Form No. SPEC-010C

TACOMA POWER POWER MANAGEMENT

REQUEST FOR PROPOSALS

ENERGY IMBALANCE MARKET (EIM) AND ENERGY TRADING AND RISK MANAGEMENT (ETRM) SOFTWARE SOLUTION IMPLEMENTATION

SPECIFICATION NO. PM19-0374F

Form No. SPEC-040C Revised: 08/07/2019

City of Tacoma Tacoma Public Utilities / Tacoma Power / Power Management

REQUEST FOR PROPOSALS PM19-0374F

ENERGY IMBALANCE MARKET (EIM) AND ENERGY TRADING AND RISK MANAGEMENT (ETRM) SOFTWARE SOLUTION IMPLEMENTATION

Submittal Deadline: 11:00 a.m., Pacific Time, Tuesday, November 05, 2019 Submittal Delivery: Sealed submittals will be received as follows:

By Carrier: City of Tacoma Procurement & Payables Division Tacoma Public Utilities 3628 S 35th Street Tacoma, WA 98409

In Person: City of Tacoma Procurement & Payables Division Tacoma Public Utilities Lobby Security Desk Administration Building North – Main Floor 3628 S 35th Street Tacoma, WA 98409

By Mail: City of Tacoma Procurement & Payables Division Tacoma Public Utilities PO Box 11007 Tacoma, WA 98411-0007

Submittal Opening: Sealed submittals in response to a RFB will be opened by a Purchasing representative and read aloud during a public bid opening held in Conference Room M-1, located on the main floor of Administration Building North. Submittals in response to an RFP, RFQ, or RFI are recorded as received, but are not typically opened and read aloud. As soon as possible after 1:00 p.m. the day of bid opening, the names of vendors submitting proposals are posted to the websitefor public viewing.Solicitation Documents: An electronic copy of the complete solicitation documents may be viewed and obtained by accessing the City of Tacoma Purchasing website at www.TacomaPurchasing.org.

• Register for the Bid Holders List to receive notices of addenda, questions and answers andrelated updates.

• Click here to see a list of vendors registered for this solicitation.Pre-Proposal Meeting: A pre-proposal meeting will not be held. Project Scope: Establish one or more contracts with qualified vendors to fulfill the City’s needs for Energy Imbalance Market (EIM) / Energy Trading and Risk Management System (ETRM) technology solutions to include software and software provider implementation services. Paid Leave and Minimum Wage: Effective February 1, 2016, the City of Tacoma requires all employers to provide paid leave and minimum wages, as set forth in Title 18 of the Tacoma Municipal Code. For more information visit www.cityoftacoma.org/employmentstandards. Americans with Disabilities Act (ADA Information: The City of Tacoma, in accordance with Section 504 of the Rehabilitation Act (Section 504) and the Americans with Disabilities Act (ADA), commits to nondiscrimination on the basis of disability, in all of its programs and activities. Specification materials can be made available in an alternate format by emailing Gail Himes at ghimes@cityoftacoma.org, or by calling her collect at 253-591-5785. The following is applicable to Federal Aid Projects: The City of Tacoma in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal Regulations, Department of Transportation, subtitle A, Office of the Secretary, part 21, nondiscrimination in federally assisted programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that it will affirmatively ensure that in any contract entered into pursuant to this advertisement, disadvantaged

Form No. SPEC-040C Revised: 08/07/2019

business enterprises as defined at 49 CFR, part 26, will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin, or sex in consideration for an award. Additional Information: Requests for information regarding the specifications may be obtained by contacting Seth Hartz, senior buyer, by email to shartz@cityoftacoma.org. Protest Policy: City of Tacoma protest policy, located at www.tacomapurchasing.org, specifies procedures for protests submitted prior to and after submittal deadline.

Meeting sites are accessible to persons with disabilities. Reasonable accommodations for persons with disabilities can be arranged with 48 hours advance notice by calling 253-502-8468.

Table of Contents Request for Proposals Table of Contents Submittal Checklist SECTION 1 – PROJECT OVERVIEW / CALENDAR / INQUIRIES

1.01 Project Overview and Purpose 1.02 Calendar of RFP Events 1.03 Pre-Submittal Conference / Questions and Requests for Clarification 1.04 Acceptance and Responsiveness 1.05 Contract Term 1.06 Pricing 1.07 Respondents Originating Outside the United States 1.08 Revisions to RFP – Addenda 1.09 City Contact Information 1.10 Federal Aid Projects

SECTION 2 – PROJECT SCOPE / TECHNICAL AND SPECIAL PROVISIONS

2.01 Background 2.02 Technical Requirements 2.03 Desired Qualifications 2.04 Scope of Work 2.05 Deliverables/Acceptance Criteria 2.06 Warranties 2.07 Insurance 2.08 Duty of Confidentiality – Confidentiality Agreement

SECTION 3 – SUBMITTAL FORMAT, CONTENT, EVALUATION, AWARD

3.01 Format and Presentation 3.02 Content to be Submitted 3.03 Evaluation Criteria 3.04 Interviews / Oral Presentations / Demonstrations 3.05 Award

APPENDIX A

• Signature Page • Prime Contractor’s Pre-Work Form • Price Proposal Form • Desired Qualifications Response Form • Deliverable Requirements Response Form • Vendor Security Response Form

APPENDIX B

• Sample Contract

• Standard Certificate of Insurance and Endorsement Requirements

APPENDIX C

• Standard Terms and Conditions • Infrastructure and Data Security • Small Business Enterprise (SBE) Program

APPENDIX D

• Technical Provisions • Vendor Security Questions

SUBMITTAL CHECK LIST

A. This checklist identifies items to be included with your submittal. Any submittal received without these required items may be deemed non-responsive and may not be considered for award.

B. Submittals must be sealed in an envelope or package labeled with the

specification number, specification title, and Respondent name and address.

C. Sealed submittals must be received by the City of Tacoma Purchasing Division by the date and time specified in the Request for Proposals page at the front of this Specification or subsequent addenda.

D. Respondents are encouraged to use recycled/recyclable products and both

sides of paper for printed and photocopied materials, wherever possible.

E. Please do not include the full RFP document with your submittal. Doing so may render your submittal non-responsive.

The following items, in this order, make up your submittal package: Other than the forms listed below, please do not include other pages or content from this RFP document.

1 Title Page (Section 3.02.1)

2 Table of Contents (Section 3.02.2)

3 Index of confidential information, if applicable (Section 3.02.3)

4 City of Tacoma Forms (Section 3.02.4 / Appendix A) – No substitutions or alterations – Do not alter these forms or add them to letterhead paper or present cover letters or blank pages ahead of them.

A. Signature Page (this form is intended to serve as the first page of your submittal after the Title Page and Table of Contents)

B. Prime Contractor’s Pre-Work Form

C. Price Proposal FormD. Deliverable Requirements Response Form

5 Balance of information in Section 3.02 – Content to be Submitted (items 3.02.5 – 3.02.16)

Provide the following in a sealed envelope or package as indicated above in Submittal Check List item C.: • Paper Copies One original copy of your complete submittal, arranged as indicated in

Sections 3.01 and 3.02. Twelve copies of the complete original submittal.

• Electronic copies (USB drive, labeled with company name): One electronic copy of the complete submittal in either Word or PDF

format, arranged as indicated in Sections 3.01 and 3.02. Provide the electronic copy as a single file rather than multiple individual documents.

One electronic copy of the completed Price Proposal Form in Excel format.

One electronic copy of the Desired Qualifications Response Form in Word format.

One electronic copy of the completed Deliverable Requirements Response Form in Excel format.

One electronic copy of the completed Vendor Security Response Form in Word format.

There should be FIVE documents on the USB drive.

Clearly identify paper documents as original and copies.

DELIVERY OPTIONS: By Carrier:

City of Tacoma Procurement & Payables Division Tacoma Public Utilities

3628 S 35th St Tacoma WA 98409

By U.S. Mail: City of Tacoma Procurement & Payables Division

Tacoma Public Utilities PO Box 11007

Tacoma WA 98411-0007

In Person: Tacoma Public Utilities Lobby Security Desk

Administration Building North – Main Floor 3628 S 35th St

Tacoma WA 98409

After award approval, the following will be required:

1 Contract (Appendix B) – Contract incorporating terms and conditions contained herein

2 Certificate of Insurance and applicable endorsements (Appendix B)

3 City of Tacoma business license, if applicable (Appendix C – See item 1.05 B. of the Standard Terms and Conditions)

4 Verification of Washington business license (Appendix C – See item 1.05 A. of the Standard Terms and Conditions)

REQUEST FOR PROPOSALS PM19-0374F FOR

ENERGY IMBALANCE MARKET (EIM) & ENERGY TRADING AND RISK MANAGEMENT SYSTEM (ETRM) TECHNOLOGY SOLUTIONS

SECTION 1 – PROJECT OVERVIEW / CALENDAR / INQUIRIES 1.01 PROJECT OVERVIEW AND PURPOSE 1.01.1 The City of Tacoma (City) / Tacoma Public Utilities (TPU), Department of Power

Management is soliciting proposals to establish one or more contracts with qualified vendors to fulfill the City’s needs for EIM / ETRM technology solutions to include software and software provider implementation services.

1.01.2 The preference is to award one or more contracts to ensure best in class solutions are

made available. Accordingly, the City reserves the right to split the award, reduce the award, or make no award, if it is in the City’s best interest.

1.01.3 Products offered by Respondent must be new and unused unless specified otherwise

in these Specifications. 1.01.4 Respondents may be required to conduct demonstrations of their solution software

products for evaluation prior to award. Products that fail to meet City standards or any of the specifications herein may be rejected.

1.01.5 Submittals must comply with these specifications. Failure to comply with all provisions

of the RFP may result in disqualification. 1.01.6 This solicitation may be found at www.tacomapurchasing.org: Navigate to Contracting

Opportunities / Services Solicitations, scroll to this RFP and click the word Specification.

1.02 CALENDAR OF RFP EVENTS

1.02.1 The anticipated schedule of events concerning this RFP, which are tentative and may

be altered at the City’s sole discretion, is as follows:

RFP Issued October 02, 2019 Questions due, 3:00 p.m., Pacific Time October 09, 2019 Questions and answers posted on or about October 15, 2019 Submittal deadline, 11:00 a.m., Pacific Time November 05, 2019 Interviews/presentations/demonstrations, if conducted December 2019 Public Utility Board Consideration of Award February - March 2020

1.03 PRE-SUBMITTAL QUESTIONS AND REQUESTS FOR CLARIFICATION 1.03.1 A pre-submittal conference will not be held; however, questions and requests for

clarification of these Specifications may be submitted in writing by 3:00 p.m., Pacific Time, October 09, 2019 to Seth Hartz, Purchasing Division, via email to

shartz@cityoftacoma.org. Questions received after this date and time may not be answered. A. Please indicate the RFP specification number and title in the email subject line. B. Present your questions in MS Word format or directly in the body of the email

message. Where applicable, cross reference the specific section of the RFP. Please avoid using tables to format the questions.

1. The questions will be copied into a Word template; please keep the formatting

simple (e.g., Arial 11, flush left) by avoiding multiple fonts, multiple formats, and the use of tables, styles, headers, footers, etc.

C. Questions will not be accepted by telephone or fax.

D. Questions marked confidential will not be answered.

E. Questions will be held until the deadline and answered collectively.

F. Individual answers will not be provided directly to Respondents.

G. The City reserves the discretion to group similar questions to provide a single

answer or not to respond when the requested information is confidential. H. The City will not be responsible for unsuccessful submittal of questions.

1.03.2 Written answers to questions will be posted with the Specification on or about

October 15, 2019, on the Purchasing website at www.TacomaPurchasing.org: Navigate to Contracting Opportunities / Services Solicitations, and scroll to this RFP. A notice will not be posted with the Specification if no questions are received.

1.03.3 To receive notice of the posted answers, you must register as a “bid holder” for this

solicitation. Notices will not be sent if no questions are received.

1.03.4 The answers are not typically considered an addendum. (See Section 1.08.02)

1.03.5 Appendices A through E are attached to this RFP and incorporated by reference. 1.04 ACCEPTANCE AND RESPONSIVENESS

1.04.1 Respondents agree to provide a minimum of 90 days from the submittal deadline for

acceptance by the City. 1.04.2 Submittals will be reviewed by the City to determine compliance with the requirements

and instructions specified in this RFP. Respondent is specifically notified that failure to comply with any part of this RFP may result in rejection of the submittal as non-responsive. The City reserves the right, in its sole discretion, to waive irregularities deemed to be immaterial.

1.05 CONTRACT TERM

1.05.1 The Contract will include a one-time purchase of software and /or implementation services to include design, implementation, testing, plus warranty services for at least one year. Implementation shall be followed by an initial three years of maintenance and support services followed by two additional 1-year renewal options. Any contract renewal shall include maintenance and support for the duration of the Contract renewal period.

1.05.2 Ongoing maintenance and licensing agreements beyond the first year will be per final negotiated Contract terms.

1.05.3 This Contract shall remain open to additional purchases (Interlocal, tag-on, and piggyback) by this or other agencies for the full Contract term.

1.06 PRICING

1.06.1 Pricing under any Contract resulting from this RFP shall be fixed and firm for the Contract period unless an adjustment is mandated by statute.

1.06.2 Submitted prices shall include costs of servicing the account, all contractual requirements during Contract period such as transportation, travel, licenses, permits, B&O taxes, labor, insurance costs, wages, materials, tools, components, equipment, and appurtenances necessary to complete the work, which shall conform to the best practice known to the trade in design, quality, material and workmanship and be subject to these Specifications in full.

1.06.3 Surcharges of any type will not be paid.

1.06.4 The City reserves the right to negotiate all costs/prices submitted.

1.06.5 Contractor shall extend the same services at City prices to participating public agencies in accordance with the Interlocal Agreement.

1.07 RESPONDENTS ORIGINATING OUTSIDE THE UNITED STATES

1.07.1 Respondents providing submittals from outside the legal jurisdiction of the United States of America will be subject to Tacoma’s City Attorney’s Office (CAO) opinion as to the viability of possible litigation pursuant to a contract resulting from this Specification. If it is the opinion of the CAO that any possible litigation would be beyond reasonable cost and/or enforcement, the submittal may be excluded from evaluation.

1.08 REVISIONS TO RFP – ADDENDA

1.08.1 In the event it becomes necessary to revise any part of this RFP, addenda will be issued to registered bid holders/planholders and posted on the Purchasing website at www.TacomaPurchasing.org: Navigate to Contracting Opportunities / Services Solicitations, and scroll to this RFP. Failure to acknowledge addenda may result in a submittal being deemed non-responsive.

1.08.2 Answers in response to RFP inquiries are not typically provided as an addendum. (See Section 1.03)

1.09 CITY CONTACT INFORMATION

All communications concerning this solicitation shall be directed via email to the Purchasing contact: Seth Hartz via email at shartz@cityoftacoma.org

1.09.1 Any Respondent seeking to obtain information, clarification, or interpretations from a City official or City employee other than the Purchasing contact or other Purchasing staff member, or any external firm or agency, is advised that such material is used at Respondent’s own risk. The City will not be bound by any such information, clarification, or interpretation.

1.09.2 Contact by a Respondent regarding this solicitation with a City employee other than the Purchasing contact or other Purchasing staff member, or an individual approved in writing by a Purchasing staff member, or contact with a firm hired by the City to provide consulting services regarding this RFP, may be grounds for rejection of Respondent’s submittal.

1.09.3 NOTE: City employees and persons or firms representing the City will not contact you or seek to advise you on matters pertaining to this RFP, your submittal, or the City’s expectations regarding the proposed work other than as stated in the Request for Proposals documents.

1.10 FEDERAL AID PROJECTS

1.10.1 The following is applicable to federal aid projects:

The City of Tacoma in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal Regulations, Department of Transportation, subtitle A, Office of the Secretary, part 21, nondiscrimination in federally assisted programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that it will affirmatively insure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises as defined at 49 CFR, part 26, will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin, or sex in consideration for an award.

SECTION 2 – PROJECT SCOPE / TECHNICAL SPECIAL PROVISIONS

2.01 BACKGROUND

2.01.1 Tacoma, the third largest city in the state of Washington with a population of just under 200,000, is located on the Puget Sound’s Commencement Bay, which is approximately 30 miles southwest of Seattle.

2.01.2 Tacoma Power provides electric service to more than 160,000 customers in Tacoma, Fircrest, University Place, Fife, parts of Steilacoom, Lakewood, Joint Base Lewis-McChord and unincorporated Pierce County as far south as Roy.

2.01.3 Tacoma Power was established in 1893 when the citizens of Tacoma voted to buy the privately owned Tacoma Light and Water Company. Tacoma Power is a division of Tacoma Public Utilities, which is governed by a five-member Public Utility Board. Tacoma Power also owns a telecommunications company, which provides services such as cable television, broadband and wholesale internet services.

2.01.4 Tacoma Power is a Balancing Authority responsible for the scheduling and tagging

deliveries and reconciling its interchange schedules with the WECC Interchange Tool (WIT).

2.01.5 Tacoma Power has initiated a program to join the Western Energy Imbalance Market

(EIM) and is scheduled to join the EIM on April 1, 2022. Tacoma Power is interested in procuring multiple software solutions: an Energy Trading and Risk Management System (ETRM), an EIM Entity Scheduling Coordinator (EESC) Scheduling System, a Participating Resource Scheduling Coordinator (PRSC) System, Bidding and Scheduling System, EIM Outage Management System (OMS), a Settlements system for both Tacoma Power’s EIM Entity and Participating Resource Scheduling Coordinators, and an Energy Accounting solution.

2.01.6 This program will allow Tacoma Power to make the necessary changes to business

systems, processes and organizational structure to enable effective participation in the bi-lateral energy markets, CAISO day-ahead and real-time markets at the interties, and the Energy Imbalance Market.

2.01.7 Basic Statistics

• 180 square miles of service area • 798 employees • 157,813 residential customers (54% inside city limits; 46% outside city

limits) • 18,417 commercial customers • 2,374 miles of transmission and distribution lines (1,526 overhead; 848

underground)

2.01.8 Power use: • Average use per household: 12,242 kilowatt-hours per year, 33.5 kilowatt

hours per day • Average cost per household: $1,080 per year / $90 per month

2.01.9 Power supply:

• Our power supply is 89% hydroelectric power. Of that, 46% is provided by our own hydroelectric power facilities.

2.01.10 Substations:

• 4 main/transmission substations • 5 switching stations • 48 distribution substations • 12 dedicated distribution substations • 23 Bonneville Power Administration customer substations • 8 generation switchyards

2.01.11 Conservation: • 50.4 million kilowatt-hour savings (22 residential; 28.4 commercial/industrial)• $12.6 million investment in customer conservation projects• Tacoma Power paid $8.2 million toward customer conservation projects• Customers paid $4.4 million toward conservation projects

2.02 TECHNICAL REQUIREMENTS

2.02.1 Through this RFP, Tacoma Power is requesting a written proposal from Vendor(s) that addresses the upgrade of Tacoma Power’s Marketing and Settlements Software suites. This upgrade will include the four primary software systems listed below as well as other EIM related software applications.

• Energy Trading and Risk Management System (ETRM)• CAISO Energy Imbalance Market System (EIM)• Settlements System• EIM Generation and Transmission Outage Management System (OMS)

2.02.2 The requirements stated within this RFP are based on an understanding of the current market for ETRM systems and the EIM system functionality needed to support the CAISO EIM. At the same time, we realize the electric industry is rapidly changing our business from both technology and regulatory perspectives. Proposers should describe their products in a manner that meet or exceeds Tacoma Power’s requirements.

2.02.3 Responses to this RFP should address the following: • Tacoma Power desires vendor products that are best of breed solution

applications and may contract with several vendors to ensure this objective is achieved. For that purpose, Tacoma will accept proposal responses for any one and/or combination of software solutions comprising the ETRM-EIM systems.Table 1 below illustrates which tabs in the attached Deliverable Requirements Form are applicable to designated proposal options. Vendors only need to respond to the requirements in the tabs indicated as “required” in Table 1 for the system(s) that they are proposing to supply.For example, a vendor providing a proposal for the entire suite of ETRM-EIM software will need to respond to the requirements on every tab in the Technical Specifications form. In contrast, a vendor that is only proposing to supply an EIM outage management system will just need to respond to the requirements in the nine tabs listed as “required” in the OMS column in Table 1. Please note that the last eight tabs listed in Table 1 require responses no matter which system(s) a vendor is proposing to supply.

• Off-the-shelf products are preferred but not at the expense of softening requirements. Any changes or alterations to your products needed in order to meet the requirements must be clearly identified and explained.

• Include relevant solution architecture and system descriptions that illustratehow the functional requirements will be met

• Proposed pricing should be listed by major categories: Hosted solution,Software and Licenses (including any third-party software andcustomizations), system design, implementation services (including projectmanagement, engineering, database configuration and/or conversion,development, integration and testing, etc.), training, testing and useracceptance, documentation, and travel and expenses.

• Include budgetary estimates for all custom software and specify anyassumption that might impact the estimates

• Provide a project schedule that covers the implementation from contractaware through go-live, warranty and maintenance

• Provide post go-live maintenance and operations staffing recommendations

Table 1: Technical response spreadsheet, tab to software system map

2.03 DESIRED QUALIFICATIONS

2.03.1 The following are the desired qualifications for Respondents to the RFP must meet in order for their submittal to be competitive for evaluation. Tacoma Power requires a brief single page document as part of your proposal that stipulates how you meet these requirements. Your eligibility to be selected for this project can be determined by the response to the desired qualifications alone, so the submittal should be sufficiently detailed and stand on its own without relying on any other part of the proposal. If it’s not responsive, your proposal shall be rejected by the Tacoma Power without further consideration.

1. The delivery of three or more successful energy marketing software systems that included Deal Entry and Management, Scheduling, Reporting, Transmission Portfolio Management, Credit Risk Management, and/or Settlements, Shadow Settlements

2. If bidding on the EIM or OMS components contained within this RFP, the bidder must also have delivered at least two successful implementations that involved EIM/B2B and/or OMS functionality for the CAISO EIM

3. An electric utility reference provided for each one of the work references in Minimum Qualification #1 and #2

4. For respondents proposing ETRM solutions, ability to cutover ETRM system by March 2021.

5. For respondents proposing EIM related systems (EIM, Settlements, Outage Management System), ability to connect to CAISO by August, 2021.

2.04 SCOPE OF WORK

2.04.1 ETRM System Objectives: Tacoma Power currently uses OATI’s WebTrader product

and auxiliary internally developed systems to service their ETRM system needs. Tacoma Power has determined that the current system, as implemented, will not be able to meet future needs and that we will need a software and hardware upgrade and/or replacement to maximize efficiency and minimize risks of malfunction.

• The ETRM system will result in a more commercially sustainable system that integrates Tacoma’s power marketing strategies with new business intelligence technologies

• The ETRM system shall provide a safe, reliable, efficient, and cost effective solution for current and foreseen operations of Tacoma Power’s marketing, credit risk management, and settlement functions

• The ETRM system will be able meet compliance needs and provide the flexibility to adapt to future regulatory requirements

2.04.2 EIM System Objectives: An EIM system will be deployed in order to integrate Tacoma

Power into the Western EIM. Integration into the Western EIM will allow Tacoma Power to better optimize and monetize the flexibility of Tacoma Power’s resources while simultaneously aiding the reliable integration of renewable energy systems on the western electric grid.

• The EIM system shall support full participation in the EIM • The system shall remain current and compliant with all CAISO

specifications and functionality from initiation through the end of the contract term

• The EIM system shall support BA, Transmission and Merchant functions • The system shall support the exchange of Generation Base Schedules

and Energy Bid Curve ranges between Groups yet restrict confidential transmission information from the Merchant function

2.04.3 The successful Vendor(s) will be responsible for the design, configuration, installation,

and integration of Tacoma Power’s ETRM and EIM systems in accordance with the Technical Specification included within this RFP. This includes all licenses and warranties, along with all technical documentation associated with the project.

2.04.4 At the discretion of Tacoma Power, vendor(s) will deliver additional functionality recommended by the vendor(s). This includes all licenses and warranties, including 3rd party products, along with all technical and business process documentation associated with the proposed alternative functionality.

2.04.5 As part of the pricing response, please include an optional price list for any additional marketing software offered by the vendor(s). Tacoma Power will evaluate the overall software proposal and wishes to see what additional software and supported markets are offered by the vendor. These prices should be available to Tacoma Power for the initial duration of this contract.

2.04.6 Technical Specification

The technical requirements for this RFP are listed in Appendix D. Use the Deliverable Requirements Response Form posted on the City of Tacoma Contracting Opportunities website under “Services Solicitations” to provide responses.

2.05 DELIVERABLES / ACCEPTANCE CRITERIA

Deliverables and associated acceptance criteria will be addressed in detail within the Statement of Work (SOW). Deliverables shall support the following major milestones: ETRM ETRM Design Complete

ETRM Configuration Testing Complete ETRM User Acceptance Testing Complete ETRM Go Live ETRM Availability Testing Complete

EIM EIM Design Complete

EIM Configuration Testing Complete EIM User Acceptance Testing Complete EIM Go Live EIM Availability Testing Complete

2.06 WARRANTIES

2.06.1 All products shall be warranted against defects or faulty workmanship and materials by the Supplier for one year following inspection and acceptance of the products by the City. Warranty shall include all costs incurred, including shipping, for repair or replacement except that which is damaged by misuse or abuse. This one-year warranty shall in no way affect normal extended or manufacturer’s warranty exceeding this one-year period. Supplier warrants that all goods and services furnished under this Agreement are new, conform strictly to the specifications herein, are merchantable, good workmanship, free from defect, comply with all applicable safety and health standards established for such products, are properly packaged, and all appropriate instructions or warnings are supplied. If a defect is found, a component failure occurs, or workmanship is found to cause failure, Supplier shall replace the product at their own expense, including shipping charges. Any replacement product will be warrantied

for one year from the date it is delivered. All implied and expressed warranty provisions of the Uniform Commercial Code are incorporated into this Agreement.

2.07 INSURANCE

2.07.1 City of Tacoma standard insurance requirements apply (Appendix B.).

2.07.2 Respondents are encouraged to furnish requirements to their surety for review prior to providing a submittal.

2.07.3 Failure by City to identify a deficiency in the insurance documentation provided by Contractor or failure of City to demand verification of coverage or compliance by Contractor with these insurance requirements shall not be construed as a waiver of Contractor’s obligation to maintain such insurance.

2.08 DUTY OF CONFIDENTIALITY – CONFIDENTIALITY AGREEMENT

A. Information that is confidential or proprietary must be clearly marked on each affected page.

B. Further, an index must be provided indicating the affected page number(s) and

location(s) of all such identified material. Information not included in said index will not be reviewed for confidentiality or as proprietary before release.

1. Present the index of confidential information as indicated in the Submittal

Check List.

C. Marking the entire submittal as “confidential” or “proprietary” or “trade secret” is not acceptable and is grounds to reject such submittal.

SECTION 3 – SUBMITTAL FORMAT, CONTENT, EVALUATION, AWARD 3.01 FORMAT AND PRESENTATION 3.01.1 Submittals should be clear, succinct, and should comply with these specifications.

Avoid the use of excessive graphics and marketing speak and instead confine your response to simply address Tacoma’s requirements.

3.01.2 The inclusion of standard company brochures or similar marketing materials in the

appendices is allowed but will not be evaluated and may not be used in lieu of providing responses to Section 3.02 Content to be Submitted immediately below.

3.01.3 A full and complete response to each of the “content to be submitted” items (Section

3.02) is expected in a single location; do not use hyperlinks to other documents or cross reference to another section of your submittal document in lieu of a full response.

3.01.4 Required format:

• Page size: 8.5” x 11” (no pages larger or smaller than this size)

• Margins: 0.75” or greater • Font and size: Arial 10 (or equivalent) or larger • Numbered pages: Please number all pages in your submittal documents

3.01.5 For purposes of review and in the interest of the City's sustainable business practices,

Respondents are encouraged to print/copy on both sides of a single sheet of paper wherever possible. The City encourages the use of materials (e.g., paper, dividers, binders, brochures, etc.) that contain post-consumer recycled content and are readily recyclable.

3.01.6 The City prefers the use of recyclable 3-ring binders to allow reviewers to remove

specific pages/sections. Please do not use gum or spiral bindings. The use of materials that cannot be easily recycled such as PVC (vinyl) binders, spiral bindings, glossy paper, and plastic or glossy covers or dividers is discouraged.

3.01.7 Color is acceptable, but content should not be lost by black-and-white printing or

copying. 3.01.8 Submittal organization, completeness, structure, and readability will be evaluated.

(See Section 3.03.10) 3.02 CONTENT TO BE SUBMITTED Provide complete and detailed responses to all items using the numbering format presented below. Organization of the submittal should follow the sequence of contents below so that essential information can be located easily during evaluation. Submittals that are incomplete or conditioned in any way, contain alternatives or items not called for in this RFP, or are not in conformity with law, may be rejected. The City will not accept any submittal containing a substantial deviation from the requirements outlined in this RFP.

3.02.1 Title Page

A. The Title Page is to be a single sheet of paper. Include the following on the Title Page:

1. RFP number and title 2. Firm name, address, website address, telephone number, and email address 3. Name, title, email address, and telephone number of the person to contact with

questions or issues regarding your proposal/submittal. 4. NOTE: Notifications regarding award will be sent to the email address

provided on the Signature Page.

3.02.2 Table of Contents

A. Identify information included in your submittal by section as described in Section 3.02.

3.02.3 Confidential or Proprietary Information

A. Information that is confidential or proprietary must be clearly marked on each affected page.

B. Further, an index must be provided indicating the affected page number(s) and

location(s) of all such identified material. Information not included in said index will not be reviewed for confidentiality or as proprietary before release. (Appendix C – See item 1.06 of the Standard Terms and Conditions)

C. Marking the entire submittal as “confidential” or “proprietary” or “trade secret” is

not acceptable and is grounds to reject such submittal. 3.02.4 City of Tacoma Forms (Appendix A)

A. Do not alter these forms in any way or add them to letterhead paper or present

cover letters or blank pages ahead of them. (See Section 3.01.1)

1. Signature Page - The Signature Page must be signed by a person authorized to make proposals and enter into contract negotiations on behalf of your agency. This individual must be at least 18 years of age.

2. Prime Contractor’s Pre-Work Form

3. Price Proposal Form

4. Desired Qualifications Response Form

5. Deliverable Requirements Response Form

6. Vendor Security Response Form

3.02.5 Executive Summary

A. Introduction and overview of your submittal/proposal.

B. A description and explanation of your underlying philosophy in fulfilling this scope

of work. C. A short history and description of your firm, including organizational structure,

areas/regions served, number of employees, number of years in business under current and previous names, including DBAs (doing business as), etc.

D. Background information of the parent company, if any. E. Local Presence, if any, within the Puget Sound/Pacific Northwest region. F. Location of the office from which this work will be performed. G. Documentation of corporate status and business licenses.

H. Name, title, email address, and telephone number of the person authorized to execute a contract on behalf of Respondent.

I. Name, title, email address, and telephone number of the person who will be

managing this Contract on behalf of Respondent. J. Disclose any affiliations or alliances that are in place with utility companies,

software organizations, or other related firms. K. List any current or known forthcoming business ventures or related transactions

such as proposed sale of company, buy-outs, acquisitions, mergers, new investors, etc., that may impact the business partner relationship with the City of Tacoma.

L. Disclose involvement in any business litigation in the past five years, including

whether your firm has, for legal reasons, been removed from a contract or failed to complete a contract as assigned.

M. Provide a statement regarding your firm’s financial fitness for successfully

completing this work. Disclose any past, planned, or anticipated bankruptcy filings or proceedings.

N. Disclose any intention to utilize subcontractors to perform this work, and if so,

provide similar information as listed above for identified subcontractors. Include any certified City of Tacoma Small Business Enterprise and/or minority/woman owned firm certified with the Washington State Office of Minority and Women’s Business Enterprises. (See 3.02.13 or if applicable, Price Proposal Form)

3.02.6 Qualifications / Experience of Firm

A. Describe your firm’s background, qualifications, and relevant experience as related

to this Scope of work. Include work that involves public agencies. Include experience related to bi-lateral physical electricity trading, CAISO markets, CAISO Western EIM, and the Southwest Power Pool.

B. Provide additional information that will enable the City to evaluate the capabilities,

track record, and financial stability of your firm. (Optional)

C. Describe key areas of strategic focus for your firm going forward and discuss how the firm’s product and service offerings will evolve over the next five to 10 years.

3.02.7 Qualifications/Experience of Key Personnel Assigned to this Project

The personnel presented must be committed to this project for the expected term of the Contract.

A. List key personnel that will manage and work on this project including the relevant

background and experience of each staff member you propose to assign to this project.

1. Include a brief biography outlining the experience of each person that will beinvolved in this Contract or Scope of Work, resumes should also be included asan appendix to the RFP response.

2. Indicate the role(s) each individual will be assigned and the relative amounts oftime that will be allocated to this project. For example, clearly identify those thatwill be directly involved in managing and performing the work versus those whowould act as a subject matter advisor or back office support resource.

B. Describe how these staff will work as a team to accomplish this scope of work.

C. How many projects has this team worked on together?

D. Describe the projects, including the staffing structure and dates, where theproposed staff previously worked as a team.

E. List key personnel that will manage and work this project including the relevantbackground and experience of the managing partner, managers, supervisors,seniors and other professional staff you propose to assign to this Contract.

F. Provide an organizational chart.

3.02.8 Project Methodology and Approach

A. Describe the approach you would use to deliver this project from development,integration, testing, documentation, training, go-live readiness preparation, and finaldelivery while meeting the Scope of Work requirements of this RFP.

B. Describe the quality assurance process and procedures used by your firm for theimplementation of this project.

C. Describe the Tacoma Power resources and their associated roles that you willrequire in order to meet your delivery responsibilities.

D. Provide a detailed project schedule for implementing the project from contractaward through go-live and post go-live warranty and maintenance support.

3.02.9 Reporting Capabilities

A. Provide examples (samples) of reports generated by your product solutions.Define which reports are auto-generated by the base product versus those thatmust be defined and custom built. Describe the functionality and architecture (e.g.pivot table, object definition, etc.) of any report builder included in the productsolution. Identify and explain any limitations related to the granularity at which datacan be viewed in a report, the number of data types that can be placed in a report,the size of reports, and the ability to group and subtotal data in a given report.

3.02.10 Training Plan

A. Your response should include a detailed training plan that covers all componentsand applications of your product delivery including the underlying systems thesecomponents and applications function within.

3.02.11 Fees and Charges / Value / Method of Billing / Hourly Rates

A. Provide the total cost to complete this work.

1. Provide cost breakout including hourly rates, travel expenses (payment islimited to actual costs), and any other charges or fees.

B. Identify and provide a cost breakout for optional services or alternate processes.Provide hourly rates, base fee, travel expenses, and any other charges or fees.Indicate what services are provided in the base fee, along with the methodology fordetermining the cost for additional supplemental services.

C. Describe any price discounts that may be available, e.g., prompt pay discount.

Payments shall be made by milestone upon testing and acceptance of milestonedeliverables.

D. Prepare a schedule showing the hourly billing rate of each job category (e.g.,partner, manager, senior, and staff auditors).

E. Indicate the number of individuals in each job category that you would anticipateassigning to the engagement and the estimated number of hours each would workon each year’s audit.

F. Specify a not-to-exceed fee for each year from 2020 through 2026 including all out-of-pocket expenses.

G. Explain how you would handle your costs to become acquainted with the systems,records, and procedures. Bear in mind there are five separate entities to be auditedthat share common accounting systems.

H. Indicate how your fees for 2020 and subsequent years would be allocated betweenthe divisions.

3.02.12 Small Business Enterprise (SBE) / Minority and Women’s Business Enterprises (MWBE)

A. Indicate whether your firm is a certified City of Tacoma Small Business Enterprise.

B. Indicate whether your firm will be partnering with, or subcontracting to, a certifiedCity of Tacoma Small Business Enterprise. If yes, provide the full legal name of theSBE.

C. Indicate whether your firm is a minority/woman owned firm certified with theWashington State Office of Minority and Women’s Business Enterprises.

D. Indicate whether your firm will be partnering with, or subcontracting to, aminority/woman owned firm certified with the Washington State Office of Minorityand Women’s Business Enterprises. If yes, provide the full legal name of theMWBE.

3.02.13 References

A. Provide five or more recent client references able to verify your firm’s overallexpertise for this scope of work . Include public agencies, electric utilities, asapplicable. The clients should have worked with your firm within the last threeyears. For each reference provide the following information:

1. Company name and description of primary business2. Website address, if applicable3. Contact person(s) and title4. Address5. Phone number6. Email address7. Project description or description of services provided8. Dates of service

3.02.14 EPayables Acceptance – Credit Card Acceptance – EFT/ACH Acceptance

A. EPayables (Payment Plus)

Provide a statement regarding your ability to accept payment by ePayables(Payment Plus). This is payment made via a virtual, single use VISA card numberprovided by the City’s commercial card provider. This information is not aconsideration in the evaluation. (Appendix C – See item 1.41 of the StandardTerms and Conditions)

B. Credit Card Acceptance

Provide a statement regarding your ability to meet the City’s credit cardrequirements as well as identifying your reporting capabilities (Level I, II, or III).This information is not a consideration in the evaluation. (Appendix C – See item1.41 of the Standard Terms and Conditions)

C. Electronic Funds Transfer (EFT) by Automated Clearing House (ACH) Acceptance

Provide a statement regarding your ability to accept payment by electronic fundstransfer (EFT) by Automated Clearing House (ACH). This information is not aconsideration in the evaluation. (Appendix C – See item 1.41 of the StandardTerms and Conditions)

3.02.15 Exceptions

A. Detail exceptions to RFP content by section number and elaborate on proposedresolution(s) to any technical, functional, cost, or other issues. If there are deviationsfrom the published Scope of Work (See Section 2), clearly identify or otherwisehighlight the substitution.

B. Detail proposed exceptions, if any, to City of Tacoma Standard Terms andConditions (Appendix C).

C. Detail proposed alternate forms of contract or exceptions, if any, to the City ofTacoma Contract (Appendix B).

D. The City reserves the right to accept, reject, and/or negotiate any proposedchange(s) to the scope, terms and conditions, or other provisions of this RFP.

E. Detail proposed alternate forms of contract to the City of Tacoma Contract (AppendixB) and exceptions to the City of Tacoma Standard Terms and Conditions (AppendixC – See item 1.21 D).

3.03 EVALUATION CRITERIA

3.03.1 A Selection Advisory Committee (SAC) will review and evaluate the submittals. Additionally, the SAC may conduct interviews of, or request presentations-demonstrations by, selected or short-listed Respondents before final selection is made. (See Section 3.04)

3.03.2 The SAC may use references to clarify and verify information in submittals and interviews, if conducted, which may affect the rating. The City reserves the right to contact references other than those included in the submittal.

3.03.3 The City may award to other than the highest ranked submittal or Respondent if the price submitted is more than generally accepted industry standards for this project. Also, note that the inclusion of fees and charges as an evaluation factor or a request for hourly rates does not require the City to select the Respondent submitting the lowest cost.

3.03.4 The City reserves the right to visit facilities of selected Respondents for the purpose of evaluating the ability to effectively meet Tacoma Power’s requirements. The City reserves the right inspect the facilities or project sites of selected Respondents where work under this Contract will be performed.

3.03.5 Respondents may be asked to provide their most recent audited financial statements demonstrating Respondent’s financial ability to meet the requirements of any Contract that may result from this RFP.

3.03.6 An incomplete response or no response may result in a score of zero for that criterion.

3.03.7 A serious deficiency in any one criterion, including excessive cost, may be grounds for rejection.

3.03.8 The final selection will be that submittal or Respondent which, after review and potential on-site visits, interviews/presentations/demonstrations, reference checks, and best and final offers (BAFO), if requested, in the sole judgment of the City, best meets the requirements set forth in this RFP.

3.03.9 Core Functionality and Desired Functionality will be scored as a whole or as separate applications components if a particular vendor only chooses to bid on a specific application component, e.g. Settlements or OMS.

A Qualifications/Experience of Firm and Key Project Personnel (Sections 3.02.6, 3.02.7 & Desired Qualifications Response Form)

20

B Responses to Deliverable Requirements Response Form (Appendix A) 25

C Proposed Project Methodology and Approach (Section 3.02.8) 15

D Reporting Capabilities (Section 3.02.9) 5

E Training Plan (Section 3.02.10) 5

F Fees and Charges / Value (Section 3.03.11 & Price Proposal Response Form in Appendix A) 15

G Small Business Enterprise (SBE) / Minority and Women’s Business Enterprise (MWBE) (Section 3.02.12)

a) Respondent is a City of Tacoma certified SBE firm.b) Respondent is partnering with a qualified City of Tacoma certified SBE

firm.c) Respondent is a certified state of Washington Minority and Women’s

Business Enterprise.Respondent is partnering with a certified state of Washington Minority and Women’s Business Enterprise.

5

H Submittal Quality, Organization, Completeness a) Presentation of information is logical and clearb) Completeness of proposal contentc) Adherence to format and layout requirementsd) Compliance with Specifications

10

I Completion of Vendor Security Response Worksheet (Appendix A) P/F

3.04 INTERVIEWS / ORAL PRESENTATIONS / DEMONSTRATIONS

3.04.1 An invitation to interview, present, or provide a demonstration, either in person at a City facility or by conference call or video conference (Skype or similar application), may be extended to selected or short-listed Respondents based on Selection Advisory Committee review of the written submittals.

3.04.2 If held, it is anticipated that interviews/presentations/demonstrations would comprise an entire day and be evaluated in a manner similar to the submittal. Instructions will be provided to selected Respondents.

3.04.3 All information, whether oral or written or otherwise, provided by Respondent in interviews/presentations/demonstrations may be incorporated into any resulting contract.

Criteria Points

3.03.10 Submittals will be evaluated using the following criteria:

3.04.4 Interviews/presentations/demonstrations may be filmed and recorded, and incorporated into any resulting contract.

3.04.5 The SAC reserves the right to adjust scoring based on additional information and/or clarifications obtained during, or resulting from, interviews, presentations, demonstrations, or references. The SAC may determine scoring criteria for the interviews following evaluation of written submittals, including the option to rank (1, 2, 3, etc.) rather than score.

3.04.6 The City reserves all rights to begin contract negotiations without conducting

interviews, presentations, or demonstrations. 3.04.7 Respondents must be available for interviews/presentations/demonstrations within

three business days’ notice. 3.05 AWARD 3.05.1 After a Respondent(s) is selected by the SAC and prior to award, all Respondents will

be notified in writing by the Purchasing Division. 3.05.2 Once a finalist (or finalists) has been selected by the Selection Advisory Committee

and approved by the director of utilities and/or city manager, or designee, contract negotiations will begin. If a Contract is successfully negotiated, it will, if required, be submitted for final approval by the Public Utility Board and/or City Council. If an agreement cannot be reached, negotiations will be terminated and negotiations will be conducted with the next highest scored Respondent and so on, until an agreement is reached, or until the City exercises its right to cancel the solicitation.

