ONTRAT FOR PRIVATE ONSULTANT SERVI ES

CONTRACT NO. 601CT0000015223 INDEPENDENT VERIFICATION AND VALIDATION SERVICES

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THE STATE OF TEXAS § THE COUNTY OF TRAVIS §

CONTRACT FOR PRIVATE CONSULTANT SERVICES

This Contract for Private Consultant Services (“Contract”) is made between the State of Texas (“State”), acting through the Texas Department of Transportation, and Gartner, Inc. (“Consultant”).

BACKGROUND

Texas Government Code, Chapter 2254, Subchapter B, authorizes State to enter into a contract with a consultant to provide consulting services consisting of studying or advising a state agency under a contract that does not involve the traditional relationship of employer and employee;

Texas Government Code, Chapter 2254, Subchapter B, establishes notification, fact-finding, and reporting requirements for a major consulting services contract, which is defined as a contract for which it is reasonably foreseeable that the value of the contract will exceed $15,000;

State desires to engage a consultant to provide Independent Verification and Validation (IV&V) of the services provided via a Master Services Agreement (MSA) between the Texas Department of Transportation (TxDOT) and NTT Data related to the design and implementation of a centralized data architecture program for TxDOT; and

State published a public notice in the Texas Register dated Texas Register dated April 28, 2017 (42 TexReg 2375) advertising its intent to solicit proposals for the purpose of hiring a private consultant.

Therefore, State and Consultant agree as follows:

AGREEMENT

1. STATEMENT OF SERVICES TO BE PERFORMED

Consultant will undertake and carry out services described in Attachment A, Scope of Services, and provide to State the deliverables as described in Attachment B, Table of Deliverables, Work Schedule, and Budget, in accordance with Attachment D, General Provisions.

2. CONTRACT PAYMENT

The total amount of this Contract shall not exceed $450,000. See Attachment B, Table of Deliverables, Work Schedule, and Budget. Payments shall be billed upon completion of each Deliverable and emailed to:

Texas Department of Transportation [email protected] with a copy to [email protected]

3. TERM OF CONTRACT

Payment under this Contract beyond the end of the current fiscal biennium is subject to availability of appropriated funds. If funds are not appropriated, this Contract shall be terminated immediately with no liability to either party. This Contract begins when fully executed by both parties and terminates on August 31, 2018.

4. INCORPORATION OF PROVISIONS

Attachments A, B, D, and H are attached to and incorporated into this Contract as if fully set forth herein.

DocuSign Envelope ID: 18E87C02-6F4F-4A53-A511-0E308F25425FDocuSign Envelope ID: C3F273E3-052F-4C66-8998-643A4FC35A6A

mailto:[email protected]

mailto:[email protected]

CONTRACT NO. 601CT0000015223 INDEPENDENT VERIFICATION AND VALIDATION SERVICES

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5. CONFLICT OF INTEREST

The undersigned represents that its firm has no conflict of interest that would in any way interfere with its or its employees’ performance of services for the Texas Department of Transportation (“Department”) or which in any way conflicts with the interests of the department. The firm further certifies that this Contract is not barred because of a conflict of interest pursuant to Texas Government Code, Section 2261.252, between it and the State. Specifically, the firm certifies that none of the following individuals, nor any of their family members within the second degree of affinity or consanguinity, owns 1% or more interest or has a financial interest as defined under Texas Government Code Sec. 2261.252(b) in Consultant: any member of the Texas Transportation Commission, department’s Executive Director, General Counsel, Chief of Procurement and Field Support Operations, Director of Procurement, or Director of Contract Services. The firm shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the State's interests.

6. CERTIFICATION OF STATUS

Consultant certifies that it is not: (1) a person required to register as a lobbyist under Chapter 305, Government Code; (2) a public relations firm; or (3) a government consultant.

7. AUDIT

The state auditor may conduct an audit or investigation of any entity receiving funds from the state directly under the Contract or indirectly through a subcontract under the Contract. Acceptance of funds directly under the Contract or indirectly through a subcontract under this Contract acts as acceptance of the authority of the state auditor, under the direction of the legislative audit committee, to conduct an audit or investigation in connection with those funds. An entity that is the subject of an audit or investigation must provide the state auditor with access to any information the state auditor considers relevant to the investigation or audit. An entity that is the subject of an audit or investigation must provide the state auditor with access to any information the state auditor considers relevant to the investigation or audit.

8. SIGNATORY WARRANTY

The signatories to this Contract warrant that each has the authority to enter into this Contract on behalf of the party represented.

CONSULTANT STATE

(signature) (signature)

Phillip A. Cummings James M. Bass (printed name) (printed name)

Sr. Director Contracts Counsel Executive Director (title) (title)

(date) (date)

DocuSign Envelope ID: 18E87C02-6F4F-4A53-A511-0E308F25425F

8/1/2017

DocuSign Envelope ID: C3F273E3-052F-4C66-8998-643A4FC35A6A

8/22/2017

List of Attachments Page 1 of 1 2017-06-15

LIST OF ATTACHMENTS

Attachment Title

A Scope of Services

B Table of Deliverables, Work Schedule, and Budget

C Not Applicable

D General Provisions

E Not applicable

F Not applicable

G Not Applicable

H – SN Historically Underutilized Business (HUB) Requirements for State Funded Professional or Technical Services Contracts – No State of Texas HUB

Exhibits Title

H – 1 Subprovider Monitoring System Commitment Worksheet

H – 2 Subprovider Monitoring System Commitment Agreement

H – 3 Not Applicable

H - 4 Subprovider Monitoring System Final Report

H - 5 Not Applicable

H - 6 HUB Subcontracting Plan (HSP) Prime Consultant Progress Assessment Report


Attachment A – Scope of Services Page 1 of 3 2017-06-15

ATTACHMENT A

SCOPE OF SERVICES

A. BACKGROUND. TxDOT is a party to a Master Services Agreement (MSA) with NTT Data (Service Provider) related to the design and implementation of a centralized data architecture program for TxDOT. The data architecture program includes both structured and unstructured data.

