholding agent even if item 1, below, and items 4 and 5 on page 4 indicate otherwise. For a joint account, only the person whose TIN is shown in Part I should sign (when required). In the case of a disregarded entity, the person identified on the “Name” line must sign. Exempt payees, see Exempt Payee on page 3. Signature requirements. Complete the certification as indicated in items 1 through 3, below, and items 4 and 5 on page 4. 1. Interest, dividend, and barter exchange accounts opened before 1984 and broker accounts considered active during 1983. You must give your correct TIN, but you do not have to sign the certification. 2. Interest, dividend, broker, and barter exchange accounts opened after 1983 and broker accounts considered inactive during 1983. You must sign the certification or backup withholding will apply. If you are subject to backup withholding and you are merely providing your correct TIN to the requester, you must cross out item 2 in the certification before signing the form. 3. Real estate transactions. You must sign the certification. You may cross out item 2 of the certification.

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Form W-9 (Rev. 1-2011)

4. Other payments. You must give your correct TIN, but you do not have to sign the certification unless you have been notified that you have previously given an incorrect TIN. “Other payments” include payments made in the course of the requester’s trade or business for rents, royalties, goods (other than bills for merchandise), medical and health care services (including payments to corporations), payments to a nonemployee for services, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys (including payments to corporations). 5. Mortgage interest paid by you, acquisition or abandonment of secured property, cancellation of debt, qualified tuition program payments (under section 529), IRA, Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension distributions. You must give your correct TIN, but you do not have to sign the certification.

What Name and Number To Give the Requester For this type of account:

Give name and SSN of:

1. Individual 2. Two or more individuals (joint account)

The individual The actual owner of the account or, if combined funds, the first 1 individual on the account

3. Custodian account of a minor (Uniform Gift to Minors Act)

The minor

4. a. The usual revocable savings trust (grantor is also trustee) b. So-called trust account that is not a legal or valid trust under state law 5. Sole proprietorship or disregarded entity owned by an individual 6. Grantor trust filing under Optional Form 1099 Filing Method 1 (see Regulation section 1.671-4(b)(2)(i)(A)) For this type of account:

The grantor-trustee

7. Disregarded entity not owned by an individual 8. A valid trust, estate, or pension trust

The owner

2

The actual owner The owner

The grantor*

Give name and EIN of:

Legal entity

4

The corporation

13. Account with the Department of Agriculture in the name of a public entity (such as a state or local government, school district, or prison) that receives agricultural program payments 14. Grantor trust filing under the Form 1041 Filing Method or the Optional Form 1099 Filing Method 2 (see Regulation section 1.671-4(b)(2)(i)(B))

The public entity

2 3

1

3

9. Corporation or LLC electing corporate status on Form 8832 or Form 2553 10. Association, club, religious, charitable, educational, or other tax-exempt organization 11. Partnership or multi-member LLC 12. A broker or registered nominee

1

1

The organization

The partnership The broker or nominee

Note. If no name is circled when more than one name is listed, the number will be considered to be that of the first name listed.

Secure Your Tax Records from Identity Theft Identity theft occurs when someone uses your personal information such as your name, social security number (SSN), or other identifying information, without your permission, to commit fraud or other crimes. An identity thief may use your SSN to get a job or may file a tax return using your SSN to receive a refund. To reduce your risk: • Protect your SSN, • Ensure your employer is protecting your SSN, and • Be careful when choosing a tax preparer. If your tax records are affected by identity theft and you receive a notice from the IRS, respond right away to the name and phone number printed on the IRS notice or letter. If your tax records are not currently affected by identity theft but you think you are at risk due to a lost or stolen purse or wallet, questionable credit card activity or credit report, contact the IRS Identity Theft Hotline at 1-800-908-4490 or submit Form 14039. For more information, see Publication 4535, Identity Theft Prevention and Victim Assistance. Victims of identity theft who are experiencing economic harm or a system problem, or are seeking help in resolving tax problems that have not been resolved through normal channels, may be eligible for Taxpayer Advocate Service (TAS) assistance. You can reach TAS by calling the TAS toll-free case intake line at 1-877-777-4778 or TTY/TDD 1-800-829-4059. Protect yourself from suspicious emails or phishing schemes. Phishing is the creation and use of email and websites designed to mimic legitimate business emails and websites. The most common act is sending an email to a user falsely claiming to be an established legitimate enterprise in an attempt to scam the user into surrendering private information that will be used for identity theft. The IRS does not initiate contacts with taxpayers via emails. Also, the IRS does not request personal detailed information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access information for their credit card, bank, or other financial accounts. If you receive an unsolicited email claiming to be from the IRS, forward this message to [email protected]. You may also report misuse of the IRS name, logo, or other IRS property to the Treasury Inspector General for Tax Administration at 1-800-366-4484. You can forward suspicious emails to the Federal Trade Commission at: [email protected] or contact them at www.ftc.gov/idtheft or 1-877-IDTHEFT (1-877-438-4338). Visit IRS.gov to learn more about identity theft and how to reduce your risk.