APPENDIX A

Signature Page

Prime Contractor’s Pre-Work Form

Price Proposal Form For the electronic copy of this form, use the link posted with this Specification

Desired Qualifications Response Form

For the electronic copy of this form, use the link posted with this Specification

Deliverable Requirements Response Form For the electronic copy of this form, use the link posted with this Specification

Vendor Security Response Form

For the electronic copy of this form, use the link posted with this Specification

Form No. SPEC-080A Revised: 06/27/18

SIGNATURE PAGE

CITY OF TACOMA / TACOMA PUBLIC UTILITIES TACOMA POWER MANAGEMENT

All submittals must be in ink or typewritten and must be executed by a duly authorized officer or representative of the bidding/proposing entity. If the bidder/proposer is a subsidiary or doing business on behalf of another entity, so state, and provide the firm name under which business is hereby transacted.

Submittals will be received and time stamped only at the City of Tacoma Procurement & Payables Division, located in the Tacoma Public Utilities Administration Building North, 4th Floor, at 3628 South 35th Street, Tacoma, WA 98409. See the Request for Proposals page near the beginning of the specification for additional details.

REQUEST FOR PROPOSALS SPECIFICATION NO. PM19-0374F

Energy Imbalance Market (EIM) and Energy Trading and Risk Management (ETRM) Software Solution Implementation

The undersigned bidder/proposer hereby agrees to execute the proposed contract and furnish all materials, labor, tools, equipment and all other facilities and services in accordance with these specifications.

The bidder/proposer agrees, by submitting a bid/proposal under these specifications, that in the event any litigation should arise concerning the submission of bids/proposals or the award of contract under this specification, Request for Bids, Request for Proposals or Request for Qualifications, the venue of such action or litigation shall be in the Superior Court of the State of Washington, in and for the County of Pierce.

Non-Collusion Declaration

The undersigned bidder/proposer hereby certifies under penalty of perjury that this bid/proposal is genuine and not a sham or collusive bid/proposal, or made in the interests or on behalf of any person or entity not herein named; and that said bidder/proposer has not directly or indirectly induced or solicited any contractor or supplier on the above work to put in a sham bid/proposal or any person or entity to refrain from submitting a bid/proposal; and that said bidder/proposer has not, in any manner, sought by collusion to secure to itself an advantage over any other contractor(s) or person(s).

Bidder/Proposer’s Registered Name

Address

City, State, Zip

E-Mail Address

E.I.No. / Federal Social Security Number Used on Quarterly

Federal Tax Return, U.S. Treasury Dept. Form 941

Signature of Person Authorized to Enter Date into Contracts for Bidder/Proposer

Printed Name and Title

(Area Code) Telephone Number / Fax Number

State Business License Number in WA, also known as UBI (Unified Business Identifier) Number

State Contractor’s License Number (See Ch. 18.27, R.C.W.)

Addendum acknowledgement #1_____ #2_____ #3_____ #4_____ #5_____

THIS PAGE MUST BE SIGNED AND RETURNED WITH SUBMITTAL.

Purchasing to insert Signature Page

Prime Contractor’s Pre-Work Form

City of Tacoma Community & Economic Development Office of Small Business Enterprise 747 Market Street, Room 808 Tacoma, WA 98402 253-594-7933 or 253-591-5224

PRIME CONTRACTOR'S PRE-WORK FORM

______________________________________________________________________________Company Name Telephone

Address/City/State/Zip Code

Specification Number Specification Title

JOB CATEGORIES SPECIFY

TOTAL EMPLOYEES

TOTAL MINORITY

EMPLOYEES

BLACK ASIAN or PACIFIC ISLANDER

AMERICAN INDIAN or

ALASKAN NATIVE

HISPANIC

M F M F M F M F M F M F Officer / Managers Supervisors

Project Managers Office / Clerical

Apprentices Trainees

TOTALS

CONTRACTOR'S PROJECTED WORK FORCE - THIS PROJECT Superintendent Foreman Operators Laborers

Apprentice Trainee

TOTALS

Type or Print Name of Responsible Officer / Title Signature of Responsible Officer Date

CCD/SBE/FORMS revised May 2017

PI19-0101F Page 25 of 99

INSTRUCTIONS FOR COMPLETINGPRIME CONTRACTOR’S PRE-WORK FORM

This form only applies to employees who will be working on this specific project.

1. "Heading" the company name and address should reflect the prime contractor actually doingbusiness with the City of Tacoma. If this address is different from that of the EqualEmployment Opportunity Officer that administers the EEO programs of the company, the EqualEmployment Opportunity Officer's address should be noted in the "Comments" section at thebottom of the form. "Telephone" should contain the area code, telephone number andextension (if any) for the Equal Employment Officer or the responsible official.

2. "Job Categories" at the extreme left hand column of the form specifying "Job Categories" lists"Officials & Managers." You are to list in addition to Officials & Managers any appropriate jobtitles such as Sales Workers, Office/Clerical, Professionals, Technical, etc., as they apply toyour own company and only as pertains to this specific project.

3. The "M" and "F" headings at the top of each column refer to "Male" and "Female."

4. The "Total Employees" column should list the total number of male employees under "M" andthe total female number of female employees under "F" for each job category listed. Theyshould be listed in a similar manner in the "Total" category at the bottom of the form. The"Total Employees" column should include all those employees listed under "Non-Minority" and"Total Minorities." "Non-Minority" should include all employees not listed in the minoritycolumns.

5. "Total Minorities" should include all employees listed under the "Black," "Asian or PacificIslander” (A person having origins in any of the original peoples of the Far East, SoutheastAsia, the Indian subcontinent, or the Pacific Islands. This area includes, for example, China,India, Japan, Korea, the Philippine Islands, and Samoa.), "American Indian or Alaskan Native,"and "Hispanic" columns. These columns should include only employees who are members ofthat particular minority group. Designation and definitions of ethnic/national origin status followthe instructions and definitions of the Federal EEO-1 Form of the U. S. Equal EmploymentOpportunity Commission.

6. "Totals" this line should reflect the total of all lines in each of the above columns.

7. The signature of your company's designated responsible official or similar official responsiblefor equal employment opportunity must appear in the designated space at the bottom of theform. Please PRINT OR TYPE the person's name on the top line across from the signature.This is required since some signatures are difficult to read.

8. "Comments" this section is to be used as needed for explanations to under utilization rate orlack of turnover, proposed expansion or reduction of staff or any other pertinent information youbelieve will help clarify or explain the data presented on the form. If you need additional space,please explain on a separate sheet of paper.

9. If you need assistance or have questions regarding the completion of this form, please call theSBE Office at 253-594-7933 or 253-591-5224.

CCD/SBE/FORMS revised May 2017

PI19-0101F Page 26 of 99

APPENDIX B

Sample Contract

Standard Certificate of Insurance and Endorsements Requirements

Services Agreement CW####### Template Revised: 2/27/2019   Page 1 of 12 

SERVICES CONTRACT

THIS CONTRACT, made and entered into [EFFECTIVE DATE] by and between the CITY OF TACOMA, a municipal corporation of the State of Washington (hereinafter referred to as the “CITY”), and [INSERT legal name of Supplier exactly as it appears in Ariba], (hereinafter referred to as “CONTRACTOR”);

In consideration of the mutual promises and obligations hereinafter set forth, the Parties hereto agree as follows:

1. Scope of Services/Work

The CONTRACTOR agrees to diligently and completely perform the services and/ordeliverables consisting of [INSERT A BRIEF DESCRIPTION OF THE WORK TO BEPERFORMED] as is described in Exhibit XXXXX [A, B, ETC., if needed] attached heretoand incorporated herein.

2. Order of Precedence

To the extent there is any discrepancy or conflict between and/or amongst the terms ofthis Contract and Exhibit(s) __________, the controlling terms for this Contract will beinterpreted in the following order of precedence, with the first listed being the mostcontrolling, and the last listed being the least controlling: Contract, Exhibit ___, Exhibit_____. [INSERT EXHIBIT REFERENCES IN ORDER OF WHICH IS MOSTCONTROLLING]

3. Changes to Scope of Work

The CITY shall have the right to make changes within the general scope of servicesand/or deliverables upon execution in writing of a change order or amendment hereto. Ifthe changes will result in additional work effort by CONTRACTOR, the CITY will agree toreasonably compensate the CONTRACTOR for such additional effort up to themaximum amount specified herein or as otherwise provided by City Code.

4. On Call Contracts

If the services and deliverables performed under this Contract are on an on call or asassigned basis, service and deliverables may be assigned by Task Authorization orStatements of Work.

5. Term

All services shall be satisfactorily completed on or before [INSERT CONTRACTTERMINATION DATE] and this Contract shall expire on said date unless mutuallyextended in writing by the Parties.

6. Renewals

At CITY's sole option, the Term of this Contract may be renewed for additional [INSERTTHE RENEWAL PERIOD - 1 YEAR, ETC] periods, not to exceed [INSERT THE

SAMPLEIn consideration of the mutual promises and obligations hereinafter set forth, the Parties

SAMPLEIn consideration of the mutual promises and obligations hereinafter set forth, the Parties

RACTOR agrees to diligently and completely perform the services and/or

SAMPLERACTOR agrees to diligently and completely perform the services and/or

deliverables consisting of [INSERT A BRIEF DESCRIPTION OF THE WORK TO

SAMPLEdeliverables consisting of [INSERT A BRIEF DESCRIPTION OF THE WORK TO BE

SAMPLE BE

ORMED] as is described in Exhibit XXXXX [A, B, ETC., if needed] attached

SAMPLEORMED] as is described in Exhibit XXXXX [A, B, ETC., if needed] attached hereto

SAMPLEhereto

y discrepancy or conflict

SAMPLEy discrepancy or conflict between and/or amongst the terms of

SAMPLE between and/or amongst the terms of___, the controlling terms for this Contract will be

SAMPLE___, the controlling terms for this Contract will beinterpreted in the following order of precedence, with the first listed bein

SAMPLEinterpreted in the following order of precedence, with the first listed beinand the last listed being the least controlling: Co

SAMPLEand the last listed being the least controlling: Contract, Exhibit ___, Exhibit

SAMPLEntract, Exhibit ___, ExhibitT REFERENCES IN ORDER OF WHICH IS

SAMPLET REFERENCES IN ORDER OF WHICH IS

Changes to Scope of Work

SAMPLEChanges to Scope of Work

The CITY shall have the right to make changes

SAMPLEThe CITY shall have the right to make changes within the g

SAMPLEwithin the g

SAMPLEand/or deliverables upon execution in writing of a change or

SAMPLEand/or deliverables upon execution in writing of a change orthe changes will result

SAMPLEthe changes will result in additional work effort by CONTRACTOR, the CITY

SAMPLEin additional work effort by CONTRACTOR, the CITY

reasonably compensate the CONTRACTOR for such addit

SAMPLEreasonably compensate the CONTRACTOR for such addit

mum amount specified herein or as otherwise provided by City Code

SAMPLEmum amount specified herein or as otherwise provided by City Code

On Call Co

SAMPLEOn Call Contracts

SAMPLEntracts

If the services and deliv

SAMPLE

If the services and deliverables performed under this Contract are on an on call or as

SAMPLE

erables performed under this Contract are on an on call or asassigned basis, service and deliverables may be assigned bySAMPLE

assigned basis, service and deliverables may be assigned byStatements of Work.SAMPLE

Statements of Work.

5. SAMPLE

5. SAMPLE

TermSAMPLE

Term

All services shall be SAMPLE

All services shall be SAMPLE

TERMINATION DATE] and this Contract shall expire on said date unless mutuallySAMPLE

TERMINATION DATE] and this Contract shall expire on said date unless mutually

PI19-0101F

Services Agreement CW####### Template Revised: 2/27/2019   Page 2 of 12 

MAXIMUM NUMBER OF RENEWAL PERIODS]. CITY will provide written notice of its intent to exercise any renewal options at least 30 days prior to the then existing Term and a written Amendment to this Contract will be mutually executed.

7. Delay

Neither party shall be considered to be in default in the performance of this Contract tothe extent such performance is prevented or delayed by any cause which is beyond thereasonable control of the affected party and, in such event, the time for performanceshall be extended for a period equal to any time lost as a result thereof. In the eventCONTRACTOR is unable to proceed due to a delay solely attributable to CITY,CONTRACTOR shall advise CITY of such delay in writing as soon as is practicable.

8. Compensation

The CITY shall compensate the CONTRACTOR for the services and deliverablesperformed under this Contract [in accordance with OR on the basis of] [INSERTDESCRIPTION OF COMPENSATION ARRANGEMENTS – REFERENCE EXHIBIT,TIME AND MATERIALS, LUMP SUM ETC.]

9. Not to Exceed Amount

The total price to be paid by CITY for CONTRACTOR’S full and complete performanceof the Scope of Work hereunder shall not exceed $ [INSERT TOTAL AMOUNT OFCONTRACT] without the written consent of the CITY. Said price shall be the totalcompensation for CONTRACTOR’S performance hereunder including, but not limited to, all work, deliverables, materials, supplies, equipment, subcontractor’s fees, and all reimbursable travel and miscellaneous or incidental expenses to be incurred by CONTRACTOR. In the event the CONTRACTOR incurs cost in excess of the sum authorized for service under this Contract, the CONTRACTOR shall pay such excess from its own funds, and the CITY shall not be required to pay any part of such excess, and the CONTRACTOR shall have no claim against the CITY on account thereof.

10. Payment

CONTRACTOR shall submit XXXXXXXX {monthly, weekly, annual, Contract milestone, etc.} invoices for services completed and/or deliverables furnished during the invoice period. Upon CITY’S request, CONTRACTOR shall submit necessary and appropriate documentation, as determined by the CITY, for all invoiced services and deliverables.

Payment shall be made through the CITY’S ordinary payment process, and shall be considered timely if made within 30 days of receipt of a properly completed invoice. All payments shall be subject to adjustment for any amounts, upon audit or otherwise, determined to have been improperly invoiced. The CITY may withhold payment to the CONTRACTOR for any services or deliverables not performed as required hereunder until such time as the CONTRACTOR modifies such services or deliverables to the satisfaction of the CITY.

SAMPLENeither party shall be considered to be in default in the performance of this Contract to

SAMPLENeither party shall be considered to be in default in the performance of this Contract to

delayed by any cause which is beyond the

SAMPLE delayed by any cause which is beyond the

reasonable control of the affected party and, in such event, the time for performance

SAMPLEreasonable control of the affected party and, in such event, the time for performance shall be extended for a period equal to any time lost as a result thereof. In the event

SAMPLEshall be extended for a period equal to any time lost as a result thereof. In the event CONTRACTOR is unable to proceed due to a delay solely attributable to CITY,

SAMPLECONTRACTOR is unable to proceed due to a delay solely attributable to CITY,

in writing as soon as is practicable.

SAMPLE in writing as soon as is practicable.

The CITY shall compensate the CONTRACTOR for the services and deliverables

SAMPLEThe CITY shall compensate the CONTRACTOR for the services and deliverables performed under this Contract [in accordance with OR on the basis of] [INSERT

SAMPLEperformed under this Contract [in accordance with OR on the basis of] [INSERT DESCRIPTION OF COMPENSATION ARRANGEMENTS – REFERENCE EXHIBIT,

SAMPLEDESCRIPTION OF COMPENSATION ARRANGEMENTS – REFERENCE EXHIBIT, TIME AND MATERIALS, LUMP SUM ETC.]

SAMPLETIME AND MATERIALS, LUMP SUM ETC.]

The total price to be paid by CITY for CONTRACTOR’S full and complete performance

SAMPLEThe total price to be paid by CITY for CONTRACTOR’S full and complete performance of the Scope of Work hereunder shall not exceed $ [INSERT TOTAL AMOUNT OF

SAMPLEof the Scope of Work hereunder shall not exceed $ [INSERT TOTAL AMOUNT OFCONTRACT] without the written consent of the CITY. Said price shall be the total

SAMPLECONTRACT] without the written consent of the CITY. Said price shall be the total compensation for CONTRACTOR’S performan

SAMPLEcompensation for CONTRACTOR’S performance hereunder including, but not limited to,

SAMPLEce hereunder including, but not limited to,

all work, deliverables, materials, supplies, equipment, subcontractor’s fees, and all

SAMPLEall work, deliverables, materials, supplies, equipment, subcontractor’s fees, and all

SAMPLEreimbursable travel and miscellaneous or incidental expenses to be incurred by

SAMPLEreimbursable travel and miscellaneous or incidental expenses to be incurred by CONTRACTOR.

SAMPLECONTRACTOR.In the event the CONTRACTOR incurs cost in excess of the sum authorized for service

SAMPLEIn the event the CONTRACTOR incurs cost in excess of the sum authorized for service under this Contract, the CONTRACTOR shall pay such excess from its own funds, and

SAMPLEunder this Contract, the CONTRACTOR shall pay such excess from its own funds, and the CITY shall not be required to pay any part of such excess, and the CONTRACTOR

SAMPLEthe CITY shall not be required to pay any part of such excess, and the CONTRACTOR shall have no claim against the CITY on account thereof.

SAMPLEshall have no claim against the CITY on account thereof.

SAMPLE

10. Payment

SAMPLE

10. Payment

CONTRACTOR shall submit XXXXXXXX {monthly,SAMPLE

CONTRACTOR shall submit XXXXXXXX {monthly,etc.} invoices for services completed and/or deliverables furnished during the invoice SAMPLE

etc.} invoices for services completed and/or deliverables furnished during the invoice period. Upon CITY’S request, CONTRACTOR shall submit necessary and appropriate SAMPLE

period. Upon CITY’S request, CONTRACTOR shall submit necessary and appropriate documentation, as determined by the CITY, for all invoiced services and deliverables. SAMPLE

documentation, as determined by the CITY, for all invoiced services and deliverables. SAMPLE

Payment shall be made through the CITY’S ordinary payment process, and shall beSAMPLE

Payment shall be made through the CITY’S ordinary payment process, and shall beconsidered timely if made within 30 days of receipt of a properly completed invoice. All SAMPLE

considered timely if made within 30 days of receipt of a properly completed invoice. All

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11. Payment Method

The City’s preferred method of payment is by ePayables (Payment Plus), followed bycredit card (aka procurement card), then Electronic Funds Transfer (EFT) by AutomatedClearing House (ACH), then check or other cash equivalent. CONTRACTOR may berequired to have the capability of accepting the City’s ePayables or credit card methodsof payment. The City of Tacoma will not accept price changes or pay additional feeswhen ePayables (Payment Plus) or credit card is used. The City, in its sole discretion,will determine the method of payment for this Contract.

12. Independent Contractor Status

The services and deliverables shall be furnished by the CONTRACTOR as anindependent Contractor, and nothing herein contained shall be construed to create anemployer and employee relationship. The CONTRACTOR shall provide at its soleexpense all materials, office space, and other necessities to perform its duties under thisContract, unless stated otherwise in this Contract. No payroll or employment taxes ofany kind shall be withheld or paid by the CITY with respect to payments toCONTRACTOR. The payroll or employment taxes that are the subject of this paragraphinclude, but are not limited to, FICA, FUTA, federal income tax, state personal incometax, state disability insurance tax and state unemployment insurance tax. By reason ofCONTRACTOR’s status as an independent Contractor hereunder, no workers'compensation insurance has been or will be obtained by the CITY on account ofCONTRACTOR. CONTRACTOR may be required to provide the CITY proof of paymentof these said taxes and benefits. If the CITY is assessed or deemed liable in any manner for those charges or taxes, the CONTRACTOR agrees to hold the CITY harmless from those costs, including attorney’s fees.

13. Services Warranty

The CONTRACTOR warrants that all services performed pursuant to this Contract shall be generally suitable for the use to which CITY intends to use said services and deliverables as expressed in the Scope of Work. In the performance of services under this Contract, the CONTRACTOR and its employees further agree to exercise the degree of skill and care required by customarily accepted good practices and procedures followed by professionals or service providers rendering the same or similar type of service. All obligations and services of the CONTRACTOR hereunder shall be performed diligently and completely according to such professional standards.

Unless a higher standard or longer periods of warranty coverage for product deliverables provided under this Contract is provided herein, CONTRACTOR agrees to correct any defect or failure of deliverables supplied under this Contract which occurs within one year from ________[FILL IN APPROPRIATE TIME FRAME, E.G. GO LIVE, FIRST USE, ETC]. During said warranty period, all of the costs (including shipping, dismantling and reinstallation) of repairs or corrections is the responsibility of the CONTRACTOR. If CONTRACTOR is not the manufacturer of the item of equipment, CONTRACTOR agrees to be responsible for this warranty and shall not be relieved by a lesser manufacturer's guarantee. This Contract warranty period shall be suspended from the time a significant defect is first documented by the CITY until repair or replacement by CONTRACTOR and acceptance by the CITY. In the event less than ninety (90) days remain on the warranty period (after recalculating), the warranty period

SAMPLEis used. The City, in its sole discretion,

SAMPLEis used. The City, in its sole discretion,

The services and deliverables shall be furnished by the CONTRACTOR as an

SAMPLEThe services and deliverables shall be furnished by the CONTRACTOR as an independent Contractor, and nothing herein contained shall be construed to create an

SAMPLEindependent Contractor, and nothing herein contained shall be construed to create an

NTRACTOR shall provide at its sole

SAMPLENTRACTOR shall provide at its sole expense all materials, office space, and other necessities to perform its duties under this

SAMPLEexpense all materials, office space, and other necessities to perform its duties under this Contract, unless stated otherwise in this Contract. No payroll or employment taxes of

SAMPLEContract, unless stated otherwise in this Contract. No payroll or employment taxes of any kind shall be withheld or paid by the CITY with respect to payments to

SAMPLEany kind shall be withheld or paid by the CITY with respect to payments to CONTRACTOR. The payroll or employment taxes that are the subject of this paragraph

SAMPLECONTRACTOR. The payroll or employment taxes that are the subject of this paragraph include, but are not limited to, FICA, FUTA, federal income tax, state personal income

SAMPLEinclude, but are not limited to, FICA, FUTA, federal income tax, state personal income tax, state disability insurance tax and state unemployment insurance tax. By reason of

SAMPLEtax, state disability insurance tax and state unemployment insurance tax. By reason of CONTRACTOR’s status as an independent Contractor hereunder, no workers'

SAMPLECONTRACTOR’s status as an independent Contractor hereunder, no workers' compensation insurance has been or will be obtained by the CITY on account of

SAMPLEcompensation insurance has been or will be obtained by the CITY on account of CONTRACTOR. CONTRACTOR may be required to provide the CITY proof of payment

SAMPLECONTRACTOR. CONTRACTOR may be required to provide the CITY proof of payment of these said taxes and benefits. If the CITY is assessed or deemed liable in any manner

SAMPLEof these said taxes and benefits. If the CITY is assessed or deemed liable in any manner for those charges or taxes, the CONTRACTOR agrees to hold the CITY harmless from

SAMPLEfor those charges or taxes, the CONTRACTOR agrees to hold the CITY harmless from those costs, including attorney’s fees.

SAMPLEthose costs, including attorney’s fees.

SAMPLE13. Services Warranty

SAMPLE13. Services Warranty

The CONTRACTOR warrants that all services pe

SAMPLEThe CONTRACTOR warrants that all services pebe generally suitable for the use to which CITY intends to use said services and

SAMPLEbe generally suitable for the use to which CITY intends to use said services and deliverables as expressed in the Scope of Wo

SAMPLEdeliverables as expressed in the Scope of Wothis Contract, the CONTRACTOR and its employees further agree to exercise the

SAMPLEthis Contract, the CONTRACTOR and its employees further agree to exercise the degree of skill and care required by cu

SAMPLEdegree of skill and care required by cuprocedures followed by professionals or servic

SAMPLEprocedures followed by professionals or servictype of service. All obligations and services of the CONTRACTOR hereunder shall be

SAMPLE

type of service. All obligations and services of the CONTRACTOR hereunder shall be

SAMPLE

performed diligently and completely according to such professional standards. SAMPLE

performed diligently and completely according to such professional standards.

Unless a higher standard or longer periods of warranty coverage for product SAMPLE

Unless a higher standard or longer periods of warranty coverage for product deliverables provided under this Contract isSAMPLE

deliverables provided under this Contract iscorrect any defect or failure of deliverables supplied under this Contract which occurs SAMPLE

correct any defect or failure of deliverables supplied under this Contract which occurs SAMPLE

within one year from ________[FILL IN APPROPRIATE TIME FRAME, E.G. GO LIVE, SAMPLE

within one year from ________[FILL IN APPROPRIATE TIME FRAME, E.G. GO LIVE, FIRST USE, ETC]. During said warranty period, all of the costs (including shipping, SAMPLE

FIRST USE, ETC]. During said warranty period, all of the costs (including shipping,

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shall be extended to allow for at least ninety (90) days from the date of repair or replacement and acceptance by the CITY.

14. Reliance on CITY Provided Data or Information

If the CONTRACTOR intends to rely on information or data supplied by the CITY, otherCITY contractors or other generally reputable sources without independent verification,such intent shall be brought to the attention of the CITY.

15. Contract Administration

[INSERT NAME TITLE AND DEPARTMENT OF CONTRACT ADMINISTRATOR] for theCITY shall have primary responsibility for contract administration and approval ofservices to be performed by the CONTRACTOR, and shall coordinate allcommunications between the CONTRACTOR and the CITY.

16. Specific Personnel

If before, during, or after the execution of this Contract, CONTRACTOR represents tothe CITY that certain personnel would or will be responsible for performing services anddeliverables under this Contract, then the CONTRACTOR is obligated to ensure that said personnel perform said Contract services to the maximum extent permitted by law. This Contract provision shall only be waived by written authorization by the CITY, and on a case-by-case basis.

17. Right to Audit

Upon CITY's request, CONTRACTOR shall make available to CITY all accounts, records and documents related to the performance of this Contract for CITY's inspection, auditing or evaluation during normal business hours as reasonably needed by CITY to assess performance, compliance and quality assurance under this Contract or in satisfaction of City's public disclosure obligation, as applicable.

18. Records Retention

The CONTRACTOR shall establish and maintain records in accordance with requirements prescribed by the CITY, with respect to all matters related to the performance of this Contract. Except as otherwise authorized by the CITY, the CONTRACTOR shall retain such records for a period of ______[INSERT THE TIME THE RECORDS SHOULD BE KEPT. MOST COMMON IS 6 YEARS] years after receipt of the final payment under this Contract or termination of this Contract.

If CONTRACTOR retains any City records or data hosted in a Cloud Service. CITY shall have the ability to access its records hosted in a Cloud Service at any time during the Term of this Contract. CITY may export and retrieve its records during the Term of the Contract and, no later than 30 days from the termination of this Contract, CONTRACTOR shall export CITY records to City's custody and control.

19. Notices

SAMPLECITY contractors or other generally reputable sources without independent verification,

SAMPLECITY contractors or other generally reputable sources without independent verification,

[INSERT NAME TITLE AND DEPARTMENT OF CONTRACT ADMINISTRATOR] for the

SAMPLE[INSERT NAME TITLE AND DEPARTMENT OF CONTRACT ADMINISTRATOR] for the CITY shall have primary responsibility for contract administration and approval of

SAMPLECITY shall have primary responsibility for contract administration and approval of services to be performed by the CONTRACTOR, and shall coordinate all

SAMPLEservices to be performed by the CONTRACTOR, and shall coordinate all communications between the CONTRACTOR and the CITY.

SAMPLEcommunications between the CONTRACTOR and the CITY.

If before, during, or after the execution of this Contract, CONTRACTOR represents to

SAMPLEIf before, during, or after the execution of this Contract, CONTRACTOR represents to the CITY that certain personnel would or will be responsible for performing services and

SAMPLEthe CITY that certain personnel would or will be responsible for performing services and deliverables under this Contract, then the CONTRACTOR is obligated to ensure that

SAMPLEdeliverables under this Contract, then the CONTRACTOR is obligated to ensure that said personnel perform said Contract services to the maximum extent permitted by law.

SAMPLEsaid personnel perform said Contract services to the maximum extent permitted by law. This Contract provision shall only be waived by written authorization by the CITY, and on

SAMPLEThis Contract provision shall only be waived by written authorization by the CITY, and on

Upon CITY's request, CONTRACTOR shall make available to CITY all accounts, records

SAMPLEUpon CITY's request, CONTRACTOR shall make available to CITY all accounts, records and documents related to the performance of this Contract for CITY's inspection,

SAMPLEand documents related to the performance of this Contract for CITY's inspection, auditing or evaluation during normal business hours as reasonably needed by CITY to

SAMPLEauditing or evaluation during normal business hours as reasonably needed by CITY toassess performance, compliance and quality assurance under this Contract or in

SAMPLEassess performance, compliance and quality assurance under this Contract or in satisfaction of City's public disclosure obligation, as applicable.

SAMPLEsatisfaction of City's public disclosure obligation, as applicable.

SAMPLE

SAMPLE18. Records Retention

SAMPLE18. Records Retention

The CONTRACTOR shall establish and maintain records in accordance with SAMPLE

The CONTRACTOR shall establish and maintain records in accordance with requirements prescribed by the CITY, with respect to all matters related to the SAMPLE

requirements prescribed by the CITY, with respect to all matters related to the performance of this Contract. Except as otherwise authorized by the CITY, the SAMPLE

performance of this Contract. Except as otherwise authorized by the CITY, the CONTRACTOR shall retain such records for a period of ______[INSERT THE TIME SAMPLE

CONTRACTOR shall retain such records for a period of ______[INSERT THE TIME THE RECORDS SHOULD BE KEPT. MOST COMMON IS 6 YEARS] years after receiptSAMPLE

THE RECORDS SHOULD BE KEPT. MOST COMMON IS 6 YEARS] years after receiptof the final payment under this Contract or termination of this Contract. SAMPLE

of the final payment under this Contract or termination of this Contract.

If CONTRACTOR retains any City records or data hosted in a Cloud Service. CITY shall SAMPLE

If CONTRACTOR retains any City records or data hosted in a Cloud Service. CITY shall

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Except for routine operational communications, which may be delivered personally or transmitted by electronic mail all notices required hereunder shall be in writing and shall be deemed to have been duly given if delivered personally or mailed first-class mail, postage prepaid, to the parties at the following addresses:

CITY:

Name:

Title:

Address:

Telephone No.:

E-mail:

CONTRACTOR:

Name:

Title:

Address:

Telephone No.:

E-mail:

20. Termination

Except as otherwise provided herein, the CITY may terminate this Contract at any time, with or without cause, by giving ten (10) business days written notice to CONTRACTOR. In the event of termination, all finished and unfinished work prepared by the CONTRACTOR pursuant to this Contract shall be provided to the CITY. In the event CITY terminates this Contract due to the CITY’s own reasons and without cause due to the CONTRACTOR’s actions or omissions, the CITY shall pay the CONTRACTOR the amount due for actual work and services necessarily performed under this Contract up to the effective date of termination, not to exceed the total compensation set forth herein. Termination of this Contract by CITY shall not constitute a waiver of any claims or remaining rights the CITY may have against CONTRACTOR relative to performance hereunder.

21. Suspension

The CITY may suspend this Contract, at its sole discretion, upon seven (7) business days’ written notice to the CONTRACTOR. Such notice shall indicate the anticipated period of suspension. Any reimbursement for expenses incurred due to the suspension shall be limited to the CONTRACTOR’S reasonable expenses and shall be subject to verification. The CONTRACTOR shall resume performance of services under this Contract without delay when the suspension period ends. Suspension of this Contract by CITY shall not constitute a waiver of any claims or remaining rights the CITY may have against CONTRACTOR relative to performance hereunder.

22. Taxes

CONTRACTOR is responsible for the payment of all charges and taxes applicable to the services performed under this Contract, and CONTRACTOR agrees to comply with all applicable laws regarding the reporting of income, maintenance of records, and all other requirements and obligations imposed pursuant to applicable law. If the CITY is assessed, made liable, or responsible in any manner for such charges or taxes, the CONTRACTOR holds CITY harmless from such costs, including attorney's fees.

SAMPLETelephone No.:

SAMPLETelephone No.:

SAMPLE

SAMPLEExcept as otherwise provided herein, the CITY

SAMPLEExcept as otherwise provided herein, the CITY may terminate this Contract at any time,

SAMPLE may terminate this Contract at any time, with or without cause, by giving ten (10) business days written notice to CONTRACTOR.

SAMPLEwith or without cause, by giving ten (10) business days written notice to CONTRACTOR. In the event of termination, all finished and unfinished work prepared by the

SAMPLEIn the event of termination, all finished and unfinished work prepared by the CONTRACTOR pursuant to this Contract shall be provided to the CITY. In the event

SAMPLECONTRACTOR pursuant to this Contract shall be provided to the CITY. In the eventCITY terminates this Contract due to the CITY’s own reasons and without cause due to

SAMPLECITY terminates this Contract due to the CITY’s own reasons and without cause due to the CONTRACTOR’s actions or omissions, the CITY shall pay the CONTRACTOR the

SAMPLEthe CONTRACTOR’s actions or omissions, the CITY shall pay the CONTRACTOR the amount due for actual work and services necessarily performed under this Contract up

SAMPLEamount due for actual work and services necessarily performed under this Contract up to the effective date of termination, not to exceed the total compensation set forth herein.

SAMPLEto the effective date of termination, not to exceed the total compensation set forth herein. Termination of this Contract by CITY shall not constitute a waiver of any claims or

SAMPLETermination of this Contract by CITY shall not constitute a waiver of any claims or remaining rights the CITY may have against CONTRACTOR relative to performance

SAMPLEremaining rights the CITY may have against CONTRACTOR relative to performance

21. Suspension

SAMPLE21. Suspension

The CITY may suspend this Contract, at its sole discretion, upon seven (7) business

SAMPLEThe CITY may suspend this Contract, at its sole discretion, upon seven (7) business

SAMPLEdays’ written notice to the CONTRACTOR. Such notice shall indicate the anticipated

SAMPLEdays’ written notice to the CONTRACTOR. Such notice shall indicate the anticipated period of suspension. Any reimbursement for expenses incurred due to the suspension

SAMPLEperiod of suspension. Any reimbursement for expenses incurred due to the suspension shall be limited to the CONTRACTOR’S reasonable expenses and shall be subject to

SAMPLE

shall be limited to the CONTRACTOR’S reasonable expenses and shall be subject to verification. The CONTRACTOR shall resume performance of services under this SAMPLE

verification. The CONTRACTOR shall resume performance of services under this Contract without delay when the suspension period ends. Suspension of this Contract by SAMPLE

Contract without delay when the suspension period ends. Suspension of this Contract by CITY shall not constitute a waiver of any claims or remaining rights the CITY may have SAMPLE

CITY shall not constitute a waiver of any claims or remaining rights the CITY may have against CONTRACTOR relative to performance hereunder. SAMPLE

against CONTRACTOR relative to performance hereunder. SAMPLE

22. Taxes SAMPLE

22. Taxes

CONTRACTOR is responsible for the payment of all charges and taxes applicable to the SAMPLE

CONTRACTOR is responsible for the payment of all charges and taxes applicable to the

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If CONTRACTOR fails to pay any taxes, assessments, penalties, or fees imposed by any governmental body, including by Tacoma City ordinance, and including by a court of law, CITY will deduct and withhold or pay over to the appropriate governmental body those unpaid amounts upon demand by the governmental body. Any such payments shall be deducted from the CONTRACTOR’s total compensation.

23. Licenses and Permits

The CONTRACTOR, at its expense, shall obtain and keep in force any and allnecessary licenses and permits. The CONTRACTOR shall obtain a business license asrequired by Tacoma Municipal Code Subtitle 6B.20 and shall pay business andoccupation taxes as required by Tacoma Municipal Code Subtitle 6A.30. If applicable,CONTRACTOR must have a Washington state business license.

24. Indemnification

CONTRACTOR shall indemnify, defend, and hold harmless the CITY, its officials,officers, agents, employees, and volunteers, from any and all claims, demands,damages, lawsuits, liabilities, losses, liens, expenses and costs arising out of the subjectmatter of this Contract; provided that this provision shall not apply to the extent thatdamage or injury results from the sole negligence of the CITY, or its officers, agents, or employees. This indemnification shall extend to and include attorneys’ fees and the cost of establishing the right of indemnification hereunder in favor of the CITY. This indemnification shall survive the termination of this Contract.

It is expressly agreed that with respect to design professional services performed by CONTRACTOR herein, CONTRACTOR's duty of indemnification, including the duty and cost to defend, against liability for damages arising out of such services or out of bodily injury to persons or damage to property shall, as provided in RCW 4.24.115 apply only to the extent of CONTRACTOR's negligence.

CONTRACTOR hereby warrants and represents CONTRACTOR is owner of any products, solutions or deliverables provided and licensed under this Contract or otherwise has the right to grant to CITY the licensed rights under this Contract, without violating the rights of any third party worldwide. CONTRACTOR shall, at its expense, defend, indemnify and hold harmless CITY and its employees, officers, directors, contractors, agents and volunteers from any claim or action against CITY which is based on a claim against CITY for infringement of a patent, copyright, trademark, or other propriety right or appropriation of a trade secret.

25. Title 51 Waiver

CONTRACTOR specifically assumes potential liability for actions brought by theCONTRACTOR’S own employees against the CITY and, solely for the purpose of thisindemnification and defense, the CONTRACTOR specifically waives any immunity underthe state industrial insurance law, Title 51 RCW. THE CONTRACTOR RECOGNIZESTHAT THIS WAIVER WAS THE SUBJECT OF MUTUAL NEGOTIATION.

SAMPLEThe CONTRACTOR, at its expense, shall obtain and keep in force any and all

SAMPLEThe CONTRACTOR, at its expense, shall obtain and keep in force any and all

OR shall obtain a business license as

SAMPLEOR shall obtain a business license as

required by Tacoma Municipal Code Subtitle 6B.20 and shall pay business and

SAMPLErequired by Tacoma Municipal Code Subtitle 6B.20 and shall pay business and occupation taxes as required by Tacoma Municipal Code Subtitle 6A.30. If applicable,

SAMPLEoccupation taxes as required by Tacoma Municipal Code Subtitle 6A.30. If applicable, CONTRACTOR must have a Washington state business license.

SAMPLECONTRACTOR must have a Washington state business license.

CONTRACTOR shall indemnify, defend, and hold harmless the CITY, its officials,

SAMPLECONTRACTOR shall indemnify, defend, and hold harmless the CITY, its officials, officers, agents, employees, and volunteers, from any and all claims, demands,

SAMPLEofficers, agents, employees, and volunteers, from any and all claims, demands, damages, lawsuits, liabilities, losses, liens, expenses and costs arising out of the subject

SAMPLEdamages, lawsuits, liabilities, losses, liens, expenses and costs arising out of the subject matter of this Contract; provided that this provision shall not apply to the extent that

SAMPLEmatter of this Contract; provided that this provision shall not apply to the extent that damage or injury results from the sole negligence of the CITY, or its officers, agents, or

SAMPLEdamage or injury results from the sole negligence of the CITY, or its officers, agents, or employees. This indemnification shall extend to

SAMPLEemployees. This indemnification shall extend to and include attorneys’ fees and the cost

SAMPLE and include attorneys’ fees and the cost of establishing the right of indemnification hereunder in favor of the CITY. This

SAMPLEof establishing the right of indemnification hereunder in favor of the CITY. This indemnification shall survive the termination of this Contract.

SAMPLEindemnification shall survive the termination of this Contract.

It is expressly agreed that with respect to

SAMPLEIt is expressly agreed that with respect to design professional services performed by

SAMPLEdesign professional services performed by

SAMPLECONTRACTOR herein, CONTRACTOR's duty of indemnification, including the duty and

SAMPLECONTRACTOR herein, CONTRACTOR's duty of indemnification, including the duty and cost to defend, against liability for damages arising out of such services or out of bodily

SAMPLEcost to defend, against liability for damages arising out of such services or out of bodily injury to persons or damage to property shall, as provided in RCW 4.24.115 apply only

SAMPLEinjury to persons or damage to property shall, as provided in RCW 4.24.115 apply only to the extent of CONTRACTOR's negligence.

SAMPLEto the extent of CONTRACTOR's negligence.

CONTRACTOR hereby warrants and represents CONTRACTOR is owner of any

SAMPLECONTRACTOR hereby warrants and represents CONTRACTOR is owner of any products, solutions or deliverables provided and licensed under this Contract or

SAMPLEproducts, solutions or deliverables provided and licensed under this Contract or otherwise has the right to grant to CITY the licensed rights under this Contract, without

SAMPLEotherwise has the right to grant to CITY the licensed rights under this Contract, without violating the rights of any third party worldwide. CONTRACTOR shall, at its expense,

SAMPLE

violating the rights of any third party worldwide. CONTRACTOR shall, at its expense,defend, indemnify and hold harmless CITY and its employees, officers, directors, SAMPLE

defend, indemnify and hold harmless CITY and its employees, officers, directors, contractors, agents and volunteers from any claim or action against CITY which is based SAMPLE

contractors, agents and volunteers from any claim or action against CITY which is based on a claim against CITY for infringement of a patent, copyright, trademark, or other SAMPLE

on a claim against CITY for infringement of a patent, copyright, trademark, or other propriety right or appropriation of a trade secret. SAMPLE

propriety right or appropriation of a trade secret. SAMPLE

SAMPLE

25. Title 51 Waiver SAMPLE

25. Title 51 Waiver

CONTRACTOR specifically assumes potential liability for actions brought by the SAMPLE

CONTRACTOR specifically assumes potential liability for actions brought by the

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26. Insurance

During the course and performance of the services herein specified, CONTRACTOR willmaintain the insurance coverage in the amounts and in the manner specified in the Cityof Tacoma Insurance Requirements as is applicable to the services and deliverablesprovided under this Contract. The City of Tacoma Insurance Requirements documentsare fully incorporated herein by reference.

Failure by City to identify a deficiency in the insurance documentation provided byContractor or failure of City to demand verification of coverage or compliance byContractor with these insurance requirements shall not be construed as a waiver ofContractor’s obligation to maintain such insurance.

27. Nondiscrimination

The CONTRACTOR agrees to take all steps necessary to comply with all federal, state,and City laws and policies regarding non-discrimination and equal employmentopportunities. The CONTRACTOR shall not discriminate in any employment actionbecause of race, religion, creed, color, national origin or ancestry, sex, gender identity,sexual orientation, age, marital status, familial status, veteran or military status, thepresence of any sensory, mental or physical disability or the use of a trained dog guideor service animal by a disabled person. In the event of non-compliance by theCONTRACTOR with any of the non-discrimination provisions of this Contract, the CITYshall be deemed to have cause to terminate this Contract, in whole or in part.

28. Conflict of Interest

No officer, employee, or agent of the CITY, nor any member of the immediate family of any such officer, employee, or agent as defined by City ordinance, shall have any personal financial interest, direct or indirect, in this Contract, either in fact or in appearance. The CONTRACTOR shall comply with all federal, state, and City conflict of interest laws, statutes, and regulations. The CONTRACTOR represents that the CONTRACTOR presently has no interest and shall not acquire any interest, direct or indirect, in the program to which this Contract pertains which would conflict in any manner or degree with the performance of the CONTRACTOR’S services and obligations hereunder. The CONTRACTOR further covenants that, in performance of this Contract, no person having any such interest shall be employed. The CONTRACTOR also agrees that its violation of the CITY’S Code of Ethics contained in Chapter 1.46 of the Tacoma Municipal Code shall constitute a breach of this Contract subjecting the Contract to termination.