B. SCOPE. Consultant shall perform Independent Verification and Validation (IV&V) of the services provided via technical oversight, which will include validating that NTT Data adheres to industry standards and best practices in the design and implementation of the data architecture program and any information technology (IT) projects initiated to achieve the implementation of the resulting TxDOT data architecture. Consultant shall provide an in-depth IV&V analysis of several service variables and performance data in the form of an operational review report that will be delivered in strict confidentiality to the TxDOT Information Management Division (IMD). The tasks to be completed include:

1. Consultant shall complete an in-depth analysis, verification, and validation of several service variables and performance data for the following artifacts and projects:

a. 3 artifacts for Enterprise Data, Content, and LiDAR Strategy;

b. 2 historical Data Lake projects;

c. 5 Data Lake Automation projects;

d. 2 ECM Implementation projects;

e. 2 LiDAR Storage projects; and

f. 1 GIS Data Warehouse project

2. For each artifact or project, Consultant shall verify:

a. Data, Content, and LiDAR strategies against industry standards, where such standards exist;

b. Project requirements against defined specifications as provided by TxDOT;

c. Solution design against defined specifications as provided by TxDOT;

d. Data architecture against defined standards and best practices, where such standards exist;

e. Hardware against industry standards, where such standards exist;

f. Software against industry standards, where such standards exist;

g. Security design against defined standards and best practices, where such standards and best practices exist;

h. Project scope of work and schedule with the work authorization/work order; and

i. Rate card hours in the master contract used for each project within each work authorization/work order

3. For each artifact or project, Consultant shall validate:

a. Artifact materially contains information as specified in deliverable expectations document set forth between NTT Data and TxDOT;

b. Service Provider’s testing methodology against industry standards and best practices, where such standards and best practices exist;

c. Service Provider tested against identified requirements;

d. Project documentation and how it can be leveraged in the future.

4. Using the data collected during the analysis, verification, and validation process, Consultant shall produce a



series of reports as follows:

a. Quarterly Reports. Consultant shall produce three Quarterly Reports, each consisting of the following information:

1. Verification of Data, Content, and LiDAR strategies against industry standards;

2. A summation of the progress of data collection and analysis performed to date;

3. Verification of requirements against defined specifications;

4. Verification of design against defined specifications;

5. Verification of data architecture against defined standards and best practices;

6. Verification of hardware against industry standards;

7. Verification of software against industry standards;

8. Verification of security design against defined standards and best practices;

9. Verification of the scope of work with the work authorization/work order;

10. Verification of the rate card hours in the master contract used for each project within each work authorization/work order;

11. Verification of Service Provider’s testing methodology;

12. Verification of Service Provider’s testing against requirements;

13. Validation of NTT documentation and how it can be leveraged in the future; and

14. Corrective Action Plan recommendations

b. Final Report. Consultant shall produce a final report titled “Data Architecture Program Report – Independent Verification and Validation,” which shall be a report of Consultant’s Comprehensive Data Architecture Program findings and recommendations, including:

1. Reference architectures;

2. Recommended technology platforms;

3. Tools for achieving full implementation of the recommendations; and

4. Prioritization and impact of recommendations

c. All design and process reviews must accompany visual mock-ups.

5. The service period that will be subject to independent verification, validation and analysis shall be a full year of measureable service as completed by the Service Provider and as defined by TxDOT.

6. TxDOT may, at its discretion, require Consultant to provide a full power point presentation of the reports to various TxDOT staff.

C. PROJECT MANAGEMENT.

1. Project Methodology. Consultant shall establish a plan, including written project controls, standards, and procedures for all project tasks for each component. These documents will be reviewed and approved by the TxDOT PM. This requirement includes, but is not limited to:

a. Processes for managing project documentation;

b. Requirements management;

c. Change control;

d. Submission and approval of deliverables; and



e. Meeting procedures.

2. Project Organization: Consultant shall define the roles and responsibilities of all of its identified key personnel.

3. Communication Planning:

a. Consultant's communication plan shall facilitate organizational communication and identify strategies for effective communication throughout the term of the contract.

b. Consultant shall administer the work by establishing and maintaining communication with all groups related to the project. The activities of the Consultant project team shall be directed, coordinated, and communicated to ensure that the project progresses as outlined in the approved project work plan and is completed on schedule.

c. Meetings shall be scheduled as required by TxDOT and Consultant. Consultant's Project Manager and personnel shall be available to provide informational or special reports, as required by TxDOT. Meetings may be held at a TxDOT facility in Austin, Texas or via teleconference, as directed by TxDOT.

4. Weekly Status Reporting. Consultant shall submit weekly project status reports via email to the TxDOT PM by noon each Friday to ensure measurable progress has been achieved and standard practices are being adhered to. The report will be 1-2 pages in length and submitted in either Microsoft PowerPoint or Word format. The report will include, but not be limited to, the following items:

a. Project title and contract number;

b. Description of the progress of each task and percentage completed;

c. Meetings attended, purpose, dates, attendees, description and outcomes and decisions;

d. Major issues and anticipated solutions;

e. Findings and Recommendations;

f. Work planned for the following month;

g. Updated project schedule; and

h. Updated Project Management Plan.


Attachment B – Deliverables Table Page 1 of 1 2017-06-15

ATTACHMENT B

TABLE OF DELIVERABLES, WORK SCHEDULE, AND BUDGET

No. Deliverable Due Date Amount

1 Weekly Project Status Reports Due no later than noon each Friday N/A

2 1st Quarterly IV&V Project Assessment Report 10/31/2017 $90,000

3 2nd Quarterly IV&V Project Assessment Report 01/31/2018 $90,000

4 3rd Quarterly IV&V Project Assessment Report 04/30/2018 $90,000

5 Final Report 07/31/2018 $180,000


Table of Contents Attachment D – General Provisions Page i of iii 2017-06-15

ATTACHMENT C

NOT APPLICABLE


Table of Contents Attachment D – General Provisions Page ii of iii 2017-06-15

ATTACHMENT D

GENERAL PROVISIONS

TABLE OF CONTENTS

1. Changes to Work Schedule ............................................................................................................................................. 1

2. Progress .......................................................................................................................................................................... 1

3. Unsatisfactory Performance ........................................................................................................................................... 1

4. Amendments .................................................................................................................................................................. 1

5. Ownership of Data .......................................................................................................................................................... 2

6. Public Information and Confidentiality ........................................................................................................................... 2

7. Personnel, Equipment and Material ............................................................................................................................... 3

8. Debt to State ................................................................................................................................................................... 4