The trust

List first and circle the name of the person whose number you furnish. If only one person on a joint account has an SSN, that person’s number must be furnished. Circle the minor’s name and furnish the minor’s SSN. You must show your individual name and you may also enter your business or “DBA” name on the “Business name/disregarded entity” name line. You may use either your SSN or EIN (if you have one), but the IRS encourages you to use your SSN.

4

List first and circle the name of the trust, estate, or pension trust. (Do not furnish the TIN of the personal representative or trustee unless the legal entity itself is not designated in the account title.) Also see Special rules for partnerships on page 1. *Note. Grantor also must provide a Form W-9 to trustee of trust.

Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons (including federal agencies) who are required to file information returns with the IRS to report interest, dividends, or certain other income paid to you; mortgage interest you paid; the acquisition or abandonment of secured property; the cancellation of debt; or contributions you made to an IRA, Archer MSA, or HSA. The person collecting this form uses the information on the form to file information returns with the IRS, reporting the above information. Routine uses of this information include giving it to the Department of Justice for civil and criminal litigation and to cities, states, the District of Columbia, and U.S. possessions for use in administering their laws. The information also may be disclosed to other countries under a treaty, to federal and state agencies to enforce civil and criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to file a tax return. Under section 3406, payers must generally withhold a percentage of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to the payer. Certain penalties may also apply for providing false or fraudulent information.

FORM

CONFLICT OF INTEREST QUESTIONNAIRE

CIQ

For vendor or other person doing business with local governmental entity This questionnaire is being filed in accordance with chapter 176 of the Local Government Code by a person doing business with the governmental entity.

OFFICE USE ONLY Date Received

By law this questionnaire must be filed with the records administrator of the local government not later than the 7th business day after the date the person becomes aware of facts that require the statement to be filed. See Section 176.006, Local Government Code. A person commits an offense if the person violates Section 176.006, Local Government Code. An offense under this section is a Class C misdemeanor. 1

Name of person doing business with local governmental entity.

2

Check this box if you are filing an update to a previously filed questionnaire. (The law requires that you file an updated completed questionnaire with the appropriate filing authority not later than September 1 of the year for which an activity described in Section 176.006(a), Local Government Code, is pending and not later than the 7th business day after the date the originally filed questionnaire becomes incomplete or inaccurate.)

3

4

Describe each affiliation or business relationship with an employee or contractor of the local governmental entity who makes recommendations to a local government officer of the local governmental entity with respect to expenditure of money.

Describe each affiliation or business relationship with a person who is a local government officer and who appoints or employs a local government officer of the local governmental entity that is the subject of this questionnaire.

Amended 01/13/2006

FORM

CONFLICT OF INTEREST QUESTIONNAIRE For vendor or other person doing business with local governmental entity 5

CIQ

Page 2

Name of local government officer with whom filer has affiliation or business relationship. (Complete this section only if the answer to A, B, or C is YES.) This section, item 5 including subparts A, B, C & D, must be completed for each officer with whom the filer has affiliation or business relationship. Attach additional pages to this Form CIQ as necessary.

A. Is the local government officer named in this section receiving or likely to receive taxable income from the filer of the questionnaire? Yes

No

B. Is the filer of the questionnaire receiving or likely to receive taxable income from or at the direction of the local government officer named in this section AND the taxable income is not from the local governmental entity?

Yes

No

C. Is the filer of this questionnaire affiliated with a corporation or other business entity that the local government officer serves as an officer or director, or holds an ownership of 10 percent or more?

Yes

No

D. Describe each affiliation or business relationship.

6

Describe any other affiliation or business relationship that might cause a conflict of interest.

7

Signature of person doing business with the governmental entity

Date

Amended 01/13/2006