29. City ownership of Work/Rights in Data and Publications

To the extent CONTRACTOR creates any Work subject to the protections of theCopyright Act (Title 17 U.S.C) in its performance of this Contract, CONTRACTORagrees to the following: The Work has been specially ordered and commissioned byCITY. CONTRACTOR agrees that the Work is a "work made for hire" for copyrightpurposes, with all copyrights in the Work owned by CITY. To the extent that the Workdoes not qualify as a work made for hire under applicable law, and to the extent that theWork includes material subject to copyright, CONTRACTOR hereby assigns to CITY, its

SAMPLEFailure by City to identify a deficiency in the insurance documentation provided by

SAMPLEFailure by City to identify a deficiency in the insurance documentation provided by Contractor or failure of City to demand verification of coverage or compliance by

SAMPLEContractor or failure of City to demand verification of coverage or compliance by Contractor with these insurance requirements shall not be construed as a waiver of

SAMPLEContractor with these insurance requirements shall not be construed as a waiver of

The CONTRACTOR agrees to take all steps necessary to comply with all federal, state,

SAMPLEThe CONTRACTOR agrees to take all steps necessary to comply with all federal, state, discrimination and equal employment

SAMPLEdiscrimination and equal employment opportunities. The CONTRACTOR shall not discriminate in any employment action

SAMPLEopportunities. The CONTRACTOR shall not discriminate in any employment action because of race, religion, creed, color, national origin or ancestry, sex, gender identity,

SAMPLEbecause of race, religion, creed, color, national origin or ancestry, sex, gender identity, sexual orientation, age, marital status, familial status, veteran or military status, the

SAMPLEsexual orientation, age, marital status, familial status, veteran or military status, the presence of any sensory, mental or physical disability or the use of a trained dog guide

SAMPLEpresence of any sensory, mental or physical disability or the use of a trained dog guide or service animal by a disabled person. In the event of non-compliance by the

SAMPLEor service animal by a disabled person. In the event of non-compliance by the CONTRACTOR with any of the non-discrimination provisions of this Contract, the CITY

SAMPLECONTRACTOR with any of the non-discrimination provisions of this Contract, the CITY shall be deemed to have cause to terminate this Contract, in whole or in part.

SAMPLEshall be deemed to have cause to terminate this Contract, in whole or in part.

No officer, employee, or agent of the CITY, nor any member of the immediate family of

SAMPLENo officer, employee, or agent of the CITY, nor any member of the immediate family of any such officer, employee, or agent as

SAMPLEany such officer, employee, or agent as defined by City ordinance, shall have any

SAMPLEdefined by City ordinance, shall have any

personal financial interest, direct or indirect, in this Contract, either in fact or in

SAMPLEpersonal financial interest, direct or indirect, in this Contract, either in fact or in

SAMPLEappearance. The CONTRACTOR shall comply with all federal, state, and City conflict of

SAMPLEappearance. The CONTRACTOR shall comply with all federal, state, and City conflict of interest laws, statutes, and regulations. The CONTRACTOR represents that the

SAMPLEinterest laws, statutes, and regulations. The CONTRACTOR represents that the CONTRACTOR presently has no interest and shall not acquire any interest, direct or

SAMPLECONTRACTOR presently has no interest and shall not acquire any interest, direct or indirect, in the program to which this Cont

SAMPLEindirect, in the program to which this Contmanner or degree with the performance of the CONTRACTOR’S services and

SAMPLEmanner or degree with the performance of the CONTRACTOR’S services and obligations hereunder. The CONTRACTOR further covenants that, in performance of

SAMPLEobligations hereunder. The CONTRACTOR further covenants that, in performance of this Contract, no person having any such interest shall be employed. The

SAMPLE

this Contract, no person having any such interest shall be employed. The CONTRACTOR also agrees that its violation of the CITY’S Code of Ethics contained in SAMPLE

CONTRACTOR also agrees that its violation of the CITY’S Code of Ethics contained in SAMPLE

Chapter 1.46 of the Tacoma Municipal Code shall constitute a breach of this Contract SAMPLE

Chapter 1.46 of the Tacoma Municipal Code shall constitute a breach of this Contract subjecting the Contract to termination. SAMPLE

subjecting the Contract to termination. SAMPLE

29. City ownership of Work/Rights in Data and Publications SAMPLE

29. City ownership of Work/Rights in Data and Publications

To the extent CONTRACTOR creates any Work subject to the protections of the SAMPLE

To the extent CONTRACTOR creates any Work subject to the protections of the

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successors and assigns, all right, title and interest in and to the Work, including but not limited to, all patent, trade secret, and other proprietary rights and all rights, title and interest in and to any inventions and designs embodied in the Work or developed during the course of CONTRACTOR'S creation of the Work. CONTRACTOR shall execute and deliver such instruments and take such other action as may be required and requested by CITY to carry out the assignment made pursuant to this section. Any documents, magnetically or optically encoded media, or other materials created by CONTRACTOR pursuant to this Contract shall be owned by CITY and subject to the terms of this sub-section. To the maximum extent permitted by law, CONTRACTOR waives all moral rights in the Work. The rights granted hereby to CITY shall survive the expiration or termination of this Contract. CONTRACTOR shall be solely responsible for obtaining releases for the performance, display, recreation, or use of copyrighted materials.

30. Public Disclosure

This Contract and documents provided to the CITY by CONTRACTOR hereunder aredeemed public records subject to disclosure under the Washington State Public RecordsAct, Chapter 42.56 RCW (Public Records Act). Thus, the CITY may be required, uponrequest, to disclose this Contract and documents related to it unless an exemption underthe Public Records Act or other laws applies. In the event CITY receives a request forsuch disclosure, determines in its legal judgment that no applicable exemption todisclosure applies, and CONTRACTOR has complied with the requirements herein tomark all content considered to be confidential or proprietary, CITY agrees to provideCONTRACTOR ten (10) days written notice of impending release. Should legal actionthereafter be initiated by CONTRACTOR to enjoin or otherwise prevent such release, all expense of any such litigation shall be borne by CONTRACTOR, including any damages, attorneys fees or costs awarded by reason of having opposed disclosure. CITY shall not be liable for any release where notice was provided and CONTRACTOR took no action to oppose the release of information. Notice of any proposed release of information pursuant to Chapter 42.56 RCW, shall be provided to CONTRACTOR according to the “Notices” provision herein.

31. Confidential or Proprietary Records Must be Marked

If CONTRACTOR provides the CITY with records that CONTRACTOR considers confidential or proprietary, CONTRACTOR must mark all applicable pages of said record(s) as “Confidential” or “Proprietary.” If CONTRACTOR fails to so mark record(s), then (1) the CITY, upon request, may release said record(s) without the need to satisfy the notice requirements above; and (2) the CONTRACTOR expressly waives its right to allege any kind of civil action or claim against the CITY pertaining to the release of said record(s).

32. Duty of Confidentiality

CONTRACTOR acknowledges that unauthorized disclosure of information ordocumentation concerning the Scope of Work hereunder may cause substantialeconomic loss or harm to the CITY.

Except for disclosure of information and documents to CONTRACTOR's employees,agents, or subcontractors who have a substantial need to know such information in

SAMPLE other materials created by CONTRACTOR

SAMPLE other materials created by CONTRACTOR

pursuant to this Contract shall be owned by CITY and subject to the terms of this sub-

SAMPLEpursuant to this Contract shall be owned by CITY and subject to the terms of this sub-

by law, CONTRACTOR waives all moral

SAMPLEby law, CONTRACTOR waives all moral

rights in the Work. The rights granted hereby to CITY shall survive the expiration or

SAMPLErights in the Work. The rights granted hereby to CITY shall survive the expiration or termination of this Contract. CONTRACTOR shall be solely responsible for obtaining

SAMPLEtermination of this Contract. CONTRACTOR shall be solely responsible for obtaining releases for the performance, display, recreation, or use of copyrighted materials.

SAMPLEreleases for the performance, display, recreation, or use of copyrighted materials.

This Contract and documents provided to the CITY by CONTRACTOR hereunder are

SAMPLEThis Contract and documents provided to the CITY by CONTRACTOR hereunder are deemed public records subject to disclosure under the Washington State Public Records

SAMPLEdeemed public records subject to disclosure under the Washington State Public Records Act, Chapter 42.56 RCW (Public Records Act). Thus, the CITY may be required, upon

SAMPLEAct, Chapter 42.56 RCW (Public Records Act). Thus, the CITY may be required, uponrequest, to disclose this Contract and documents related to it unless an exemption under

SAMPLErequest, to disclose this Contract and documents related to it unless an exemption under the Public Records Act or other laws applies. In the event CITY receives a request for

SAMPLEthe Public Records Act or other laws applies. In the event CITY receives a request for such disclosure, determines in its legal judgment that no applicable exemption to

SAMPLEsuch disclosure, determines in its legal judgment that no applicable exemption to disclosure applies, and CONTRACTOR has complied with the requirements herein to

SAMPLEdisclosure applies, and CONTRACTOR has complied with the requirements herein tomark all content considered to be confidential or proprietary, CITY agrees to provide

SAMPLEmark all content considered to be confidential or proprietary, CITY agrees to provide CONTRACTOR ten (10) days written notice of impending release. Should legal action

SAMPLECONTRACTOR ten (10) days written notice of impending release. Should legal action thereafter be initiated by CONTRACTOR to enjoin or otherwise prevent such release, all

SAMPLEthereafter be initiated by CONTRACTOR to enjoin or otherwise prevent such release, all expense of any such litigation shall

SAMPLEexpense of any such litigation shall be borne by CONTRACTOR, including any

SAMPLEbe borne by CONTRACTOR, including any

damages, attorneys fees or costs awarded

SAMPLEdamages, attorneys fees or costs awarded by reason of having opposed disclosure.

SAMPLEby reason of having opposed disclosure.

CITY shall not be liable for any release where notice was provided and CONTRACTOR

SAMPLECITY shall not be liable for any release where notice was provided and CONTRACTOR took no action to oppose the release of inform

SAMPLEtook no action to oppose the release of information. Notice of any proposed release of

SAMPLEation. Notice of any proposed release of

information pursuant to Chapter 42.56 RCW, shall be provided to CONTRACTOR

SAMPLEinformation pursuant to Chapter 42.56 RCW, shall be provided to CONTRACTOR according to the “Notices” provision herein.

SAMPLEaccording to the “Notices” provision herein.

31. Confidential or Proprietary Records Must be Marked

SAMPLE31. Confidential or Proprietary Records Must be Marked

If CONTRACTOR provides the CITY with records that CONTRACTOR considers

SAMPLEIf CONTRACTOR provides the CITY with records that CONTRACTOR considers confidential or proprietary, CONTRACTOR must mark all applicable pages of said

SAMPLE

confidential or proprietary, CONTRACTOR must mark all applicable pages of said record(s) as “Confidential” or “Proprietary.” SAMPLE

record(s) as “Confidential” or “Proprietary.” then (1) the CITY, upon request, may release said record(s) without the need to satisfy SAMPLE

then (1) the CITY, upon request, may release said record(s) without the need to satisfy the notice requirements above; and (2) the CONTRACTOR expressly waives its right to SAMPLE

the notice requirements above; and (2) the CONTRACTOR expressly waives its right to allege any kind of civil action or claim against SAMPLE

allege any kind of civil action or claim against record(s). SAMPLE

record(s). SAMPLE

SAMPLE

32. Duty of ConfidentialitySAMPLE

32. Duty of Confidentiality

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connection with CONTRACTOR's performance of obligations under this Contract, the CONTRACTOR shall not without prior written authorization by the CITY allow the release, dissemination, distribution, sharing, or other publication or disclosure of information or documentation obtained, discovered, shared or produced pursuant to this Contract.

CONTRACTOR shall inform its employees, agents, and subcontractors of the confidentiality obligations under this Contract and instruct them so as to ensure such obligations are met. If so requested by the CITY, the CONTRACTOR further agrees to require all such individuals and entities performing services pursuant to this Contract to execute a Confidentiality and Non-Disclosure Agreement in a form acceptable to CITY.

This Section shall survive for six (6) years after the termination or expiration of this Contract.

CITY is required to provide notice of the Rules to all entities that receive confidential or otherwise protected personal information of CITY's customers. Italicized words in this Section refer to defined terms contained in the Red Flags Rules published by the Federal Trade Commission in Title 16 Code of Federal Regulations, Part 681 (the "Rules "). CONTRACTOR is, as to Covered Accounts of CITY for which CONTRACTOR performs activities under the Contract, a Service Provider. Service Provider will perform in accordance with its reasonable policies and procedures designed to detect, prevent, and mitigate the risk of identity theft and will promptly report to CITY any specific Red Flag incidents detected as to Covered Accounts of CITY and upon request by CITY will respond to or reasonably assist CITY in responding reported Red Flags. This Section shall survive for six (6) years after the termination or expiration of this Contract.

33. Approval for Release of Information Related to Contract

If requested by CITY, CONTRACTOR shall not release any information or documentation concerning the work under this Contract or any part thereof for marketing, advertising, or other commercial activities or publication including, but not limited to, news releases or professional articles without CITY’s prior written approval. CONTRACTOR may submit at any time for review and approval a generic abstract describing the component parts of the completed Scope of Services (“Project Abstract”). After receiving written approval of the Project Abstract from the CITY, the CONTRACTOR may make minor insignificant changes to the Project Abstract and use all or parts of the Project Abstract in proposals.

This Section shall survive for six (6) years after the termination or expiration of this Contract.

34. Dispute Resolution

In the event of a dispute pertaining to this Contract, the parties agree to attempt tonegotiate in good faith an acceptable resolution. If a resolution cannot be negotiated,then the parties agree to submit the dispute to voluntary non-binding mediation beforepursuing other remedies. This provision does not limit the CITY’S right to terminateauthorized by this Contract.

SAMPLECONTRACTOR shall inform its employees, agents, and subcontractors of the

SAMPLECONTRACTOR shall inform its employees, agents, and subcontractors of the confidentiality obligations under this Contract and instruct them so as to ensure such

SAMPLEconfidentiality obligations under this Contract and instruct them so as to ensure suchobligations are met. If so requested by the CITY, the CONTRACTOR further agrees to

SAMPLEobligations are met. If so requested by the CITY, the CONTRACTOR further agrees to require all such individuals and entities performing services pursuant to this Contract to

SAMPLErequire all such individuals and entities performing services pursuant to this Contract to execute a Confidentiality and Non-Disclosure Agreement in a form acceptable to CITY.

SAMPLEexecute a Confidentiality and Non-Disclosure Agreement in a form acceptable to CITY.

This Section shall survive for six (6) years after the termination or expiration of this

SAMPLEThis Section shall survive for six (6) years after the termination or expiration of this

CITY is required to provide notice of the Rules to all entities that receive confidential or

SAMPLECITY is required to provide notice of the Rules to all entities that receive confidential or otherwise protected personal information of CITY's customers. Italicized words in this

SAMPLEotherwise protected personal information of CITY's customers. Italicized words in this Section refer to defined terms contained in the Red Flags Rules published by the

SAMPLESection refer to defined terms contained in the Red Flags Rules published by the Federal Trade Commission in Title 16 Code of Federal Regulations, Part 681 (the "Rules

SAMPLEFederal Trade Commission in Title 16 Code of Federal Regulations, Part 681 (the "Rules ccounts of CITY for which CONTRACTOR

SAMPLEccounts of CITY for which CONTRACTOR performs activities under the Contract, a Servic

SAMPLEperforms activities under the Contract, a Service Provider. Service Provider will perform

SAMPLEe Provider. Service Provider will perform in accordance with its reasonable policies and procedures designed to detect, prevent,

SAMPLEin accordance with its reasonable policies and procedures designed to detect, prevent, and mitigate the risk of identity theft and will promptly report to CITY any specific Red

SAMPLEand mitigate the risk of identity theft and will promptly report to CITY any specific Red Flag incidents detected as to Covered Accounts of CITY and upon request by CITY will

SAMPLEFlag incidents detected as to Covered Accounts of CITY and upon request by CITY will

SAMPLErespond to or reasonably assist CITY in responding reported Red Flags. This Section

SAMPLErespond to or reasonably assist CITY in responding reported Red Flags. This Sectionshall survive for six (6) years after the termination or expiration of this Contract.

SAMPLEshall survive for six (6) years after the termination or expiration of this Contract.

33. Approval for Release of Information Related to Contract

SAMPLE33. Approval for Release of Information Related to Contract

If requested by CITY, CONTRACTOR shall not release any information or

SAMPLEIf requested by CITY, CONTRACTOR shall not release any information or documentation concerning the work under this Contract or any part thereof for

SAMPLEdocumentation concerning the work under this Contract or any part thereof for marketing, advertising, or other commercial activities or publication including, but not

SAMPLEmarketing, advertising, or other commercial activities or publication including, but not limited to, news releases or professional articles without CITY’s prior written approval.

SAMPLElimited to, news releases or professional articles without CITY’s prior written approval. CONTRACTOR may submit at any time for review and approval a generic abstract

SAMPLECONTRACTOR may submit at any time for review and approval a generic abstract describing the component parts of the completed Scope of Services (“Project Abstract”).

SAMPLEdescribing the component parts of the completed Scope of Services (“Project Abstract”). After receiving written approval of the Project Abstract from the CITY, the

SAMPLE

After receiving written approval of the Project Abstract from the CITY, the CONTRACTOR may make minor insignificant changes to the Project Abstract and use SAMPLE

CONTRACTOR may make minor insignificant changes to the Project Abstract and use all or parts of the Project Abstract in proposals. SAMPLE

all or parts of the Project Abstract in proposals.

This Section shall survive for six (6) years after the termination or expiration of this SAMPLE

This Section shall survive for six (6) years after the termination or expiration of this Contract. SAMPLE

Contract.

34. Dispute Resolution SAMPLE

34. Dispute Resolution

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35. Miscellaneous Provisions

Governing Law and VenueWashington law shall govern the interpretation of this Contract. Pierce County shall bethe venue of any mediation, arbitration, or litigation arising out of this Contract.

Assignment The CONTRACTOR shall not assign, subcontract, delegate, or transfer any obligation, interest or claim to or under this Contract or for any of the compensation due hereunder without the prior written consent of the CITY.

No Third Party Beneficiaries. This Contract shall be for the sole benefit of the parties hereto, and nothing contained herein shall create a contractual relationship with, or create a cause of action in favor of, a third party against either party hereto.

Waiver. A waiver or failure by either party to enforce any provision of this Contract shall not be construed as a continuing waiver of such provisions, nor shall the same constitute a waiver of any other provision of this Contract.

Severability and Survival. If any term, condition or provision of this Contract is declared void or unenforceable or limited in its application or effect, such event shall not affect any other provisions hereof and all other provisions shall remain fully enforceable. The provisions of this Contract, which by their sense and context are reasonably intended to survive the completion, expiration or cancellation of this Contract, shall survive termination of this Contract.

Entire Agreement. This Contract and the attached Exhibits, as modified herein, contain the entire agreement between the parties as to the services to be rendered hereunder. All previous and contemporaneous agreements, representations or promises and conditions relating to the subject matter of this Contract are superseded hereby. The Parties hereto mutually acknowledge, understand and agree that the terms and conditions set forth herein shall control and prevail over any conflicting terms and conditions stated in any attachments hereto.

Modification. No modification or amendment of this Agreement shall be effective unless set forth in writing and signed by the Parties.

Direct Solicitation and Negotiation

SAMPLEThe CONTRACTOR shall not assign, subcontract, delegate, or transfer any obligation,

SAMPLEThe CONTRACTOR shall not assign, subcontract, delegate, or transfer any obligation,interest or claim to or under this Contract or for any of the compensation due hereunder

SAMPLEinterest or claim to or under this Contract or for any of the compensation due hereunder

This Contract shall be for the sole benefit of the parties hereto, and nothing contained

SAMPLEThis Contract shall be for the sole benefit of the parties hereto, and nothing contained herein shall create a contractual relationship with, or create a cause of action in favor of,

SAMPLEherein shall create a contractual relationship with, or create a cause of action in favor of,

A waiver or failure by either party to enforce

SAMPLEA waiver or failure by either party to enforce any provision of this Contract shall not be

SAMPLE any provision of this Contract shall not be construed as a continuing waiver of such provisions, nor shall the same constitute a

SAMPLEconstrued as a continuing waiver of such provisions, nor shall the same constitute a waiver of any other provision of this Contract.

SAMPLEwaiver of any other provision of this Contract.

Severability and Survival.

SAMPLESeverability and Survival. If any term, condition or provision of this Contract is declared void or unenforceable or

SAMPLEIf any term, condition or provision of this Contract is declared void or unenforceable orlimited in its application or effect, such event

SAMPLElimited in its application or effect, such event shall not affect any other provisions hereof

SAMPLEshall not affect any other provisions hereof

and all other provisions shall remain fully enforceable. The provisions of this Contract,

SAMPLEand all other provisions shall remain fully enforceable. The provisions of this Contract, which by their sense and context are reasonably intended to survive the completion,

SAMPLEwhich by their sense and context are reasonably intended to survive the completion, expiration or cancellation of this Contract, shall survive termination of this Contract.

SAMPLEexpiration or cancellation of this Contract, shall survive termination of this Contract.

Entire Agreement.

SAMPLEEntire Agreement.

SAMPLEThis Contract and the attached Exhibits, as modified herein, contain the entire

SAMPLEThis Contract and the attached Exhibits, as modified herein, contain the entire agreement between the parties as to the services to be rendered hereunder. All previous

SAMPLE

agreement between the parties as to the services to be rendered hereunder. All previous and contemporaneous agreements, representationsSAMPLE

and contemporaneous agreements, representationsto the subject matter of this Contract are superseded hereby. The Parties hereto SAMPLE

to the subject matter of this Contract are superseded hereby. The Parties hereto mutually acknowledge, understand and agree that the terms and conditions set forth SAMPLE

mutually acknowledge, understand and agree that the terms and conditions set forth herein shall control and prevail over any cSAMPLE

herein shall control and prevail over any cattachments hereto. SAMPLE

attachments hereto.

Modification. SAMPLE

Modification.

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For service contracts valued $25,000 or less the City signature authorizes waiver of competitive solicitation by “Direct Solicitation and Negotiation” of professional and personal services in accordance with Tacoma Municipal Code 1.06.256 and the Purchasing Policy Manual.

SAMPLE

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IN WITNESS WHEREOF, the Parties hereto have accepted and executed this Contract, as of the Effective Date stated above, which shall be Effective Date for bonding purposes as applicable. The undersigned Contractor representative, by signature below, represents and warrants they are duly authorized to execute this legally binding Contract for and on behalf of Contractor.

CITY OF TACOMA: CONTRACTOR: By: By:

(City of Tacoma use only - blank lines are intentional)

Director of Finance: __________________ City Attorney: _______________________

Approved By: _______________________ Approved By: _______________________

Approved By: _______________________ Approved By: _______________________

Approved By: _______________________ Approved By: _______________________

Approved By: _______________________ Approved By: _______________________

SAMPLE(City of Tacoma use only - blank lines are intentional)

SAMPLE(City of Tacoma use only - blank lines are intentional)

SAMPLECity Attorney: _______________________

SAMPLECity Attorney: _______________________

Approved By: _______________________ Approved By: _______________________

SAMPLEApproved By: _______________________ Approved By: _______________________

SAMPLEApproved By: _______________________ Approved By: _______________________

SAMPLEApproved By: _______________________ Approved By: _______________________

Approved By: _______________________ Approved By: _______________________

SAMPLEApproved By: _______________________ Approved By: _______________________

SAMPLEApproved By: _______________________ Approved By: _______________________

SAMPLEApproved By: _______________________ Approved By: _______________________

PI19-0101F

PM19-0374F CITY OF TACOMA INSURANCE REQUIREMENTS FOR CONTRACTS

Insurance Requirements Spec/Contract Number: PM19-374F Template Revised 6/28/2019

The Contractor (Contractor) shall maintain at least the minimum insurance set forth below. By requiring such minimum insurance, the City of Tacoma shall not be deemed or construed to have assessed the risk that may be applicable to Contractor under this Contract. Contractor shall assess its own risks and, if it deems appropriate and/or prudent, maintain greater limits and/or broader coverage.

1. GENERAL REQUIREMENTS

The following General Requirements apply to Contractor and to Subcontractor(s) of every tier performing services and/or activities pursuant to the terms of this Contract. Contractor acknowledges and agrees to the following insurance requirements applicable to Contractor and Contractor’s Subcontractor(s):

1.1. City of Tacoma reserves the right to approve or reject the insurance provided based upon

the insurer, terms and coverage, the Certificate of Insurance, and/or endorsements.

1.2. Contractor shall not begin work under the Contract until the required insurance has been obtained and approved by City of Tacoma.

1.3. Contractor shall keep this insurance in force during the entire term of the Contract and for

Thirty (30) calendar days after completion of all work required by the Contract, unless otherwise provided herein.

1.4. Insurance policies required under this Contract that name “City of Tacoma” as Additional

Insured shall: 1.4.1. Be considered primary and non-contributory for all claims. 1.4.2. Contain a “Separation of Insured provision and a “Waiver of Subrogation” clause in

favor of City of Tacoma.

1.5. Section 1.4 above does not apply to contracts for purchasing supplies only.

1.6. Verification of coverage shall include: 1.6.1. An ACORD certificate or equivalent. 1.6.2. Copies of all endorsements naming the City of Tacoma as additional insured and

showing the policy number. 1.6.3. A notation of coverage enhancements on the Certificate of Insurance shall not

satisfy these requirements – actual endorsements must be submitted.

1.7. Liability insurance policies, with the exception of Professional Liability and Workers’ Compensation, shall name the City of Tacoma and its officers, elected officials, employees, agents, and authorized volunteers as additional insured.

1.7.1. No specific person or department should be identified as the additional insured. 1.7.2. All references on certificates of insurance and endorsements shall be listed as “City

of Tacoma”. 1.7.3. The City of Tacoma shall be additional insured for both ongoing and completed

operations using Insurance Services Office (ISO) form CG 20 10 04 13 and CG 20

PM19-0374F CITY OF TACOMA INSURANCE REQUIREMENTS FOR CONTRACTS

Insurance Requirements Spec/Contract Number: PM19-374F Template Revised 6/28/2019

37 04 13 or the equivalent for the full available limits of liability maintained by the Contractor irrespective of whether such limits maintained by the Contractor are greater than those required by this Contract and irrespective of whether the Certificate of Insurance describes limits lower than those maintained by the Contractor.

1.8. Contractor shall provide a Certificate of Insurance for each policy of insurance meeting the

requirements set forth herein when Contractor provides the signed Contract for the work to City of Tacoma. Contractor shall provide copies of any applicable Additional Insured, Waiver of Subrogation, and Primary and Non-contributory endorsements. Contract or Permit number and the City Department must be shown on the Certificate of Insurance.

1.9. Insurance limits shown below may be written with an excess policy that follows the form of

an underlying primary liability policy or an excess policy providing the required limit.

1.10. Liability insurance policies shall be written on an “occurrence” form, except for Professional Liability/Errors and Omissions, Pollution Liability, and Cyber/Privacy and Security

1.11. If coverage is approved and purchased on a “Claims-Made” basis, Contractor warrants continuation of coverage, either through policy renewals or by the purchase of an extended reporting period endorsement as set forth below.

1.12. The insurance must be written by companies licensed or authorized in the State of Washington

pursuant to RCW 48 with an (A-) VII or higher in the A.M. Best's Key Rating Guide www.ambest.com.

1.13. Contractor shall provide City of Tacoma notice of any cancellation or non-renewal of this

required insurance within Thirty (30) calendar days.

1.14. Contractor shall not allow any insurance to be cancelled or lapse during any term of this Contract, otherwise it shall constitute a material breach of the Contract, upon which City of Tacoma may, after giving Five (5) business day notice to Contractor to correct the breach, immediately terminate the Contract or, at its discretion, procure or renew such insurance and pay any and all premiums in connection therewith; with any sums so expended to be repaid to City of Tacoma by Contractor upon demand, or at the sole discretion of City of Tacoma, offset against funds due Contractor from City of Tacoma.

1.15. Contractor shall be responsible for the payment of all premiums, deductibles and self-insured retentions, and shall indemnify and hold the City of Tacoma harmless to the extent such a deductible or self-insured retained limit may apply to the City of Tacoma as an additional insured. Any deductible or self-insured retained limits in excess of Twenty Five Thousand Dollars ($25,000) must be disclosed and approved by City of Tacoma Risk Manager and shown on the Certificate of Insurance.

1.16. City of Tacoma reserves the right to review insurance requirements during any term of the Contract and to require that Contractor make reasonable adjustments when the scope of services has changed.

PM19-0374F CITY OF TACOMA INSURANCE REQUIREMENTS FOR CONTRACTS

Insurance Requirements Spec/Contract Number: PM19-374F Template Revised 6/28/2019

1.17. All costs for insurance shall be incidental to and included in the unit or lump sum prices of the

Contract and no additional payment will be made by City of Tacoma to Contractor.

1.18. Insurance coverages specified in this Contract are not intended and will not be interpreted to limit the responsibility or liability of Contractor or Subcontractor(s).

1.19. Failure by City of Tacoma to identify a deficiency in the insurance documentation provided by Contractor or failure of City of Tacoma to demand verification of coverage or compliance by Contractor with these insurance requirements shall not be construed as a waiver of Contractor’s obligation to maintain such insurance.

1.20. If Contractor is a State of Washington or local government and is self-insured for any of the above insurance requirements, a certification of self-insurance shall be attached hereto and be incorporated by reference and shall constitute compliance with this Section.

2. CONTRACTOR

As used herein, "Contractor" shall be the Supplier(s) entering a Contract with City of Tacoma, whether designated as a Supplier, Contractor, Vendor, Proposer, Bidder, Respondent, Seller, Merchant, Service Provider, or otherwise.

3. SUBCONTRACTORS

It is Contractor's responsibility to ensure that each subcontractor obtain and maintain adequate liability insurance coverage. Contractor shall provide evidence of such insurance upon City of Tacoma’s request.

4. REQUIRED INSURANCE AND LIMITS

The insurance policies shall provide the minimum coverages and limits set forth below. Providing coverage in these stated minimum limits shall not be construed to relieve Contractor from liability in excess of such limits.

4.1 Commercial General Liability Insurance Contractor shall maintain Commercial General Liability Insurance policy with limits not less than One Million Dollars ($1,000,000) each occurrence and Two Million Dollars ($2,000,000) annual aggregate. The Commercial General Liability Insurance policy shall be written on an Insurance Services Office form CG 00 01 04 13 or its equivalent. Products and Completed Operations shall be maintained for a period of three years following Substantial Completion of the Work related to performing construction services.

This policy shall include product liability especially when a Contract solely is for purchasing supplies. The Commercial General Liability policy shall be endorsed to include: 4.1.1 A per project aggregate policy limit, using ISO form CG 25 03 05 09 or an equivalent

endorsement.

PM19-0374F CITY OF TACOMA INSURANCE REQUIREMENTS FOR CONTRACTS

Insurance Requirements Spec/Contract Number: PM19-374F Template Revised 6/28/2019

4.2 Workers' Compensation

4.2.1 Contractor shall comply with Workers’ Compensation coverage as required by the Industrial Insurance laws of the State of Washington, as well as any other similar coverage required for this work by applicable federal laws of other states. The Contractor must comply with their domicile State Industrial Insurance laws if it is outside the State of Washington.

4.3 Employers’ Liability Insurance Contractor shall maintain Employers’ Liability coverage with limits not less than One Million Dollars ($1,000,000) each employee, One Million Dollars ($1,000,000) each accident, and One Million Dollars ($1,000,000) policy limit.

4.4 Professional Liability Insurance or Errors and Omissions Contractor and/or its subcontractor shall maintain Professional Liability or Errors and Omissions with limits of Five Million Dollars ($5,000,000) per claim and Five Million Dollars ($5,000,000) in the aggregate covering acts, errors and omissions arising out of the professional services under this Contract. If the policy limit includes the payment of claims or defense costs, from the policy limit, the per claim limit shall be Five Million Dollars ($5,000,000). If the scope of such design-related professional services includes work related to pollution conditions, the Professional Liability policy shall include Pollution Liability coverage. If provided on a “claims-made” basis, such coverage shall be maintained by policy renewals or an extended reporting period endorsement for not less than three years following the end of the Contract.

4.5 Excess or Umbrella Liability Insurance Contractor shall provide Excess or Umbrella Liability Insurance with limits not less than Ten Million Dollars ($10,000,000) per occurrence and in the aggregate. This coverage shall apply, at a minimum, in excess of primary underlying Commercial General Liability, Employer’s Liability, Pollution Liability, Marine General Liability, Protection and Indemnity, and Automobile Liability if required herein.

4.6 Cyber/Privacy and Security Insurance Contractor shall maintain Cyber Privacy and Security Insurance with coverage of not less than One Million Dollars ($1,000,000) per claim and Two Million Dollars ($2,000,000) general aggregate that includes, but is not limited to, coverage for first party costs and third-party claims. Coverage shall include loss resulting from data security/privacy breach, unauthorized access, denial of service attacks, introduction of virus and malicious code, network security failure, dissemination or destruction of electronic data, business interruptions, privacy law violation, and disclosure of non-public, personal and confidential information, and failure to disclose breaches as required law or Contract. Coverage shall include notifications and other expenses incurred in remedying a privacy breach as well as costs to investigate and restore data. Coverage shall also include communications liability (e.g., infringement of copyrights, title, slogan, trademark, trade name, trade dress, service mark, or service name in the policy holders covered material).

4.7 Owners and Contractors Protective Liability Insurance Contactor shall maintain during the performance of all work pursuant to the Contract, an ISO form Owners and Contractors Protective Liability policy, on which City of Tacoma shall be a named insured. Said policy shall provide coverage for bodily injury and property damage arising from the work to be performed under the Contract, and shall have policy limits of no less than Ten Million Dollars ($10,000,000) combined single limit of liability with a dedicated aggregate limit of no less than Ten Million Dollars ($10,000,000).

4.8 Other Insurance

PM19-0374F CITY OF TACOMA INSURANCE REQUIREMENTS FOR CONTRACTS

Insurance Requirements Spec/Contract Number: PM19-374F Template Revised 6/28/2019

Other insurance may be deemed appropriate to cover risks and exposures related to the scope of work or changes to the scope of work required by City of Tacoma. The costs of such necessary and appropriate Insurance coverage shall be borne by Contractor.

APPENDIX C

Standard Terms and Conditions

Infrastructure and Data Security

Small Business Enterprise (SBE) Program

Standard Terms & Conditions, Form No. SPEC-190A

Rev.: 10/06/2018

CITY OF TACOMA STANDARD TERMS AND CONDITIONS

GOVERNS BOTH GOODS AND SERVICES AS APPLICABLE

In the event of an award by the City, these Terms and Conditions stated herein, Additional Contract Documents if issued, Solicitation if issued, Purchase Orders if issued by City, and Supplier's Submittal, if provided, shall constitute the Contract between City and Supplier for the acquisition of goods, including materials, supplies, and equipment or for the provision of services and deliverables.

Said documents represent the entire Contract between the parties and supersede any prior oral statements, discussions, or understandings between the parties, and/or subsequent Supplier invoices. No modification of the Contract shall be effective unless mutually agreed in writing.

The specific terms and conditions of any Solicitation (Specification, Request for Bids, Request for Proposals, Requests for Qualifications, Requests for Quotations, Request for Information, bid documents, request to enter into negotiations, or other form of solicitation issued by City, including any general, special, or technical provisions associated with such Solicitations) are incorporated herein by reference and supersede these Terms and Conditions where there is conflict or inconsistency.

In the event Additional Contract Documents are negotiated and agreed to in writing between Supplier and City, the specific terms of such Additional Contract Documents are incorporated herein by reference and supersede all other terms and conditions where there is conflict or inconsistency.

These Terms and Conditions, Additional Contract Documents if issued, Solicitation if issued, City purchase order if issued, are controlling over Supplier’s Submittal if a Submittal is provided. Submittals if provided are incorporated herein by reference.

1.01 SUPPLIER / CONTRACTOR

As used herein, “Supplier” or "Contractor" shall be the Supplier(s) entering a Contract with City, whether designated as a Supplier, Contractor, Vendor, Proposer, Bidder, Respondent, Seller, Merchant, Service Provider, or otherwise.

1.02 SUBMITTAL

Submittal means Bids, Proposals, Quotes, Qualifications or other information, content, records or documents submitted in response to a City Solicitation.

1.03 FORMS OF SUBMITTAL

Unless stated otherwise, all submittals must be in SAP Ariba and submitted exactly as specified or directed, and all required forms must be used.

1.04 COSTS TO PREPARE SUBMITTAL

The City is not liable for any costs incurred by Supplier for the preparation of materials or a Submittal provided in response to a solicitation, conducting presentations to the City, or any other activities related to responding to the City’s Solicitation.

1.05 LICENSES/PERMITS

A. Suppliers, if applicable, must have a Washington state business license at the time of Submittal andthroughout the term of the Contract. Failure to include a Washington state business license may begrounds for rejection of the Submittal or cancellation of contract award. Information regardingWashington state business licenses may be obtained at http://bls.dor.wa.gov.

B. Upon award, it is the responsibility of the Supplier to register with the City of Tacoma's Tax and LicenseDivision, 733 South Market Street, Room 21, Tacoma, WA 98402-3768, 253-591-5252,https://www.cityoftacoma.org/government/city_departments/finance/tax_and_license/. Supplier shallobtain a business license as is required by Tacoma Municipal Code Subtitle 6C.20.

C. During the term of the Contract, Supplier, at its expense, shall obtain and keep in force any and allnecessary licenses and permits.

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

1.06 PUBLIC DISCLOSURE: PROPRIETARY OR CONFIDENTIAL INFORMATION

A. Supplier Submittals, all documents and records comprising the Contract, and all other documents andrecords provided to the City by Supplier are deemed public records subject to disclosure under theWashington State Public Records Act, Chapter 42.56 RCW (Public Records Act). Thus, City may berequired, upon request, to disclose the Contract and documents or records related to it unless anexemption under the Public Records Act or other laws applies. In the event CITY receives a request forsuch disclosure, determines in its legal judgment that no applicable exemption to disclosure applies,and Supplier has complied with the requirements to mark records considered confidential or proprietaryas such requirements are stated below, City agrees to provide Supplier 10 days written notice ofimpending release. Should legal action thereafter be initiated by Supplier to enjoin or otherwise preventsuch release, all expense of any such litigation shall be borne by Supplier, including any damages,attorneys’ fees or costs awarded by reason of having opposed disclosure. City shall not be liable for anyrelease where notice was provided and Supplier took no action to oppose the release of information.

B. If Supplier provides City with records or information that Supplier considers confidential or proprietary,Supplier must mark all applicable pages or sections of said record(s) as “Confidential” or “Proprietary.”Further, in the case of records or information submitted in response to a Request for Proposals, anindex must be provided indicating the affected pages or sections and locations of all such materialidentified Confidential or Proprietary. Information not included in the required index will not be reviewedfor confidentiality or as proprietary before release. If Supplier fails to so mark or index Submittals andrelated records, then the City, upon request, may release said record(s) without the need to satisfy therequirements of subsection A above; and Supplier expressly waives its right to allege any kind of civilaction or claim against the City pertaining to the release of said record(s).

C. Submission of materials in response to City’s Solicitation shall constitute assent by Supplier to theforegoing procedure and Supplier shall have no claim against the City on account of actions takenpursuant to such procedure.

1.07 SUSTAINABILITY

A. The City has interest in measures used by its contractors to ensure sustainable operations with minimaladverse impact on the environment. The City seeks to do business with vendors that value communityand environmental stewardship that help us meet our sustainable purchasing goals.

B. The City encourages the use of environmentally preferable products or services that help to minimizethe environmental and human health impacts of City operations. Suppliers are encouraged toincorporate environmentally preferable products or services into Submittals wherever possible."Environmentally preferable" means products or services that have a lesser or reduced effect on humanhealth and the environment when compared with competing products or services that serve the samepurpose. This comparison may consider raw materials acquisition, production, manufacturing,packaging, distribution, reuse, operation, maintenance, or disposal of the product or service.

C. Environmental Standards. The City seeks to ensure that all purchases comply with currentenvironmental standards and product specifications. Where appropriate, third party independentcertifiers such as Green Seal and USEPA Standards shall be a minimum specification for products tothe City, unless specified otherwise herein.

D. The City encourages the use of sustainability practices and desires any awarded Suppliers to assist inefforts to address such factors when feasible for:

1. Pollutant releases

2. Toxicity of materials used

3. Waste generation

4. Greenhouse gas emissions, including transportation of materials and services

5. Recycle content

6. Energy consumption

7. Depletion of natural resources

8. Potential impact on human health and the environment

PI19-0186F

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1.08 ALTERATIONS NOT ALLOWED

Except as otherwise specifically provided in a Solicitation, Submittals that are incomplete or conditioned in any way, contain erasures, alternatives or items not called for, or not in conformity with law, may be rejected as being non-responsive. Any attempt to condition a Submittal by inserting exceptions to the Solicitation or any conditions, qualifications or additions that vary its terms may result in rejection of the Submittal. The City may reject any submittal containing a material deviation from the Solicitation.

1.09 CORRECTION OF AMBIGUITIES AND OBVIOUS ERRORS

A. The City reserves the right to correct obvious errors in Supplier's Submittal. In this regard, if the unitprice does not compute to the extended total price, the unit price shall govern.

B. Supplier shall notify the City of Tacoma Procurement and Payables Division in writing of any ambiguity,conflict, discrepancy, omission or other error in a Solicitation no later than five business days prior to thesubmittal deadline.

1. For solicitations conducted in SAP Ariba, Supplier shall notify the City of Tacoma Procurement andPayables Division on the message board of the event.

2. For all other solicitations, Supplier shall notify the contract person listed in the Solicitation.

C. The City will make necessary modifications by addendum.

D. Supplier is responsible for identifying ambiguities, conflicts, discrepancies, omissions or other errors inthe Solicitation prior to providing its Submittal or the ambiguity, conflict, discrepancy, omission, or othererror is waived. Any Submittal that includes assumed clarifications and/or corrections without therequired authentication of the same is subject to rejection.

1.10 WARRANTIES/GUARANTEE

A. Suppliers warrant that all items, including services, as applicable:

1. Are merchantable.

2. Comply with the City's latest drawings and specifications.

3. Are fit for the City's intended use.

4. Will be performed according to the skill and care required by customarily accepted good practicesand procedures followed by service providers rendering the same or similar type of service.

5. Are new and unused unless otherwise stated.

6. Comply with all applicable safety and health standards established for such products by theOccupational Safety and Health Administration (OSHA), Washington Industrial Safety and HealthAct (WISHA) and/or Consumer Products Safety Act (CPSA), and all other applicable state andfederal laws or agency regulations.

7. Are properly packaged and contain appropriate instructions or warnings, including applicableMSDS sheets.

1.11 PATENTS, TRADEMARKS AND COPYRIGHTS

Suppliers warrant that equipment and/or materials furnished, including software, do not infringe on any patent, trademark or copyright, and agree to indemnify, defend and hold harmless, the City in the event of any infringement or claim thereof.

1.12 DELIVERY OF SUBMITTALS TO THE CITY’S PROCUREMENT AND PAYABLES DIVISION

A. Submittal packages must be received by the City’s Procurement and Payables Division in SAP Ariba(unless another form of delivery is stated), prior to the scheduled time and date stated in the Solicitation.