9. Subcontracting ................................................................................................................................................................ 4

10. Inspection of Work ......................................................................................................................................................... 4

11. Reports ............................................................................................................................................................................ 4

12. Violation of Contract Terms ............................................................................................................................................ 4

13. Termination .................................................................................................................................................................... 5

14. Compliance with Laws .................................................................................................................................................... 5

15. Indemnification ............................................................................................................................................................... 5

16. Noncollusion ................................................................................................................................................................... 6

17. Insurance ........................................................................................................................................................................ 6

18. Gratuities ........................................................................................................................................................................ 6

19. Disadvantaged Business Enterprise or Historically Underutilized Business Requirements ........................................... 7

20. Maintenance, Retention, and Audit of Records ............................................................................................................. 7

21. Nepotism Disclosure ....................................................................................................................................................... 7

22. Lobbying Certification / Disclosure ................................................................................................................................. 7

23. Civil Rights Compliance ................................................................................................................................................... 8

24. Child Support Certification ............................................................................................................................................. 9

25. Debarment Certifications................................................................................................................................................ 9

26. Disputes not related to contract services ....................................................................................................................... 9

27. Successors and Assigns ................................................................................................................................................... 9

28. Severability ..................................................................................................................................................................... 9

29. Prior Contracts Superseded .......................................................................................................................................... 10


Table of Contents Attachment D – General Provisions Page iii of iii 2017-06-15

30. Office of Management and Budget Audit Requirements ............................................................................................. 10

31. E-Verify Certification ..................................................................................................................................................... 10

32. Restrictions on Employment of Former State Officer or Employee ............................................................................. 10

33. Pertinent Non-Discrimination Authorities .................................................................................................................... 10

34. Acceptance of Deliverables........................................................................................................................................... 11

35. No Third-Party Beneficiaries ......................................................................................................................................... 11

36. Warranty ....................................................................................................................................................................... 11


Attachment D – General Provisions Page 1 of 11 2017-06-15

ATTACHMENT D

GENERAL PROVISIONS

1. CHANGES TO WORK SCHEDULE

If at any time during the Contract period, Consultant determines that the authorized services cannot be completed before the end of the Contract period, Consultant shall immediately notify State. State, at its sole discretion, may extend the Contract period by written amendment. If State determines that the Contract period will not be extended, Consultant must complete the work within the original Contract period.

2. PROGRESS

A. Progress Meetings. Consultant shall from time to time during the progress of the work confer with State. Consultant shall prepare and present such information as may be pertinent and necessary or as may be requested by State in order to evaluate features of the work.

B. Conferences. At the request of State or Consultant, conferences shall be provided at Consultant's office, the office of State, or at other locations designated by State. These conferences shall also include evaluation of Consultant's services and work when requested by State.

C. Inspections. If federal funds are used to reimburse costs incurred under this Contract, the work and all reimbursements will be subject to periodic review by the U. S. Department of Transportation.

D. Corrective Action. Should State determine that the progress of work does not satisfy the milestone schedule, State shall review the work schedule with Consultant to determine the nature of corrective action needed.

3. UNSATISFACTORY PERFORMANCE

If Consultant submits work that does not comply with the terms of this Contract, State shall instruct Consultant to make such revisions as are necessary to bring the work into compliance with the Contract. No additional compensation shall be paid for this work.

4. AMENDMENTS

A. Need. The terms of this Contract may be modified if State determines that there has been a significant increase or decrease in the duration, scope, cost, complexity or character of the services to be performed. An amendment will be executed to authorize such significant increases or decreases. Significant is defined to mean a cost increase of any amount and a cost decrease of twenty percent (20%) or more of the original estimated project cost.

B. Compensation. Additional compensation, if appropriate, shall be calculated as set forth in the Contract. Significant changes affecting the cost or maximum amount payable shall be defined to include but not be limited to new work not previously authorized or previously authorized services that will not be performed.

C. When to Execute. Both parties must execute an amendment within the Contract period.

D. Unauthorized Contract Performance. State shall not be responsible for actions by Consultant or any costs incurred by Consultant relating to additional work not directly associated with or prior to the execution of an amendment.



5. OWNERSHIP OF DATA

A. Ownership.

i. Subject to payment of fees specified in the applicable SOW, Consultant grants to State ownership of any Deliverable originally created for and submitted to State. Consultant shall retain sole and exclusive ownership of the Consultant tools, methodologies, questionnaires, responses, and proprietary research and data generated in the course of performing the consulting services, together with all intellectual property rights therein. (collectively, the “Gartner Materials”). Consultant grants to State a perpetual, non-exclusive, royalty-free license to use and to use the Gartner Materials emboded in any Deliverable(s) for its internal business purposes, subject to the limitations set forth below.

ii. Nothing contained in this Agreement shall preclude Consultant from rendering services to others or developing work products that are competitive with, or functionally comparable to, the consulting services performed. Consultant shall not be restricted in its use of ideas, concepts, know-how, data and techniques acquired or learned in the course of performing the consulting services, provided that Consultant shall not use or disclose any of State’s confidential information, as defined below.

iii. With respect to any benchmarking Services performed by Consultant, State acknowledges that (i) the contents of the Benchmarking Report (as defined in the applicable Statement of Work) and other deliverables are based upon information which is proprietary to Consultant and contained in Consultant’s proprietary database, (ii) the contents of the database belong to Consultant solely, (iii) State’s data will become part of the database, (iv) Consultant will code any presentation of State’s data to preserve State’s anonymity, and (v) the database will be used by Consultant in future consulting and benchmarking engagements

iv. State shall retain its rights in any proprietary material that State supplies to Consultant. If State provides Consultant with materials owned or controlled by State or with use of, or access to, such materials, State grants to Consultant all rights and licenses that are necessary for Gartner to fulfill its obligations under each Statement of Work for consulting services.

B. Disposition of Documents. All documents prepared by Consultant and all documents furnished to Consultant by the State shall be delivered to the State upon request by the State. Consultant, at its own expense, may retain copies of such documents or any other data, which it has furnished the State under this contract, but further use of the data is subject to permission by the State.

C. Distribution of Consultant Reports. At the discretion of the State, all reports prepared by Consultant, if any, may be distributed by the State and posted on the State’s websites.

6. PUBLIC INFORMATION AND CONFIDENTIALITY

A. Public Information. State will comply with Government Code, Chapter 552, the Public Information Act and 43 Texas Administrative Code §3.10 et seq. in the release of information produced under this Contract.

B. Confidentiality. Consultant shall not disclose information developed or received under this contract without the express written consent of the State.

i. Except as otherwise agreed herein, the parties agree to keep confidential and not to use or disclose to any third parties any non-public business information of the other party learned or disclosed in connection with each Statement of Work, to include the Gartner Materials (“Confidential Information”). Consultant shall identify and mark items in or portions of Deliverables that it asserts constitute Confidential Information prior to submitting the Deliverable to the State and shall provide a version of the Deliverable suitable for sharing with third parties outside of the State Government. Further, the State may share the Deliverables with (i) third parties who have signed appropriate confidentiality agreements with State; (ii) persons and/or entities who are engaged by State to review or implement suggestions or to further research the issues contained in the Deliverables. Consultant shall not include



Confidential Information in a Deliverable that will prevent the State from using the Deliverable in its business decisions, including sharing findings, recommendations, and data with third parties. The obligation of the parties with respect to the Confidential Information shall terminate with respect to any particular portion of the Confidential Information if and when: (i) it is in the public domain at the time of its communication; (ii) it is developed independently by the receiving party without use of any confidential information; (iii) it enters the public domain through no fault of the receiving party subsequent to the time of the disclosing party’s communication to the receiving party; (iv) it is in the receiving party’s possession free of any obligation of confidence at the time of the disclosing party’s communication; (v) it is communicated by the disclosing party to a third party free of any obligation of confidence; or (vi) the receiving party has the disclosing party’s written permission.

ii. Each party shall provide notice to the other of any demand made upon it under lawful process to disclose or provide any of the other party’s confidential information. The receiving party agrees to cooperate with the disclosing party, at the disclosing party’s expense, if the disclosing party elects to seek reasonable protective arrangements or oppose such disclosure. Any confidential information disclosed pursuant to such lawful process shall continue to be confidential information.

C. Access to Information. Consultant is required to make any information created or exchanged with State pursuant to this Contract, and not otherwise excepted from disclosure under the Texas Public Information Act, available in a format that is accessible by the public at no additional charge to State.

7. PERSONNEL, EQUIPMENT AND MATERIAL

A. Consultant Resources. Consultant shall furnish and maintain quarters for the performance of all services and adequate and sufficient personnel and equipment to perform the services required under the Contract. Consultant certifies that it presently has adequate qualified personnel in its employment for performance of the services required under this Contract, or it will be able to obtain such personnel from sources other than State.

B. Removal of Consultant Employee. All employees of Consultant assigned to this Contract shall have such knowledge and experience as will enable them to perform the duties assigned to them. State may instruct Consultant to remove any employee from association with work authorized in this Contract if, in the sole opinion of State, the work of that employee does not comply with the terms of this Contract or if the conduct of that employee becomes detrimental to the work.

C. Removal of Key Personnel. Consultant must notify State in writing as soon as possible, but no later than three business days, after a project manager or other key personnel is removed from association with this Contract, giving the reason for removal.

D. State Approval of Replacement Personnel. Consultant may not replace the project manager or key personnel without prior consent of State. State must be satisfied that the new project manager or other key personnel is qualified to provide the authorized services. If State determines that the new project manager or key personnel is not acceptable, Consultant may not use that person in that capacity and shall replace him or her with one satisfactory to State.

E. Ownership of Acquired Property. Except to the extent that a specific provision of this Contract states to the contrary, State shall own all intellectual property acquired or developed under this Contract and all equipment purchased by Consultant or its subconsultants under this Contract. All intellectual property and equipment owned by State shall be delivered to State when the Contract terminates or when it is no longer needed for work performed under this Contract, whichever occurs first.



8. DEBT TO STATE

If the Texas Comptroller of Public Accounts is prohibited from issuing a warrant or initiating an electronic funds transfer to Consultant because of a debt owed to State, State shall apply all payment due Consultant to the debt or delinquent tax until the debt or delinquent tax is paid in full.

9. SUBCONTRACTING

A. Prior Approval. Consultant shall not assign, subcontract, or transfer any portion of consulting services related to the work under this Contract without prior written approval from State.

B. DBE/HUB Compliance. Consultant’s subcontracting program shall comply with the requirements of Attachment H of the Contract (DBE/HUB Requirements).

C. Required Provisions. All subcontracts for consulting services shall include this attachment and Federal and State requirements. Consultant is authorized to pay subconsultants in accordance with the terms of the subcontract, and the basis of payment may differ from the basis of payment by State to Consultant.

D. Prior Review. Subcontracts for consulting services in excess of $25,000 may be reviewed by State prior to performance of work thereunder.

E. Consultant Responsibilities. No subcontract relieves Consultant of any responsibilities under this Contract.

10. INSPECTION OF WORK

A. Review Rights. State and the U. S. Department of Transportation, when federal funds are involved, and any of their authorized representatives shall have the right at all reasonable times to review or otherwise evaluate the work performed hereunder and the premises in which it is being performed.

B. Reasonable Access. If any review or evaluation is made on the premises of Consultant or a subconsultant, Consultant shall provide and require its subconsultants to provide all reasonable facilities and assistance for the safety and convenience of the state or federal representatives in the performance of their duties.

11. REPORTS

A. Submission of Reports. All applicable study reports shall be submitted in preliminary form for approval by State before a final report is issued. State's comments on Consultant's preliminary report must be addressed in the final report.

B. Distribution and Posting of Reports. In accordance with Gov. Code §2254.041, the Contract allows the state agency contracting with Consultant and any other state agency and the legislature, at the contracting state agency’s discretion, to distribute Consultant report, if any, and to post the report on the agency’s Internet website or the website of a standing committee of the legislature. This provision does not affect the application of Gov. Code Chapter 552, Public Information, to Consultant’s report.

12. VIOLATION OF CONTRACT TERMS

A. Increased Costs. Violation of Contract terms, breach of Contract, or default by Consultant shall be grounds for termination of the Contract, and any increased or additional cost incurred by State arising from Consultant's default, breach of Contract, or violation of Contract terms shall be paid by Consultant.

B. Remedies. This Contract shall not be considered as specifying the exclusive remedy for any default, but all remedies existing at law and in equity may be availed of by either party and shall be cumulative.