B. Supplier is solely responsible for timely delivery of its Submittal.

C. Submittals received after the time stated in the solicitation will not be accepted.

D. For purposes of determining whether a Submittal has been timely received in SAP Ariba, the City'sProcurement and Payables Division will rely on the submittal clock in SAP Ariba.

Standard Terms & Conditions, Form No. SPEC-190A

Rev.: 10/06/2018

1.13 SUBMITTAL IS NON-COLLUSIVE

Supplier acknowledges that by its delivery of a Submittal to the City in response to a Solicitation, it represents that the prices in such Submittal are neither directly nor indirectly the result of any formal or informal agreement with another Supplier.

1.14 PARTNERSHIPS

The City will allow firms to partner in order to respond to a Solicitation. Multiple suppliers may team under a Prime Supplier’s Submittal in order to provide responses to all sections in a single submission; however, each Supplier’s participation must be clearly delineated by section. The Prime Supplier will be considered the responding vendor and the responsible party at contract award. All contract negotiations will be conducted only with the Prime Supplier. All contract payments will be made only to the Prime Supplier. Any agreements between the Prime Supplier and other companies will not be a part of the Contract between the City and the Prime Supplier. The City reserves the right to select more than one Prime Supplier.

1.15 WITHDRAWAL OF SUBMITTALS

A. Prior to Submittal Deadline. Submittals may be withdrawn (including in SAP Ariba) prior to thescheduled submittal deadline.

B. After Submittal Deadline. No Submittal can be withdrawn after having been opened before the actualaward of the contract, unless the award is delayed more than 90 calendar days beyond the date ofopening. If a delay of more than 90 calendar days does occur, Supplier must submit written notice to theCity purchasing manager that Supplier is withdrawing its submittal.

1.16 ACCEPTANCE OF SUBMITTALS

A. If the solicitation announcement so states, submittals, unless previously withdrawn, will be read aloud,irrespective of any irregularities or informalities in such submittal, at the time and place specified in thesolicitation announcement.

B. All submittals must remain open for acceptance by the City for a period of at least 90 calendar daysfrom the submittal deadline.

1.17 RIGHT TO REJECT

A. The City of Tacoma reserves the right to reject any and all submittals, waive minor deviations orinformalities, supplement, amend, reduce or otherwise modify the scope of work or cancel thesolicitation, and if necessary, call for new submittals.

1.18 RESERVED RIGHTS

A. By providing a submittal in response to a City solicitation, Supplier acknowledges and consents to thebelow City rights and conditions. With regard to this procurement process, the City reserves, holdswithout limitation, and may exercise, at its sole discretion, the following rights and conditions:

1. To terminate the procurement process or decide not to award a contract as a result thereof bywritten notice to the Suppliers for any reason whatsoever with or without substitution of anothersolicitation.

2. To waive any defect, technicality, or any other minor informality or irregularity in any submittal, orany other response from Suppliers.

3. To issue addenda for any purpose including:

a. To make minor or major changes or alterations to the evaluation, selection and/orperformance schedule(s) for any events associated with a procurement.

b. To supplement, amend, reduce, cancel, or otherwise modify a Solicitation, including but notlimited to modifications to the description of services and/or products contained in thesolicitation, by omitting services/products and/or including services/products.

4. To request clarifications, additional information, and/or revised Submittals from one or moreSuppliers.

5. To conduct investigations with respect to the qualifications and experience of Supplier(s),including inspection of facilities and to request additional evidence to support any suchinformation.

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6. To eliminate any Supplier that submits an incomplete or inadequate response, or is non-responsive to the requirements of a Solicitation, or is otherwise deemed to be unqualified duringany stage of the procurement process.

7. To select and interview a single finalist or multiple finalists to further the City’s evaluation ofSubmittals provided in response to a Solicitation. The City may, in its sole and exclusivediscretion as to what is in the City’s best interest, elect not to conduct interviews of any or allSuppliers in connection with a solicitation process.

8. Except in the case of Requests for Bids, to negotiate any rate/fee offered by a Supplier. The Cityshall have the sole right to make the final rate/fee offer during contract negotiations. If theselected Supplier does not accept the City’s final offer, the City may, in its sole discretiondiscontinue contract negotiations and commence negotiations with another Supplier, except asotherwise provided in Chapter 39.80, RCW.

9. To select and enter into a Contract with one or more Suppliers whose Submittal best satisfies theinterests of the City and is most responsive, in the sole judgment of the City, to the requirementsof a Solicitation.

10. To award by line item or group of line items.

11. To not award one or more items.

12. To issue additional or subsequent solicitations.

13. To seek partnerships between one or more Suppliers.

14. Request additional related products and services from the selected Supplier(s) as necessarythroughout the term of the Contract.

15. Negotiate costs or fees in the event of new legislation or regulatory changes, or issuance ofrelated compliance guidance, technology enhancements, and innovative solutions.

16. In the event the City receives questions concerning a Solicitation from one or more Suppliers priorto the deadline for response, the City reserves the right to provide such questions, and the City’sresponses, if any, to all Suppliers.

17. If an award is made and, prior to entering into a contract, subsequent information indicates thatsuch award is not in the best interest of the City, the City may rescind the award without priornotice to Supplier and either award to another Supplier or reject all submittals or cancel thissolicitation.

18. To cancel award of a contract at any time before execution of the Contract by both parties ifcancellation is deemed to be in the City’s best interest. In providing a submittal, Suppliers agreethat the City is not liable for any costs or damages for the cancellation of an award. Supplierassumes the sole risk and responsibility for all expenses connected with the preparation of itssubmittal.

19. To add additional City departments or divisions to the Contract or develop a separate Contract withthe Supplier subject to all terms, conditions and pricing of the original Contract

20. To take any other action affecting a Solicitation or a procurement process that is determined to bein the City’s best interests.

1.19 SUBMITTAL CLARIFICATION

Suppliers may be asked to clarify their Submittal. This action shall not be construed as negotiations or any indication of intentions to award. If called upon, Supplier must respond to such requests within two business days or the timeframe set forth by the City in its request for clarification. Supplier’s failure to respond to such a request may result in rejection of its Submittal.

1.20 EVALUATION OF SUBMITTALS

A. The City of Tacoma reserves the right to award to the lowest and best responsible Supplier(s) deliveringa Submittal in compliance with the Solicitation, provided such Submittals are reasonable and are in thebest interest of the City to accept. The City may use a number of criteria for determining award,including evaluation factors set forth in Municipal Code Section 1.06.262. Suppliers who areinexperienced or who fail to properly perform other contracts may have their submittal rejected for suchcause.

Standard Terms & Conditions, Form No. SPEC-190A

Rev.: 10/06/2018

1. Evaluation Factors. In addition to the factors set forth in Municipal Code Section 1.06.262, thefollowing may be used by the City in determining the lowest and best responsible Submittal:

a. Compliance with a Solicitation and with applicable City requirements, including by not limitedto, the City’s Ethics Code and its Small Business Enterprise and Local Employment andApprenticeship programs.

b. Submittal prices, listed separately if requested, as well as a lump sum total (if the unit pricedoes not compute to the extended total price, the unit price shall govern).

c. The total cost to the City, including all applicable taxes, may be the basis for contract award.d. Time of delivery and/or completion of performance (delivery date(s) offered).e. Warranty terms.f. Quality of performance of previous contracts or services, including safety requirements and

past compliance with the City’s Ethics Code.g. Previous and existing compliance with laws and ordinances relating to contracts or services.h. Sufficiency of financial resources.i. Quality, availability, and adaptability of the supplies or services to the particular use required.j. Ability to provide future maintenance and service on a timely basis.k. Location of nearest factory authorized warranty repair facility or parts dealership.l. Ability, capacity, experience, stability, reputation, integrity, character, judgment, technical

qualifications, and skill to perform the contract or provide the services required.

2. Prompt Payment Discount. Payment discount periods of 20 calendar days or more, if offered in thesubmittal, will be considered in determining the apparent lowest responsible submittal. Discountswill be analyzed in context of their overall cumulative effect.

a. ePayable/Credit Card Acceptance. Submittals offering ePayable/Credit card acceptance maybe compared against submittals offering a prompt payment discount to evaluate the overallcumulative effect of the discount against the advantage to the City of the ePayable/Credit cardacceptance, and may be considered in determining the apparent lowest responsible submittal.

3. All other elements or factors, whether or not specifically provided for in a Solicitation, which wouldaffect the final cost to, and the benefits to be derived by, the City, may be considered indetermining the award of a Contract. The final award decision will be based on the best interests ofthe City.

1.21 CONTRACT OBLIGATION

A. The Submittal contents of the successful Supplier will become contractual obligations if a Contractensues.

B. In the event the City of Tacoma determines to award a Contract, the selected Supplier(s) may berequested to execute Additional Contract Documents.

C. Supplier shall register with the City of Tacoma on the SAP Ariba Network and be enabled fortransactions upon request by the City.

D. Suppliers may propose amendments to City’s Contract documents or to these Terms and Conditions,but the City retains the right to accept or reject proposed amendments.

E. No costs chargeable for work under the proposed Contract may be incurred before mutual acceptanceand execution as directed.

1.22 AWARD

The City reserves the right to award Contracts for any or all items to one or more Suppliers in the best interests of the City.

1.23 SUPPLIER'S REFUSAL TO ENTER INTO CONTRACT

Any Supplier who refuses to enter into a Contract after it has been awarded to the Supplier will be in breach of the agreement to enter the Contract, and Supplier's certified or cashier’s check or bid bond, if any, shall be forfeited.

1.24 LEGAL HOLIDAYS

A. The City of Tacoma observes the following holidays, which shall apply to performance of all contracts:

New Year's Day January 1 Martin Luther King's Birthday 3rd Monday in January

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

Washington's Birthday 3rd Monday in February Memorial Day Last Monday in May Independence Day July 4 Labor Day 1st Monday in September Veteran's Day November 11 Thanksgiving Day 4th Thursday of November Day after Thanksgiving 4th Friday of November Christmas Day December 25

B. When any of these holidays occur on Saturday or Sunday, the preceding Friday or the followingMonday, respectively, is a legal holiday for the City of Tacoma.

1.25 CONTRACT TERM

All services shall be satisfactorily completed and all deliverables provided by the termination date stated, and the Contract shall expire on said date unless mutually extended in writing by the parties.

1.26 EXTENSION OF CONTRACT

Contracts shall be subject to extension at City’s sole discretion.

1.27 TERMINATION AND SUSPENSION

A. Supplies. The City reserves the right to terminate a Contract at any time upon prior written notice toSupplier. Upon the effective date of termination specified in such notice, and payment by the City, allconforming supplies, materials, or equipment previously furnished hereunder shall become its property.

B. Services. The City may terminate a Contract at any time, with or without cause, by giving 10 businessdays written notice to Supplier. In the event of termination, all finished and unfinished work prepared bySupplier pursuant to the Contract shall be provided to the City. In the event City terminates the Contractdue to the City’s own reasons and without cause due to Supplier’s actions or omissions, the City shallpay Supplier the amount due for actual work and services necessarily performed under the Contract upto the effective date of termination, not to exceed the total compensation set forth in the Contract.

C. Suspension. For either services or supplies, the City may suspend a Contract, at its sole discretion,upon three business days’ written notice to Supplier. Such notice shall indicate the anticipated period ofsuspension. Any reimbursement for expenses incurred due to the suspension shall be limited toSupplier’s actual expenses and shall be subject to verification. Supplier shall resume performance ofservices under the Contract without delay when the suspension period ends.

D. Termination or suspension of a Contract by City shall not constitute a waiver of any claims or remainingrights the City may have against Supplier relative to performance under a Contract.

1.28 DEFAULT/BREACH

In the event of material default or breach by Supplier on any of the conditions of a Contract, Supplier agrees that the City may, at its election, procure the goods or services from other sources, and may deduct from the unpaid balance due Supplier, or collect against the bond or security (if any), or may invoice and recover from Supplier all costs paid in excess of the price(s) set forth in the Contract.

A. Supplies. The City at any time by written change order or other form of written contract amendment maymake reasonable changes in the place of delivery, installation, or inspection, the method of shipment orpacking, identification and ancillary matters that Supplier may accommodate without substantialadditional expense.

B. Services. The City shall have the right to make changes within the general scope of services and/ordeliverables upon execution in writing of a change order or other written form of contract amendment. Ifthe changes will result in additional work effort by Supplier the City agrees to reasonably compensateSupplier for such additional effort up to the maximum amount specified in the Contract or as otherwiseprovided by Tacoma Municipal Code. Any new services accepted by the City may be added to theContract and/or substituted for discontinued services. New services shall meet or exceed allrequirements of original award.

C. Expansion Clause. A Contract may be further expanded in writing to include other related services orproducts normally offered by Supplier, as long as the price of such additional services or products havea profit margin equal to or less than that in place at the time of original submittal. Such additions andprices will be established in writing. New items not meeting these criteria will not be added to theContract. Supplier profit margins are not to increase as a result any such expansion.

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

1.29 SCOPE OF SERVICES

Supplier agrees to diligently and completely perform the services required by a Contract.

1.30 SERVICES DO NOT INCLUDE PUBLIC WORK

Unless otherwise stated, the services and/or work contracted for herein exclude public work and improvements as defined in RCW 39.04, as that statute may hereafter be amended.

1.31 PREVAILING WAGES

A. If federal, state, local, or any applicable law requires Supplier to pay prevailing wages in connection witha Contract, and Supplier is so notified by the City, then Supplier shall pay applicable prevailing wages.

B. If applicable, a Schedule of Prevailing Wage Rates for the locality or localities where the Contract will beperformed is attached and made of part of the Contract by this reference. If prevailing wages do applyto the Contract, Supplier and its subcontractors shall:

1. Be bound by the provisions of Chapter 39.12 RCW, as amended, relating to prevailing wages andusual fringe benefits,

2. Ensure that no worker, laborer or mechanic employed in the performance of any part of theContract shall be paid less than the prevailing rate of wage specified on that Schedule, and

3. Immediately upon award of the Contract, contact the Department of Labor and Industries,Prevailing Wages section, Olympia, Washington, to obtain full information, forms and proceduresrelating to these matters. Per such procedures, a Statement of Intent to Pay Prevailing Wages mustbe submitted by Contractor and its subcontractors to the City, in the manner requested by the City,prior to any payment by the City hereunder, and an Affidavit of Wages Paid must be received orverified by the City prior to final Contract payment.

1.32 CONTRACT PRICING

A. Submitted prices shall include costs of submittal preparation, servicing of the account, all contractualrequirements during contract period such as transportation, permits, insurance costs, bonds, labor,wages, materials, tools, components, equipment, and appurtenances necessary to complete the work,which shall conform to the best practice known to the trade in design, quality, material, andworkmanship.

B. Surcharges of any type will not be paid.

C. If applicable, related additional products and corresponding services of benefit to the City notspecifically required in a solicitation, but which Supplier offers to provide, may be included with thesubmittal. Supplier may request to add new products if the City approves them and Supplier candemonstrate the pricing is from the same pricing structure/profit margin.

D. Unless specifically stated otherwise, only firm prices will be accepted and all prices shall remain firmduring the term of a Contract.

E. Price increases may at City’s discretion be passed along during a contract period if the increase ismandated by statute, or the result of a tariff.

F. By submitting prices, Supplier warrants prices equal to or better than the equivalent prices, terms, andbenefits offered by Supplier to any other government unit or commercial customer.

G. Should Supplier, during the term of a Contract, enter into any other contract, agreement or arrangementthat provides lower prices, more favorable terms or greater benefits to any other government unit orcommercial customer, the Contract with the City shall thereupon be deemed amended to provide thesame price or prices, terms and benefits to the City. This provision applies to comparable products andpurchase volumes by the City that are not less than the purchase volumes of the government unit orcommercial customer that has received the lower prices, greater benefits, or more favorable terms.

H. If at any time during the term of the Contract, Supplier reduces prices to other buyers purchasingapproximately the same quantities stated on the Contract, Supplier will immediately notify the Citypurchasing manager of such fact, and the price(s) for future orders under the Contract shall be reducedaccordingly.

I. The City is entitled to any promotional pricing during the Contract period.

J. Price decreases shall be immediately passed on to the City.

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

K. The City reserves the right to increase or decrease the quantities of any item awarded pursuant to theContract and pay according to the unit prices quoted in the submittal with no adjustments for anticipatedprofit.

1.33 APPROVED EQUALS WHEN ALTERNATES ARE ALLOWED

A. Unless an item is indicated as "no substitute," special brands, when named, are intended to describethe standard of quality, performance, or use desired. Equal items will be considered by the City,provided that Supplier specifies the brand and model, and provides all descriptive literature,independent test results, specification sheets, schematic drawings, photographs, product samples, localservicing, parts availability, etc., to enable the City to evaluate the proposed equal. Performance testingin the field may be required.

B. The decision of the City as to what items are equal shall be final and conclusive. If the City elects topurchase a brand represented by Supplier to be an "equal," the City's acceptance of the item isconditioned on the City's inspection and testing after receipt. If, in the sole judgment of the City, the itemis determined not to be an equal, the item shall be returned at Supplier's expense.

C. When a brand name or level of quality is not stated in Supplier's submittal, it is understood Supplier'ssubmittal shall exactly confirm with those required in the Contract. If more than one brand name isstated in a Solicitation, Supplier(s) must indicate the brand and model/part number to be supplied.

1.34 RISK OF LOSS, SHIPPING AND DELIVERY

A. Shipping. Prices must be quoted FOB destination (the place of destination as defined in RCW62A.2-319, as that statute may hereafter be amended), with freight prepaid and allowed (shippingcosts included in unit prices), and risk of loss remaining with Supplier until delivery is tendered.

B. Delivery. Delivery will be to the designated addresses set forth in a Solicitation or as otherwise stated inthe Contract. Deliveries shall be between 9:00 a.m. and 3:30 p.m., Monday through Friday only, exceptLegal Holidays. Failure to make timely delivery shall be cause for termination of the contract or orderand return of all or part of the items at Supplier’s expense except in the case of force majeure.

1.35 DELIVERY OF PRODUCTS AND PROVISION OF SERVICES – IDLING PROHIBITED

A. The City of Tacoma has a commitment to reduction of unnecessary fuel emissions and improving airquality by reducing unnecessary air pollution from idling vehicles. Limiting car and truck idling supportscleaner air, healthier work environments, the efficient use of city resources, the public’s enjoyment ofCity properties and programs, conservation of natural resources, and good stewardship practices.

B. Vehicles and/or diesel fuel trucks shall not idle at the time and location of the delivery to the City ofTacoma for more than three minutes. The City requires contractors to utilize practices that reduce fuelconsumption and emission discharge, including turning off trucks and vehicles during delivery ofproducts to the City. Exceptions to this requirement include when associated power is necessary tomake a delivery or provide the service, when the engine is used to provide power to another device,and when a running engine is required for proper warm-up and cool-down of the engine.

1.36 PACKING SLIPS AND INVOICES

A. Each invoice shall show City of Tacoma purchase order number, release number if applicable, quantity,unit of measure, item description, unit price and extended price for each line if applicable, services anddeliverables provided if applicable. Line totals shall be summed to give a grand total to which sales taxshall be added, if applicable.

1. For transactions conducted in SAP Ariba, invoices shall be submitted through Ariba.2. For invoices paid by ACH or by check, unless stated otherwise, invoices shall be electronically

submitted by email with corresponding PO number listed in the subject line toaccountspayable@cityoftacoma.org.

3. For invoices paid by credit card, invoices shall also display the last name of the cardholder and lastfour digits (only) of the card number (e.g., Jones/6311). Unless stated otherwise, invoices shall beelectronically submitted by email with corresponding PO number listed in the subject line to (do notcombine different POs into one invoice or charge) to pcardadmin@cityoftacoma.org.

B. Any terms, provisions or language in Supplier’s invoice(s) that conflict with the terms of the Contract aresuperseded and shall not apply to the Contract unless expressly accepted in writing by the City.

C. Packing slips and shipping notices shall be sent to the specific City Division or Department receiving theitem(s) at the address stated in City’s Solicitation or as otherwise stated in the Contract and include

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

complete description of items, contents of items if crated or cased, quantity, shipping point, carrier, bill of lading number and City of Tacoma purchase order.

D. Supplier shall package orders, preferably in environmental friendly packaging such as reducedpackaging and recyclable packing materials.

1.37 COOPERATIVE PURCHASING

The Washington State Interlocal Cooperation Act RCW 39.34 provides that other governmental agencies may purchase goods and services based on the Contract with the City in accordance with the terms and prices of the Contract if all parties are agreeable. Each public agency shall formulate a separate contract with Supplier, incorporating the terms and conditions of the Contract with the City of Tacoma. The City shall incur no liability in connection with such contracts or purchases by other public agencies thereunder. It will be Supplier’s responsibility to inform such public agencies of the Contract with the City. Supplier shall invoice such public agencies as separate entities.

1.38 TAXES

A. Unless otherwise stated, applicable federal, state, City, and local taxes shall be included in the submittaland in contract as indicated below. As used herein, the term “taxes” shall include any and all taxes,assessments, fees, charges, interest, penalties, and/or fines imposed by applicable laws andregulations in connection with the procurement of goods and/or services hereunder.

1. Federal Excise Tax. The City of Tacoma is exempt from federal excise tax. The City will furnish aFederal Excise Tax Exemption certificate, if required. If Supplier fails to include any applicable taxin its submittal, then Supplier shall be solely responsible for the payment of said tax.

2. State and Local Sales Tax. The City of Tacoma is subject to Washington state sales tax. It isSupplier's obligation to state the correct sales tax percentage and include the applicableWashington state, city and local sales tax as a separate line item(s) in the submittal.

3. City of Tacoma Business and Occupation Tax. It is Supplier's obligation to include City of TacomaBusiness and Occupation tax in the unit and/or lump sum prices submitted; it shall not be shownseparately on the submittal. Per Sub-Title 6A of the City of Tacoma Municipal Code, transactionswith the City of Tacoma may be subject to the City’s Business and Occupation Tax.

B. Any or All Other Taxes. Any or all other taxes are the responsibility of Supplier unless otherwiserequired by law. Except for state sales tax, Supplier acknowledges that it is responsible for the paymentof all taxes applicable to the Contract and Supplier agrees to comply with all applicable laws regardingthe reporting of income, maintenance of records, and all other requirements and obligations imposedpursuant to applicable law.

C. If the City is assessed, made liable, or responsible in any manner for taxes contrary to the provisions ofthe Contract, Supplier agrees to hold the City harmless from such costs, including attorney's fees. In theevent Supplier fails to pay any taxes, assessments, penalties, or fees imposed by any governmentalbody, including a court of law, other than those taxes the City is required to pay, then Supplierauthorizes the City to deduct and withhold or pay over to the appropriate governmental body thoseunpaid amounts upon demand by the governmental body. It is agreed that this provision shall apply totaxes and fees imposed by City ordinance. Any such payments shall be deducted from Supplier’s totalcompensation.

1.39 COMPENSATION

A. The City shall compensate Supplier in accordance with the Contract. Said compensation shall be thetotal compensation for Supplier’s performance hereunder including, but not limited to, all work, services,deliverables, materials, supplies, equipment, subcontractor’s fees and all reimbursable travel andmiscellaneous or incidental expenses to be incurred by Supplier. Unless stated otherwise the totalstated compensation may not be changed without a written change order or other form of contractamendment.

B. Payment(s) made in accordance with the Contract shall fully compensate Supplier for all risk, loss,damages or expense of whatever nature, and acceptance of payment shall constitute a waiver of allclaims submitted by Supplier.

1.40 PAYMENT TERMS

A. Payment shall be made through the City’s ordinary payment process, and shall be considered timely ifmade within 30 days of receipt of a properly completed invoice. All payments shall be subject toadjustment for any amounts, upon audit or otherwise, determined to have been improperly invoiced.

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

The City may withhold payment to Supplier for any services or deliverables not performed as required hereunder until such time as Supplier modifies such services or deliverables to the satisfaction of the City.

B. Invoices will not be processed for payment, nor will the period of cash discount commence, until allinvoiced items are received and satisfactory performance of the Contract has been attained. UponCITY’S request, Supplier shall submit necessary and appropriate documentation, as determined by theCITY, for all invoiced services and deliverables. If an adjustment in payment is necessary due todamage or dispute, the cash discount period shall commence on the date final approval for payment isauthorized.

1.41 PAYMENT METHOD – EPAYABLES – CREDIT CARD ACCEPTANCE – EFT/ACH ACCEPTANCE

A. Payment methods include:

1. EPayables (Payment Plus). This is payment made via a virtual, single use VISA cardnumber provided by the City’s commercial card provider. Suppliers accepting this option willreceive “due immediately” payment terms. Two options for acceptance are available tosuppliers. Both are accompanied by an emailed advice containing complete paymentdetails:

a. Straight-through processing (buyer initiated). Immediate, exact payments directlydeposited to supplier accounts by the City’s provider bank; the supplier does not needto know card account details.

b. Supplier retrieves card account through the secure, on-line portal provided via emailnotifications sent by the City’s commercial card provider.

2. Credit card. Tacoma’s VISA procurement card program is supported by standard bankcredit suppliers and requires that merchants abide by the VISA merchant operating rules. Itprovides “due immediately” payment terms.

a. Suppliers must be PCI-DSS compliant (secure credit card data management) andfederal FACTA (sensitive card data display) compliant.

b. Suppliers must be set up by their card processing equipment provider (merchantacquirer) as a minimum of a Level II merchant with the ability to pass along tax,shipping and merchant references information.

3. Electronic Funds Transfer (EFT) by Automated Clearing House (ACH). Standard terms arenet 30 for this payment method.

4. Check or other cash equivalent. Standard terms are net 30 for this payment method.

B. The City’s preferred method of payment is by ePayables (Payment Plus) followed by credit card(aka procurement card). Suppliers may be required to have the capability of accepting the City’sePayables or credit card methods of payment. The City of Tacoma will not accept pricechanges or pay additional fees when ePayables (Payment Plus) or credit card is used.

C. The City, in its sole discretion, will determine the method of payment for goods and/or servicesas part of the Contract.

1.42 NOTICES

Unless otherwise specified, except for routine operational communications, which may be delivered personally or transmitted by electronic mail, all notices required by the Contract shall be in writing and shall be deemed to have been duly given if delivered personally or mailed first-class mail, postage prepaid, to Supplier’s registered agent and to the applicable City department representative.

1.43 INDEPENDENT CONTRACTOR STATUS

A. Supplier is considered an independent contractor who shall at all times perform his/her duties andresponsibilities and carry out all services as an independent contractor and shall never represent orconstrue his/her status to be that of an agent or employee of the City, nor shall Supplier be eligible forany employee benefits. No payroll or employment taxes or contributions of any kind shall be withheld orpaid by the City with respect to payments to Supplier. Supplier shall be solely responsible for all saidpayroll or employment taxes and/or contributions including, but not limited to, FICA, FUTA, federalincome tax, state personal income tax, state disability insurance tax and state unemployment insurancetax. If the City is assessed, made liable or responsible in any manner for such taxes or contributions,Supplier agrees to indemnify and hold the City harmless from all costs incurred, including attorney fees.

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

B. Unless otherwise specified in writing, Supplier shall provide at its sole expense all materials, workingspace, and other necessities and instruments to perform its duties under the Contract. Supplier, at itssole expense, shall obtain and keep in force any and all applicable licenses, permits and tax certificatesnecessary to perform the Contract.

1.44 NONDISCRIMINATION

Supplier agrees to take all steps necessary to comply with all federal, state, and City laws and policies regarding non-discrimination and equal employment opportunities. Supplier shall not discriminate in any employment action because of race, religion, color, national origin or ancestry, sex, gender identity, sexual orientation, age, marital status, familial status, or the presence of any sensory, mental, or physical handicap. In the event of non-compliance by Supplier with any of the non-discrimination provisions of the Contract, the City shall be deemed to have cause to terminate the Contract, in whole or in part.

1.45 FEDERAL, STATE, AND MUNICIPAL LAWS AND REGULATIONS

Supplier shall comply with all federal, state, municipal, and/or local laws and regulations in the performance of all terms and conditions of the Contract. Supplier shall be solely responsible for all violations of the law from any cause in connection with its performance of work under the Contract.

1.46 FEDERAL AID PROJECTS

The City of Tacoma in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal Regulations, Department of Transportation, subtitle A, Office of the Secretary, part 21, nondiscrimination in federally assisted programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that it will affirmatively insure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises as defined at 49 CFR, part 26, will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin, or sex in consideration for an award.

1.47 REPORTS, RIGHT TO AUDIT, PERSONNEL

A. Reports. Supplier shall, at such times and in such form as the City may reasonably require, furnish theCity with periodic status reports pertaining to the services undertaken or goods provided pursuant to theContract.

B. Right to Audit. Upon City’s request, Supplier shall make available to City all accounts, records anddocuments related to the scope of work for City’s inspection, auditing, or evaluation during normalbusiness hours as reasonably needed by City to assess performance, compliance and/or qualityassurance under the Contract or in satisfaction of City’s public disclosure obligations as applicable.

C. Personnel. If before, during, or after the execution of a Contract, Supplier has represented or representsto the City that certain personnel would or will be responsible for performing services pursuant to theContract, then Supplier is obligated to ensure that said personnel perform said Contract services to themaximum extent permitted by law. Substantial organizational or personnel changes within Supplier’sfirm are expected to be communicated to City immediately. Failure to do so could result in termination ofthe Contract. This provision shall only be waived by written authorization by the City, and on a case-by-case basis.

1.48 INSURANCE

A. During the course and performance of a Contract, Supplier will provide proof and maintain theinsurance coverage in the amounts and in the manner specified in the City of Tacoma InsuranceRequirements as is applicable to the services, products, and deliverables provided under the Contract.The City of Tacoma Insurance Requirements document, if issued, is fully incorporated into the Contractby reference.

B. Failure by City to identify a deficiency in the insurance documentation provided by Contractor or failureof City to demand verification of coverage or compliance by Contractor with these insurancerequirements shall not be construed as a waiver of Contractor’s obligation to maintain such insurance.

1.49 INDEMNIFICATION – HOLD HARMLESS

A. Supplier agrees to indemnify, defend, and hold harmless the City of Tacoma, its officers, agents andemployees, from and against any and all liability which may accrue to or be sustained by the City ofTacoma for any claim, suit or legal action made or brought against the City for the death of or injury topersons (including Supplier's or subcontractor's employees), or damage to property involving Supplieror subcontractor(s) and their employees or agents, or for any other cause arising out of and in

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

connection with or incident to the performance of the Contract, except for injuries or damages caused by the sole negligence of the City. In this regard, Supplier recognizes it is waiving immunity under Industrial Insurance Law, Title 51 RCW. This indemnification includes attorney's fees and the cost of establishing the right to indemnification hereunder in favor of the City of Tacoma. By Supplier's acceptance of this order, he/she agrees that this subsection has been mutually negotiated.

B. These indemnifications shall survive the termination of a Contract.

1.50 CONFLICT OF INTEREST

No officer, employee, or agent of the City, nor any member of the immediate family of any such officer, employee or agent as defined by City ordinance, shall have any personal financial interest, direct or indirect, in a Contract, either in fact or in appearance. Supplier shall comply with all federal, state, and City conflict of interest laws, statutes, and regulations. Supplier represents that Supplier presently has no interest and shall not acquire any interest, direct or indirect, in the program to which the Contract pertains that would conflict in any manner or degree with the performance of Supplier’s services and obligations hereunder. Supplier further covenants that, in performance of a Contract, no person having any such interest shall be employed. Supplier also agrees that its violation of the City’s Code of Ethics contained in Chapter 1.46 of the Tacoma Municipal Code shall constitute a breach of Contract subjecting the Contract to termination.

1.51 CITY OWNERSHIP OF WORK/RIGHTS IN DATA/PUBLICATIONS

A. To the extent that Supplier creates any work subject to the protections of the Copyright Act (Title 17U.S.C.) in its performance of a Contract, Supplier agrees to the following: The work has been speciallyordered and commissioned by the City. Supplier agrees that the work is a “work made for hire” forcopyright purposes, with all copyrights in the work owned by City. To the extent that the work does notqualify as a work made for hire under applicable law, and to the extent that the work includes materialsubject to copyright, Supplier hereby assigns to City, its successors and assigns, all right, title andinterest in and to the work, including but not limited to, all copyrights, patent, trade secret and otherproprietary rights, and all rights, title and interest in and to any inventions and designs embodied in thework or developed during the course of Supplier’s creation of the work.

B. Supplier shall be solely responsible for obtaining releases and/or licenses for the reproduction,distribution, creation of derivative works, performance, display, or other use of copyrighted materials.Should Supplier fail to obtain said releases and/or licenses, Supplier shall indemnify, defend, and holdharmless the City for any claim resulting there from.

1.52 DUTY OF CONFIDENTIALITY

Supplier acknowledges that unauthorized disclosure of information or documentation concerning the Scope of Work hereunder may cause substantial economic loss or harm to the City. Except for disclosure of information and documents to Supplier’s employees, agents, or subcontractors who have a substantial need to know such information in connection with Supplier’s performance of obligations under the Contract, Supplier shall not without prior written authorization by the City allow the release, dissemination, distribution, sharing, or other publication or disclosure of information or documentation obtained, discovered, shared or produced pursuant to a Contract.

1.53 DISPUTE RESOLUTION

In the event of a dispute pertaining to ta Contract, the parties agree to attempt to negotiate in good faith an acceptable resolution. If a resolution cannot be negotiated, then the parties agree to submit the dispute to voluntary non-binding mediation before pursuing other remedies. This provision does not limit the City’s right to terminate.

1.54 GOVERNING LAW AND VENUE

A. Washington law shall govern the interpretation of the Contract. The state or federal courts located inPierce County Washington shall be the sole venue of any mediation, arbitration, or litigation arising outof the Contract.

B. Respondents providing submittals from outside the legal jurisdiction of the United States of America willbe subject to Tacoma’s City Attorney’s Office (CAO) opinion as to the viability of possible litigationpursuant to a contract resulting from this Specification. If it is the opinion of the CAO that any possiblelitigation would be beyond reasonable cost and/or enforcement, the submittal may be excluded fromevaluation.

Standard Terms & Conditions, Form No. SPEC-190A Rev.: 10/06/2018

1.55 ASSIGNMENT

Supplier shall not assign, subcontract, delegate or transfer any obligation, interest or claim to or under the Contract without the prior written consent of the City.

1.56 WAIVER

A waiver or failure by either party to enforce any provision of the contract shall not be construed as a continuing waiver of such provisions, nor shall the same constitute a waiver of any other provision of the Contract.

1.57 SEVERABILITY AND SURVIVAL

If any term, condition or provision herein or incorporated by reference is declared void or unenforceable or limited in its application or effect, such event shall not affect any other provisions hereof and all other provisions shall remain fully enforceable. The provisions of the Contract, which by their sense and context are reasonably intended to survive the completion, expiration or cancellation of the Contract, shall survive termination of the Contract.

1.58 NO CITY LIABILITY

Neither the City, its officials, staff, agents, employees, representatives, or consultants will be liable for any claims or damages resulting from any aspect of this procurement process.

1.59 SIGNATURES

A signed copy of Submittals, Contract documents, including but not limited to contract amendments, contract exhibits, task orders, statements of work and other such Contract related documents, delivered by email or other means of electronic transmission including by using a third party service, which service is provided primarily for the electronic execution of electronic records, shall be deemed to have the same legal effect as delivery of an original signed copy.

INFRASTRUCTURE AND DATA SECURITY

1. CONTRACTOR acknowledges that CITY Data is critical to the CITY. CONTRACTORrepresents to the CITY that its product or service complies with the applicable portions ofrelevant security standards, such as ISO27002, HIPAA, etc.

A. CONTRACTOR shall use precautions, including but not limited to, physical, software andnetwork security measures, employee screening, training and supervision and appropriateagreements with employees, to:

(1) Prevent anyone other than CITY or its authorized employees, contractors oragents from monitoring, using, gaining access to or learning the import ofCITY Data

(2) Protect appropriate copies of Data from loss, corruption or unauthorizedalteration; and

(3) Prevent the disclosure of CITY and Data passwords and other access controlinformation to anyone other than authorized CITY employees.

B. CONTRACTOR will periodically test and re-evaluate the effectiveness of suchprecautions. CONTRACTOR will promptly notify CITY if such precautions are violated andData are affected hereby or passwords or other access information are disclosed.Notwithstanding the foregoing, CONTRACTOR and its employees may use, process, viewthe contents of or monitor CITY Data to the extent necessary for CONTRACTOR toperform under this Contract.

C. CONTRACTOR shall provide the CITY with a copy of CONTRACTOR’S InformationSecurity Policy on request.

D. CONTRACTOR shall take technical and organizational measures to keep Data secureand to protect it against accidental loss or unlawful destruction, alteration, disclosure oraccess; and must deal with the Data only in accordance with CITY’S instruction.

E. CONTRACTOR shall be responsible for establishing and maintaining an informationsecurity program that is designed to:

• Ensure the security and confidentiality of the Data,• Protect against any anticipated threats or hazards to the confidentiality,

availability, or integrity of the Data,• Protect against unauthorized access to or use of the Data,• Ensure the proper deletion of Data,• Ensure that all CONTRACTORS subcontractors, if any, comply with the

foregoing.

In no case shall the safeguards of the CONTRACTOR’S information security program be less stringent than the information security safeguards used by the CITY’S Information Security Program.

F. Network Interconnect Security. CONTRACTOR’S network shall protect Data through the implementation of security controls that adequately safeguard against intrusion, tampering, viruses and other security breaches (NIST SP 800-47). Supplier shall adhere to all CITY IT security policies, procedures, and guidelines and NIST special publications at http://csrc.nist.gov/publications/nistpubs/. G. CONTRACTOR shall enforce the following IT security best practices:

• Least Privilege: Only authorized access to the minimum amount of resources required for a function;

• Separation of Duties: Functions shall be divided between staff members to reduce the threat that one person can commit fraud undetected;

• Role-Based Security: Access control shall be based on the role a user plays in an organization.

H. CONTRACTOR shall restrict CONTRACTOR or Subcontractor employees and other personnel from using resources on CITY’S network unless they are supporting the purpose of the interconnection between the CITY’S network and the CONTRACTOR’S network. I. CONTRACTOR shall immediately notify the CITY when a security incident is detected, so that the CITY may take steps to determine whether its network has been compromised and take appropriate security precautions. J. Location of Data. CONTRACTOR warrants and represents that it shall transmit, store and process CITY Data and content only in the continental United States. K. Data Breaches. In the event of a breach of Data, the CITY reserves the right to participate in breach root cause analysis activities undertaken by the CONTRACTOR. CONTRACTOR shall report, orally and in writing, to the CITY any use or disclosure of CITY Data or content not authorized by the Contract or in writing by the CITY including any reasonable belief that an unauthorized individual has accessed CITY Data or CITY materials. CONTRACTOR shall make the report to CITY immediately upon discovery of the unauthorized disclosure, but in no event more than two (2) business days after CONTRACTOR reasonably believes there has been such unauthorized use or disclosure. CONTRACTOR shall report:

• The nature of the unauthorized use or disclosure • The CITY covered Data or CITY materials • Who made the unauthorized use or received the unauthorized

disclosure • What CONTRACTOR has done or shall do to mitigate any deleterious

effect of the unauthorized use or disclosure • What corrective action CONTRACTOR has taken or shall take to

prevent future similar unauthorized use or disclosure, and • CONTRACTOR shall provide such other information, including a

written report, as reasonably requested by the CITY

Notwithstanding any other provisions in the Contract, CONTRACTOR shall be liable for all damages, fines and corrective action arising from unauthorized use or disclosure of such information caused by CONTRACTOR’S breach of its Data security or confidentiality provisions hereunder.

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CHAPTER 1.07 SMALL BUSINESS ENTERPRISE

Sections: 1.07.010 Policy and purpose. 1.07.020 Definitions. 1.07.030 Discrimination prohibited. 1.07.040 Program administration. 1.07.050 Certification. 1.07.060 Program requirements. 1.07.070 Evaluation of submittals. 1.07.080 Contract compliance. 1.07.090 Program monitoring. 1.07.100 Enforcement. 1.07.110 Remedies. 1.07.120 Unlawful acts. 1.07.130 Severability. 1.07.140 Sunset and review of program.

1.07.010 Policy and purpose. It is the policy of the City of Tacoma that citizens be afforded an opportunity for full participation in our free enterprise system and that historically underutilized business enterprises shall have an equitable opportunity to participate in the performance of City contracts. The City finds that in its contracting for supplies, services and public works there has been historical underutilization of small businesses located in certain geographically and economically disfavored locations and that this underutilization has had a deleterious impact on the economic well-being of the City. The purpose of this chapter is to remedy the effects of such underutilization through use of reasonably achievable goals to increase opportunities for historically underutilized businesses to participate in City contracts. It is the goal of this chapter to facilitate a substantial procurement, education, and mentorship program designed to promote equitable participation by historically underutilized businesses in the provision of supplies, services, and public works to the City. It is not the purpose of this chapter to provide any person or entity with any right, privilege, or claim, not shared by the public, generally, and this chapter shall not be construed to do so. This chapter is adopted in accordance with Chapter 35.22 RCW and RCW 49.60.400.

(Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.020 Definitions. Terms used in this chapter shall have the following meanings unless defined elsewhere in the Tacoma Municipal Code (“TMC”), or unless the context in which they are used clearly indicates a different meaning.

A. “Affidavit of Small Business Enterprise Certification” means the fully completed, signed, and notarized affidavit that must be submitted with an application for SBE certification. Representations and certifications made by the applicant in this Affidavit are made under penalty of perjury and will be used and relied upon by City to verify SBE eligibility and compliance with SBE certification and documentation requirements.

B. “Base Bid” means a Bid for Public Works to be performed or Supplies or Services to be furnished under a City Contract, including additives, alternates, deductives, excluding force accounts, and taxes collected separately pursuant to Washington Administrative Code (“WAC”) 458-20-171.

C. “Bid” means an offer submitted by a Respondent to furnish Supplies, Services, and/or Public Works in conformity with the Specifications and any other written terms and conditions included in a City request for such offer.

D. “Bidder” means an entity or individual who submits a Bid, Proposal or Quote. See also “Respondent.”

E. “City” means all Departments, Divisions and agencies of the City of Tacoma.

F. “Contract” means any type of legally binding agreement regardless of form or title that governs the terms and conditions for procurement of Public Works and Improvements and/or Non-Public Works and Improvements Supplies and Services. Contracts include the terms and conditions found in Specifications, Bidder or Respondent Submittals, and purchase orders issued by the City. A “Contract” as used in this chapter shall include an agreement between the City and a non-profit entity to perform construction-related services for Public Works. A “Contract” does not include: (1) awards made by the City with federal/state grant or City general funds monies to a non-profit entity where the City offers assistance, guidance, or supervision on a project or program, and the recipient of the grant awards uses the grant moneys to provide services to the

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community; (2) sales transactions where the City sells its personal or real property; (3) a loan transaction where the City is acting as a debtor or a creditor; (4) lease, franchise; (5) agreements to use City real property (such as Licenses, Permits and Easements) and, (6) banking and other financial or investment services.

G. “Contractor” means any Person that presents a Submittal to the City, enters into a Contract with the City, and/or performs all or any part of a Contract awarded by the City, for the provision of Public Works, or Non-Public Works and Improvements, Supplies or Services.