13. TERMINATION

A. Causes. The Contract may be terminated before the stated completion date for any of the following conditions by:

i. Mutual agreement and consent in writing from both parties; or

ii. State by notice in writing to Consultant as a consequence of failure by Consultant to perform the services set forth herein in a satisfactory manner or a violation of a Contract provision; or

iii. Either party upon the failure of the other party to fulfill its obligations as set forth herein; or

iv. State for reasons of its own and not subject to the mutual consent of Consultant by giving thirty days’ notice of termination in writing to Consultant; or

v. Satisfactory completion of all services and obligations described herein.

B. Determination of Funds Due. Should State terminate this Contract as herein provided, no fees other than fees due and payable at the time of termination shall thereafter be paid to Consultant. In determining the value of the work performed by Consultant prior to termination, State shall be the sole judge. Compensation for work at termination will be based on a percentage of the work completed at that time. Should State terminate this Contract, Consultant shall not incur costs during the thirty-day notice period in excess of the amount incurred during the preceding thirty days.

C. Value of Completed Work. If Consultant defaults in the performance of this Contract or if State terminates this Contract for fault on the part of Consultant, State will give consideration to the following when calculating the value of the completed work:

i. The amount of work required which was satisfactorily completed;

ii. The value of the work which is usable;

iii. The cost to State of employing another firm to complete the work;

iv. The time required to employ another firm to complete the work; and

v. Other factors which affect the value to State of the work performed.

D. Surviving Requirements. The termination of this Contract and payment of an amount in settlement as prescribed above shall extinguish the rights, duties, and obligations of State and Consultant under this Contract, except for those provisions that establish responsibilities that extend beyond the Contract period.

E. Payment of Additional Costs. If termination of this Contract is due to the failure of Consultant to fulfill its contractual obligations, State may take over the project and prosecute the work to completion, and Consultant shall be liable to State for any additional cost to State.

14. COMPLIANCE WITH LAWS

Consultant shall comply with all applicable federal, state and local laws, statutes, codes, ordinances, rules and regulations, and the orders and decrees of any court, or administrative bodies or tribunals in any manner affecting the performance of this Contract, including, without limitation, worker's compensation laws, minimum and maximum salary and wage statutes and regulations, nondiscrimination, and licensing laws and regulations. When required, Consultant shall furnish State with satisfactory proof of its compliance therewith.

15. INDEMNIFICATION

A. Indemnification for Person or Tangible Property. Consultant shall indemnify and save harmless the State and its officers and employees from and against any third party claims, demands, loss, damage, or expenses (including reasonable attorney’s fees and court costs) relating to bodily injury or death of any person or damage to real or tangible personal property due to activities of itself, its agents, or employees, performed



under this contract and which are proximately caused by or result from the willful misconduct, error, act, or omission, of the Consultant, its agent, or of any person employed by Consultant during the course of the provision of Services under this Agreement.

B. Indemnity for Intellectual Property. Upon notification of a claim against State alleging any Deliverable infringes a copyright, US patent or trade secret of any third party, Consultant will defend such claim at its expense and will pay any costs or damages that may be finally awarded against State. Consultant will not indemnify State however, if the claim of infringement is caused by (1) State’s misuse or modification of the Deliverable; (2) State’s failure to use corrections or enhancements made available by Consultant; (3) State’s use of the Deliverable in combination with any product or information not owned or developed by Consultant. If any Deliverable is, or in Consultant’s opinion is likely to be, held to be infringing, Consultant shall at its expense and option either: (a) procure the right for State to continue using it, (b) replace it with a noninfringing equivalent, (c) modify it to make it noninfringing, or (d) direct the return of the Deliverable and refund to State the fees paid for such Deliverable.

C. Limitation of Liability. Neither party shall be liable for any consequential, indirect, special, or incidental damages, such as damages for lost profits, business failure or loss arising out of use of the Deliverables or the consulting services, whether or not advised of the possibility of such damages. Except for liability for personal injury or death or for damage to property caused by the negligence or willful misconduct of Consultant or its employees, the Consultant’s total liability arising out of this Agreement and the provision of the consulting services shall not exceed the maximum amount payable on the contract.

16. NONCOLLUSION

A. Warranty. Consultant warrants that it has not employed or retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Contract and that it has not paid or agreed to pay any company or consultant any fee, commission, percentage, brokerage fee, gifts, or any other consideration, contingent upon or resulting from the award or making of this Contract.

B. Liability. For breach or violation of this warranty, State shall have the right to annul this Contract without liability or, in its discretion, to deduct from the Contract price or compensation, or otherwise recover, the full amount of such fee, commission, percentage, brokerage fee, gift or contingent fee.

17. INSURANCE

Consultant certifies that it has insurance on file with the Contract Services of the Texas Department of Transportation in the amount specified on Texas Department of Transportation Form 1560-CS, Certificate of Insurance, as required by State. No other proof of insurance is acceptable to State. Consultant certifies that it will keep current insurance on file with that office for the duration of the Contract period. If insurance lapses during the Contract period, Consultant must stop work until a new certificate of insurance is provided.

18. GRATUITIES

A. Employees Not to Benefit. Texas Transportation Commission policy mandates that employees of the Texas Department of Transportation shall not accept any benefits, gifts or favors from any person doing business with or who, reasonably speaking, may do business with State under this Contract. The only exceptions allowed are ordinary business lunches and items that have received the advance written approval of the Executive Director of the Texas Department of Transportation.

B. Liability. Any person doing business with or who, reasonably speaking, may do business with State under this Contract may not make any offer of benefits, gifts or favors to department employees, except as mentioned above. Failure on the part of Consultant to adhere to this policy may result in the termination of this Contract.



19. DISADVANTAGED BUSINESS ENTERPRISE OR HISTORICALLY UNDERUTILIZED BUSINESS REQUIREMENTS

Consultant agrees to comply with the requirements set forth in Exhibit 3, Disadvantaged Business Enterprise or Historically Underutilized Business Subcontracting Plan with an assigned goal or a zero goal, as determined by State.

20. MAINTENANCE, RETENTION, AND AUDIT OF RECORDS

A. Retention Period. Consultant shall maintain all books, documents, papers, accounting records and other evidence pertaining to costs incurred and services provided. Consultant shall make the records available at its office during the Contract period and for seven years from the date of final payment under this Contract, until completion of all audits, or until pending litigation has been completely and fully resolved, whichever occurs last.

B. Availability. State or any of its duly authorized representatives, the Federal Highway Administration, the United States Department of Transportation, Office of Inspector General, and the Comptroller General shall have access to Consultant’s records which are directly pertinent to this Contract for the purpose of making audits, examinations, excerpts and transcriptions.

21. NEPOTISM DISCLOSURE

A. Relative. In this section the term “relative” means:

i. A person's great grandparent, grandparent, parent, aunt or uncle, sibling, niece or nephew, spouse, child, grandchild, or great grandchild, or

ii. The grandparent, parent, sibling, child, or grandchild of the person’s spouse.

B. Notification. A notification required by this section shall be submitted in writing to the person designated to receive official notices under this Contract and by first-class mail addressed to:

Contract Services Office, Texas Department of Transportation, 125 East 11th Street, Austin Texas 78701.

The notice shall specify Consultant's firm name, the name of the person who submitted the notification, the Contract number, the district, division, or office of TxDOT that is principally responsible for the Contract, the name of the relevant Consultant employee, the expected role of Consultant employee on the project, the name of the TxDOT employee who is a relative of Consultant employee, the title of the TxDOT employee, the work location of the TxDOT employee, and the nature of the relationship.

C. Certification. By executing this Contract, Consultant is certifying that Consultant does not have any knowledge that any of its employees or of any employees of a subconsultant who are expected to work under this Contract have a relative that is employed by TxDOT unless Consultant has notified TxDOT of each instance as required by subsection (b).

D. Subsequent Knowledge. If Consultant learns at any time that any of its employees or that any of the employees of a subconsultant who are performing work under this Contract have a relative who is employed by TxDOT, Consultant shall notify TxDOT under subsection (b) of each instance within thirty days of obtaining that knowledge.

E. Sanction. If Consultant violates this section, TxDOT may terminate the Contract immediately for cause, may impose any sanction permitted by law, and may pursue any other remedy permitted by law.

22. LOBBYING CERTIFICATION / DISCLOSURE

A. Certification. The undersigned certifies to the best of his or her knowledge and belief that:

i. No federal appropriated funds have been paid or will be paid by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of



Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.

ii. If any funds other than federal appropriated funds have been paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal Contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

iii. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

B. Reliance. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

23. CIVIL RIGHTS COMPLIANCE

A. Compliance with Regulations. Consultant shall comply with the regulations of the Department of Transportation, Title 49, Code of Federal Regulations, Parts 21, 25, 27 and 28 as they relate to nondiscrimination; also Executive Order 11246 titled Equal Employment Opportunity as amended by Executive Order 11375.

B. Nondiscrimination. Consultant, with regard to the work performed by it during the Contract, shall not discriminate on the grounds of race, color, sex, or national origin in the selection and retention of subconsultants, including procurement of materials and leases of equipment.

C. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all solicitations either by competitive bidding or negotiation made by Consultant for work to be performed under a subcontract, including procurement of materials or leases of equipment, each potential subconsultant or supplier shall be notified by Consultant of Consultant’s obligations under this Contract and the Regulations relative to nondiscrimination on the grounds of race, color, sex, or national origin.

D. Information and Reports. Consultant shall provide all information and reports required by the Regulations or directives issued pursuant thereto and shall permit access to its books, records, accounts, other sources of information, and facilities as may be determined by the Texas Department of Transportation or the Federal Highway Administration to be pertinent to ascertain compliance with such Regulations or directives. Where any information required of Consultant is in the exclusive possession of another who fails or refuses to furnish this information, Consultant shall so certify to the Texas Department of Transportation or the Federal Highway Administration, as appropriate, and shall set forth what efforts it has made to obtain the information.

E. Sanctions for Noncompliance. In the event of Consultant's noncompliance with the nondiscrimination provisions of this Contract, the Texas Department of Transportation shall impose such contract sanctions as it or the Federal Highway Administration may determine to be appropriate, including, but not limited to:

i. Withholding of payments to Consultant under the Contract until Consultant complies and/or

ii. Cancellation, termination, or suspension of the Contract, in whole or in part.



F. Incorporation of Provisions. Consultant shall include the provisions of paragraphs (1) through (5) in every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations or directives issued pursuant thereto. Consultant shall take such action with respect to any subcontract or procurement as the Texas Department of Transportation or the Federal Highway Administration may direct as a means of enforcing such provisions including sanctions for noncompliance provided, however, that in the event a Consultant becomes involved in, or is threatened with, litigation with a subconsultant or supplier as a result of such direction, Consultant may request the Texas Department of Transportation to enter into such litigation to protect the interests of State; and, in addition, Consultant may request the United States to enter into such litigation to protect the interests of the United States.

24. CHILD SUPPORT CERTIFICATION

Under Section 231.006, Texas Family Code, Consultant certifies that the individual or business entity named in this Contract, bid, or application is not ineligible to receive the specified grant, loan, or payment and acknowledges that this Contract may be terminated and payment may be withheld if this certification is inaccurate. If the above certification is shown to be false, Consultant is liable to State for attorney’s fees, the cost necessary to complete the Contract, including the cost of advertising and awarding a second contract, and any other damages provided by law or the Contract. A child support obligor or business entity ineligible to receive payments because of a payment delinquency of more than thirty days remains ineligible until: all arrearages have been paid; the obligor is in compliance with a written repayment agreement or court order as to any existing delinquency; or the court of continuing jurisdiction over the child support order has granted the obligor an exemption from Subsection (a) of Section 231.006, Texas Family Code, as part of a court-supervised effort to improve earnings and child support payments.

25. DEBARMENT CERTIFICATIONS

The parties are prohibited from making any award at any tier to any party that is debarred or suspended or otherwise excluded from or ineligible for participation in Federal Assistance Programs under Executive Order 12549, “Debarment and Suspension.” By executing this Contract, Consultant certifies that it is not currently debarred, suspended, or otherwise excluded from or ineligible for participation in Federal Assistance Programs under Executive Order 12549. The parties to this Contract shall require any party to a subcontract or purchase order awarded under this Contract to certify its eligibility to receive Federal funds and, when requested by State, to furnish a copy of the certification.