H. “Evaluated Bid” means a Bid that factors each Respondent’s Base Bid including any alternates, deductive and additives selected by the City that will result in a weighed reduction based on that Respondent’s percentage of SBE participation, as defined by formula set forth in this chapter or in the SBE Regulations adopted pursuant to this chapter.

I. “Goals” means the annual level of participation by SBEs in City Contracts as established in this chapter, the SBE Regulations, or as necessary to comply with applicable federal and state nondiscrimination laws and regulations. Goals for individual Contracts may be adjusted as provided for in this chapter and shall not be construed as a minimum for any particular Contract or for any particular geographical area.

J. “SBE Certified Business” (or “SBEs”) means a business that meets the criteria set forth in Section 1.07.050 of this chapter and has been certified as meeting that criteria by the Community and Economic Development Department-SBE Program Coordinator.

K. “SBE Program Coordinator” means the individual appointed, from time to time, by the City’s Community and Economic Development Director to administer the SBE Regulations.

L. “SBE Regulations” shall mean the written regulations and procedures adopted pursuant to this chapter for procurement of Supplies, Services and Public Works.

M. “Lowest and Best Responsible Bidder” means the Bidder submitting the lowest Bid received that is within the range of acceptable bids, that also has the ability to timely perform the Contract bid upon considering such factors as financial resources, skills, quality of materials, past work record, and ability to comply with state, federal, and local requirements, including those set forth in the SBE Regulations.

N. “Non-Public Works and Improvements” means all competitively solicited procurement of Supplies and/or Services by the City not solicited as Public Works.

O. “Person” means individuals, companies, corporations, partnerships, associations, cooperatives, any other legally recognized business entity, legal representative, trustee, or receivers.

P. “Proposal” means a written offer to furnish Supplies or Services in response to a Request for Proposals. This term may be further defined in the Purchasing Policy Manual and/or in competitive solicitations issued by the City.

Q. “Public Works (or “Public Works and Improvements)” means all work, construction, alteration, repair, or improvement other than ordinary maintenance, executed at the cost of the City, or that is by law a lien or charge on any property therein. This term includes all Supplies, materials, tools, and equipment to be furnished in accordance with the Contract for such work, construction, alteration, repair, or improvement.

R. “Quote” means a competitively solicited written offer to furnish Supplies or Services by a method of procurement that is less formalized than a Bid or a Proposal. This term may be further defined in the Purchasing Policy Manual.

S. “Respondent” means any entity or Person, other than a City employee, that provides a Submittal in response to a request for Bids, Request for Proposals, Request for Qualifications, request for quotes or other request for information, as such terms are defined in Section 1.06.251 TMC. This term includes any such entity or Person whether designated as a supplier, seller, vendor, proposer, Bidder, Contractor, consultant, merchant, or service provider that; (1) assumes a contractual responsibility to the City for provision of Supplies, Services, and/or Public Works; (2) is recognized by its industry as a provider of such Supplies, Services, and/or Public works; (3) has facilities similar to those commonly used by Persons engaged in the same or similar business; and/or (4) distributes, delivers, sells, or services a product or performs a Commercially Useful Function.

T. “Services” means non-Public Works and Improvements services and includes professional services, personal services, and purchased services, as such terms are defined in Section 1.06.251 TMC and/or the City’s Purchasing Policy Manual.

U. “Submittal” means Bids, Proposals, Quotes, qualifications or other information submitted in response to requests for Bids, Requests for Proposals, Requests for Qualifications, requests for Quotations, or other City requests for information, as such terms are defined in Section 1.06.251 TMC.

V. “Supplies” means materials, Supplies, and other products that are procured by the City through a competitive process for either Public Works procurement or Non-Public Works and Improvements procurement unless an approved waiver has been granted by the appropriate authority.

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(Ord. 28274 Ex. A; passed Dec. 16, 2014: Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.030 Discrimination prohibited. A. No person that is engaged in the construction of public works for the City, engaged in the furnishing of laborers or craftspeople for public works of the City, or is engaged for compensation in the provision of non-public works and improvements supplies and/or services to the City, shall discriminate against any other person on the basis of race, religion, color, national origin or ancestry, sex, gender identity, sexual orientation, age, marital status, familial status, or the presence of any sensory, mental or physical disability in employment. Such discrimination includes the unfair treatment or denial of normal privileges to a person as manifested in employment upgrades, demotions, transfers, layoffs, termination, rates of pay, recruitment of employees, or advertisement for employment.

B. The violation of the terms of RCW 49.60 or Chapter 1.29 TMC by any person that is engaged in the construction of public works for the City, is engaged in the furnishing of laborers or craftspeople for public works of the City, or is engaged for compensation in the provision of non-public works and improvements supplies and/or services shall result in the rebuttable presumption that the terms of this chapter have also been violated. Such violation may result in termination of any City contract the violator may have with the City and/or the violator’s ineligibility for further City Contracts.

(Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.040 Program administration. A. The Community and Economic Development Director, or his or her designated SBE Program Coordinator, shall be responsible for administering this chapter and obtaining compliance with respect to contracts entered into by the City and/or its contractors. It shall be the duty of the Director to pursue the objectives of this chapter by conference, conciliation, persuasion, investigation, or enforcement action, as may be necessary under the circumstances. The Director is authorized to implement an administrative and compliance program to meet these responsibilities and objectives.

B. The Director is hereby authorized to adopt and to amend administrative rules and regulations known as the SBE Regulations to properly implement and administer the provisions of this chapter. The SBE Regulations shall be in conformance with City of Tacoma policies and state and federal laws and be designed to encourage achievement of the SBE goals set forth herein. The SBE Regulations shall become effective following public notice and an opportunity to comment by the public.

C. The SBE Regulations adopted pursuant to this section are for the administrative and procedural guidance of the officers and employees of the City and are further expressions of the public policy of the City. The SBE Regulations, when adopted, shall not confer an independent cause of action or claim for relief cognizable in the courts of the state of Washington or the United States of America to any third parties, and such provisions shall not be used as the basis for a lawsuit in any court of competent jurisdiction challenging the award of any contract by the City.

(Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 28110 Ex. B; passed Dec. 4, 2012: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.050 Certification. A. The SBE Program Coordinator shall approve a person as a SBE Certified Business if all of the following criteria are satisfied:

1. Each person with an ownership interest in the company has a personal net worth of less than $1,320,000 excluding one personal residence and the net worth of the business;

2. The company’s total gross receipts for any consecutive three year period within the last six years is not more than $36,500,000 for public works companies and not more than $15,000,000 for non-public works and improvements companies;

3. The owner(s) of the company executes an Affidavit of Small Business Enterprise Certification and files it with the City which states that all information submitted on the SBE application is accurate, that the business has sought or intends to do business with the City and/or within the Pierce County area and has experienced or expects to experience difficulty competing for such business due to financial limitations that impair its ability to compete against larger firms; and

4. The company can demonstrate that it also meets at least one of the following additional requirements:

a. The company’s business offices, or the personal residence of the owner, is located within a City of Tacoma designated Renewal Community/Community Empowerment Zone, prior to designation as a SBE, or

b. The company’s business offices, or the personal residence of the owner, is located within the City of Tacoma for at least six months prior to designation as a SBE; or

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c. The company’s business offices are located in a federally designated HUBZONE in Pierce County or any adjacent county for at least 12 months prior to designation as a SBE; or

d. The company’s business offices are located in a federally designated HUBZONE in a County wherein the work will be performed, or an adjacent county, for at least 12 months prior to designation as a SBE.

B. Application Process. The SBE Program Coordinator shall make the initial determination regarding certification or recertification. Each SBE applicant shall provide the following documents; as such documents are more fully described in the SBE Regulations, to the SBE Program Coordinator:

1. A completed Statement of Personal Net Worth form;

2. A completed, signed, and notarized Affidavit of Small Business Enterprise Certification that affirms compliance with the certification and documentation requirements of this section;

3. List of equipment and vehicles used by the SBE;

4. Description of company structure and owners;

5. Such additional information as the SBE Program Coordinator or designee may require.

When another governmental entity has an equivalent SBE classification process the City may enter into an interlocal cooperative agreement for mutual recognition of certifications.

C. Recertification. A SBE qualified business shall demonstrate annually to the satisfaction of the SBE Program Coordinator that the following SBE qualifications are still in effect for such business:

1. That the company still meets all of the criteria set forth in subsection 1.07.050.A. TMC, and

2. That the company has maintained all applicable and necessary licenses in the intervening period, and

3. That the company demonstrates that the owner and/or designated employees have completed the minimum annual continuing business education training requirements set forth in the SBE Regulations.

D. Appeals. The applicant may appeal any certification determination by the SBE Program Coordinator under this chapter to the Director. The appeal must be made in writing and must set forth the specific reasons for the appeal. The Director shall make a decision on the appeal request within a reasonable time, which decision shall be final unless further appeal is made to the Hearing Examiner. In that event, the Hearing Examiner Rules of Procedure for Hearings, Chapter 1.23 TMC, shall be applicable to that appeal proceeding.

(Ord. 28274 Ex. A; passed Dec. 16, 2014: Ord. 28147 Ex. A; passed May 7, 2013: Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 28110 Ex. B; passed Dec. 4, 2012: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.060 Program requirements. A. Establishment of Annual SBE Goals. The SBE Regulations adopted pursuant to this chapter shall state reasonably achievable cumulative annual goals for utilization of SBEs in the provision of supplies, services, and public works procured by the City. Cumulative annual goals for the participation of SBEs in City contracts shall be based on the number of qualified SBEs operating within Pierce County or in a county that is adjacent to Pierce County or in a HUBZone in a county where the supplies, services and/or public works will be delivered or performed. The dollar value of all contracts awarded by the City to SBEs in the procurement of supplies, services, and public works shall be counted toward the accomplishment of the applicable SBE goal. The initial cumulative annual SBE goal for all public works, non-public works and improvements supplies and services procured by the City of Tacoma is 22 percent.

B. Revision of Annual SBE Goals. SBE utilization goals for supplies, services, and public works shall be reviewed annually to determine the total level of SBE participation reasonably attainable. If no certified SBEs are available to provide supplies, services, and/or public works, the dollar value of such supplies, services, or public works shall be exempt from the calculation of the cumulative annual goals set forth in the SBE Regulations. Proposed reduction of the cumulative annual SBE goals shall be in accordance with the SBE Regulations.

C. Application of SBE Goals to Contracts. The SBE Program Coordinator shall consult with City departments/divisions to establish the SBE goal for competitively solicited contracts of $25,000 and above, in accordance with this chapter and the SBE Regulations. No SBE goal will be established if no certified SBEs are available to provide supplies, services and/or public works.

D. Waivers. City departments/divisions or the SBE Program Coordinator may request to waive one or more of the requirements of this chapter as they apply to a particular contract or contracts. Waivers may be granted in any one or more of the following circumstances:

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1. Emergency: The supplies, services and/or public works must be provided with such immediacy that neither the City nor the contractor can comply with the requirements herein. Such emergency and waiver must be documented by the department/division awarding the contract.

2. Not Practicable: Compliance with the requirements of this chapter would impose an unwarranted economic burden or risk to the City after consideration of existing budgetary approvals.

3. Sole source: The supplies, services, and/or public works are available from only one source, and subcontracting possibilities do not reasonably exist as determined by the finance purchasing manager.

4. Government purchasing. The City is a party to or included in a federal, state or inter-local government purchasing agreement as approved by the finance purchasing manager.

5. Lack of SBEs: An insufficient number of qualified SBE contractors exist to create SBE utilization opportunities.

6. Best interests of the City: Waiver of SBE goals is in the best interests of the City due to unforeseen circumstances, provided that said circumstances are set forth in writing by the requestor.

E. Review of Waivers. A waiver determination by the finance purchasing manager may be reviewed by the Board of Contracts and Awards (C&A Board). The C&A Board may also review a request to reduce or waive the SBE utilization goals based on Not Practicable or Best Interests of the City circumstances. The C&A Board shall determine whether compliance with such goals would impose unwarranted economic burden on, or risk to, the City of Tacoma as compared with the degree to which the purposes and policies of this chapter would be furthered by requiring compliance. If the determination of the C&A Board does not resolve the matter, a final determination shall be made by the City Council or Public Utility Board, as the case may be.

(Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.070 Evaluation of submittals. A. All submittals for a supplies, services, or public works and improvements contract valued at $25,000 or more shall be evaluated for attainment of the SBE goal established for that contract in accordance with this chapter and the SBE Regulations.

B. The determination of SBE usage and the calculation of SBE goal attainment per this section shall include the following considerations:

1. General. The dollar value of the contract awarded by the City to a SBE in the procurement of supplies, services, or public works shall be counted toward achievement of the SBE goal.

2. Supplies. A public works and improvements contractor may receive credit toward attainment of the SBE goal for expenditures for supplies obtained from a SBE; provided such SBE assumes the actual and contractual responsibility for delivering the supplies with its resources. The contractor may also receive credit toward attainment of the SBE goal for the amount of the commission paid to a SBE resulting from a supplies contract with the City; provided the SBE performs a commercially useful function in the process.

3. Services and Public Works subcontracts. Any bid by a certified SBE or a bidder that utilizes a certified SBE shall receive credit toward SBE goal attainment based on the percentage of SBE usage demonstrated in the bid. A contractor that utilizes a SBE-certified subcontractor to provide services or public works shall receive a credit toward the contractor’s attainment of the SBE goal based on the value of the subcontract with that SBE.

4. Brokers, Fronts, or Similar Pass-Through Arrangements. SBEs acting as brokers, fronts, or similar pass-through arrangements (as such terms are defined in the SBE Regulations) shall not count toward SBE goal attainment unless the activity reflects normal industry practices and the broker performs a commercially useful function.

C. Evaluation of competitively solicited submittals for public works and improvements and for services when a SBE utilization goal has been established for the contract to be awarded shall be as follows:

1. When contract award is based on price. The lowest priced bid submitted by a responsive and responsible bidder will be reviewed to determine if it meets the SBE goal. Such low bid shall be determined to meet the SBE goal if the bidder is a certified SBE.

a. If the low bidder meets the SBE goal, the bid shall be presumed the lowest and best responsible bid for contract award.

b. If the lowest priced bid does not meet the SBE goal, but the bid of any other responsive and responsible bidder does, and such other bid(s) is or are priced within five percent of the lowest bid, then the following formula shall be applied to each such other bid:

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(Base Bid) -

SBE Usage Percentages

X (.05 X Low Base Bid)

= Evaluated Bid SBE Goal

Percentages

c. The lowest evaluated bid after applying said evaluation formula shall be presumed the lowest and best responsible bid for contract award.

d. In no event shall a bidder’s evaluated bid price be adjusted more than 5 percent from its base bid price for purposes of contract award.

2. When contract award is based on qualifications or other performance criteria in addition to price. Solicitations shall utilize a scoring system that promotes participation by certified SBEs. Submittals by respondents determined to be qualified may be further evaluated based on price using the formula applicable to price based contract awards above. The SBE Regulations may establish further requirements and procedures for final selection and contract award, including:

a. Evaluation of solicitations for Architectural and Engineering (A&E) services;

b. Evaluation and selection of submittals in response to requests for proposals; and

c. Selection of contractors from pre-qualified roster(s).

D. Evaluation of competitively solicited submittals for supplies when no SBE utilization goal has been established for the contract to be awarded shall encourage SBE participation as follows:

1. A submittal from a responsive certified SBE that is priced within five percent of the otherwise lowest responsive bid shall be recommended for award. Otherwise, the lowest responsive bidder shall be recommended for contract award.

E. The SBE Regulations may establish further SBE goal evaluation requirements and procedures for award of contracts between $5,000 and $25,000.00 and for non-competitively solicited contracts. City departments/divisions shall use due diligence to encourage and obtain SBE participation for supplies, services, and public works contracts under $5,000.

(Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.080 Contract compliance. A. The contractor awarded a contract based on SBE participation shall, during the term of the contract, comply with the SBE goal established in said contract. To ensure compliance with this requirement following contract award, the following provisions apply:

1. Any substitutions for or failure to utilize SBEs projected to be used must be approved in advance by the SBE Program Coordinator. Substitution of one SBE with another shall be allowed where there has been a refusal to execute necessary agreements by the original SBE, a default on agreements previously made or other reasonable excuse; provided that the substitution does not increase the dollar amount of the bid.

2. Where it is shown that no other SBE is available as a substitute and that failure to secure participation by the SBE identified in the solicitation is not the fault of the respondent, substitution with a non-SBE shall be allowed; provided, that, the substitution does not increase the dollar amount of the bid.

3. If the SBE Program Coordinator determines that the contractor has not reasonably and actively pursued the use of replacement SBE(s), such contractor shall be deemed to be in non-compliance.

B. Record Keeping. All contracts shall require contractors to maintain relevant records and information necessary to document compliance with this chapter and the contractor's utilization of SBEs, and shall include the right of the City to inspect such records.

(Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.090 Program monitoring. A. The SBE Program Coordinator shall monitor compliance with all provisions of this chapter and the SBE Regulations. The SBE Program Coordinator shall establish procedures to collect data and monitor the effect of the provisions of this chapter to assure, insofar as is practical, that the remedies set forth herein do not disproportionately favor one or more racial, gender, ethnic, or other protected groups, and that the remedies do not remain in effect beyond the point that they are required to eliminate the effects of under utilization in City contracting. The SBE Program Coordinator shall have the authority to obtain

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from City departments/divisions, respondents, and contractors such relevant records, documents, and other information as is reasonably necessary to determine compliance.

B. The SBE Program Coordinator shall submit an annual report to the Community and Economic Development Director, Director of Utilities, and the City Manager detailing performance of the program. The report shall document SBE utilization levels, waivers, proposed modifications to the program, and such other matters as may be specified in the SBE Regulations.

(Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 28110 Ex. B; passed Dec. 4, 2012: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.100 Enforcement. The Director, or his or her designee, may investigate the employment practices of contractors to determine whether or not the requirements of this chapter have been violated. Such investigation shall be conducted in accordance with the procedures established in the SBE Regulations.

(Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 28110 Ex. B; passed Dec. 4, 2012: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.110 Remedies. A. Upon receipt of a determination of contractor violation by the SBE Program Coordinator, the City Manager or Director of Utilities, as appropriate, may take the following actions, singly or together, as appropriate:

1. Forfeit the contractor’s bid bond and/or performance bond;

2. Publish notice of the contractor’s noncompliance;

3. Cancel, terminate, or suspend the contractor’s contract, or portion thereof;

4. Withhold funds due contractor until compliance is achieved; and/or

5. Recommend appropriate action including, but not limited to, disqualification of eligibility for future contract awards by the City (debarment) per Section 1.06.279 TMC;

B. Prior to exercise of any of the foregoing remedies, the City shall provide written notice to the contractor specifying the violation and the City’s intent to exercise such remedy or remedies. The notice shall provide that each specified remedy becomes effective within ten business days of receipt unless the contractor appeals said action to the Hearing Examiner pursuant to Chapter 1.23 TMC.

C. When non-compliance with this chapter or the SBE Regulations has occurred, the SBE Program Coordinator and the department/division responsible for enforcement of the contract may allow continuation of the contract upon the contractor’s development of a plan for compliance acceptable to the Director.

(Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 28110 Ex. B; passed Dec. 4, 2012: Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.120 Unlawful acts. It shall be unlawful for any Person to willfully prevent or attempt to prevent, by intimidation, threats, coercion, or otherwise, any Person from complying with the provisions of this chapter.

(Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.130 Severability. If any section of this chapter or its application to any Person or circumstance is held invalid by a court of competent jurisdiction, then the remaining sections of this chapter, or the application of the provisions to other Persons or circumstances, shall not be affected.

(Ord. 27867 Ex. A; passed Dec. 15, 2009)

1.07.140 Sunset and review of program. This chapter shall be in effect through and until December 31, 2019, unless the City Council shall determine at an earlier date that the requirements of this chapter are no longer necessary. If this chapter has not been repealed by July 1, 2019, the City Council shall determine by the end of that year whether substantial effects or lack of opportunity of SBEs remain true in the relevant market and whether, and for how long, some or all of the requirements of this chapter should remain in effect.

(Ord. 28274 Ex. A; passed Dec. 16, 2014: Ord. 28141 Ex. A; passed Mar. 26, 2013: Ord. 27867 Ex. A; passed Dec. 15, 2009)

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APPENDIX D

Technical Provisions

Vendor Security Questions

Appendix D: Technical Requirements (2.04.6)

Instructions

The following table explains how to respond to the requirements listed in each tab of the Deliverables Requirements Response From. Each tab contains columns for "Conformance", "Modification", "Doc Reference", and "Comments". Please follow the instructions listed for each response category. All vendors shall provide responses to the requirements in Tabs 07, 08, 09, 10, 11, 12, 13, 14 as these tabs are common to all software in the proposal.

Conformance Legend

Current Base

This response shall signify that the Vendor’s current standard product fully meets the requirement. The current standard product is defined to be the Vendor’s standard offering at the time this RFP is released to the Vendor. For each “Current Base” response, the Vendor shall provide document reference(s), in the Doc Ref column, to the Vendor’s Technical Response which addresses the requirement.

Future Base

This response shall signify that the Vendor’s standard product, at the time of delivery to TPU, fully meets the requirement. The Vendor shall clearly identify, in the RFP Comments column, those requirements which cannot be met by the Vendor’s current standard product and agrees that the requirements shall be met by the Vendor’s standard product at the time of delivery to TPU.

Comply

This response shall signify that the Vendor’s proposed solution will fully meet the requirement but requires a modification, enhancement, or customization to the Vendor’s current standard product. For each “Comply” response, the Vendor shall provide a brief description of the modification required, either in the Comments column or reference a doc in the Vendor’s Technical Response.

Alternate

This response shall signify that the Vendor proposes an alternate approach, at variance with the technical specification, which is believed to functionally meet the requirement. For each “Alternate” response, the Vendor shall provide a brief description of the approach proposed. The alternate solution may be described either in the Comments column or in the Vendor’s Technical Response. Descriptions provided in the RFP Technical Response shall be identified in the Doc Reference column.

Exception This response shall signify that the Vendor’s proposed solution does not meet the requirement and no alternate solution is proposed. For each “Exception” response, the Vendor shall provide an explanation for non-compliance in the Comments column.

NA This response shall signify “not applicable” where the RFP description provided is for informational purposes and/or response is not needed.

Modification

YES

This response means that the version of the proposed software needs to be modified/customized to comply completely with the requirement. An example of a modification/customization is be a code change or a configuration file or display that would need to be maintained in the software since it is not part of the base and not part of the TPU DB. The Vendor shall include in the RFP Comments column a description of the needed changes and indicate if those changes shall be rolled into the base product as part of a future release, or not.

NO This response means that the Vendor's proposed base product doesn't need any modification to satisfy the requirement.

Doc Ref

Document Reference

Please provide a reference to the RFP response document with enough degree of granularity to the specific the section(s) where the features that satisfy the requirement is described. Avoid generic references to whole chapters. (Per RFP section 2.02.3 - "Include relevant solution architecture and system descriptions that illustrate how the functional requirements will be met.")

Clarification

Clarification Use this column to clarify how the vendor intends meet the requirement.

Comments

Comments Use this column for any additional comments

ID Function 01 - Scheduling & Trading Requirements

01-001 Curtailments The software solution shall update actual volumes based on e-Tag volume changes due to cuts and curtailments with an ability to identify curtailment priority, transmission operator, and liability.

01-002 Curtailments The software solution shall provide the ability to display, report, and identify all denied/curtailed e-Tags, tie line outages/derates associated with transmission segments of each e-Tag, and the reason why the e-Tag was denied/curtailed. Identify tie line outages/derates to transmission and alert on affected schedules to be modified.

01-003 Curtailments software will track cuts which BA created the cut and track liquidated damages along with if the energy is firm or non-firm.

01-004 Emission Management The software solution shall provide the ability to link a REC with a power trade, with the possibility for a many to one relationship.

01-005 Etag Management The software solution shall facilitate a cross-check via a report or display to ensure/validate that TPU is correctly represented in the e-Tag string

01-006 Etag Management The software solution shall provide the ability to manually override an e-Tag's association with transactions/Deals

01-007 Etag Management The software solution shall provide the ability to capture registry details, e.g. contact, address, phone, communications protocol, etc.

01-008 Etag Management The software solution shall provide the ability to submit, receive, withdraw, correct, adjust, and terminate e-Tags

01-009 Etag Management The software solution shall provide the ability to generate audible and/or visible alerts with e-Tag number when e-Tags have been adjusted, denied, curtailed, etc.

01-010 Etag Management The software solution shall provide the ability automatically adjust dynamic e-Tags when the scheduled quantities are updated with actual or after-the-hour amounts

01-011 Etag Management The software solution shall provide the ability electronically receive and view e-Tags not authored by client

01-012 Etag Management The software solution shall provide the ability auto-approve e-Tags based on user-defined criteria; allow manual override of auto-approve functionality

01-013 Etag Management The software solution shall provide the ability to create multiple schedule (bulk schedule creation) to support the entry and creation of multiple schedules at once. Scheduling templates shall be available within the bulk schedule creation window.

01-014 Etag Management The software solution shall provide the ability to capture associated tag of a schedule or deal for tracking and reporting purposes, with the possibility of multiple tags for a REC, Deal, or Schedule. With an ability to automatically create e-Tags from pathing information associated with a schedule, accounting for losses.

01-015 Etag Management The software solution shall provide the ability to alert on, and restrict the scheduler from, inappropriate use of network transmission, such as the export of an off-software sale or the import of a non-network resource

01-016 Etag Management The software solution shall provide the ability interface to e-Tag services and support all current e-Tag transaction types (Normal, Capacity, Emergency, Loss Supply, Dynamic) defined in the most current e-Tagging Functional Specifications published by NERC at http://reg.tsin.com/Tagging/e-tag/). Handling current Agent and Approval e-Tagging Functional Specifications

01-017 Etag Management The software solution shall provide the ability to create user-defined views and filters for e-Tags. Filters to include focus on preschedule vs real-time e-tags. Incoming or outgoing e-tags.

01-018 Etag Management The software solution shall provide the ability to maintain historical e-Tags with the NERC entities that were used on an e-Tag; future changes to NERC entities should not affect historical records

01-019 Etag Management

The software solution shall provide the ability to link incoming e-Tags to energy schedules and deals on a one-to-one, one-to-many, many-to-many and many-to-one basis using pathing information. The software should indicate the amount of the MW profile of the schedule(s) that has/have been fulfilled by the linked e-tags. Automatically adjust the volume on linked schedules and matched transactions when a linked e-Tag has been adjusted, curtailed, or denied via the e-Tag interface.

01-020 Etag Management The software solution shall provide the ability to filter physical energy losses by e-Tag comments.

01-021 Import/Export Data The software solution shall automatically push Net Scheduled Interchange (NSI) to EMS ahead of all hourly and 15-minute Balancing Authority Area level ramps. This automated push shall send to EMS 5 minutes prior to each normally scheduled ramp. There shall also be the ability to manually push NSI to EMS due to NSI changes that require emergency ramping, and this shall be sent immediately upon manual push.

01-022 Import/Export Data The software solution shall provide the ability to import forecasted data from softwares like PRT (Pattern Recognition Technology) via automated APIs and/or file uploads (XML, .xlsx, .csv) or manual ability to load files from user interface.

01-023 Import/Export Data The software solution shall provide the ability to import generation data from external sources via automated APIs and/or file uploads (XML, .xlsx, .csv)

01-024 Import/Export Data The software solution shall provide the ability for bulk upload of price information from various file formats including but not limited to ASCII, CSV, XML or XLS format. (i.e., ICE, powerdex, NWPP)

01-025 Import/Export Data The software solution shall be able to send, receive and process data from WIT such as: Net Scheduled Interchange (NSI), Real-time/upload NSI, instantaneous and hourly integrated NSI, Primary Inadvertent Interchange, NSI by adjacent BA, etc.

01-026 Import/Export Data The software solution shall provide the ability to import & export new and existing deals and associated schedules (e.g. ICE, iTAP, CAISO, WREGIS,CAL E-GGRT, internal models and brokers)

01-027 Losses The software solution shall provide the ability to calculate and track Line Losses and Loss Factors and how much remains to be paid back

01-028 Losses The software solution shall provide the ability to capture transmission losses as a % or flat MW volume at either delivery or receipt point

01-029 Losses The software solution shall provide the ability to capture and manage Transmission Losses by Provider: Providing transmission losses for a counterparty in return for a fee plus payment for the energy required to meet the obligation. This shall include contractual requirements and whether physical or financial payments due.

01-030 Market Management The software solution shall provide the ability to capture fees as debits or credits on associated deals. (I.e., Broker Fees, GMC fees)

01-031 Market Management The software solution shall provide the ability to notify select users of approaching option expiration via some method of software generated messages, view alerts and/or software workflows.

01-032 Market Management The software solution shall create the associated, underlying physical position/transaction upon the exercise of a physical option or swaption. The newly created physical power position will then need to be available for physical power scheduling/tagging processes downstream.

01-033 Market Management The software solution shall provide the ability to view and enter capacity deals and prices

01-034 Market Management The software solution shall provide the ability to identify transaction prices and or define fee calculations and logic (e.g., fixed, index + adders, formula/volume based) and apply fee calculation formulas to deals for valuation and settlement I.e. (Green house gas, ACS)

01-035 Position Management

The software solution shall have the ability to display a summary page (dashboard) which provides the user with a view at a glance (e.g. display various generation capacities and schedules, net position, net interchange, forecasted and actual loads, reserve positions and requirements (based on Regulating Reserves, Operating Reserves, Contingency Reserves, 3rd Party Obligation Reserves, and Self Supply Reserves), transmission purchases and sales, responsible personnel, reserve availability and reserve requirements (both seasonal and hourly), and other information) using as of dates defined by users.

01-036 Position Management The software solution shall utilize and calculate the net position using the ISO conventions of scheduled imports (-), scheduled exports (+), purchases (-), generation (-), sales (+), and load (+). And/or allow this to be configurable by software admin.

01-037 Report\View Management

The software solution shall provide the ability to group, sort, filter, view, and report on tag information, including (but not limited to) dates, counterparty, location, POR / POD, total MW flow, and if it is a specified resource in order to support the addressing of regulatory reporting requirements

01-038 Report\View Management

The software solution shall provide the ability to filter completed schedules (e.g., points or a specific point, counterparty, day, price, volume, tagging components)

01-039 Report\View Management The software solution shall provide the ability to filter loss obligations by user-defined criteria such as counterparty

01-040 Report\View Management The software solution shall provide the ability to see multiple schedules – separate views filtered differently up at the same time

01-041 Report\View Management The software solution shall provide reporting capabilities include graphing, charting, and dashboard options

01-042 Report\View Management

The software solution shall provide the ability to filter the matching/scheduling window to view transactions to be scheduled (e.g., points or a specific point, counterparty, day, price, volume)

01-043 Reserves The software solution shall provide the ability to capture Reserve Transactions: Capturing and track Spinning and Non-Spinning Reserves. For Self-Supply, the purchase or sale of capacity with the right to delivery of energy up to the amount of the capacity reserved during the period covered by the contract. The commodity price is either fixed or indexed to locations in WECC.

01-044 Reserves The software solution shall manage reserve call events by displaying units holding reserves and reclassify purchased or sold reserves (capacity) to energy schedules. Software will allow for the reclassification of full or partial call of reserves.

01-045 Reserves The software solution shall support capture reserve schedules (integrated values) each hour

01-046 Reserves The software solution shall calculate reserve requirements based on product transacted (e.g., unit-contingent or interruptible).

01-047 Schedule Management

The software solution shall enable TPU to capture and manage 3rd Party Scheduling Services. TPU may create certain transactions where they provide scheduling as a service on behalf of the 3rd Party for a fee. The software solution shall enable the scheduling and movement of power through, out of, within, or into a Balancing Authority Area and enable fees/charges for this service to be captured, settled and billed to the 3rd Party.

01-048 Schedule Management The software solution shall provide the ability to track changes to quantities on a schedule and display volumetric changes from trading, to pre-schedule, to real-time, to post-dispatch

01-049 Schedule Management The software solution shall provide the ability to identify unscheduled volumes. These should appear in a "needs-to-be-scheduled" window

01-050 Schedule Management The software solution shall provide the ability to create rules on data elements or transactions that alert and restrict the action being taken based on certain conditions, such as when a scheduler tries to match a non-firm or unit-contingent purchase to a firm sale or sale from other unit

01-051 Schedule Management The software solution shall provide the ability to capture generation unit and source (i.e., wind, hydro, bio, solar) and if available or not

01-052 Schedule Management The software solution shall provide the ability to alert the scheduler when he/she has overscheduled a resource or an obligation or transmission

01-053 Schedule Management The software solution shall provide the ability to capture Capacity: Energy that is committed to be available relative to a forward schedule. The energy may not be purchased by the counterparty so a fee is charged for making the commitment of resources (capacity fee).

01-054 Schedule Management The software solution shall provide the ability to capture Dynamic Scheduling Service: The selling or buying of ancillary services through the dynamic transfer of energy through a common communications protocol to allow participants to exchange dynamic schedules with any number of participants simultaneously for both short-term and long-term transactions.

01-055 Schedule Management The software solution shall provide the ability to capture CAISO imports, exports, and wheels-through

01-056 Schedule Management The software solution shall provide the ability to enter notes on a schedule

01-057 Schedule Management The software solution shall provide the ability to view more than 24 hours in a scheduling window (see multiple days)

01-058 Schedule Management The software solution shall provide the ability to link multiple deals to a single schedule and be able to modify or delete one or more of the deals without impacting the schedule.

01-059 Schedule Management The software solution shall provide the ability to quickly create common schedules, including pathing information, via templates or by copying existing transactions. Templates shall be shareable or personal.

01-060 Time Management The software solution shall allow all deals to have a start and stop date and be able to capture and report on long term deals up to 20 years as example.

01-061 Time Management The software solution shall provide the ability to allow the scheduler to make hourly or mid-hour changes to an energy schedule; the software should indicate how changes affect the associated/ matched schedule records

01-062 Time Management The software solution shall handle 5-minute, 15-minute, 30-minute, hourly, daily, weekly, balance of week, balance of month, monthly, Quarterly, yearly trades, deals and schedules for tagging input, capture and reporting for term, day ahead in columnar format

01-063 Trade Management Contract selection will drive additional trade entry fields during trade capture (i.e. templates)

01-064 Trade Management The software solution shall provide the ability create a hypothetical, "what-if" deal or schedule and process it to evaluate its impact on positional screens

01-065 Trade Management The software solution shall provide the ability to split a single deal into multiple schedules at the hourly or sub hourly level.

01-066 Trade Management

The software solution shall have the capability to handle trading and scheduling of different types of transaction/products: energy (loss provider, specified source), transmission, capacity(spinning resource, operating reserve - supplemental and regulating), exchanges (physical basis, locational exchange, physical exchange and Park and Lending), options (physical call options and physical put options), ancillary services (scheduling software control & dispatch service, reactive supply & voltage control service, energy imbalance services, dynamic scheduling services, intra-hour balancing services, and frequency response), reserve sharing, "Shaping" transactions, loss provider transactions, interruptible transactions, and tradable environmental attributes such as (RECs or Energy Offsets).

01-067 Trade Management The software solution shall have the capability to capture deals at the forward, DA, or RT deal level (so they can easily be identified).

01-068 Trade Management The software solution shall provide the ability to create bookouts where the counterparties on the purchase(s) and sale(s) are different or the same

01-069 Trade Management The software solution shall track and prompt bookouts for schedule imbalances

01-070 Trade Management The software solution shall provide the ability to view deal cash flows for the life of the deal.

01-071 Trade Management The software solution shall support BPA Contract codes i.e. Slice Contract and Block Contract

01-072 Trade Management The software solution shall provide the ability to track cost basis at deal level

01-073 Trade Management

The software solution shall provide the ability to facilitate the actualization of Deals by providing tools to enable the user to do a prorated curtailment trigger a ratable cut across multiple selected deals and a manual override of a software generated or recommended cut, with a comment area to document the reason. Software shall allow the user allow the user to quickly navigate through deals to identify the population of deals that could be subject to be cut (drill-down filters by CP, POD, firm vs. non firm). Software will handle redirects and create new schedules for quantity or remainder of the cut and find matches for when one side is cut or curtailed.

01-074 Trade Management The software should capture all of the details of purchase and sales deals for all supported instruments from manually keyed information and exchanges. Details such as: volume, price, date, location(s), type of service, trader, counterparty contact, term, control numbers, internal notes, and many others.

01-075 Trade Management The software solution shall provide the ability to capture weather derivatives, i.e. Binary

01-076 Trade Management The software solution shall support Counterparty trader name via drop down list and deal entry. Configurable by the users.

01-077 Trade Management The software solution shall capture Physical and Financial Trading for all product types (e.g., energy, transmission, capacity, emissions, RECs, options, swaps, etc.,)

01-078 Trade Management The software solution shall provide the ability to capture Energy Exchanges (time and/or locational spreads): Transactions of energy with a single counterparty at two different points in time and location. The implicit price is defined by the ratio of quantity delivered to quantity received and the forward price differential at the time of transaction entry.

01-079 Trade Management The software solution shall provide the ability to overwrite fee calculation during deal entry

01-080 Trade Management The software solution shall provide the ability to set up commission-rate structures, (e.g., percentage, flat, fixed, tiered pricing) per broker based on the deal type and to calculate fees automatically at deal entry with fee periodicity

01-081 Trade Management Entry of product firmness (e.g., firm, interruptible, unit-contingent, etc.). All blocks to be available from type-ahead drop-down lists.

01-082 Trade Management The software solution shall support the creation of full title chain from generation to load. Based on the full title chain generate a valid NERC etag

01-083 Trade Management The software solution shall have the ability to have multiple indices to define, store and select for deals. Indices shall be customizable in the current software.

01-084 Trade Management Support for a bookouts at the schedule level including linking to schedules. Software shall match a resource/purchase and an obligation/load/sale to create either an energy schedule or bookouts; matching could be done on a partial, one-to-many, many-to-many and many-to-one basis.

01-085 Trade Management The software solution shall provide the ability to link deals/positions together by software-generated reference number at option exercise for tracking and reporting.

01-086 Trade Management

The software solution shall provide the ability to link and report on deals/positions, energy schedules and applicable transmission right(s), including all schedules that used a particular transmission right. If a deal is composed of several components, the software shall be capable of linking and reporting on the separate components as part of a single deal, including multiple pricing structures. All pricing structures should automatically flow to the deal confirmation.

01-087 Trade Management The software solution shall provide the ability to update availability at an hourly and sub hourly granularity to reflect resource/purchase, obligation/load/sale, and transmissions purchase/usage on a real-time basis

01-088 Trade Management The software solution shall provide the ability to capture option premiums and payment periodicity within deal capture

01-089 Trade Management The software solution shall provide the ability to exercise an option in accordance with the deal's defined exercise periodicity (e.g., hourly, daily, monthly, yearly) and auto-exercise financial options when they are in-the-money with extended financial parameters

01-090 Trade Management The software solution shall provide the ability to calculate contract for difference values and view detail behind the resolved pricing on each leg with it's related index

01-091 Trade Management The software solution shall provide the ability to capture Physical Power Deals at index or fixed price. This is the purchase or sale of physical electric energy with the following general attributes: a fixed commodity quantity; a defined commodity price (fixed or index); and, a point of delivery or reference within WECC.

01-092 Trade Management The software solution shall provide input for new products definable by the users. software solution shall keep up to current market standards and changes that may be available for trading.

01-093 Trade Management Track tax implications of the trade using the calculation engine or formula

01-094 Trade Management The software solution shall provide context-sensitive (by deal/commodity type) units of measurement (Lbs./Mw, Mwh, Kwh etc.)

01-095 Trade Management The software solution shall support delivery schedules to be created as one-sided or un-matched; Deliver from software to a counterparty (no purchase counterparty). Deliver from a counterparty to software (no sale counterparty)

01-096 Trade Management The software solution shall support multiple user defined traits for deals and schedules. User-defined fields shall be alphanumeric and support a minimal of 128 characters.

01-097 Trade Management The software solution shall provide a hierarchy of configurable security levels including the ability to limit: what screens user can see, what types of Deals user can trade, duration of Deal user can trade, trader being able to edit a trade, amount trader is able to trade, what users can do to a trade, what users can do in the software.

01-098 Trade Management The software solution shall require a deal to be "unscheduled" only when pertinent scheduling data is amended on the trade (e.g., volume, location, direction)

01-099 Trade Management The software solution shall provide the ability to support various configurable Deal status types (e.g., New, Pending, Confirmed, Void, etc.). Track and update deal status's for each deal in the software. Allow for updating deal status on multiple deals at a time.

01-100 Trade Management The software solution shall provide the ability, via configurable templates, to default contract selection based on counterparty, commodity, trade type, and direction at deal entry

01-101 Transmission Management

The software solution shall provide the ability to capture and manage Transmission: The purchase of rights to transmission capacity has ownership rights on. These transactions have a fixed capacity, a fixed price per unit of capacity, and fixed path. Managing remaining transmission rights, i.e. purchased capacity minus usage, re-directs, de-rates and outages, with real-time updates as deals or schedules are entered. With scheduled and actual flow on transmission lines (excluding back-to-back and bookouts) within a specified timeframe

01-102 Transmission Management The software solution shall provide the ability to capture CAISO Financial Transmission Rights (FTRs)

01-103 Transmission Management

The software solution shall provide the ability to automatically download transmission constraints and rates from ISOs or BPA CDE or other control entities via e-Tag or other services.

01-104 Transmission Management

The software solution shall provide the ability to horizontally and vertically stack transmission; any transmission used should reduce available transmission and recalculate the remaining transmission required. The software solution shall support bulk schedule creation for stacked transmission

01-105 Transmission Management

The software shall have the capability to allow traders to allocate transmission for forward deals and to reflect the transmission allocation in the transmission position report.

01-106 Transmission Management The software solution shall provide the ability to capture the integrated tie-line amounts

01-107 Transmission Management

The software solution shall provide the ability to limit transmission point of receipt and delivery choices to applicable points and to restrict scheduling as needed at certain point hierarchy

ID Function 02 - Risk Management Requirements

02-001 Contract Management The software solution shall provide the ability to define a contract as an evergreen "No termination Date."

02-002 Contract Management The software solution shall provide the ability to net across multiple contracts at a counterparty level.

02-003 Contract Management The software solution shall provide the ability to capture and track details of annexes to master agreements and netting agreements by counterparty, contract, product, enabling agreement (data).

02-004 Contract Management The software solution shall provide the ability to capture and manage contract status (e.g., initiated, pending, executed, inactive, terminated, expired)

02-005 Contract Management The software solution shall provide the ability to generate different confirmation for enabling agreements and products.

02-006 Contract Management The software solution shall allow custom configuration of contract status

02-007 Counterparty Administration The software solution shall provide the ability to import (ICE/BGC or other Broker softwares) to reconciliation/match the ETRM software's internally settled deals to the Broker list of settled trades

02-008 Counterparty Administration

The software solution shall provide the ability to capture and track multiple internal and external software counterparty IDs. Capture counterparty data - Type, legal name, dba, parent company, address, multiple contacts by contact type, banking information, tax id, date of last credit review, date of next credit review, company type with definable categories and audit trail, entity classification (SD / MSP / non-SD/MSP / special entity)

02-009 Counterparty Administration The software solution shall provide the ability to configure user defined customized fields by counter party

02-010 Counterparty Administration The software solution shall provide the ability to create software alerts and push alerts to email for scheduled counterparty reviews.