26. DISPUTES NOT RELATED TO CONTRACT SERVICES

Consultant shall be responsible for the settlement of all contractual and administrative issues arising out of any procurement made by Consultant in support of the services authorized herein.

27. SUCCESSORS AND ASSIGNS

Consultant and State do each hereby bind themselves, their successors, executors, administrators and assigns to each other party of this Contract and to the successors, executors, administrators and assigns of such other party in respect to all covenants of this Contract. Consultant shall not assign, subcontract or transfer its interest in this Contract without the prior written consent of State.

28. SEVERABILITY

In the event any one or more of the provisions contained in this Contract shall for any reason be held to be invalid, illegal, or unenforceable in any respect, such invalidity, illegality, or unenforceability shall not affect any other provision thereof and this Contract shall be construed as if such invalid, illegal, or unenforceable provision had never been contained herein.



29. PRIOR CONTRACTS SUPERSEDED

This Contract constitutes the sole agreement of the parties hereto for the services authorized herein and supersedes any prior understandings or written or oral contracts between the parties respecting the subject matter defined herein.

30. OFFICE OF MANAGEMENT AND BUDGET AUDIT REQUIREMENTS

The parties shall comply with the requirements of the Single Audit Act of 1984, P.L. 98-502, ensuring that the single audit report includes the coverage stipulated in 2 CFR 200.

31. E-VERIFY CERTIFICATION

A. Pursuant to Executive Order RP-80, Consultant certifies and ensures that for all contracts for services, Consultant shall, to the extent permitted by law, utilize the United States Department of Homeland Security’s E-Verify system during the term of this Contract to determine the eligibility of:

i. All persons employed by Consultant during the term of this Contract to perform duties within the State of Texas; and

ii. All persons, including subconsultants, assigned by Consultant to perform work pursuant to this Contract.

B. Violation of this provision constitutes a material breach of this Contract.

32. RESTRICTIONS ON EMPLOYMENT OF FORMER STATE OFFICER OR EMPLOYEE

In compliance with Texas Government Code § 572.069, Consultant shall not hire a former state officer or employee of a state agency who, during the period of state service or employment, participated on behalf of the state agency in this Contract’s procurement or its negotiation until after the second anniversary of the date of the officer’s or employee’s service or employment with the state agency ceased.

33. PERTINENT NON-DISCRIMINATION AUTHORITIES

During the performance of this contract, Consultant, for itself, its assignees, and successors in interest agree to comply with the following nondiscrimination statutes and authorities; including but not limited to:

A. Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21.

B. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects).

C. Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), as amended, (prohibits discrimination on the basis of sex).

D. Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.) as amended, (prohibits discrimination on the basis of disability); and 49 CFR Part 27.

E. The Age Discrimination Act of 1975, as amended, (49 U.S.C. § 6101 et seq.), (prohibits discrimination on the basis of age).

F. Airport and Airway Improvement Act of 1982, (49 U.S.C. Chapter 471, Section 47123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex).

G. The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, subrecipients and contractors, whether such programs or activities are Federally funded or not).



H. Titles II and III of the Americans with Disabilities Act, which prohibits discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12131-12189) as implemented by Department of Transportation regulations at 49 C.F.R. parts 37 and 38.

I. The Federal Aviation Administration’s Nondiscrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex).

J. Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, which ensures nondiscrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations.

K. Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of limited English proficiency (LEP). To ensure compliance with Title VI, the parties must take reasonable steps to ensure that LEP persons have meaningful access to the programs (70 Fed. Reg. at 74087 to 74100)

L. Title IX of the Education Amendments of 1972, as amended, which prohibits the parties from discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq.).

34. ACCEPTANCE OF DELIVERABLES.

All Deliverables provided by Consultant to State shall be deemed to be accepted within 15 business days of receipt by State unless Consultant receives written notice of non-acceptance within 15 business days after State’s receipt of the deliverable. Any notice of non-acceptance must state in reasonable detail how the Deliverables did not conform to the Statement of Work and Consultant shall use its reasonable business efforts to correct any deficiencies in the Deliverables so that they conform to the Statement of Work. State shall not reject deliverables except for material and substantial non-conformity with the Statement of Work.

35. NO THIRD-PARTY BENEFICIARIES

This Agreement is for the benefit of the parties only. None of the provisions of this Agreement are for the benefit of, or enforceable by, any third party. It is the intention of Consultant and State that no third party shall have the right to (i) rely on the consulting services provided by Consultant or (ii) seek to impose liability on Consultant as a result of the consulting services or any Deliverables furnished to State.

36. WARRANTY

Consultant warrants that the Deliverables, in the form provided to State do not infringe any copyright, trademark, trade secret or other right of any third party. ALL SERVICES ARE PROVIDED ON AN “AS IS” BASIS. CONSULTANT DISCLAIMS ALL WARRANTIES, EXPRESS OR IMPLIED, STATUTORY OR OTHERWISE, INCLUDING, WITHOUT LIMITATION, ANY IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. THE INFORMATION IN THE DELIVERABLES HAS BEEN OBTAINED FROM SOURCES THAT CONSULTANT BELIEVES TO BE RELIABLE. ALL DELIVERABLES SPEAK AS OF THE DATE OF DELIVERY TO THE STATE.


Attachment H-SN – No HUB Subcontracting Required Page 1 of 1 2015-12-08

ATTACHMENT H-SN

HISTORICALLY UNDERUTILIZED BUSINESS (HUB) FOR STATE FUNDED PROFESSIONAL OR TECHNICAL SERVICES CONTRACTS

NO STATE OF TEXAS HUB SUBCONTRACTING PLAN REQUIRED

POLICY

It is the policy of the Department to ensure that HUBs shall have an equal opportunity to participate in the performance of contracts; to create a level playing field on which HUBs can compete fairly for contracts and subcontracts; to ensure nondiscrimination on the basis of race, color, national origin, or gender in the award and administration of contracts; to help remove barriers to the participation of HUBs in department contracts; and, to assist in the development of firms that can compete successfully in the market place outside the HUB program.

Subcontracting participation on projects with no HUB Subcontracting Plan Required should be reported on the State of Texas HUB Subcontracting Plan Prime Consultant Progress Assessment Report, the Exhibit H-6 Form. Payment to non-HUBs subproviders must be reported on Exhibit H-6. Payments to HUBs reported on Exhibit H-6 are subject to the following requirements.