02-011 Counterparty Administration The software solution shall provide the ability to capture peak versus current exposure in the month by counterparty

02-012 Counterparty Administration The software solution shall provide the ability to calculate hypothetical current, forward, and potential future exposures based on a hypothetical transaction at both the counterparty and portfolio levels

02-013 Counterparty Administration The software solution shall provide the ability to apply trading restrictions at the counterparty level - buy only, sell only, product specific restriction, tenor specific restriction, customized restrictions based on counterparty requirements

02-014 Counterparty Administration The software solution shall provide the ability to capture date-effective counterparty name changes, with linkage between the new and old names for reporting

02-015 Counterparty Administration The software solution shall provide the ability to manually adjust Counterparty AR Exposure.

02-016 Counterparty Administration The software solution shall provide the ability to calculate current exposure at the counterparty and portfolio levels as the sum of transactions settled but not billed(Including balance of month) + billed but not paid + Mtm exposure of all forward transactions

02-017 Counterparty Administration The software solution shall provide the ability to validate that sum of parts is not greater than whole (e.g., sum of child entity limits not greater than parent limit, sum of contract limits not greater than counterparty limit)

02-018 Counterparty Administration The software solution shall provide the ability to establish parent-child relationships between counterparties for credit/collateral roll-up and management as well as allocate credit limit from parent entity to child entities

02-019 Counterparty Administration The software solution shall provide the ability to limit trade selections based on counterparties available in trade screen based on templates or deal types or effective date ranges as selected.

02-020 Counterparty Administration The software solution shall provide the ability to capture multiple valid enabling agreements to which each counterparty is associated

02-021 Counterparty Administration The software solution shall track trade / certificate transfer status: sent / received to/from counterparty / jurisdiction

02-022 Counterparty Administration The software solution shall provide the ability to create exposure concentration reports by counterparty type, agency rating, internal rating, ranked exposures

02-023 Credit Management The software solution shall provide the ability to monitor credit exposure on a real-time basis, or at a minimum on an intra/mid day basis

02-024 Credit Management The software solution shall provide the ability to capture prepayments and incorporate into the credit exposure calculation

02-025 Credit Management The software solution shall provide the ability to calculate remaining available credit as total credit limit (open plus collateralized) minus total credit exposure at the counterparty level

02-026 Credit Management The software solution shall provide the ability to calculate a total credit limit by product type and is the sum of unsecured credit and collateral provided

02-027 Credit Management The software solution shall provide the ability to establish credit limit thresholds with alerts, reports, and notifications on thresholds (i.e. soft limits vs hard limits) when a deal is added that exceeds a counterparty’s credit limit or a limit is reached

02-028 Credit Management The software solution shall provide the ability to capture credit-specific fields at the counterparty level, including credit ratings, credit rating date, downgrade triggers, date of last credit analysis, and date of next credit analysis

02-029 Credit Management The software solution shall provide the ability to generate manually and/or schedule automated runs End of Day Credit reports and Credit-Approved Counterparties Reports (all counterparties who are active and approved for trading)

02-030 Credit Management The software solution shall provide the ability to set and capture credit limits at the trader, broker, book, product, counterparty, parent, and portfolio levels (limits on individual trades included)

02-031 Credit Management The software solution shall provide the ability to track Margin agreements, calls and 1 way margining (counterparty side only)

02-032 Credit Management The software solution shall provide the ability to capture/import externally derived credit ratings and credit ratings from Standard & Poor’s (S&P), Moody’s Investors Service, Fitch Ratings

02-033 Credit Management The software solution shall provide the ability to set and monitor a limit on the maximum amount of letters of credit provided by a given bank counterparty to manage concentration risk

02-034 Documentation Management software solution shall allow user to define portfolio and categories for portfolios such as Company Type, Credit Ratings

02-035 Documentation Management The software solution shall provide the ability to attach electronic signature to generated and received confirmations

02-036 Documentation Management The software solution shall provide Documentation Management within the application to store contracts and link / attach signed contracts and related documents. Storing in software or linked to outside softwares like SharePoint

02-037 Documentation Management The software solution shall provide the ability to manage documents within the application. Ability to generate a confirmation from a pre-defined template and edit in pdf. Store generated confirmation in Adobe PDF. Inactivate and version control confirmations

02-038 Emission Management The software solution shall provide the ability to capture Emissions Allowances (including financial products): The authorization to assign

allocated carbon allowances into appropriate venues in order to manage Company's obligations

02-039 Emission Management The software solution shall provide the ability to subset renewable credits into other or separate books. For example, Renewable portfolio,

Washington Mandated, retail offering.

02-040 Emission Management The software solution shall allow the user to replace old certificate number when a corresponding new certificate is issued

02-041 Emission Management The software solution shall provide the ability to calculate RECs generated through a combination of credits held from actual generation

and forecasted credits from planned generation and ACS resources.

02-042 Emission Management The software solution shall provide the ability to configure five or more user definable fields for use in capturing additional emission / REC

information needed as regulations evolve

02-043 Emission Management The software solution shall provide an audit trail of all inventory additions, reductions and certificate number changes (if applicable)

between two specified dates (including what, was changed, by whom, and when) grouped / sorted / filtered by all data fields

02-044 Emission Management The software solution shall provide the ability to enter an annual REC requirement as a percentage of annual load. With different

percentages by year

02-045 Emission Management The software solution shall provide the ability to identify the compliance year for which the REC was utilized

02-046 Emission Management The software solution shall provide the ability to calculate annual REC requirement using actual and forecasted load within a calendar year

and the defined percentage of load that must be met using renewable energy (REC requirement)

02-047 Emission Management The software solution shall provide the ability to group REC information by REC category to support regulatory reporting requirements

02-048 Emission Management The software solution shall provide the ability to monitor REC compliance by measuring requirement versus RECs allocated to use in the

defined period (user defined).

02-049 Emission Management The software solution shall provide the ability to capture C02, SO2 equivalents for various different projects

02-050 Emission Management The software solution shall provide the ability to capture REC category (i.e., c0, c1, c2, c3) consistent with California regulations and define

a custom, multi-level REC category structure (facilitates changes to the above classifications as regulation evolves)

02-051 Emission Management The software solution shall provide the ability to customize logic for automatic REC expiration to automatically "expire" all unused RECs

upon their expiration date

02-052

Emission Management

The software solution shall provide the ability to enter volume, date of trade, REC certificate number, location, reporting year, generator, counterparty, quantity, price, type, broker, broker commissions, trader, state/class, generator, vintage year, transfer/invoice date, date of expiration for RECs and Emissions Allowances (CCA). software should have contract specifications such as invoicing T&C's and REC transfer deadlines.

02-053 Emission Management The software solution shall provide the ability to replace forecasted load inputs with actual load information in the REC requirement

calculation as that data becomes available

02-054 Emission Management The software solution shall provide the ability to settle a futures contract with delivery of the underlying REC

02-055 Emission Management The software solution shall provide the ability to configure REC status options and capture REC status (e.g., pending, generated, retired,

expired) from registry or otherwise.

02-056 Emission Management

The software solution shall provide the ability to settle a futures contract with delivery of the underlying allowance

02-057 Import/Export Data The software solution shall provide the ability to export formula-pricing calculation results and forward and settled price curves in ASCII, CSV, XML or XLS format

02-058 Import/Export Data The software solution shall provide the ability to export simulations/scenario analysis

02-059 Import/Export Data The software solution shall provide the ability to capture and store correlation and Volatility curves via automated uploads (APIs, XML, .xlsx, .csv)

02-060 Market Administration The software solution shall provide the ability to calculate cash equity based on contract expiration, option premiums, and prior margin calls/returns

02-061 Market Administration The software solution shall provide the ability to stress test portfolio(s) based on % or absolute changes (+/-) to price and evaluate effect of the change on credit exposure and availability, hedge effectiveness, and P/L statement

02-062 Market Administration The ability to calculate the current exposure by netting sales and purchases by product and across products per applicable netting agreements.

02-063 Market Administration The software solution shall provide the ability to calculate all exposures both gross and net of collateral

02-064 Market Administration The software solution shall provide the ability to capture, at minimum, the following collateral details: provider, applicant, beneficiary, collateral amount, issue date, expiration date, amendments.

02-065 Market Administration The software solution shall provide the ability to apply forward curve date, unit of measure, currency, physical or financial locations and term.

02-066 Market Administration The software solution shall have the ability to import and store multiple forward curves by market and product with ability to differentiate official and trader curves

02-067 Market Administration The software solution shall provide the ability to store interest rate and exchange rate forward curves

02-068 Market Administration The software solution shall provide the ability to define power forward curves by predefined blocks (e.g., off-peak, peak, super-peak)

02-069 Market Administration The software solution shall provide the ability to define composite forward curves (e.g., formula of one or more other curves)

02-070 Market Administration The software solution shall provide the ability to store published settlement curves at daily, hourly or sub hourly level

02-071 Market Administration The software solution shall during the close of day process, lock the current day's forward curves and store for that specific day

02-072 Market Administration The software solution shall provide the ability to re-run the close of day process for closed forward curves and/or on an ad-hoc basis by a user.

02-073 Market Administration The software solution shall provide the ability to model Potential Future Exposure at both the counterparty and portfolio levels based on imported price simulations up to 500 price scenarios and being able to save and export results.

02-074 Market Administration The software solution shall provide the ability to display period over period changes in exposures with defined granularity of exposure reporting/views, such as daily, weekly, and monthly

02-075 Market Administration The software solution shall provide the ability to optionally include forecasted REC generation in limit monitoring for planning purposes

02-076 Market Administration The software solution shall allow for comparison of limits and exposures at the same level of granularity.

02-077 Market Administration The software solution shall provide the ability to set limits at the organization-wide level (limits on total portfolio)

02-078 Market Administration The software solution shall provide the ability to capture, monitor, and report on tenor, mw and credit limits at counterparty and portfolio levels.

02-079 Market Administration

The software solution shall be able to calculate and report Mark-to-Market (MTM) and stop loss over different tenors, including terminal periods. For all deal types and against multiple price curves to nodal / point level. Reporting to include discounted or undiscounted.

02-080 Market Administration The software solution shall be able to optimize transactions around various metrics, calculate incremental, marginal, and component VaR & Cash Flow at Risk (CFaR) for a specified portfolio over different tenors, including terminal periods and back-testing calculations.

02-081 Market Administration The software solution shall provide the ability to capture and store option quotes

02-082 Market Administration The software solution shall provide the ability to define price date

02-083 Market Administration The software solution shall provide the ability to query and return available allowances by vintage to prioritize use of oldest holdings in inventory, with additional insight into where it is held (e.g., limited holdings, holdings, compliance)

02-084 Market Administration The software solution shall provide the ability to restrict the product/commodity that can be traded/scheduled at any point in the hierarchy

02-085 Market Administration

The software solution shall provide the ability to setup customized data validation rules that restrict trade entry (e.g., deal creation date exceeds trade execution date; limit contracts by counterparty, deal types / commodities by contract, display only applicable locations/points for a commodity)

02-086 Market Administration

The software solution shall provide the ability to restrict access to make trade changes based on trade status. I.e. once the trade status reaches a locked state no further edits can be made to the original trade details (price, CP, original trade volumes). Physical power trades will still need to be scheduled and tagged.

02-087 Market Administration The software solution shall provide the ability to view trade and price inputs into valuation models to aid trade-valuation troubleshooting

02-088 Market Administration The software solution shall provide the ability to capture, monitor and report on position/volumetric limits

02-089 Market Administration

The software solution shall provide the ability to enter a hypothetical, "what-if" trade and process it to determine impact to credit exposure and availability, position, and P/L statement, and to support the creation of what-if schedules, and use software-defined data elements to flag if downstream processes should include / exclude what-if trades

02-090 Market Administration The software solution shall provide the ability to calculate day over day differences over past periods to support "as at" exposure analysis

02-091 Market Administration The software solution shall provide the ability to restrict access to enter, change, import or upload forward curve data

02-092 Market Administration The software solution shall provide the ability to restrict transaction data revisions (purchases, sales, schedules, curtailments, prices) by user role or group

02-093 Regulatory management The software solution shall provide the ability to identify and track trades subject to Dodd-Frank regulations

02-094 Regulatory management The software solution shall provide the ability to support compliance with recordkeeping requirements of all programs, including but not limited to derivatives regulation, GHG Emissions (CARB), RPS Program, and general trading compliance

02-095 Regulatory management The software solution shall provide the ability to report on bilateral deal pricing information, allowances, offsets, and RECs to support compliance with regulatory reporting requirements

02-096 Regulatory management The software solution shall provide the ability to input required transfer date and regulatory agency account at deal level

02-097 Regulatory management The software solution shall provide the ability to support reporting of swap creation and continuation data

02-098 Regulatory management The software solution shall provide the ability to produce a report on native load on an hourly basis by day to support compliance with CEC 1344 and WECC / NERC standards

02-099 Reports & Views The software solution shall provide the ability to generate a Daily Price-Change Report

02-100 Reports & Views

The software solution shall provide the ability to create standard reports including - exposure by counterparty, current exposure, forward exposure, potential future exposure, credit limit breach, concentration and a capability to group, sort, and filter results (e.g., by operating company, commodity, counterparty, contract, issuer, rating)

02-101 Reports & Views The software solution shall provide the ability to view/export audit trail of credit limit changes at all levels

02-102 Reports & Views The software solution shall provide the ability to capture generator details, e.g. name, generator number, class, resource type, etc.

02-103 Reports & Views The software solution shall provide the ability to capture jurisdiction details (e.g., contact, address, phone, communications protocol)

02-104 Reports & Views

The software solution shall provide the ability to capture and track master agreements and long form contracts by type (such as WSPP, ISDA, EEI, custom), the provisions of those agreements (such as effective/expiration dates, credit annexes, clauses, etc.) and link one or multiple agreements/contracts to the associated counterparty.

02-105 Reports & Views The software solution shall provide the ability to capture and store analyst notes for each counterparty

02-106 Reports & Views

The software solution shall provide the ability to capture, monitor and report on price limits

02-107 Reports & Views The software solution shall provide the ability to capture all primary economic terms at trade capture, including but not limited to unique swap identifier (USI), unique product identifier (UPI), legal entity identifier (LEI), and identification of reporting counterparty

02-108 Reports & Views The software solution shall provide the ability to identify trades that qualify for the end user exception to mandatory clearing and facilitate capture and reporting of additional information required for reporting and recordkeeping

02-109 Reports & Views The software solution shall provide the ability to display/report on transactions that contribute to each level in the book structure

02-110 Reports & Views

The software solution shall provide the ability to View, Query and Report position, mark-to-market and P&L data using date ranges, (e.g., as-of, delivery, trade dates) along with all open trades (e.g., Long Term Contracts, Term, DA, transmission and electric) Derivatives or otherwise; across legal entities, commodities, books, strategies, regions, zones, points, nodes, counterparties, transactions, time horizons

02-111 Reports & Views The software solution shall provide the ability to graphically display all positions, mark-to-market and P&L report results

02-112 Reports & Views The software solution shall provide the ability to generate P&L Attribution Report to explain changes in value such as curve shift, position change, new deals between two selected dates and realized and unrealized results.

02-113 Reports & Views The software solution shall provide the ability to generate Confirmation Aging Report, highlighting trades that require confirmations, by status

02-114 Trade Management The software solution shall provide the ability to define a multi-dimensional book structure hierarchy that can be applied to all transactions.

02-115 Trade Management The software solution shall provide the ability to add, delete or update/modify book names and have these changes automatically update/refresh applicable transaction records.

02-116 Trade Management The software solution shall provide the ability to capture collateral details (e.g., amount, provider, beneficiary, effective date, expiration date)

02-117 Trade Management The software solution shall provide the ability to provide notification alerts for collateral expiration

02-118 Trade Management The software solution shall allow user to set status of collateral as pending, active, or expired

02-119 Trade Management The software solution shall provide the ability to create rules that alert and restrict when a scheduler is attempting to schedule over a contractual limit, which could be an hourly, daily, weekly, monthly, seasonal or yearly quantity

02-120 Trade Management The software solution shall provide the ability to identify open positions (Forward Sales) at the end of the fiscal year to support compliance with GASB 53

02-121 Trade Management The software solution shall provide the ability to capture “confirming party” for the seller for confirmations of the deal.

02-122 Trade Management The software solution shall provide the ability to capture and facilitate inter-book transfers by generating the appropriate offsetting transaction when a deal is entered. Please describe your software functionality here.

02-123 Trade Management The software solution shall provide the ability to track running balances of the unexercised/exercised portion for calls/puts that have contractual limits by day, week, month, season, year, etc.

02-124 Trade Management The software solution shall support the definition of all GHG emission rate parameters, including the Heat Rate, EPA defined emission

assumptions, adder and negotiated maximum GHG bid adder.

02-125 Workflow Management

The software solution shall allow for fields on the Deal Entry form to be configured as required or not required.

02-126 Workflow Management The software solution shall provide the ability to lock deal at a user-definable period of time or based on a task that has been performed on the trade (e.g., confirmation, check-out, settlement)

02-127 Workflow Management The software solution shall provide the ability to lock/un-lock deals to a specific group of users, group of trades.

02-128 Workflow Management The software solution shall enforce locked deals to be unlocked to make trade corrections

02-129 Workflow Management The software solution shall provide the ability to assign and manage confirmation status (e.g., required, generated, sent, disputed, confirmed)

02-130 Workflow Management The software solution shall provide the ability to enable workflow triggers based on contract status

02-131 Workflow Management The software solution shall provide the ability to capture and manage counterparty status (e.g., active / inactive / suspended)

02-132 Workflow Management The software solution shall provide the ability to create workflow to generate confirmations as needed based on trade execution and contract terms. Determine which trades require confirmation

ID Function 03 – Settlements Requirements

03-001 Counterparty Administration Auto create email for counterparty checkout values

03-002 Counterparty Administration Track status of check-outs for up to sub-hourly time interval: Checked out, Partially Checked Out, Not Checkout, Discrepancy

03-003 Counterparty Administration Allow for after-the-fact changes to schedule quantities and/or prices by authorized personnel

03-004 Counterparty Administration The software solution shall provide the ability to support schedule aggregation from various deals with the same counterparty

03-005 Counterparty Administration The software solution shall provide the ability to identify and query bookouts across counterparties

03-006 Counterparty Administration

The software solution shall provide the ability to produce intra-month counterparty checkout reports with resolved pricing for index transactions. Reporting to include different commodities for checking out, such as Physical Power, Financial Swaps (Power), Transmission/Transportation Capacity, and Renewables. Allow users to sort/sub-total checkout information by: Counterparty, Time Interval (including sub-hourly),Product, Delivery Point, NERC Tag, MW values, Individual and total $ values

03-007 Import/Export Data software has the ability to receive meter data and compare this data against CAISO MRIS data. Meter data should interface with Kronos or other meter softwares. Please describe what is possible for imports.

03-008 Import/Export Data The software solution shall provide the ability to import CAISO and other market price data.

03-009 Invoice Management The software solution shall provide the ability to calculate Capacity charges, including comparing contract to actual on a monthly, annual, or seasonal basis

03-010 Invoice Management The software solution shall have the ability to apply contractually agreed upon settlement calculations; rounding or truncating conventions at different stages of the same calculation or depending on the contract.

03-011 Invoice Management The software solution shall provide the ability to handle prepayments and assign payment by invoice or individual deal (assign partial invoice payment to a specific invoice)

03-012 Invoice Management

The software solution shall provide PPA (prior period adjustment) functionality. software should automatically generate a PPA for any deals that are amended after the trade has been partially or fully invoiced. This should create a new line item adjustment on the current month's invoice designated as a prior period adjustment. reverse the original invoice detail amount and replace it with the new value. PPA's should appear as un-invoice cash flows and require selection for invoicing within the current accounting period.

03-013 Invoice Management The software solution shall provide the ability to automatically update the payment date based on the invoice date or manually overwrite the payment date

03-014 Invoice Management The software solution shall provide the ability to send or receive invoices via auto-fax or email directly from the software

03-015 Invoice Management The software solution shall provide the ability to generate invoice based on a defined, customizable templates (e.g., detail, summary, option-premium). If contract , assign a confirmation/invoice template to that contract.

03-016 Invoice Management The software solution shall provide the ability to generate invoices in Microsoft Word or Adobe PDF or format EXCEL

03-017 Invoice Management The software solution shall provide the ability to add invoice-based charges / fees or add-hoc line items to an invoice (e.g., city taxes)

03-018 Invoice Management The software solution shall provide the ability to capture, track allowance serial numbers for invoice payment

03-019 Invoice Management The software solution shall provide the ability to select specific deals(s) or cash flow for invoicing

03-020 Invoice Management The software solution shall provide the ability to invoice deals, such as complex contracts, captured outside the software. (I.e. Biomass and Mutual' s and CP bills)

03-021 Invoice Management The software solution shall provide the ability to create and update G/L mappings and accounts through a mapping GUI and send invoice data through to SAP.

03-022 Invoice Management The software solution shall provide the ability to assign invoice status

03-023 Invoice Management The software solution shall provide the ability to recognize a standard banking holiday calendar when determining payment-due dates

03-024 Invoice Management The software solution shall provide the ability to calculate/update liquidated damage and Reserve charges (penalties for failed delivery / failed takes or curtailments

03-025 Invoice Management The software solution shall provide the ability to assign fees as receive/pay by party along with the ability to assign receive/pay parties/entities other than the counterparty on the deal

03-026 Invoice Management The software solution shall provide the ability to capture reconciliation adjustments

03-027 Invoice Management The software solution shall provide the ability to produce reconciliation report or tool to identify variances between contract and actualized scheduled volumes, by counterparty and POD in order to identify cuts

03-028 Invoice Management The software solution shall provide the ability to settle at the hourly level and drill-down to sub-hourly price detail if needed for discrepancy troubleshooting

03-029 Invoice Management When a customer changes name, software solution shall be able to track against an originating customerid such that the history is maintained and adjustments are still possible to the correct entity

03-030 Invoice Management The software solution shall provide the ability to capture “calculating party” for invoices

03-031 Invoice Management Save invoices as files (e.g., .pdf or .doc)

03-032 Invoice Management Includes the ability to create journals to cost centers or orders. Create monthly accrual journal entries to: Record sales (Dr receivables and Cr revenue) Record purchases (Dr expense and Cr payables)

03-033 Invoice Management The software solution shall provide energy loss tracking for settlement.

03-034 Invoice Management The software solution shall provide the ability to capture CAISO ancillary charges and assign them to specific, individual ISO transactions (e.g., import/export and inc/dec deals)

03-035 Invoice Management Track broker fees/commissions - process through invoicing

03-036 Invoice Management Be able to report on tax by book, by time period

03-037 Reports & Views The software solution shall provide the ability to store and retrieve historical prices

03-038 Reports & Views The software solution shall provide the ability to capture and store notes on invoice, for discrepancies, audit and recordkeeping purposes (i.e., not part of the printed invoice)

03-039 Reports & Views Create invoices from final checked out quantities (based on NERC tags) after check-out status is confirmed

03-040 Reports & Views The software solution shall provide the ability to capture, store, and report on MW receipts from demand response initiatives

03-041 Reports & Views The software solution shall be able to specify different counterparties, contracts, and all other scheduling information associated with an individual account code

03-042 Reports & Views The software solution shall provide the ability to view and report on available transmission capacity to support compliance with FERC Form 715

03-043 Reports & Views The software solution shall provide the ability to view and report on calendar year information on all purchases, transmission losses, and generation MW to support preparation of report for EIA 861 / 826

03-044 Reports & Views Calculate inadvertent energy (the difference between schedule and actual) and be able to query on it by user-specified time interval Summarize inadvertent energy by time interval (e.g., HLH total, LLH total)

03-045 Reports & Views Audit of after-the-fact changes

03-046 Reports & Views Apply appropriate netting parameters based on counterparty and/or contract parameters

03-047 Reports & Views The software solution shall provide the ability to generate a control report that identifies whether all settlement prices have been populated, (e.g. missing price report / stale price report)

03-048 Reports & Views The software solution shall provide the ability to perform a accounting month close that defines the activity that is billed for a given a month. Report against locked-down version(s) of month-end close data ensures invoicing as an adjustment

03-049 Reports & Views The software solution shall provide the ability to net receivables and payables according to contract terms

03-050 Reports & Views The software solution shall provide the ability to aggregate individual transactions based on contractual terms (e.g., netting, due date)

03-051 Reports & Views The software solution shall provide the ability to calculate sales and purchases by month at the counterparty level. Breakdown deals by time series view (over time versus by deal)

03-052 Reports & Views The software solution shall provide the ability to capture budget (in $ and volumetric) and produce reports for comparative purposes (actual vs. budget). Wholesale revenue projection.

03-053 Reports & Views The software solution shall provide the ability to group, sort, and / or filter the view of settled cash flow amounts by fields including commodity, strategy, and / or user defined fields

03-054 Reports & Views The software solution shall provide the ability to specify timestamps and time zones when extracting price data from the application

03-055 Workflow Management The software solution shall provide the ability to restrict rights to change cash flow status by user / group

03-056 Workflow Management Ability NOT to require check out for financial (non-physical) deals.

03-057 Workflow Management The software solution shall provide the ability to "unlock" a previously locked cash flow by user / group

03-058 Workflow Management The software solution shall provide the ability to assign a status to cash flow (e.g., checked out, disputed). The software solution shall provide workflow functionality driven by cash flow status (e.g., release counterparty for invoicing after checkout)

ID Function 04 –Bid to Bill Requirements

04-001 Base Schedule Management The software solution shall allow for manual and automatic retrieval and display of the CAISO hourly BAA load forecast from CAISO software for the period of day-ahead up to and including 7 forward days.

04-002 Base Schedule Management The software solution shall provide a configurable alarm for operator notification using the configurable alarm functionality to high light differences in the TPU calculated NSI and CAISO calculated NSI (including subtracted values like mirrors/etc.)

04-003 Base Schedule Management The software solution shall provide a display and submittal mechanism for submittal of base schedules to the ISO for the T-40 submittal.

04-004 Base Schedule Management The software solution shall provide a display that allows a user to compare the generation base schedule for all resources at T-75, T-55, T-40, value in software, and value in BSAP.

04-005 Base Schedule Management

The software solution shall provide a display that shows generation base schedules and available ranges. The display shall include: - SCID - Resource ID - Configuration ID (for MSG) - Ramp rate - Master File PMin - OMS Min - Regulation Down - Base Schedule - Reserve/Regulation Up - OMS Max - Master File Pax - Upper Bid limit - Lower Bid Limit - Disqualified Generation - Available Down - Available Up - Spin / Non-Spin

04-006 Base Schedule Management The software solution shall model Ghost Transaction IDs for late tags that are created.

04-007 Bid creation

The software solution shall provide the GUI capability for the user to manage the creation and submission of generator Real-Time energy bids to CAISO SIBR. Features shall include the ability to view and update the bids, the ability to easily determine the freshness of the data (e.g. created time, imported time), the ability to determine the status of all transactions throughout the lifecycle (e.g. created, submitted), and the ability to capture the user that submitted the bids.

04-008 Bid creation The software solution shall allow the user to modify or cancel submissions to SIBR via an API, consistent with the Market Timelines (e.g. submissions cannot be canceled or modified after the close of the Real-Time Bidding window at T-75).

04-009 Bid creation The software solution shall provide a screen to review Energy Bids prior to submission to SIBR. This shall include hourly bid values along with all CAISO applicable daily bid values (including transition matrixes for MSG units).

04-010 Bid creation The software solution shall provide a screen to review and compare submitted bids and downloaded clean PR bids.

04-011 Bid creation The software solution shall create preferred Energy Bids for each Participating Generation resource for each hour of the Operating Date based on a user selected strategy and input data from TPU Merchant. The Energy Bid shall include all necessary bid components for participation in EIM.

04-012 Bid creation The software solution shall calculate based on a defined strategy GHG single Bid Price/MW pair for each Participating Generation resource for the next Operating Hour through the end of the Operating Day on a rolling basis.

04-013 Bid creation The software solution shall allow users the ability to modify the preferred GHG single Bid Price/MW point for each Participating Generation resource for the next Operating Hour through the end of the Operating Day.

04-014 Bid creation The software solution shall automatically and on demand retrieve submitted bid status and clean bid status from SIBR via API and store and display the CAISO status of each submission (e.g. Received, Approved, Cancelled, Clean). The software solution shall store this information separately from internally generated TPU states.

04-015 Bid creation The software solution shall automatically or via a user initiated action (manually) synchronize data between the software and the SIBR to ensure that any Bids or other submissions created or modified directly on the CAISO Portal are kept in synch with the data in the software.

04-016 Bid creation The software solution shall provide a screen to review if any EIM bid submissions to SIBR via API fail CAISO validation. This screen shall highlight the errors clearly and allow the user to see the error message from CAISO SIBR so that they can make the necessary adjustments to the bids and resubmit.

04-017 Bid creation The software solution shall allow the user to re-submit to SIBR via an API any modifications or deletions to bids, consistent with the Market Timelines.

04-018 Bid creation The software solution shall allow a user to submit/add/view/edit a bid/transaction. Changes shall be logged and traceable based on edits or submissions of the bid.

04-019 Bid creation The software solution shall allow the creation of strategy templates which support the creation of Bids. These templates shall allow users the ability to use formulas to drive data in the software and new parameters to create the bids.

04-020 Bid creation The software solution shall allow a user with appropriate permissions to Edit a strategy template and strategy formulas.

04-021 Bid creation The software solution shall allow a given strategy to be assigned to all units, a selected subset of units and/or a single unit.

04-022 Bid creation The software solution shall support the energy bid creation/submission/retrieval for Multi-Stage Generation (MSG) resource per each MSG configuration.

04-023 Bid creation The software solution shall support the definition of a transition cost matrix for Multi-Stage Generation (MSG).

04-024 Bid creation The software solution shall have capability to process any new or updated items (e.g. Bids created manually in SIBR) that were submitted manually into the CAISO portals into the B2B software to ensure the software has the same data used by the Market Operator.

04-025 Etag Management The software solution shall identify all attributes from the tag that are used to create a CAISO transaction ID.

04-026 Etag Management The software solution shall aggregate ALL e-Tag types (dynamic, pseudo, normal, emergency, etc.), all conditions which these are submitted (to/from Non-EIM, to/from EIM, to/from CAISO, etc.), and all statuses of a tag (pending, confirmed, implemented). The software solution shall update this aggregation as changes to tags are made and upon demand.

04-027 Etag Management The software solution shall interpret e-Tag attributes to assign each e-Tag to the appropriate intertie resources registered/defined in CAISO for all types of intertie resource defined by the CAISO. CAISO intertie resource types include ETSR, Mirror, Registered Intertie Resource (RTIE), and Transaction ID.

04-028 ETSR management The software solution shall provide the capability to automatically assign the hourly transfer limit of ETSRs to the transmission profile of the associated e-Tags for ETSRs that use TPU firm rights (such rights allotment must be configurable by the PRSC).

04-029 ETSR management For the ETSR and ITC limits, the software solution shall provide capabilities to automatically calculate the values according to the ATC approach based on the data retrieved from OASIS. The ATC approach sums the ATC posted on OASIS for the ETSR and the 5-minute ramped RTIS. The software solution shall also allow the operator to manually overwrite with the calculated value.

04-030 ETSR management For the ETSR and ITC limits, the software solution shall provide capabilities to automatically calculate the values according to the TTC approach based on the data retrieved from OASIS. The TTC approach is a static value for the hour based on OASIS.

04-031 ETSR management The software solution shall automatically calculate ETSR limits on a rolling 5-minute basis. The software shall include curtailments in the calculation, and display the ETSR limit in 5-minute increments.

04-032 General The software solution shall support TPU's full participation in the EIM Real-Time Market.

04-033 Import/Export Data The software solution shall automatically retrieve resource characteristics for all resources from the CAISO Master File for at least seven forward days, maintaining effective dating.

04-034 Import/Export Data The software solution shall automatically query the CAISO software via the API to ensure that TPU B2B data and CAISO data remains in sync. The software solution shall have configurable frequency and timelines for these processes.

04-035 Import/Export Data

The software solution's interfaces shall have error handling and retry logic for CAISO and non-CAISO related tasks/processes. Errors (e.g. communication failures, aborted jobs) shall be automatically logged. The software solution shall provide a framework for configuring pre-validations, notifications, alarming, conditional formatting, retry logic and similar functionality as part of the base product. TPU specific settings shall be agreed as part of the design phase. The software solution shall provide the user the ability to review logs with details about a job and why it is failing. The software solution shall provide the user the ability to view the request XML and response XML files sent to/from CAISO so that initial troubleshooting can be performed.

04-036 Import/Export Data The software solution vendor(s) shall provide a fully integrated solution for power and transmission market operations capable of (but not limited to) deal capture, scheduling and tagging, manage operating reserves, transmission paths, generation commitment, scheduling, outage management, load forecast.

04-037 Import/Export Data The software solution shall be able to automatically receive a 5-minute VER forecast from another TPU software every 5 minutes on the rolling basis for at least the next 5 hours. Note that TPU does not currently have any VER resources, but this functionality shall be available for future new resources that could be added to the TPU portfolio.

04-038 Import/Export Data The software solution shall have the ability of a user to manually retrieve upon demand the latest 5-minute VER forecast from the TPU internal forecast software every 5 minute on the rolling basis for at least the next 5 hours. Note that TPU does not currently have any VER resources, but this functionality shall be available for future new resources that could be added to the TPU portfolio.

04-039 Import/Export Data The software solution shall retrieve the 5 and 15 minute clean wind forecast from the CAISO when the Western EIM Market closes the corresponding 5 and 15 minute market run for the corresponding time interval. Note that TPU does not currently have any VER resources, but this functionality shall be available for future new resources that could be added to the TPU portfolio.

04-040 Import/Export Data The software solution shall provide a mechanism to retrieve and export all EIM activity subject to TPU Electronic Quarterly Report requirements, including 15-minute and 5-minute transaction quantities and prices. The software solution shall only export the Sale related EIM transactions as determined by an allocations methodology.

04-041 Import/Export Data The software solution shall have a programmatic method to export Base Schedules for Day Ahead as well as Real-Time hourly base schedules for submittal to RC and/or other entities that require this data.

04-042 Import/Export Data The software solution shall retrieve the day-ahead feasibility test results from BSAP (published by 1PM on the day before the operating day).

04-043 Import/Export Data The software solution shall automatically retrieve the CAISO calculated BAA NSI from the CAISO softwares.

04-044 Import/Export Data The software solution shall automatically retrieve on a daily basis the daily and monthly EIM Settlement Statements, billing determinants and associated supporting data from the CAISO MRI-S software for each Settlements Cycle (T+3, T+12, T+55, etc.)

04-045 Import/Export Data The software solution shall automatically retrieve and store all data from the CAISO MRI-S, OASIS, CMRI, and other softwares that is needed to reconcile EIM Settlements at least once daily. For example, all necessary pricing data from OASIS shall be downloaded and stored in the software solution and used for shadow settlements.

04-046 Import/Export Data The software solution shall automatically send the ETSR limits to CAISO on a rolling 5-minute basis.

04-047 Import/Export Data The software solution shall retrieve the latest 5-minute VER (Variable Energy Resource) forecast from the TPU internal forecast software and submit 5-minute VER forecast into ISO software every 5 minutes on the rolling basis.

04-048 Import/Export Data The software solution shall automatically submit the next 5 hours (hours to be configurable number by TPU) of VER forecast data to CAISO ALFS. This submission shall be automatic and also provide manual (on demand) submit functionality.

04-049 Import/Export Data The software solution shall automatically record 5-minute, Real-Time interchange submissions to CASIO.

04-050 Import/Export Data The software solution shall enable on-demand retrieval of generation DOTs from ADS.

04-051 Maintenance Management The software solution shall remain current and compliant with all CAISO specifications and required functionality through all project phases up to and including pre and post go-live.

04-052 Meter data management

The software solution shall validate that internally captured meter data (i.e., what was submitted) matches MRI-S. Users shall be able to identify mismatches for all these validations while looking at a display or report. If on a display, user shall have the ability to drill down from the highest level mismatch to more detail.

04-053 Meter data management The software solution shall calculate the BAA load meter data based on the generator and interchange meter data at the granularity of the largest interval increment included in the calculation (e.g. 5-minute, 15-minute, and 60 minute).

04-054 Meter data management The software solution shall provide a comparison display to compare submitted meter data to CAISO MRI-S versus downloaded meter data from CAISO MRI-S. Any discrepancies shall be highlighted or easy to distinguish.

04-055 Meter data management The software solution shall automatically and on demand allow submission and retrieval of the latest meter data to/from the CAISO MRI-S software for all EIM resources (generator, interchange and load). These submissions shall be able to be scheduled to submit a specific number of days in the past.

04-056 Meter data management The software solution shall track the success/failure/status of each meter data submission to CAISO and provide alerts/alarms in the event failure.

04-057 Meter data management The software solution shall provide an audit history for meter data as it changes over time. This shall include who changed the value (user or software) and when the value was updated.

04-058 Performance Management The software solution shall meet runtime performance needs for the end to end time required for RTIS Pre-Hour process from the tag change to the submission sent out. The max end to end time is 2 minutes.

04-059 Price data management The software solution shall automatically retrieve all binding FMM RTPD and 5-minute RTD prices at all TPU price nodes, and selected other locations, from OASIS. This retrieval of data shall be schedulable by a user to be at least once a day or on demand as desired.

04-060 Price data management The software solution shall automatically update RTPD and RTD price data after price corrections are published by CAISO. The software solution shall provide users the ability to view the audit history of prices to determine the changes over time that CAISO has made.

04-061 Price data management The software solution shall automatically, or by running a report, validate that price data from OASIS for all TPU defined price locations are within user configurable price ranges.

04-062 Price data management The software solution shall provide the users the ability to identify gaps in data and price spikes while looking at a display or report. Users shall be able to identify mismatches for all these validations while looking at a display or report. If on a display, user shall have the ability to drill down from the highest level mismatch to more detail.

04-063 Reports & Views The software solution shall have the capability of identifying and showing variances in the settlement data from the last time the data was received so changes are easily spotted.

04-064 Reports & Views The software solution shall provide a user configurable date view (e.g. daily or weekly) all sufficiency test results from CMRI. The display shall be configurable to show all tests (T-75, T-55 and T-40), T-75 test results only, T-55 test results only, T-40 test results only, and all tests (T-75, T-55, and T-40) for individual hours (with a configurable hour range).

04-065 Reports & Views The software solution shall display failed tests different than passed tests (i.e. using color, flash, etc.).

04-066 Reports & Views The software solution sufficiency test results display shall allow users to "drill down" into a failure to see cause(s) of test failure.

04-067 Reports & Views The software solution shall validate that imbalance corrections made by the EIM Entity SC to generation resources do not exceed the most limiting resource availability/capacity. And upon violation, EIM Entity SC is able to update the imbalance correction before submitting to CAISO.

04-068 Reports & Views

The software solution shall provide the capability to generate a Data Validation Report from an identified data mismatch to be uploaded as an attachment to a CIDI inquiry ticket. The report shall at a minimum include: - Date/market/interval the mismatch occurs (e.g., 10/1/2018, RTD, Interval 9) - Data that is mismatched - TPU source data used in the validation - CAISO source data used in validation

04-069 Resource Management The software solution shall be able to configure Multi-Stage Generator (MSG) and Jointly Owned Units (JOU) for participation with CAISO EIM.

04-070 Resource Management The software solution shall include Generation Optimization functionality to be used to optimize TPU's portfolio and generate base schedules to be submitted to CAISO.

04-071 Resource Management The software solution shall optimize TPU's resources for energy and AS and use this data to create base schedules for submission to CAISO.

04-072 Resource Management The software solution shall have an optimization module that optimizes TPU's fleet of resources for short term (up to 24 hours) and longer term (7 days) using optimization configuration and Real-Time data feed inputs from the plants.

04-073 Resource Management The software solution shall perform hydro optimization modeling using various methods (h/k, other industry standard methodologies for optimizing hydro/non-hydro). This optimization module shall be configurable by users in the software solution based on roles (Admin, etc.).

04-074 Resource Management

The software solution shall be able to model the following at a minimum for hydro optimization: - generators, reservoirs, rivers, and hydro inflow pipes/tunnels - the solution shall be modelled to take into account effects of running two adjacent units sharing bifurcated tunnels vs separate units that do not share a tunnel nor cause localized forebay head loss - reservoir inflow forecasts - cascading projects

04-075 Scheduling Management The software solution shall support both the TPU BA & Transmission function and the TPU Merchant function. The software solution shall support the exchange of information such as Generation Base Schedules and Energy Bid Curve ranges between the groups while restricting all confidential transmission information from the Merchant function.

04-076 Scheduling Management The software solution shall retrieve and be updated with the latest TPU Generation Resource Data Template (GRDT) and IRDT from the CAISO Master File software. This involves downloading all EIM applicable values from Master File (heat rates, PMax/PMin, ramp rates, MSG Configuration data, etc.) and saving them in some kind of Masterfile edition.

04-077 Scheduling Management The software solution shall maintain Generation, Intertie and Load resource parameters using an effective date framework to ensure that created and submitted transactions are consistent with the effective dated parameters.

04-078 Scheduling Management The software solution shall allow for modeling data to have effective start and end dates to assure only transactions within such start and end dates can be created or modified for modeling data retrieved.

04-079 Scheduling Management The software solution shall allow the configuration of all of TPU's generation resources (currently only Hydro, but potential to have wind and solar in the future ).

04-080 Scheduling Management The software solution shall provide dashboards for various groups (i.e. Real Time Merchant, EIM Entity, Settlements, etc.) that shows the latest status of all communications with CAISO along with key scripts/tasks that have executed. For example, the dashboard should show the last time Base Schedules were submitted and if the submission was successful or not.

04-081 Scheduling Management The software solution shall be able import, create, and manage schedules for non-conforming loads.

04-082 Scheduling Management The software solution vendor(s) shall provide a fully integrated solution around tag related data such that all e-Tag attributes are available to generate or prepare tie-Generator, Third party generator, and interchange base schedules for ETSR, Transaction ID, and other functions for which tag data is needed in the EIM when new e-tags are created and existing e-tags are adjusted.

04-083 Scheduling Management The software solution vendor(s) shall provide a fully integrated solution between it's optimization module and the B2B module so that base schedule values can be created and submitted to CAISO via the B2B module without having to manually enter data twice.

04-084 Scheduling Management The software solution shall retrieve the status (i.e., pass or fail), overloaded, transmission element, and overloading amounts (e.g., 50MW) from CMRI after the transmission feasibility test on the day-ahead generator and intertie base schedules submitted by TPU.

04-085 Scheduling Management The software solution shall automatically calculate BAA NSI from interchange base schedules for the Day-ahead, real-time, and after-the-fact.

04-086 Scheduling Management The software solution shall provide GUI capability to allow the user to update the TPU generator base schedule for both energy and AS in the allowable configurable time frame specified for the user (Up to T-55 for Merchant and up to T-40 for BA).

04-087 Scheduling Management The software solution shall support the creation of Day-Ahead and Real-Time base schedules based on e-tagged schedules from Tie Generators, if any.