DETERMINATION OF HUB PARTICIPATION

A firm must be an eligible HUB and perform a professional or technical function relating to the project. Once a firm is determined to be an eligible HUB, the total amount paid to the HUB should be reported as race-neutral HUB participation.

A HUB subprovider may subcontract no more than 70% of a contract. The HUB subprovider shall perform not less than 30% of the value of the contract work with assistance of employees employed and paid directly by the HUB; and equipment owned or rented directly by the HUB.

A provider must report a portion of the total value of the contract amount paid to a HUB joint venture equal to the distinct, clearly defined portion of the work of the contract performed by the HUB.

Proof of payment, such as copies of canceled checks, properly identifying the Department’s contract number or project number may be required to substantiate the payment, as deemed necessary by the Department.

The provider and any subprovider shall not discriminate on the basis of race, color, national origin or sex in the award and performance of contracts. These requirements shall be physically included in any subcontract.

REQUIRED FORMS

If subconsultants are used under the Contract that has no stated HUB goal, Exhibits H-1, H-2, H-4 and H-6 are required. Exhibits H-1 and H-6 are required if no subconsultants are being used to perform work under this contract.

State of Texas HUB Subcontracting Plan Prime Consultant Progress Assessment Report (Exhibit H-6) is required monthly even when no subcontracting activity has occurred. In addition, State of Texas HUB Subcontracting Plan Prime Consultant Progress Assessment Report (Exhibit H-6) should be submitted with the Provider’s invoice.


Exhibit H-1 – Commitment Worksheet Page 1 of 1 2015-12-08

EXHIBIT H-1

Texas Department of Transportation

Subprovider Monitoring System

Commitment Worksheet

Contract #:601CT0000015223 Assigned Goal: 0 % Federally Funded ____ State Funded ___

Prime Provider:Gartner, Inc. Total Contract Amount: $450,000

Prime Provider Info: DBE ___ HUB ___ Both ___

Vendor ID #: __1043099750100_________ DBE/HUB Expiration Date: _N/A_________________

(First 11 Digits Only)

If no subproviders are used on this contract, please indicate by placing “N/A” on the 1st line under Subproviders.

Subprovider(s)

(List All)

Type

of Work

Vendor ID #

(First 11 Digits Only)

D=DBE

H=HUB

Expiration

Date

$ Amount or

% of Work *

Subprovider(s) Contract or % of Work* Totals 0%

*For Work Authorization Contracts, indicate the % of work to be performed by each subprovider.

Total DBE or HUB Commitment Dollars 0

Total DBE or HUB Commitment Percentages of Contract 0% (Commitment Dollars and Percentages are for Subproviders only)


Exhibit H-2 – Commitment Agreement Page 1 of 1 2015-12-08

EXHIBIT H-2 Texas Department of Transportation

Subprovider Monitoring System Commitment Agreement

This commitment agreement is subject to the award and receipt of a signed contract from the Texas Department of Transportation

(TxDOT). NOTE: Exhibit H-2 is required to be attached to each contract that does not include work authorizations. Exhibit H-2 is

required to be attached with each work authorization. Exhibit H-2 is also required to be attached to each supplemental work

authorization. If DBE/HUB Subproviders are used, the form must be completed and signed. If no DBE/HUB Subproviders are

used, indicate with “N/A” on this line: __________ and attach with the work authorization or supplemental work authorization.

Contract #: 601CT0000015223 Assigned Goal: 0 % Prime Provider: Gartner, Inc.

Work Authorization (WA)#: __________ WA Amount: _____________________ Date: ___________

Supplemental Work Authorization (SWA) #: _____ to WA #: _________ SWA Amount:_______________

Revised WA Amount: ________________

Description of Work (List by category of work or task description. Attach additional pages, if

necessary.)

Dollar Amount

(For each category of work or task description

shown.)

Total Commitment Amount (Including all additional pages.)

IMPORTANT: The signatures of the prime and the DBE/HUB and Second Tier Subprovider, if any (both DBE and Non-DBE) and

the total commitment amount must always be on the same page.

Provider Name:

Address:

Phone # & Fax #:

Email:

Name:

(Please Print)

Title:

Signature Date

DBE/HUB Sub Provider

Subprovider Name:

VID Number:

Address:

Phone # & Fax #:

Email:

Name:

(Please Print)

Title:

Signature Date

Second Tier Sub Provider

Subprovider Name:

VID Number:

Address:

Phone #& Fax #:

Email:

Name:

(Please Print)

Title:

Signature Date

VID Number is the Vendor Identification Number issued by the Comptroller. If a firm does not have a VID Number, please enter the

owner’s Social Security or their Federal Employee Identification Number (if incorporated).


Exhibit H-4 – Final Report Page 1 of 1 2015-12-08

EXHIBIT H-4

Texas Department of Transportation

Subprovider Monitoring System

Final Report

The Final Report Form should be filled out by the Prime Provider and submitted to the Contract Manager and the

Business Opportunity Programs Office for review upon completion of the contract. The report should reflect all

subcontract activity on the project. The report will aid in expediting the final estimate for payment. If the HUB or

DBE goal requirements were not met, documentation supporting good faith efforts must be submitted.

DBE Goal: 0% OR HUB Goal: 0%

Total Contract Amount: $450,000 Total Contract Amount: $

Contract Number: 601CT0000015223

Vendor ID # Subprovider Total $ Amt Paid to Date

TOTAL

This is to certify that % of the work was completed by the HUB or DBE subproviders as stated above.

By: Prime Provider

Per: Signature

Subscribed and sworn to before me, this day of , 20 __

____________________Notary Public County

My Commission expires:


Exhibit H-6 – Progress Assessment Report Page 1 of 1 2015-12-08

EXHIBIT H-6 HUB SUBCONTRACTING PLAN (HSP)

PRIME CONSULTANT PROGRESS ASSESSMENT REPORT

(Electronic version available at: http://www.cpa.state.tx.us/procurement/prog/hub/hub-forms/ProgressAssessmentReportForm.xls)


http://www.cpa.state.tx.us/procurement/prog/hub/hub-forms/ProgressAssessmentReportForm.xls

ONTRAT FOR PRIVATE ONSULTANT SERVI ES

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