04-088 Scheduling Management The software solution shall utilize e-Tags from third-party generators located in the TPU BA to develop base schedules in the day ahead and Real-Time based on the energy profile of the e-Tag.

04-089 Scheduling Management The software solution shall have the ability for an EIM Entity user to view the PR Bid Range submitted by the EIM PRSC for generator base schedule adjustment.

04-090 Scheduling Management The software solution shall cross check the current PMax and PMin (rerated/derated if applicable) for Participating Resources prior to submitting base schedules (Generation + Ancillary Services). A warning message shall be provided if the base schedule is outside of the range.

04-091 Scheduling Management

The software solution shall validate, submit to BSAP, and retrieve from BSAP daily submissions of hourly generation base schedules to BSAP for next day up to and including seven forward days to include: - Energy - Spinning Reserves - Non-spinning Reserves - Regulation up - Regulation down

04-092 Scheduling Management The software solution shall allow automatic submissions of hourly generation base schedules from BSAP for next day up to and including seven forward days. The automatic submission shall be configurable by users with appropriate roles/access.

04-093 Scheduling Management The software solution shall allow on-demand (manual) submissions of hourly generation base schedules from BSAP for next day up to and including seven forward days.

04-094 Scheduling Management

The software solution shall support validation, submission to BSAP, and retrieval from BSAP of hourly generation base schedules to/from BSAP for at least five forward (configurable) hours for T-75, T-55 and T-40 to include: - Energy - Spinning Reserves - Non-spinning Reserves - Regulation up - Regulation down

04-095 Scheduling Management The software solution shall be able to rename, delete, and/or remove Transaction IDs when corrections to e-Tags are made. This is to prevent duplication of schedule information (resulting from duplication of Transaction IDs) when e-Tags are corrected or edited.

04-096 Scheduling Management

The software solution shall support retrieval of hourly generation base schedules and imbalance corrections to/from BSAP/CMRI that are used for the balancing test at T-75, T-55, and T-40 for the balancing hour beginning T to include: - Energy - Spinning Reserves - Non-spinning Reserves - Regulation up - Regulation down - Upper bid ranges (retrieval only following submission by PRSC) - Lower bid ranges (retrieval only following submission by PRSC)

04-097 Scheduling Management The display of generation base schedules and available ranges shall show all generators and configurations for MSGs (Multi-Stage Generators) that are defined in the GRDT, even if there is no valid base schedule. The software solution shall display and identify resources or configurations without base schedules.

04-098 Scheduling Management The software solution shall highlight disqualified generation values not equal to zero on the display of generation base schedules and available ranges.

04-099 Scheduling Management The software solution shall have a summary display that shows the available capacity (both upward and downward) at the aggregated BAA level.

04-100 Scheduling Management The software solution shall supports the creation, viewing and modification of energy Base Schedules for each defined MSG configuration. Any adjustments to the Pmin and Pmax are accounted for at the MSG configuration level and Base Schedule validations are performed at the MSG configuration level for MSG resources.

04-101 Scheduling Management The software solution shall notify/warn the user prior to submission if base schedules exceed the limiting generation max or falls below the limiting generation min. This needs to take the regulation up/down, spin, and non-spin values into account to validate the base schedule along with those values is not out of range for the PMin/PMax of the resource/configuration.

04-102 Scheduling Management The software solution shall provide a screen that displays the submission status from CAISO BSAP for base schedules by resource. If there are errors that need to be addressed by a user, the screen shall highlight these and provide them with the error message from CAISO. This screen shall also allow a user to distinguish between data that has been submitted to BSAP and data that has not been submitted.

04-103 Scheduling Management The software solution shall provide a tracking base schedule submission process and generate bidding errors to help perform analysis to determine frequent or abnormal issues, etc.

04-104 Scheduling Management The software solution shall allow the creation, modification, and submission of EIM Real-Time bids for all open EIM market hours. Future hours where the market is not yet open shall be able to be created, but only able to submit after the software solution warns the user they are submitting for closed market hours.

04-105 Scheduling Management The software solution shall support the creation of all EIM Real-Time Bids through configurable workflows. Workflows will combine automated and manual steps to generate transactions ready for submission to the EIM.

04-106 Scheduling Management The software solution shall allow for "fuel prices", average costs, heat rates (not applicable for TPU's Hydro's), O&M adders, ICE/other price indices, and other resource defined variables to be used as inputs for the energy bid curve creations.

04-107 Scheduling Management The software solution shall retrieve e-Tag data from the deal capture module needed to generate interchange base schedules for ETSR and Transaction IDs, and other data where e-Tag data is needed.

04-108 Scheduling Management

The software solution shall retrieve from CAISO all registered Transaction IDs (TIDs) for use in future submissions and manage the maintenance of unique transaction IDs. Only CAISO RTBS process on BSAP creates TID based on the attributes included in the intertie base schedule submission from TPU for the interchange between TPU and a non-EIM BA. Only after a unique TID is established in BSAP, then the software solution shall download it and use it for the subsequent intertie base schedule and RTSI pre-hour and RTSI after-the-fact (ATF) submission. The software solution shall maintain and keep track of the list of CASIO established TID.

04-109 Scheduling Management The software solution shall aggregate and submit hourly interchange base schedules to CASIO softwares for the Real-Time horizon.

04-110 Scheduling Management The software solution shall ensure that no changes to the interchange base schedules occur automatically after the defined tariff cutoff time (e.g.T-57). Any changes made after T-57 shall have an alert for the user (highlighted color, audible, etc.).

04-111 Scheduling Management The software solution shall create generation and intertie schedules based on the submission time of a tag. For multi-hour tags, a tag which comes in after T-57 is considered to be late for the trading hour starting at T, its contribution to the base schedule for hour T on the corresponding intertie resource shall be excluded though its contribution for hours T+1 and onward shall be included.

04-112 Scheduling Management The software solution shall automatically and on demand retrieve and display the CAISO generated hourly BA load forecast from CAISO softwares for at least 5 forward hours. This shall include the short term forecast that CAISO publishes in BSAP and updates 3 times per hour (T-75, T-55, and T-40).

04-113 Scheduling Management The software solution shall support shadow test capabilities for the CAISO EIM base schedule tests including the balancing test, the biddable capacity test, and the flex ramp sufficiency test to allow the TPU user to pre-validate submissions to CAISO.

04-114 Scheduling Management

The software solution shall include functionality to create an estimate of flex-ramp requirements at least 2 hours before the start of the operating hour. The flex-ramp estimate may be either an estimate published by the CAISO pursuant to any CAISO enhancement or a simple similar hour algorithm to estimate future flex ramp obligations from historical actual flex ramp obligations. The similar hour algorithm would take a simple function (e.g. average, max, percentile) of a configurable number of observations with similar characteristics (e.g. day type, load forecast, VER forecast).

04-115 Scheduling Management

The software solution shall provide the capability to enable alarming / notifications / conditional formatting when EIM base schedule tests including the balancing test, the biddable capacity test, and the flex ramp sufficiency test are either anticipated to fail based on the pre-validations or actually fail based on CAISO responses. The configuration shall allow any combination of the alarms / notifications / conditional formatting to be enabled (e.g. Flex Ramp might fail based on either pre-validation or actuals, while balancing might fail only based on actuals).

04-116 Scheduling Management

The software solution shall automatically retrieve and display all sufficiency test results from CMRI and BSAP of the test performed at T-75, T-55, and T-40. Retrieval shall include all available results including: - Balancing test - Capacity test - Flex ramp sufficiency test (for each 15-minute interval) - Feasibility test. NOTE: The software solution shall retrieve and display the status (i.e., pass or fail), direction (i.e., under or over) and the imbalance amounts (e.g., 50MW), and the imbalance percentage from CMRI.

04-117 Scheduling Management

The software solution shall provide a single display reflecting hourly base schedule balancing data for fast reference by the operator that includes the following hourly balancing data: - BA load forecast - Total generation base schedules - Net scheduled interchange - Imbalance percentage - Net disqualified generation - Total generation reserves (i.e., sum of Spin and Non Spin) - Total ABC (i.e., total Regulation Up) NOTE: The display shall have the ability to drill down to the details behind the values reflected.

04-118 Scheduling Management The software solution shall have the ability for the EIM entity scheduling coordinator to modify the hourly TPU generator base schedule for imbalance corrections between T-57 and T-40 and submit an on demand “Imbalance Correction” to CAISO.

04-119 Scheduling Management The software solution shall ensure that when MSG resources are used for imbalance corrections, at most only one MSG configuration for a MSG plant can have non-zero base schedule. The software must block or alert the user that more than one configuration has a base schedule and allow the user to correct this.

04-120 Scheduling Management The software solution shall have the capability to protect the designated AS capacity when adjusting the generator base schedule to correct imbalance. If the correction is manually performed, the software solution shall validate the manual entered generator base schedule against the designated AS capacity and warn the user about such action.

04-121 Scheduling Management The software solution shall allow a user to overwrite interchange base schedule submissions in the case of a software failure.

04-122 Scheduling Management

The software solution shall automatically calculate BAA NSI from interchange base schedules for Real-Time. The software solution shall automatically retrieve the CAISO calculated BAA NSI from the CAISO softwares for Real-Time. The software solution shall provide a display to compare the internally calculated BAA NSI, the subtracted interchange (mirrors, etc.), and the CAISO calculated BAA NSI data. There shall be a real-time display mode (showing instantaneous interchange) and an after-the-fact display mode (showing hourly integrated interchange).

04-123 Scheduling Management The software solution shall automatically calculate and submit the 5-minute ramped interchange schedule (RTIS Pre-hour) due to intra-hour changes (e.g. curtailments, etc.) for each intertie type (including ETSRs, Transaction IDs, Ghosts, RTIEs, and Mirrors) for forward 5 hours into ISO software every 5 minutes.

04-124 Scheduling Management The software solution shall model the ramped profile for the hourly schedule change, 15-mintue schedule per e-Tag, and intra-hour schedule changes (i.e. curtailments).

04-125 Scheduling Management The software solution shall model the ramped profile for the intra-hour schedule change due to the reliability curtailment per tag.

04-126 Scheduling Management The software solution shall aggregate the ramped profile of each e-Tag in case multiple e-Tags are mapped to the same intertie resource.

04-127 Scheduling Management The software solution shall have the ability of rounding since the submitted intertie resource RTIS pre-hour needs to be an integer.

04-128 Scheduling Management The software solution shall have a record of generation, interchange, and load base schedule for the hourly intervals, RTPD intervals, RTD intervals, and final (ATF) values.

04-129 Scheduling Management The software solution shall display interchange base schedule roll-up. This roll-up shall include all Transaction IDs associated with the interchange base schedule for the selected hour. This includes any/all 15-minute subsets of interchange base schedule submitted. The hour range for the display shall be configurable.

04-130 Scheduling Management The software solution shall display all Transaction ID roll-ups. The roll-ups shall include all e-Tags that are associated with each Transaction ID. This includes any/all 15-minute subsets of Transaction IDs submitted. The hour range for the display shall be configurable.

04-131 Scheduling Management The software solution shall maintain a record of the value of individual e-Tagged schedules contributing to rolled-up, 5-minute, Real-Time interchange submissions.

04-132 Scheduling Management The software solution shall calculate and automatically submit the final interchange schedule ATF (RTIS ATF) data to CAISO softwares for the previous day. The software solution shall also support the manual submission by the user demand.

04-133 Scheduling Management The software solution shall automatically retrieve the final load base schedules, FMM RTPD load forecasts, RTD forecasts and actual load from CMRI once per day (after midnight to capture all 24 hours of previous day) from ALFS.

04-134 Scheduling Management The software solution shall allow for manual retrieval of final load base schedule, FMM RTPD load forecasts, RTD forecasts and actual load from CMRI.

04-135 Scheduling Management The software solution shall have a record of hourly generation base schedules and any/all imbalance corrections performed.

04-136 Scheduling Management The software solution shall automatically retrieve RTPD generation awards from CMRI at least once daily. This shall be configurable by a user to run on a scheduled basis for a specific time frame.

04-137 Scheduling Management The software solution shall automatically retrieve RTD generation dispatches from CMRI at least once daily. This shall be configurable by a user to run on a scheduled basis for a specific time frame.

04-138 Scheduling Management The software solution shall provide the capability to automatically, or by running a report, validate that internally captured ATF interchange schedules match CMRI. ATF interchange schedules should match the final tag-based schedule submitted.

04-139 Scheduling Management The software solution shall provide the user the ability to easily identify mismatches for all these validations while looking at a display or report. If on a display, user shall have the ability to drill down from the highest level mismatch to more detail.

04-140 Scheduling Management

The software solution shall automatically, or by running a report, validate that internally captured hourly generation, interchange, and load base schedules match CMRI. Users shall be able to identify mismatches for all these validations while looking at a display or report. If on a display, user shall have the ability to drill down from the highest level mismatch to more detail.

04-141 Settlements The software solution shall provide the capability to automatically (scheduled task), or by running a report, perform Shadow Settlement using CAISO-sourced data for all EIM Settlements charge codes.

04-142 Settlements The software solution shall provide the capability to automatically (scheduled task), or by running a report, perform full Shadow Settlement, using TPU-sourced data whenever possible, for all EIM Settlements charge codes. For example, the software solution shall use the TPU Meter value when performing shadow settlements to assist in finding any discrepancies between TPU Meter Data and what CAISO has on record.

04-143 Settlements The software solution shall identify and display Settlement calculation result deltas between results based on TPU sourced data, and results from the CAISO statement.

04-144 Settlements The software solution shall make it easy for Users to be able to identify mismatches while looking at a display or report by highlighting or making these mismatches stand out somehow. Shall also include the ability to drill-down to find underlying cause.

04-145 Settlements The software solution shall provide the capability to help identify the root contributor(s) to Shadow Settlement mismatches (e.g., by drilling down from the highest level mismatch from the charge code to the input components).

04-146 Settlements The software solution shall use TPU's meter data from various TPU's meter data sources software that is needed to reconcile EIM Settlements at least once daily.

04-147 Settlements

The software solution shall provide the capability to generate a Settlement Dispute Report from an identified Shadow Settlements mismatch. The report shall be used to upload as an attachment to a CIDI dispute ticket. The report should at minimum include: - Date/market/interval the mismatch occurs (e.g., 10/1/2018, RTD, Interval 9) - Dollar amount of mismatch - Charge code impacted - Underlying determinant mismatched - TPU source data used in shadow calculation - CAISO source data used in shadow calculation.

04-148 Settlements The software solution shall have the ability to capture/save all CAISO related CIDI fields and attributes on a dispute ticket.

04-149 Settlements The software solution shall allow for supporting documentation to be attached to a dispute record.

04-150 Settlements The software solution shall have the capability for the user to mark the disputed item and the software solution shall provide a tracking method to track disputed items through resolution.

04-151 Settlements The software solution shall have a dashboard/display and report which shows the disputes initiated, dispute date, trade date, current status, potential dispute value or other supporting information to allow TPU to determine potential dispute value at risk at a given time / for a given period.

04-152 Settlements The software solution shall store required parameters for settlement and reporting purposes, allowing users to determine which version that transaction is based on, and any specific values provided that are used as part of the transaction.

04-153 Settlements The software solution shall support the ability to view settlement data over user defined time horizons which may vary by settlement activity. (e.g., some EIM charges may be processed hourly, while others are executed monthly or daily.)

04-154 Settlements The software solution shall support the ability to export/report on all determinants made available by CAISO for all settlement statements. This data shall be used to feed downstream reports/softwares as needed.

04-155 Settlements The software solution shall have role based access with information and displays access provisioned per role. Roles and provisioning shall be configurable by TPU point of contact.

04-156 Settlements The software application shall utilize the CAISO Settlement Calendar to allow a user to view all settlement statements based on a specific settlement date or date range. For example, the user shall have the ability to show all statements for a specific set of Settlement Dates or by a specific set of Operating Dates.

04-157 Settlements The software solution shall have the ability to configure allocations for EIM charges. The allocations shall be made to be configurable (e.g. by load customers, transmission customers, resources, etc.)

04-158 Settlements The software solution shall have the ability to allocate, group, and/or aggregate all CAISO related charges codes by resource, load, or other identifiers to determine a price, quantity and amount for a specific time granularity. The resulting price, quantity, and amount shall be used to create a deal within the ETRM module of the application.

04-159 Settlements The software solution shall have the ability to generate an end of day report that includes the TPU's financial position at various time granularities going back a configurable number of days.

04-160 Settlements The software solution shall track and account for EIM related and Non EIM related GHG transactions. This includes tracking of obligations based on EIM market awards while non-EIM obligation activity shall come directly from tag data.

04-161 Settlements The software solution shall be able to be used to determine how well TPU performed with the charge codes 6045 (over and under scheduling) to determine trends and take corrective actions.

04-162 Settlements The software solution shall have the ability to automatically (based on a configurable schedule) and ad-hoc perform pre-settlement functionality using the best available data from CAISO and TPU softwares.

04-163 Trade Management The software solution shall support the definition/calculation of Default Energy Bids for all generation resources to include but not limited to the variable cost, LMP and negotiated rate options.

04-164 Trade Management The software solution shall provide a screen for a user to review if any Participating Resources Bids have been mitigated in FMM RTPD for any Operating Hour. The CAISO will mitigate EIM Participating Resources using the same methodology as for the CAISO Market. Resources determined to have Local Market Power based on the CAISO's Dynamic Competitive Path Assessment will have their bids reduced to their Default Energy Bid.

04-165 Trade Management The software solution shall support the UI ability to copy and paste Bid Curves from a spreadsheet into the solution.

ID Function 05 – Metering Requirements

05-001 Configuration Access shall be provisioned for all necessary TPU staff.

05-002 Configuration The MDM shall have configurable intertie calculations to allow for addition and removal of adjacent BA intertie values before submission of revenue intertie data to CAISO's MRI-S.

05-003 Configuration The MDM shall be capable of configuring and calculating de-rate factors for meters that rely on CT meter data.

05-004 Configuration All meter data shall be stored and communicated in Standard Time.

05-005 Data submission The meter data shall be submitted to CAISO's MRI-S by 11:00am following the operating/trading day.

05-006 Data submission The MDM shall have verification notification of successful uploads to CAISO's MRI-S software.

05-007 Data submission The MDM shall calculate and submit 5-minute revenue meter data to CAISO's MRI-S for all Participating Resources.

05-008 Data submission The MDM shall calculate and submit either 60-minute, 15-minute, or 5-minute revenue meter data to CAISO's MRI-S for all Non-Participating Resources.

05-009 Data submission The MDM shall calculate and submit 5-minute revenue meter data for all TPU interties.

05-010 Data submission The MDM shall automatically submit revenue meter data to CAISO's MRI-S in accordance with CAISO Settlements Calendar dates.

05-011 Data submission The Settlements software solution shall submit SQMD to MRI-S by 11am.

05-012 Data submission The MDM shall collect all revenue meter data and telemetry for the previous operating/trade day by 6am.

05-013 Data submission The MDM shall submit meter data to scheduling/settlements software for submittal to CAISO's MRI-S.

05-014 Import & Export Data The MDM shall interface with TPU's EMS.

05-015 Import & Export Data The MDM shall have the functionality to allow for manual submissions of revenue meter data to CAISO's MRI-S for error correction and updates.

05-016 Import & Export Data The MDM shall interface with TPU's scheduling/settlements software.

05-017 Meter calculation The MDM shall calculate shares of Jointly Owned Units, including, but not limited to, potential contract impacts to the calculation and utilization of non-TPU meter data (co-owner's data).

05-018 Meter calculation The MDM shall calculate TPU ELAP and allow for comparison to CAISO's ELAP calculation.

05-019 Meter calculation The MDM shall allow for aggregation of meter values, and must align with modeling of resources.

05-020 Meter calculation All revenue meters shall be approved by Local Regulatory Authority (LRA).

05-021 VEE The MDM shall allow for meter validation before submission to MRI-S.

05-022 VEE The MDM shall allow for Validation Editing & Estimation processes including back-up meters, Point-to-Point interpolation, historical estimation, approximation, etc.)

05-023 VEE The MDM shall be able to pull submitted meter data from CAISO's MRI-S for verification purposes.

05-024 VEE The MDM shall alert for telemetry and revenue meter discrepancies.

05-025 VEE The MDM shall alarm for missing data, invalid data (including repeat values), and communication errors for revenue data.

05-026 VEE The MDM shall alarm for missing data, invalid data (including repeat values), and communication errors for telemetry.

05-027 Views & Reports The MDM shall alarm for MRI-S data changes resulting in mismatch between MRI-S data and MDM data.

05-028 Views & Reports The MDM shall allow for CAISO access for audit purposes.

05-029 Views & Reports The MDM shall produce annual reports used in TPU annual self-audits.

05-030 Views & Reports The MDM shall have CAISO software certificate allowing for interfacing of data (certificate renewal is annual).

05-031 Views & Reports The MDM shall display revenue metering and telemetry for visualization during meter validation.

ID Function 06 – Outage Management System (OMS) Requirements

06-001 Outage creation The software solution shall support the following modeling equipment voltages: Transformers shall have a high- and low-side voltage. All other equipment shall be modeled with a single voltage.

06-002 Outage creation The software solution workflows shall ensure Planned Outages are approved before being submitted to the CAISO OMS (for RC and MO services).

06-003 Outage creation

The software solution shall automatically populate Emergency Return Time to the length of the outage, based on entered/selected Start/End Dates/Times. In cases where ERT is left null the software will treat the return times as "Duration". The software solution shall prevent users from adjusting Emergency Return Time to be longer than the outage, which would cause CAISO OMS to reject the outage submission.

06-004 Outage creation The software solution shall provide the capability to auto populate the duration field based on start/end date/time. This field shall display and record duration value in the 24 hour format.

06-005 Outage creation The software solution shall include all of the Nature of Work codes that CAISO has available. As CAISO adds more in the future, the software solution shall have the ability to easily add these Nature of Work codes.

06-006 Outage creation

The software solution shall provide the capability to generate a set of Recurring Outages (e.g., Daily, Weekday Only, Weekend Only) for Generation and Transmission outages. Upon initial entry of a Recurring Outage, OMS will generate separate individual Outage Records in OMS (e.g., five outages for a Daily outage occurring from 8AM to 5PM Monday through Friday), along with the corresponding Reliability Coordinator Records in OMS, and CAISO OMS Records that shall be managed via outage workflows. Once the individual Outage Records are generated, they shall be managed individually. OMS shall provide a "Recurring Outage Dashboard" where users can view and filter for Recurring Outages.

06-007 Outage creation The software solution shall have the ability to capture all CAISO Outage Categorizations (e.g. Planned, Forced).

06-008 Outage creation The software solution shall enable the user responsible for approving outages to submit approved outages to the CAISO OMS. The user may also "approve and submit" in a single click.

06-009 Outage creation The software solution shall retrieve the unique Outage ID from the CAISO OMS upon outage creation.

06-010 Outage creation The software solution shall provide the ability for users to monitor status of outage submissions to the CAISO OMS (e.g., accepted, rejected). When tasks are submitted, the Task monitor tracks tasks status. At completion of task, the outage status is immediately updated.

06-011 Outage creation

The software solution workflow shall have the ability to configure the trigger of automatic submissions of Outages to one or more entities (e.g. CAISO, NERC, etc.) based on the characteristics of the outage. Some characteristics include (but not limited to): - Only generation outages over 20 MW or aggregate of over 75 MW must be submitted to the RC - Auto Created Derates are sent to Market Operator and RC - Only outages at generators with a nameplate greater than 20 MWs must be reported to NERC - Outages at renewable units are not required for NERC reporting

06-012 Outage creation The software solution shall provide users the ability to enter the Latitude and Longitude of fault location on Outage Records.

06-013 Outage creation The software solution shall maintain information on all TPU Generation resources including Jointly Owned Units, Hydro Units and Wind Units. Relevant data on the resources shall be maintained including all data from Master File aka Resource Data Templates (e.g. Pmin, Pmax, Ramp Rates, MSG configurations, summer/winter ratings, etc.).

06-014 Outage creation

The software solution shall have the ability to create Planned and Forced Generation Outages which modify the following plant or unit characteristics: - Out of Service - Maximum Output - Minimum Output - Ramp Rates

06-015 Outage creation The software solution shall support the creation of outages for all TPU generation resources and be scalable to include more resources and resource types in the future. (e.g. coal, gas, hydro and wind).

06-016 Outage creation The software solution shall support the use of an "availability curve" to indicate differing levels of generation availability at different times during an outage. This capability shall be available for Planned and Forced Generation outages.

06-017 Outage creation The software solution shall allow users to enter free form notes in the switching plan related to Generation Outages.

06-018 Outage creation The software solution shall support the creation of request of Planned Generation Outages at the plant level, MSG configuration, or physical unit level.

06-019 Outage creation The software solution shall allow a user to create a Planned Generation Outage before a resource is to be offline. This includes start time, stop time, impact (reduction amount), switching instructions, and notes.

06-020 Outage creation The software solution shall allow users to create Planned Generation Outages up to five years in advance of the current date.

06-021 Outage creation

The software solution shall capture the following attributes at a minimum for a Planned and Forced Generation Outage : - Generating Unit name - Configuration information for MSG resources - Nature of Work (per CAISO's BPM) - Date and time the Outage is to begin - Date and time the Outage is to be completed - Emergency Return Time (the software shall interpret null as DURATION) - Description (free form text) - Comments ( Free form text) - Fixed or Flexible - Capacity changes

06-022 Outage creation The software solution shall provide a user the ability to create a Forced Generation outage. A Forced Generation outage is defined as an outage that is less than seven full calendar days in advance of the outage start.

06-023 Outage creation The software solution shall allow users to modify a Forced Generation outage. This includes updating start time, stop time, impact (reduction amount), switching instructions, notes, and actual outage times.

06-024 Outage creation The software solution shall support the creation of Planned and Forced Generation Outages by a centralized outage coordinator.

06-025 Outage creation The software solution shall have the ability to create a new Planned or Forced Generation Outage or Derate by copying a previously created Outage. The copied outage is a "new" Outage and begins the appropriate workflow as though it had been created manually.

06-026 Outage creation

The software solution shall facilitate the creation of Planned and Forced Generation Outages and Derates consistent with the effective dated Generation resource parameters. If Generation outages cross the effective date of a parameter change, OMS shall support the creation of valid outages (e.g. automatically create multiple outages, alert the user via the UI with relevant information to create multiple outages).

06-027 Outage creation The software solution shall provide the ability to create and configure workflows to support the TPU business process for managing the review, editing, scheduling, approval/rejection, submission, status changes, cancellation, extension and other necessary workflow tasks for TPU Generation Outages and Derates.

06-028 Outage creation The software solution shall allow users to enter free form notes related to Generation Outages.

06-029 Outage creation

The software solution shall submit to CAISO the complete set of MSG configurations and the availability of each, including those that are not impacted by the outage. The user shall have the ability to select any configuration and enter outage information, and the availability all configurations, including non-selected configurations shall be sent to CAISO OMS. The software solution shall comply with CAISO submission requirements for MSGs in all cases.

06-030 Outage creation The software solution UI shall support the creation, management, modification, review and approval of Generation Outages and Derates.

06-031 Outage creation The software solution shall have the ability to configure the Nature of Work to be assigned with each auto generated derate and rerate.

06-032 Outage creation

The software solution shall allow users to define and configure Facility Outage Definitions for equipment types allowed by the CAISO OMS (for MO and RC service), including: - Substation - Generator - Busbar Section - Feeder - Line - AC Line Segment - Line Controls - Power Transformer - Shunt Capacitor - Series Capacitor - Other

06-033 Outage creation The software solution shall be able to import complete Outage Modeling Points, Outage Elements and associated mapping.

06-034 Outage creation The software solution shall enable users to group Elements.(e.g. Breakers, disconnects and fused services that are all associated with a transformer.)

06-035 Outage creation The software solution shall have the capability to import Outage Elements (e.g., all devices and elements associated to a substation or line) from a CIM v15 compliant export.

06-036 Outage creation

The software solution shall enable users to select an option to populate all CIM Modeling Points associated with a selected piece of Physical Equipment into the Outage Record. TPU will define the relationship between Physical Equipment and associated CIM Modeling points in the TPU Equipment file import, and will update relationships for existing equipment as needed directly in OMS going forward.

06-037 Outage creation The software solution shall pre-populate the Station list with all TPU stations, including stations no longer in service so that the data remains, as well as some placeholder names such as BPA Station, PACW Station, and Customer. The software shall have a dropdown list with all equipment associated with the selected substation.

06-038 Outage creation The software solution shall use a free form list for the Position field that builds a type ahead list from all existing entries and nearly all positions are in that list.

06-039 Outage creation

The software solution shall have the ability to automatically create a Forced (unplanned) Transmission Outage based on EMS historical data (e.g., open breakers and loss of line flow causes an outage to be generated for the associated transmission line element). The specifics of the workflows and alerts shall be determined during the design process in consultation with the software vendor.

06-040 Outage creation The software solution shall enable users to create Planned Transmission Outages up to five years in advance of the current date.

06-041 Outage creation The software solution shall allow users to derate one or more elements of Transmission Equipment when one of the following Natures of Work are selected: Out of Service; Energized Work; Relay Work; Special Setup; Test Program; Equipment derate; Equipment Abnormal; Path Limitation; Communications; Out of Service with Special Setup.

06-042 Outage creation The software solution shall require users to enter at least one Equipment Rating Change when the "Equipment Derate" Nature of Work is selected.

06-043 Outage creation The software solution shall require users to derate one or more elements of transmission equipment when "Equipment Derate" Nature of Work is selected.

06-044 Outage creation The software solution shall require equipment rating values to be less than or equal to registered Emergency values, and will require correction before submitting.

06-045 Outage creation The software solution shall require users to specify at least one Outage Modeling Point when submitting an outage with "Out of Service with Special Setup" Nature of Work.

06-046 Outage creation The software solution shall allow users to select switch modeling points or use a Facility Definition when one of the following Natures of Work are selected: Out of Service; Energized Work; Relay Work; Special Setup; Test Program; Equipment derate; Equipment Abnormal; Path Limitation; Communications; Out of Service with Special Setup.

06-047 Outage creation The software solution shall require users to select at least one piece of equipment when the "Out of Service" Nature of Work is selected.

06-048 Outage creation

The software solution shall enable users to submit outages that have a combination of switches being opened and closed to the CAISO OMS. If CAISO requires the use of the "Out of Service with special setup" Nature of Work, and that in turn requires switching to be included, The software solution shall automatically populate switching using selected equipment in the outage with start/end dates/times the same as the outage start/end dates/times.

06-049 Outage creation The software solution shall require users to specify switch modeling points or use a Facility outage definition when "Out of Service" Nature of Work is selected.

06-050 Outage creation The software solution shall provide the ability to select one or more Outage Elements to include in the Transmission Outage.

06-051 Outage creation

The software solution shall provide selectable "Nature of Work" for transmission outages aligned with CAISO requirements, including: - Out of Service; - Energized Work - Relay Work - Special Setup - Test Program - Equipment Derate - Equipment Abnormal - Path Limitation - Communications - Out of Service with Special Setup

06-052 Outage creation The software solution shall enable users to enter free-form Outage Modeling Points in a Transmission Outage (i.e., manually enter points that are not in the database).

06-053 Outage creation The software solution shall enable users to select available Outage Modeling Points to include in a Transmission Outage (i.e., add points not mapped to included elements).

06-054 Outage creation The software solution shall enable user to deselect automatically populated Outage Modeling Points (individually, or by clearing the entire group).

06-055 Outage creation The software solution shall have the ability to create a new Transmission Outage or Equipment Derate by copying a previously created Outage. The copied outage is a "new" Outage and begins the appropriate workflow as though it had been created manually.

06-056 Outage creation The software solution shall enable users to associate Outage Elements to existing Outage Modeling Points.

06-057 Outage creation The software solution shall provide the ability to select Transmission Outages that shall be submitted to the CAISO (RC and MO services) or NERC.

06-058 Outage creation The software solution shall provide the capability to automatically select Transmission Outages to be submitted to the RC.

06-059 Outage creation The software solution switching plans shall include outages to be specified as fixed (unmovable) or flexible (movable). (e.g. Date/Time start and end has the ability to move for coordination)

06-060 Outage creation Outages specified as fixed (unmovable) shall have a free form text comment field that is required.

06-061 Outage creation The software solution shall allow users to enter free form notes in the switching plan related to Transmission Outages.

06-062 Outage creation The software solution shall provide the ability to capture data required by TPU that may not be required by the CAISO for submitting Transmission Outages. This shall include all data required for TADS and Mis-operations reporting.

06-063 Outage creation The software solution shall provide the capability to submit all required equipment derate information directly into the CAISO OMS via API.

06-064 Outage creation The software solution shall provide the capability to submit all required Transmission Outage information directly into the CAISO OMS via API.

06-065 Outage Creation The software solution shall enable users to create, edit, remove and view Transmission Elements (e.g., line segment, bus section, breaker, disconnect, switch, transformer, substation).

06-066 Outage Creation The software solution shall enable users to create, edit, remove and view elements that are not associated with the Network Model (e.g., Bus, Capacitor, Feeder, Generator, Line, Line Controls, Reactor, Transformer).

06-067 Outage Creation The software solution shall enable users to, within OMS, select from available elements in the RC software for neighboring BAAs to include in non-TPU outage retrieval.

06-068 Outage Creation The software solution shall retrieve Outage IDs from the CAISO OMS for all associated outage segments for Recurring Transmission Outages and make visible on the outage form.

06-069 Outage management The software solution shall automatically in real time integrate "approved" Planned and Forced Generation Outages/Derates and Ramp Rate information to the Bid-to-Bill (trading tool) module. This data shall be used to limit bid ranges as needed and ensure base schedules are within the limits of the resource.

06-070 Outage management

The software solution shall provide the ability for TPU to import historical generation and transmission outages. Vendor shall provide the XML/CSV format for TPU to load these outages. Vendor shall upload the import or provide TPU a means to do so, but will not validate the outages for TPU. The outages must pass all business rules and validations that are required/enforced in OMS or the import shall be rejected.

06-071 Outage management The software solution shall contain dashboards for specific users such as Generation and Transmission outage planners or coordinators as well as Real-Time operators. Workflows shall be completely integrated into the dashboards to display ticket and workflow status, allow searching and filtering, and display key information.

06-072 Outage management The software solution shall support the ability to re-assign the next step in a workflow to another user, role or group. If this happens, the user, role or group receiving the assignment is alerted by the software solution via email.

06-073 Outage management The software solution shall provide a locking mechanism in the outage workflow whereby a change in state advances the workflow and waits for the next person to take action. Users with appropriate privileges can override and advance the outage through the workflow, or return the workflow to a previous state.

06-074 Outage management The software solution shall alert a user if end date/time is not after start date/time and require correction before submitting an Outage.

06-075 Outage management The software solution shall provide capabilities for visual alerts (e.g. pop-ups), prioritization type alerts (e.g. highlighting) and audio alerts (e.g. alarms) which can be integrated into the outage workflows or event triggered.

06-076 Outage management The software solution shall enable users to enter free-form elements for internal outages (e.g., outages that are not sent to the CAISO OMS or the RC software).

06-077 Outage management The software solution shall provide the ability to modify the planned start time of an Outage, including moving it to a time in the past.

06-078 Outage management The software solution shall allow users to cancel an Outage that has not already started.

06-079 Outage management The software solution shall enable users to modify individual segments of a Recurring Outage (i.e., a single "Child" outage within a "Parent" Recurring Outage). For example, on Wednesday morning, the user could update the planned start and end times for the Wednesday segment of an outage that Recurs Daily for the entire week, or cancel the outage just for that day.

06-080 Outage management The software solution shall query the CAISO OMS to ensure that the TPU OMS and CAISO OMS remain in sync for generation and transmission outages/derates. ( configurable time as well as manual query)

06-081 Outage management The software solution shall enable users to indicate actual end of an Outage, placing the outage into the "IN Service Editable" state-if not "ended," the outage will automatically transition in the CAISO OMS at the scheduled end time.

06-082 Outage management The software solution shall enable users to indicate actual start of an Outage, placing the outage into the "OUT" state-if not "started," the outage will automatically transition in the CAISO OMS at the scheduled start time.

06-083 Outage management The software solution shall enable users to update actual start and end times down to the second after the fact. After-the-fact changes to start and end times should update the internal software of record, but do not need to be sent to the CAISO OMS.

06-084 Outage management The software solution shall notify users when submitted Outages start and end in the CAISO OMS (e.g., are automatically transitioned to the "OUT" and "IN Service Editable" states in the CAISO OMS) by displaying current outage status when screen is refreshed.

06-085 Outage management The software solution shall maintain alignment with the CAISO OMS Outage Group IDs and Outage type (e.g.. Planned, Forced).

06-086 Outage management The software solution shall automatically restate availability as required by the CAISO OMS (e.g., when outages are cancelled, rescheduled, or completed).

06-087 Outage management The software solution shall provide the capability to revise/cancel, via an API, Planned and Forced Outages which have previously been successfully received/processed by the RC. In the case that an Outage is originally created in the RC portal (CAISO's OMS) TPU shall have the ability to revise an outage once the softwares have synced.

06-088 Outage management The software solution shall have the ability to capture all Market and the RC Outage States (e.g. Received, Cancelled). (The current RC outage process has 26 current outage states captured in IRO-017-1.)

06-089 Outage management The software solution shall have the ability to capture all CAISO Outage Alerts (e.g. Warning, Error).

06-090 Outage management The software solution UI shall support the viewing of CAISO states (e.g. Received, Cancelled), categorizations (e.g. Planned, Forced) and Alerts (e.g. Warning, Error) to allow the user to identify any discrepancies and see how an active outage is progressing.

06-091 Outage management The software solution shall adhere to all applicable NAESB standards for all outage management related activities.

06-092 Outage management The software solution shall have the ability to create Planned and Forced Generation Outages based on data retrieved from the CAISO OMS to synchronize TPU and CAISO outage information (e.g. when an outage is created manually on the CAISO webOMS Portal). When this occurs, the outage record is designated as "CAISO Created" or similar.

06-093 Outage management The software solution shall support the ability for a Planned or Forced Generation Outage to return to service early through the modification of the end time by a user.

06-094 Outage management

The software solution shall manage overlapping Pmax derate outages such that when new Planned or Forced Generation Outages or Auto-Created Derates are "Approved", previous outage records are automatically updated by OMS to reflect the new outage availability for the overlapping subset of time, consistent with CAISO OMS business rules. The User will not be required to manually update the previous records.

06-095 Outage management The software solution shall not allow overlapping PMing Rerates to be created for a single generation resource. This is consistent with CAISO's webOMS business rules.

06-096 Outage management The software solution shall not allow overlapping Ramp Rate changes to be created for a single generation resource. This is consistent with CAISO's webOMS business rules.

06-097 Outage management The software solution shall prevent from modifying a Planned Generation outage once the status is set to complete. This limitation applies to start time, stop time, and impact (reduction amount).

06-098 Outage management The software solution shall maintain Generation resource (GRDT) information using an effective date framework to ensure alignment of resource parameter changes consistent with the CAISO Master File and TPU tools. And update daily.

06-099 Outage management

The software solution shall provide the capability for the EIM Entity Scheduling Coordinator to cancel, via an API, Planned and Forced Generation Outages and Derates which have been successfully received/processed by the CAISO OMS. In the case that a Generation Outage is originally created in the CAISO webOMS portal and not in OMS, OMS will still have the ability to Cancel an outage once the softwares have synched.

06-100 Outage management The software solution shall incorporate the CAISO notification software that will publish changes to outages in Real-Time to ensure Outages maintain alignment with the CAISO OMS.

06-101 Outage management The software solution shall provide the capability to create Generation Outages and Derates from Outages retrieved from the CAISO OMS when the Outage does not already exist in the software (e.g., when an outage is created manually in the CAISO OMS UI).

06-102 Outage management The software solution shall support management of Generation Outages through appropriate states (e.g. Created, Reviewed, Approved, Rejected, Withdrawn, In Ok, Out Ok).

06-103 Outage management The software solution shall have the ability to update Generation Outages and Derates based on data retrieved from the CAISO OMS.

06-104 Outage management The software solution workflows shall support the ability to edit characteristics of Planned and Forced Generation outages (e.g. start/end dates, Nature of Work, change in capabilities).

06-105 Outage management The software solution UI shall allow a user to create or modify the characteristics of a generation plant, configuration or unit.

06-106 Outage management

The software solution shall provide a user the ability to configure formulas for the automatic creation/submission of Derates/Rerates for each Generation unit. These automatically created derate/rerates shall use various inputs from other softwares. TPU does not necessarily have "Ambient Derates", but the software solution shall provide a similar ability to calculate derates based on inputs from other softwares (possibly using h/k information).

06-107 Outage management The software solution shall have the capability to receive derate information for auto created derates on an appropriate scheduled and/or event triggered basis.

06-108 Outage management The software solution shall have the capability to automatically translate Derate information received into the appropriate CAISO outage records. These auto created records shall have the ability to be auto-submitted to CAISO without going through approval. This auto-submission functionality shall be configurable.

06-109 Outage management The software solution shall provide the capability to manage Recurring Transmission Outages; updates to "Parent" Recurring Outages shall be automatically reflected in the associated "Child" outages in the CAISO OMS.

06-110 Outage management

The software solution shall provide the ability to configure Transmission Outage workflows for routing of work responsibilities based on the type of Outage, the start date of the Outage, or other defined criteria. At a minimum, workflows shall include: - Planned Transmission Outage; - Forced Transmission Outage; - Forced Equipment Derate. - Planned Equipment Derate;

06-111 Outage management The software solution shall enable users to modify a Forced Transmission Outage, subject to the defined workflow for managing Forced Transmission Outages.

06-112 Outage management The software solution shall enable users to modify a Planned Transmission Outage, subject to the defined workflow for managing Planned Transmission Outages.

06-113 Outage management The software solution workflows shall support the ability to edit characteristics of Transmission Outages and Equipment Derates (e.g., start/end dates, Nature of Work, Equipment Ratings).

06-114 Outage management The software solution shall support management of Transmission Outages through appropriate states (e.g. Pending, Requested, Awaiting Study, Studied, Awaiting Switching, Reviewed, Approved, Rejected, Withdrawn, Out OK, Out, In OK, Complete, Cancelled).

06-115 Outage management The software solution shall provide the ability to retrieve non-TPU Transmission Outages for selected elements of neighboring BAAs from the RC software via API.

06-116 Outage management The software solution shall provide the capability to distinguish between TPU and non-TPU Transmission Outages (e.g., automatically flag outages from selected external elements as "non-TPU").

06-117 Outage management The software solution shall support a database of Outage Modeling points, including effective dates, expiration dates and normal positions (e.g., normally opened or closed).

06-118 Outage management The software solution shall provide the capability to flag Transmission Outages and Equipment Derates created or modified externally (e.g., created manually in the CAISO OMS UI) for user review and approval. New outages shall be indicated as externally created (e.g., "CAISO Created").

06-119 Outage management The software solution shall provide the capability to modify Transmission Outages and Equipment derates from Outages retrieved from the CAISO OMS when the Outage does not match in the software (e.g., when an outage is modified manually in the CAISO OMS UI).

06-120 Outage submission The software solution shall provide the capability to satisfy the CAISO single point of contact requirements for all Generation and Transmission outages and related activities. Whether an outage is created, modified or approved by the Plant Operator, Merchant Team or BAA via the appropriate workflow, the API will communicate with the CAISO as the EIM Entity.

06-121 Outage submission The software solution shall provide the capability to receive the RC notifications related to Outages which have been successfully received/processed by the RC. In the case that an Outage is originally created in the RC portal and not TPU's software, the software will still have the ability to receive notifications once the softwares have synced.

06-122 Outage submission The software solution shall provide the capability to query for status and information on Outages which have been successfully received/processed by the RC.

06-123 Outage submission The software solution shall periodically, and in response to user initiated requests, query the RC to ensure that the TPU OMS and the RC OMS remain in sync.

06-124 Outage submission The software solution shall have the ability to capture all the RC Outage Categorizations (e.g. Forced Automatic, Forced Emergency, Urgent, Operational Transmission, Planned, Opportunity, and Informational).

06-125 Outage submission The software solution shall retrieve the RC outage ID after submission.

06-126 Outage submission The software solution shall provide the capability to receive acknowledgement (success or failure) of submitted Outages submitted to the RC.

06-127 Outage submission The import/sync processes with CAISO webOMS for Generation and Transmission Outages shall generate alarms if errors occur.

06-128 Outage submission

The software solution shall validate against CAISO OMS business rules, with a concise description of the error and suggestions to assist resolution. These validations must include (but not be limited to) the following : - Planned end must be after Planned start - Generator availability points must be inside planned date range - MW values must be within defined Masterfile limits - Pmin outages can't overlap - Outages that are "OUT" can't be cancelled - Switching is required for "Out of Service with Special Setup" - Equipment Derating must be within Emergency values - "Out of Service" requires equipment

06-129 Outage submission The software solution shall provide the ability for the EIM Entity Scheduling Coordinator to submit Planned and Forced Generation Outages and Derates to the CAISO OMS via API.

06-130 Outage submission The software solution shall associate CAISO OMS acknowledgements (success or failure) to the submitted Planned and Forced Generation Outages and Derates.

06-131 Outage submission The software solution shall provide the capability for the EIM Entity Scheduling Coordinator to revise, via an API, Outages and Derates which have previously been successfully received/processed by the CAISO OMS.

06-132 Outage submission The software solution shall provide the capability for the EIM Entity Scheduling Coordinator to query for status and information on Planned and Forced Generation Outages and Derates which have been successfully received/processed by the CAISO OMS.

06-133 Outage submission The software solution shall provide the capability for the EIM Entity Scheduling Coordinator to receive CAISO notifications related to Planned and Forced Generation Outages and Derates which have been successfully received/processed by the CAISO OMS.

06-134 Outage submission The software solution shall have the ability to automatically submit to CAISO an automatically created outage derate/rerate.

06-135 Outage submission The software solution shall allow users to submit Facility Outage Definitions for equipment types allowed by CAISO OMS.

06-136 Outage submission The software solution shall provide an interface to send and receive Transmission Outage data with the RC software via API.

06-137 Outage submission

The software solution shall provide the ability to produce the information required by the CAISO for submitting Transmission Outages, including: - Identification and location of the transmission software element(s) to be maintained; - Nature of Work to be performed; - Modeled software Outage boundaries at the Facility and/or breaker/switch level to facilitate the equipment Outage; - Date and time the Outage is to begin; - Date and time the Outage is to be completed; - Emergency Return Time – The time required to terminate the maintenance and restore the transmission software to normal operation; - Short description of the outage; etc.

06-138 Outage submission The software solution shall submit transmission assets to CAISO based on their name in the CAISO OMS.

06-139 Outage submission

The software solution shall provide the capability for TPU to submit TPU approved generation and transmission outages into the RC's OMS via an API. Outage types shall be aligned with the Reliability Coordinator's outage coordination process required by IRO-017, including the following outage Types: Force Automatic, Forced Emergency, Urgent, Operational Transmission, Planned, Opportunity, and Informational.

06-140 Views & Reports The software solution shall provide the ability to export Planned and Forced Generation Outages and Auto Created Derate data to support the analysis of the impact on the BAA (e.g. PSSE, Power world, State Estimator) (Next Day Study tool)

06-141 Views & Reports The software solution shall visibly distinguish between TPU and non-TPU outages when users are viewing outages.

06-142 Views & Reports The software solution shall provide the ability to export Outage data (including non-TPU outages imported from the Reliability Coordinator's) for use in TPU's Study Tools.

06-143 Views & Reports

The software solution shall provide the capability to add multiple, distinct filter sets to aggregate outage data for reporting, such as the Outage Calendar and Study Tool export file. These filters must include: - Voltage - Utility (e.g., TPU or BPA) - Recurrence Type (e.g., continuous, vs non continuous) - Start and end times - Status (e.g., proposed, confirmed, cancelled)

06-144 Views & Reports

The software solution shall provide user interfaces to create and modify Transmission Outages, including: - Planned Transmission Outage; - Planned Equipment Derate; - Forced Transmission Outage; - Forced Equipment Derate. A Planned Outage is defined by CAISO as an outage that is more than seven full calendar days in advance of the outage start, while a Forced Outage is seven days or less. TPU workflows may not align with these definitions (e.g., users may initiate a "Planned" outage less than seven days in advance).

06-145 Views & Reports The software solution shall provide the Transmission Outage information required by CAISO for equipment derate reporting.

06-146 Views & Reports The software solution shall provide data in XML format to meet the import requirements of NERC TADS forms 3.1 (Detailed Circuit Inventory), 3.2 (Detailed Transformer Inventory), 4.1 (AC Circuit Outage Data), 4.3 (Transformer Outage Data), 5 (Event ID Codes), 6.1 (AC Circuit Non-Automatic Outage Data), and 6.3 (Transformer Non-automatic Outage Data).

06-147 Views & Reports The software solution UI shall have the functionality to allow users to create user configured reports for generation and transmission outage related data.

06-148 Views & Reports The software solution shall collect all of the necessary data to produce from within the tool all reports meeting NERC GADS, TADS and Mis-operation requirements.

06-149 Views & Reports The software solution shall provide the capability to produce a report that meets the requirements for NERC GADS, TADS, and Mis-operations reporting.

06-150 Views & Reports

The software solution shall support NERC reliability standards compliance reporting by allowing the specification of NERC event Reporting Categories. These include: - Changes in Real Output Capabilities - If outage affect a Blackstart Unit- Notification for TOP-002 R14.1 - Protective Relay/Equipment Out of service - Notification PRC-001 R2 - Plant Relay Operations - Notification for PRC-004 R2 - AVR, PSS, or DSTATCom Status Change - Notification for VAR-002 - Unable to Meet TOP or BA Instructions - Voltage Schedule Deviation

06-151 Views & Reports The software solution shall provide the ability for users to export data to support FERC 714 reporting.

06-152 Views & Reports The software solution shall produce reports that include user entered comments, input assumptions, sources of input data, field personnel notes.

06-153 Views & Reports The software solution shall provide users the ability to modify the list of fields included in a report, modify the criterion for which data is returned, modify the layout of the report, save the report, view the report, and export the results of the report.

06-154 Views & Reports The software solution shall contain standard "out of the box" reports to support outage management reporting.

06-155 Views & Reports The software solution UI shall allow for created report templates to be saved for the purpose of regenerating the same report at a later date (i.e. ability to turn ad hoc reports into standard reports).

06-156 Views & Reports The software solution shall enable the option to include and exclude non-TPU outages in reports.

06-157 Views & Reports

The software solution shall provide the capability to produce an output file for a unit that meets the requirements for FERC 714 reporting related to Generation Outages. Specifically: - Part II - Schedule 1 (d)Available plant capability at time of the annual peak. (e)Actual plant at the time of annual peak by plant - Part II - Schedule 2 (d)Planned outage and derating MW's for all units at each monthly peak (e)Unplanned outage and derate MW's for all units at each monthly peak (f) Other outage and derating MW's for all units at each monthly peak

06-158 Views & Reports The software solution shall have the functionality to produce a Forced Outage report for TPU internal Compliance. This report is basic data (e.g. plant, start, end, MWs) for Forced Outages.

06-159 Views & Reports The software solution shall provide the capability to produce a report that summarizes all outages starting or ending for the next day.

06-160 Views & Reports The software solution shall allow for the extraction of outages, for all TPU and non-TPU resources, for a minimum of 7 calendar years in the past and 5 calendar years in the future.

06-161 Views & Reports The software solution shall have the capability to show Outage data as charts, including Gantt charts, graphs, and tables.

06-162 Views & Reports The software solution UI will allow the viewing of Gantt charts with different time granularities (e.g. allow a zoom in / zoom out time granularity change similar to MS Project).

06-163 Views & Reports The software solution workflow shall support the ability to add or modify outages after the fact to support GADs, TADS, and Mis-operations procedures.

06-164 Views & Reports The software solution shall provide record of modifications and Submissions for outage requests.(e.g. created by, creation date/ time, last modified by).

06-165 Views & Reports The software solution shall support data versioning of outage cards. The user shall be able to see what the values were for a specific outage at a specific date and time and how it has changed over time.

06-166 Views & Reports The software solution shall have an operator log. This log shall have drop down menus for classifications and types of logs (including but not limited to role, equipment, date/time (editable and actual times), and freeform space.

06-167 Views & Reports The software solution UI shall include an IT log that captures information related to key Generation and Transmission processes such as the status of jobs, workflows, interfaces, etc. The IT log shall include timestamps, job names, statuses and other similar meta data to support troubleshooting.

06-168 Views & Reports The software solution shall be searchable on all fields and key words.

06-169 Views & Reports The software solution for logging functionality shall have access provisioned per roles and roles granted to all users. This shall be configurable by TPU.

06-170 Views & Reports The software solution for logging functionality shall have export capability in the form of excel spreadsheets and other.

06-171 Workflow Management The software solution shall have security groups/roles that prevent specific users from accessing or modifying Transmission related outages or information.

06-172 Workflow Management The software solution shall allow users to modify a Planned Generation outage before, during and after the resource is offline. This includes updating start time, stop time, impact (reduction amount), switching instructions, notes, and actual outage times.

06-173 Workflow Management

The software solution shall support the management and approval of Generation outages through defined workflows based on the type of Outage, the start date of the Outage or other defined criteria. At a minimum the following workflows shall be supported: - Planned Generation Outage – there are likely to be two or three variations of this workflow depending on whether the outage is a wholly owned TPU facility or a JOU - Forced Generation Outage – there are likely to be three or four variations of this workflow depending on: o How far in advance of outage start time it is created o Whether there is any flexibility in the outage start time o Specifics of the outage (e.g. due to BPA transmission limits) o Who created the outage - Auto Created Derates – there are likely to be two variations depending on whether an outage was imported or created in OMS

06-174 Workflow Management

The software solution shall provide the capability to set up notification groups, including emails and/or phone numbers. Users can configure business logic for when these groups are notified, including selecting groups to be notified for all outages, or for a defined subset (e.g., outages on a specific resource). Notifications shall be sent in HTML format (emailed to email groups and SMS Text to phone numbers).

ID Function 07 – General Requirements

07-001 Audit\Error Management

The software solution shall have an Audit Trail functionality that tracks changes (create, modify, delete) for all objects in the software. At a minimum the audit trail must include date, user, 'applicable attributes' and activity type including who made the change, when the change was made, as well as the original and current values that were modified or deleted. We respectfully request Deleted objects be handled via a status change so audit trail can be maintained or data can be recovered or reported.

07-002 Audit\Error Management The software solution shall have the capability to assign unique identifiers for every object and transaction shall be reportable, filterable and auditable

07-003 Audit\Error Management

The software solution shall provide the users the ability to see and report the details of all transactions for auditing purposes, such as but not limited to the following objects/scenarios: Schedule information, Date of creation of deal and delivery date, Location of deal, Counterparty, Receiver/Sender, Quantities, price and total quantity and total dollars, Start and stop hours, delivery hours, HLH and LLH, Broker, trader or phone, iTAP (how the transaction was accomplished),Contract, Pricing (index, fixed, both, tiered, etc.),Credit limit at the time of enter of the transaction in to the software of record, Commodity type, Comments, Audit trail (Changes or adjustments made to the transaction, by whom, and when),Trade desk, Trader, Other (as defined for implementation)

07-004 Audit\Error Management The software solution shall promote price transparency and audit functions by housing all approved prices, historical prices, settlement prices, and forward curves in one authorized repository.

07-005 Audit\Error Management The software solution shall provide the ability to perform review of user-security schema changes via audit querying / reporting functionality

07-006 Audit\Error Management The software solution shall have the capability to have pop-up acknowledgements logged in the audit trail with date/time, message, and user who acknowledged the pop-up.

07-007 Audit\Error Management All objects (i.e. counterparties, contracts, deals, etc.) entered in the software solution shall have the ability to be statuses (i.e. pending, approved, etc.).

07-008 Audit\Error Management The software solution shall contain security event logging (i.e. user access, configuration change, etc.).

07-009 Audit\Error Management The software solution shall provide the ability to track and report on all changes to transmission data, including the date, time, and person/interface/program that modified the data

07-010 Audit\Error Management The software solution shall support alert notifications for various exception criteria such as report failures, direct database changes, security changes, etc.

07-011 Configuration The software solution shall provide customization through configuration. Configuration items may included but not limited to the following items: wizards, short-cuts, keyboard customization, templates, drop-down list, pre-populations of data, ad-hoc report

07-012 Configuration The software solution shall provide screens which are completely configurable through an Admin Tool. The Admin Tool shall allow authorized users to define the type of fields from a library of controls such as drop downs, text boxes, as well as, complex controls such as availability segments and contact/user selectors.

07-013 Configuration The software solution shall provide flexibility in configuring text color, text size, column widths, and field color.

07-014 Configuration The software solution shall have the ability to round out to any decimal place set by the user or administrator.

07-015 Configuration The software solution shall have the capability to minimize manual entry of data to the greatest extent possible by implementing an "enter once" philosophy.

07-016 Configuration The software solution shall allow data and formulas to be highlighting multiple and single rows to be copied and pasted from an external software or Excel. (The exception to this rule is that the user shall not be permitted to write to calculated or protected fields and lines)

07-017 Configuration The software solution shall provide on-line help, accessible from within the UI.

07-018 Configuration All available screens in the software solution shall be printable. Outside of standard OS operating software tools.

07-019 Data Management The software vendor shall offer a Data Warehouse solution as part of their product that can be used to store historical data and allow efficient reporting to be completed. TPU requests that pricing for this module be listed separately from other modules so that the cost/benefit can be calculated internally.

07-020 Data Management The software solution shall provide the ability to attach notes in various deals, schedules, tags and to categorize notes based on a user-defined list of options

07-021 Formula Building The software solution shall have the ability for new formulas be built or make refinements to existing algorithms and calculated parameters by an authorized user.

07-022 Formula Building The software solution shall have the ability to define formulas in the solution (such as floor, adder, ceiling, multiplier and use of index base or $ base for calculating price per unit (such as MWh or kWh)).

07-023 Formula Building The software solution shall allow calculations to include multiple schedules and constants.

07-024 Formula Building The software solution shall support logical calculations, such as: - If, then, else, - >, - >=, - equals, - <, - <=, - !, - or, - and

07-025 Formula Building The software solution shall have the ability to have nested formulas.

07-026 Import/Export Data The software solution shall provide the ability to export/import data via CSV, XML, PDF, Word, Excel, MS SQL Database

07-027 Performance Management The software solution user interface all pages within a 5 second window to meet performance requirements. This does not include report creation, but just general screen loading and response times.

07-028 Performance Management For those displays showing live feeds, the UI shall be capable of dynamically refreshing data (tabular or graphical), as data changes, without any human interaction.

07-029 Performance Management The software solution shall support speed of report generation - The software solution shall provide the ability to generate general reports in less than 30 seconds

07-030 Performance Management

The software solution shall be optimized to provide performance consistent with a Real-Time operations software. Vendor will optimize queries, create indexing, create approaches to automatically manage table sizes and other similar techniques to prevent and minimize any performance degradation. The vendor will monitor performance on an ongoing basis and work collaboratively with TPU to tune queries, APIs or other functionality necessary to provide performance required for a Real-Time operational solution.

07-031 Performance Management The software solution shall have the ability to be scalable for future growth.

07-032 Performance Management Maximum licensed users shall be able to use software concurrently with no performance deration.

07-033 Performance Management software solution shall be able to handle a minimum of 150 trades in an hour.

07-034 Software Management The software solution shall support Single Sign-On capability linked to network log-in

07-035 Software Management The vendor shall provide documentation (user guides, help text, technical manuals, etc.) with the software solution on a commonly accepted media (i.e. online). TPU shall have the right to distribute/share any solution documentation to TPU users and management.

07-036 Software Management The software solution shall provide functions/tools to allow TPU personnel to configure customized error and/or help messages in the software solution. Online help texts and solution error messages for TPU to modify/tailor to their needs and the ability to retain these configuration during subsequent software releases.

07-037 Time Management The software solution shall allow for Manual entry of date or selection from a calendar, and shall apply to all other pages pertaining to that date, until changed by user. View dates shall be consistent across all displays.

07-038 Time Management The software solution shall have the capability to enter/configure holidays and be able to Deal, schedule, and settle appropriately. Able to handle multiple holiday calendars (i.e., NERC, Utah) (i.e.. NERC Holidays are considered as all day LLH not unless specified when trading).

07-039 Time Management The software solution shall allow the user to configure the time format (interval beginning, interval ending, 12 Hour clock with AM/PM, 24 hour clock, etc.)

07-040 Time Management The software solution shall provide the ability to view transactions at a yearly, monthly, seasonal, quarterly, weekly, daily, hourly and sub-hourly level including (e.g., 5,15, 30 min) granularity at deal entry

07-041 Time Management The software solution shall provide the ability to configure all applicable hourly block timeframes (e.g., peak = 6 x 16 in WECC/CAISO). allowing users the capability to configure on and off peak periods for the year (including, but not limited to hourly profiles, daily profiles, weekly profiles, WECC calendar, and NERC holidays)

07-042 Time Management The software solution shall have the capability to handle different time zones and apply appropriate time zones when trading or scheduling with others in different time zones. Allow the user to configure the time zone and the time zone shall be consistent on every display.

07-043 User Management The software solution shall provide the ability to setup and manage software user role / groups. The software solution shall provide the ability to grant access rights to view, add, edit, delete specific information and execute specific functions at the user level (role-based security)

07-044 User Management The software solution shall allow the ability to define user groups and configure user access and privileges based on individual users, roles, and groups controlled by admin users. Restrictions and Views controlled to screen or in some cases field level for segregation of duties.

07-045 User Management The software solution shall have the ability to support the following minimum password standards as set by the admin: For example, 15 character password, special characters, expiration date, non repeating historical passwords or sequences with an ability to set expiration date as needed.

07-046 Views & Reports The software solution shall provide the ability to re-run existing reports with an as-of date

07-047 Views & Reports TPU shall have full ownership and access to all data stored in the software solution. There shall be no restrictions to TPU accessing, exporting or replicating the data.

07-048 Views & Reports The software solution shall have the ability to capture/import/store information for a minimum of 10+ years into the past and 20 years into the future. Data shall be accessible and viewable to TPU employees on demand using current production softwares.

07-049 Views & Reports The software solution shall support 'drill-down' type capability. Drill down capability shall be provided on Summary Displays through fields identified in the solution. The data is then provided to the user with the ability to further drill down if the information is available.

07-050 Views & Reports The software solution shall have the capability to handle daylight savings changes. User/TPU shall be able to easily make changes to the daylight savings dates, if necessary. Deals, schedules, reports, and prices should reflect appropriate daylight saving time.

07-051 Views & Reports The software solution shall provide the ability to highlight changes made that have not yet been saved into the software

07-052 Views & Reports The software solution shall provide the ability for entities/users authorized by TPU to access data, whether calculations or other output results, programmatically. Three acceptable methods include: ODBC Connections, Standards compliant Web Service (XML),- CSV or TAB delimited file retrieved via Secure File Transfer Protocol (SFTP)

07-053 Views & Reports The software solution shall provide a minimum of 7 customizable context-sensitive data entry fields for all displays

07-054 Views & Reports The software solution shall provide the ability to view and select data via drop down lists

07-055 Views & Reports The software solution shall provide the ability to report based on dates / date ranges (i.e., “as of” dates, delivery dates, Deal dates)

07-056 Views & Reports Notifications of software updates shall be made in advance with the user able to select when the update will occur.

07-057 Views & Reports The software solution shall provide the capability to execute a search on all fields (free form text, comments, drop down, etc.). For example, a user may need to be able to filter and search for transactions based on a key word that may be in the comments field on a deal.

07-058 Views & Reports The software vendor shall assist in creation of configure/customized reports/displays that users will need to be able to run in the software. These reports and displays shall be savable and shareable between users. Such views to include (e.g., tabular data views, configurable graphs, geospatial, etc.) to present the data as applicable to the display’s purpose.

07-059 Views & Reports The software solution shall have the ability to create auto-generate, create periodic and ad-hoc reports for all output results. These reports shall have an option to be emailed, sftp, output to a shared drive.

07-060 Views & Reports Reporting is available from off the shelf reporting tools.

07-061 Workflow Management The software solution shall allow for configurable alert messages. For certain scenarios, "warning dialog boxes" or "messages" shall require users to confirm before dismiss the alert, and for other scenarios, the users chose to ignore the alert.

07-062 Workflow Management The software solution shall provide the ability to set up approval workflow throughout the software to facilitate tasks requiring review by and approval from multiple users

07-063 Workflow Management The software solution shall provide the ability to create configurable calendar and email notification to provide alerts of upcoming events such as expirations and reviews or workflow required within the software.

07-064 Workflow Management The software solution shall support data-level validation upon entry (i.e., denote required fields) customizable by admin users

07-065 Workflow Management The software solution shall allow for transaction approval rules such as, deal length, volume, value ($ amounts) and type by role or department.

07-066 Workflow Management

The software solution shall have the ability to define business rules unique to TPU, with various controls including hard and soft stops. The software solution shall have the ability to inject business rules based on data and events into the solution. For example, a TPU user shall have the ability to program a trigger based on an event in the software and write code (JAVA, C#, or other languages) with business logic that can be executed.

ID Function 08 – Operations Technology (OT)Requirements

08-001 API Interfaces The software solution shall have the ability to apply custom enhancements whether it though an SDK/API or professional services. This may include but is not limited to fonts, colors, backgrounds banners, buttons, styles, frames, progress bars, etc.

08-002 API Interfaces The software solution shall have the ability to allow external program interfaces, through APIs or other means, to extract or insert data in order to interface with other Tacoma Public Utilities solutions.

08-003 API Interfaces The software solution shall provide ability to customize via an current industry recognized software suite and programming language (i.e. R,C#,Visual Studio/.Net, Eclipse/Java, Python, PowerShell etc.)

08-004 Data Management The software solution shall provide user configurable alert and notification mechanisms (e.g. pop-up, audio alarm, system log, SMS text messaging, e-mail) for data transfer and logic failures. (e.g. interchange schedule failure to map, data transfers fail, data retrieval fails).

08-005 Data Management The software solution shall have configurable archiving/purging capabilities so that identified data can be archived as needed or purged if no longer needed. Archiving can be in the form of snap shots in regular intervals or audit trail with history to aid in problem resolution.

08-006 Data Management

The software solution's production environment shall be backed up on at least a daily basis. The backup should consistently overwrite the QA environment so it is refreshed on a configurable basis (Daily, weekly, etc.) or on-demand with what is in production to aid in production support. TPU shall be able to enable or disable the nightly DB restore to accommodate testing in the QA environment. The purpose is to consistently verify the DB backup/restore process is successful and provide a near production environment to replicate and diagnose system issues observed in production.

08-007 Data Management The primary vendor shall be responsible for ensuring the solution shall be fully integrated with all modules from all vendor(s) (primary and subs).

08-008 Database Management The software solution shall work with industry recognized RDBMS and up to date with current market standards in the backend (i.e. SQL server).

08-009 Hardware Management The software solution shall have the option to be hosted onsite in the City of Tacoma data center.

08-010 Hardware Management The software solution shall operate in a multi threading/memory optimizing environment to leverage standard server architecture.

08-011 Hardware Management The software solution shall be able to scale based on demand or operate in a distributed computing environment (i.e. via load balancing).

08-012 Hardware Management The software solution shall provide an operating environment that is supported by relevant technology platform provider (i.e. Microsoft (Windows), Oracle (Unix), Red hat (Linux), etc.). Vendor must provide minimum and ideal hardware/software specification to operate the software solution.

08-013 Performance Management The software solution shall not have unused open connections to database, able to clean up connection when database transaction is completed, and limit amount of open connections per working session so to not impact database performance.

08-014 Performance Management

The system performance must not be affected based on these factors: - an extended all day connection - number of concurrent users to the DBMS - memory utilization on clients and servers.

08-015 Regulatory management The software solution shall be current with regard to NERC CIPS compliance. In addition any on-going improvements and changes required by NERC shall be successfully implemented, on time and on schedule for any due dates required by NERC.

08-016 Regulatory management

If designated a Critical Cyber Asset (CCA) (not expected) it shall adhere to all CIP compliance controls. Regardless of CCA designation, the software solution shall be managed and secured such that: - Unauthorized and authenticated access to non-public or SOC sensitive data is restricted - All authorized and authenticated access is logged - All failed or unauthorized access is logged and alarmed - All electronic communication is encrypted (e.g., SSL or similar) - All user account management and password validations shall follow generally accepted practices

08-017 Software Management

The software solution shall provide a hosting option that can provide different operating environments: - Development - Testing - Training - QA w/ DR - Production (with DR) - Sandbox (nightly backup of production shall be restored to the sandbox environment)

08-018 Software Management The software solution shall have ability to monitor/manage license usage.

08-019 Software Management If web based, the displays shall be accessible using a standard modern web browser (i.e., internet explorer, google chrome, Mozilla Firefox, etc.) and maintained in latest versions with current operating systems.

08-020 Software Management Identified TPU personnel must have access to solution support via an account executive and/or vendor support via various communication method (i.e. e-mail, phone, web, etc.) 24 hours a day and 7 days a week.

08-021 Software Management The vendor shall have a user group presence to allow support personnel from different organizations to share knowledge. The user group are organized independently or administered/monitor by their organization.

08-022 Software Management

The software solution shall describe the security strategy including virus protection, unauthorized access and service attacks. The vendor shall further describe whether or not the software solution distinguishes back office transactions or transaction adjustments from other functional areas as defined in the software solution architecture. The vendor shall describe whether or not the mechanisms are embedded in the software solution to secure functional activities for any desired control points.

08-023 Software Management The vendor shall have a clearly defined patch/release process. This process shall include a testing cycle that is performed by the vendor. Results from the test and details about the patch/release shall be provided in release notes with enough time for TPU to perform internal testing/auditing.

08-024 User\Security Management The software solution shall implement Lightweight Directory Access Protocol (LDAP) to manage user access if access is controlled at the network layer.

08-025 User\Security Management The software solution shall provide capability to allow ad hoc query and reporting but not allow unauthorized personnel to make any data updates via the query/reports.

08-026 User\Security Management The software solution shall provide ability to configure various application security: system security (by user, functional area, screen, field, etc.) and user access capabilities based on security level.

ID Function 09 – Interface Requirements

09-001 CAISO The software solution shall interface with CAISO's ALFS for retrieve load forecast data.

09-002 CAISO The software solution shall be able to interface data with the CAISO BSAP application. This shall include but is not limited to the submission of base schedules, retrieval of base schedules, and retrieval of other relevant BSAP information that CAISO makes available via API.

09-003 CAISO The software solution shall be able to interface data with the CAISO ADS application. This shall include but is not limited to the retrieval of DOTs, DOPs, Start/Stop instruction notifications, and retrieval of other relevant ADS information that CAISO makes available via API.

09-004 CAISO The software solution shall be able to interface data with the CAISO CMRI application. This shall include but is not limited to the retrieval of T-40/T-55/T-75 base schedules, balancing test results, pricing data, expected energy details, market awards (RTPD and RTD), and retrieval of other relevant CMRI information that CAISO makes available via API.

09-005 CAISO The software solution shall be able to interface data with the CAISO MRI-S application. This shall include but is not limited to the submission of meter data, retrieval of meter data, download of settlement statements and determinants data, download of invoices, and retrieval of other relevant OMAR information that CAISO makes available via API.

09-006 CAISO The software solution shall be able to interface data with the CAISO webOMS application. This shall include but is not limited to submission of generation and transmission outage cards (Pmin rerate, Pmax derate, ramp rate change, etc.), retrieval of generation and transmission outage cards, and retrieval/submission of other relevant webOMS data that CAISO makes available via API.

09-007 CAISO The software solution shall be able to interface data with the CAISO Masterfile application. This shall include but is not limited to the retrieval of RDT data and retrieval of other relevant Masterfile information that CAISO.

09-008 CAISO The software solution shall be able to interface data with the CAISO OASIS application. This shall include but is not limited to the retrieval of pricing data, load forecasts, GHG index prices, and retrieval of any other relevant OASIS information that CAISO makes available via API.

09-009 CAISO The software solution shall be able to interface data with the CAISO SIBR application. This shall include but is not limited to the submission of energy bids and all necessary hourly/daily components, retrieval of clean bids, and retrieval/submission of any other relevant SIBR data that CAISO makes available via API.

09-010 CAISO The software solution shall be able to interface data with the CAISO BAAOP application. This shall include but is not limited to the submission of Intertie Schedules, Limits, and retrieval/submission of any other relevant BAAOP data that CAISO makes available via API.

09-011 CAISO The software solution shall be able to interface data with the CAISO ALFS application. This shall include but is not limited to the submission of forecast data and retrieval/submission of any other relevant ALFS data that CAISO makes available via API.

09-012 CAISO

The software solution shall have the ability to automatically or on-demand import SQMD (Settlement Quality Meter Data) for interchange, generators, and load from TPU’s internal metering softwares in the granularity provided by those softwares, including 5-minute, 15-minute or 60-minute granularities. The software solution shall be able to save the source software since there may be multiple versions of the meter data (PI, MV-90, etc.). This meter data shall be used for submission to CAISO MRI-S.

09-013 CAISO The software solution shall be able to export settlement/financial (CAISO invoiced amounts, TPU invoiced amounts to customers/counterparties) related data at various level of grouping/aggregation to TPU's SAP software

09-014 CAISO The OMS software solution shall interface with the Trading/Scheduling software. The payload shall include (but not be limited to) resource name, limitation, duration (start and stop), and outage record number.

09-015 CAISO The software shall provide the ability submit schedules and receive bid awards to and from CAISO via standard API / adaptor

09-016 Data management All interfaces shall be able to be configured to transfer data periodically in intervals ranging from one (1) minute to sixty (60) minutes to multiple hours or days based on triggers or responses as designed by the project.

09-017 Data management The software solution shall have the capability of making multiple attempts, and issuing diagnostic messages and failure alerts, when communicating with other solutions.

09-018 Data management The interface between the software solution and RDBMS shall support both hourly and sub-hourly price/MW/other data exchange down to 1 minute granularity

09-019 Documentation

During implementation, the Vendor shall develop a detailed design document for each interface subject to TPU review and approval. The detailed design document shall include the methodology used for its development, its intended purpose, anticipated utilization frequency, a detailed description of each of the parameters/data elements being passed from/to each application/software as well as its expected performance.

09-020 Import/Export Data The software solution shall have the ability to sequence the callouts for EDIE and for any interface task. The software solution shall allow for EIDE call outs to be scheduled and linked/sequenced so that one task does not start until another task has completed.

09-021 Import/Export Data The software solution shall provide functions to connect with external interfaces to ingest data and have interface to connect with other softwares to export data (i.e. NERC registry etc.).

09-022 Import/Export Data The interface between the software solution shall support export of all data values for all transactions such as counterparty, delivery points, adjacent BA, transmission components for each path of the transaction, import, or export, commodity, contract, intermediary counterparties, etc.

09-023 Import/Export Data The software solution's data exchange capability shall exist between internal/external applications which shall adhere to a standard data communication protocol (i.e. XML, JSON etc.)

09-024 Import/Export Data The software solution shall provide importing mechanism to auto (or on demand) import any amount of trading data, scheduling data, load forecast data, outage data, pricing data in bulk.

09-025 Import/Export Data

The software shall provide the ability to automatically update all NERC entities (CA, TP, PSE, Source/Sink Points, POR/POD Points, etc.) from the NERC registry. software will provide the ability to support all XML elements defined in the most current e-Tag Schema software and will remain current with any NERC updates/changes. Frequency on a daily basis or on demand to update each counterparty entities.

09-026 Import/Export Data

The software solution shall be able to auto import price indexes from multiple sources, users need to be able to verify that each day's prices are loaded into the software, are complete and accurate, need to be able to query by location, index (existing: ICE, Dow Jones, Powerdex, Kiodex), hub, HLH, LLH, month, date, day of prices and prices shall be the same and consistent in reporting and scheduling software. As new indexes are added or needed in the future, the software solution shall allow for easy addition of these new points.

09-027 Import/Export Data The software solution shall have the ability to import various forecasts (resource generation, load, Transmission, Capacity calculation, etc.) from HERA (Hedge Evaluation Resource Analysis) for up to 5+ years and STOMP (Short Term Operating Market Plan) for Balance of Month and Prompt Month to assist with position management.

09-028 Import/Export Data The software solution shall import the current Western Interchange Tool (WIT) model and automatically update the static data in the software on at least a weekly or user demand basis.

09-029 Interface Management The vendor shall provide upgrade/patch to the software when various interfaces adopts new changes/release decided by any regulatory entity (for example NAESB).

09-030 Interface Management

The vendor shall provide Tacoma Public Utilities a single-source data solution with the goal to eliminate duplication of data within the organization. This would include the following scenarios: Link with the organization’s existing databases that contain trading and related information, Import data from existing data stores into the proposed solution. Please address the following data migration requirements: The vendor shall describe the different file formats their solution allows for data import. Examples include delimited text, Excel, Word, Access DB’s and others. The vendor shall explain whether or not their solution provides or supports integration middleware (e.g. XML Messaging, Enterprise Service Bus). If so, list and explain.

09-031 Interface Management The software solution shall be able to exchange data with TPU’s Corporate Data Warehouse via it's standard API function(API, Function, support of ODBC connection). This Warehouse uses SQL Server. Alternatively, the software solution would include a data warehouse product to accommodate energy commodity market operation.

09-032 Interface Management The software solution shall ensure that the modifications in interfaces are made in the correct order (i.e., delete does not occur before insert and the latest updates are applied)

09-033 Interface Management The software solution shall include the capability to “fetch” data and/or values from the other softwares as needed

09-034 Interface Management

The software solution shall support at a minimum the following basic EIDE transactions (for more detail look at the EIDE communications protocol): - Get schedule data outbound and inbound - Get meter data outbound and inbound - Get power software data outbound and inbound (GetPSD) - Put meter data outbound and inbound - Put schedule data outbound and inbound - Put power software data outbound and inbound (PutPSD) - Send and receive messages

09-035 Interface Management

The included interface shall be able to provide, at a minimum, the following functionality: - Mapping between specific EIDE partners with multiple URL’s (primary and failover) - Support Transport Layer Security and client certificates (as required by WECC RC and other counterparties) - Mapping between EIDE account codes and specific EMS attributes. - Mapping of data summations to a single account code. For example the Net Scheduled Interchange or the Net Operating Reserve Obligations - Mapping of any type of MWh data contained in the software solution to any EIDE method (schedule to PutMeter and GetMeter as well as PutSchedule and GetSchedule) - The software solution's EIDE interface must handle both synchronous and asynchronous inbound Get and outbound Get methods. - Mapping of schedule data to Energy Accounting values - Mapping of meter data to Energy Accounting values - Mapping of hydro (water) data to specific date/time address targets - Definition of dataset transfer periodicity unique to each dataset and partner - Definition of whether last hour only or Hour Ending 01 to last current Hour Ending for meter data is to be transferred. - Ability to transfer on-demand either last hour meters or HE 01 to last hour meters based on user selection. - Ability to define inbound or outbound meter data that needs to be inverted (multiplied by negative 1). - Ability to limit the number of hours in the past and future that shall be accepted. - Ability to send schedules on demand. - Ability for any data set and transfer method to be manually initiated

09-036 Interface Management The software solution shall provide a UI for privileged user to submit EIDE transaction(s) manually. The user shall be able to choose specific EIDE transaction type, counterparty, dataset, and time period of the data.

09-037 Interface Management The software solution shall support EIDE data compression (when values don’t change between hours, the starting and ending date/time would span multiple hours) both inbound and outbound.

09-038 Interface Management The software solution shall be an independently configurable option for the outbound compression

09-039 Interface Management The software solution shall handle the inbound compression

09-040 Interface Management The software solution shall support notification to user when specified data sets are received from a specified partner

09-041 Interface Management The software solution shall be able to provide all of the required next X hours of planned schedules for load, generation, reserves, and similar forecast information throughout the day based on the RC's data request specification developed in accordance with IRO-010.

09-042 Interface Management

The software solution shall produce a backup "Real-time NSI" in the same format as the OATI WIT with 1 minute granularity of schedule changes such as curtailments, reloads, and sub-hourly schedules. The quantity objects for the "Real-time NSI" are in step function format (start and stop times are the same) and span 2 hours into the future and 10 minutes into the past. The calculated "Real-time NSI" quantities must be ramped according to WECC default ramp rates which is 10 minutes straddle ramp for mid-hour changes and 20 minutes straddle ramp for top of hour changes.

09-043 Interface Management The software solution shall have the ability to interface with ICE and Web Exchange to extract/process energy deals in Real-Time.

09-044 Interface Management The software solution shall have the ability to interface to/from ICE the adjusted available balance with credit management information.

09-045 Interface Management The software solution shall interface with the external Hydro Optimization tool to retrieve data needed for base schedule and bid creation.

09-046 OASIS The software solution shall interface with OASIS web services for transmission information.

09-047 OASIS The software solution shall support all capabilities of the OASIS WECC nodes.

09-048 OASIS The software solution shall be capable of supporting the full OASIS standard for trading transmission (NAESB S&CP).

09-049 OASIS The software solution shall create corresponding OASIS transaction(s) based on transmission being scheduled in the software.

09-050 OASIS The software solution shall provide UI for users (based on role and provisioned access) to create OASIS reservation requests manually.

09-051 OASIS The software solution shall retrieve all necessary transaction activity data and capture raw transactions from OASIS for troubleshooting and auditing purpose.

09-052 OASIS The software solution shall ensure that the user is able to create a transmission reservation request for the future and schedule the request for submittal to the OASIS node such that the request arrives at the OASIS node within 1 second or less of submittal time.

09-053 OASIS The software solution shall ensure that when scheduling a request for submittal to the OASIS node, the user is able to schedule date and time to the nearest second.

09-054 OASIS The software solution shall ensure that the OASIS reservation requests for reassignment and redirect are generated automatically from the parent OASIS reservation from within the software when the user selects the parent reservation and selects to reassign or redirect.

09-055 OASIS The software solution shall keep track of and display any parent or child reservation numbers associated with reassignment or redirect.

09-056 OASIS The software solution shall ensure that the OASIS interface updates the reservation status both by notification from the OASIS node and by periodically scanning reservation requests that are not in a final state.

09-057 OASIS The software solution shall provide the capability to translate between scheduling information and OASIS information.

09-058 OASIS The software solution shall ensure that all types of information are capable of being translated including but not limited to: Counterparty Name, Price, Unit (MW vs kW), POR and POD.

09-059 OASIS The software solution shall stay current with all industry (NERC, FERC, WECC, etc.) and OASIS vendor updates and versions to ensure compatibility and connectivity.

09-060 Software Management The vendor shall design the required interfaces with sufficient redundancy and provide the necessary tools and processes to be managed by TPU privileged Users.

09-061 Software Management All interfaces that are developed by the vendor, as part of this work are supported by the vendor as part of the vendor base product with future product releases.

09-062 Tagging The software solution shall interface with an e-Tagging web services for e-Tagging functionality.

09-063 Tagging The software solution shall be capable of supporting the full e-Tag (latest version 1.8.3) standard for trading power.

09-064 Tagging The software solution shall create corresponding e-Tag transaction(s) based on any schedules created in the software.

09-065 Tagging The software solution shall provide UI for privileged user to create e-Tag manually.

09-066 Tagging The software solution shall provide enough logging to the e-Tag transaction activities and capture raw transactions for troubleshooting and auditing purpose.

09-067 Tagging The software solution's e-Tag capability shall be updated by the vendor whenever there are industry updates to a new version of e-Tagging.

09-068 Tagging The software solution shall be capable of automatically detecting and recovering missing tags and all subsequent status adjustments in the e-Tag software.

09-069 Tagging The software solution shall be capable of ensuring the e-Tag software displays all e-Tag components and allows the authorized user to change the components when appropriate and restrict changes when appropriate based on the composite e-Tag state

09-070 Tagging The software solution shall allow the user to generate a fully compliant and correct e-Tag from any capacity or energy schedule

09-071 Tagging The software solution's generated e-Tags shall include all types of tags included in the e-Tag specifications. (i.e., spinning, non-spinning capacity tags, dynamic tags, pseudo-tie tags, normal tags, emergency tags)

09-072 Tagging The software solution shall be capable of associating inbound e-Tags with one or more schedules ensuring that adjustments to e-Tags are propagated to the associated schedule(s).

09-073 Tagging The software solution shall support a many-to-many relationship between e-Tags and schedules.

09-074 Tagging The software solution shall be capable of ensuring that adjustments to e-Tags with multiple schedules allows allocation of the new quantity pro-rata across schedules and allow the user to adjust the quantities.

09-075 Tagging The software solution shall be capable of ensuring that the user is able to set a preference (flag) for whether the e-Tags or schedule changes generated are automatically submitted to the e-Tag Authority Service.

09-076 Tagging The software solution shall be capable of ensuring that adjustments to schedules associated with an e-Tag authored by TPU must generate an e-Tag adjustment.

09-077 Tagging The software solution shall be capable of ensuring that the users are able to vertically and horizontally stack transmission on schedules or transmission

09-078 Tagging The software solution shall have the capability to automatically create After The Fact (ATF) e-Tag adjustments for Dynamic and Pseudo-Tie schedules based on data retrieved/received via EIDE, other automated updates to the schedule quantities, or manual entry. Automatically apply ATF updates to the previous hour.

09-079 Tagging The software solution shall ensure that the user is able to select other hours in the past and manually send ATF adjustments

09-080 Views & Reports The software shall provide the ability to generate transfer history report

09-081 Views & Reports The software solution shall provide functions to generate reports, output data in a common format into other external applications/softwares (i.e. PDF, xls, csv etc.).

ID Function 10 – Testing Requirements

10-001 Availability Availability Testing shall be run for a minimum period of 1000 hours under full production conditions. The availability of the software as a whole, as well as the availability of each main sub-software, shall be demonstrated by the Availability Test. The test consists of normal software operations without special test equipment or procedures. Upon successful completion this phase, go-live shall occur.

10-002 Availability Any variances deemed necessary by TPU shall be resolved prior to the start of Availability Testing. If a change is required during the test, TPU and the Vendor shall mutually agree on the schedule to perform such a change as well as the impact of such a change to the Availability Test.

10-003 Availability The responsibility to conduct the Availability Test is TPU’s. TPU personnel will maintain all reports and records defined in the availability test procedure. TPU will operate the software according to the procedures described in the approved Vendor documentation. The Vendor should perform all preventive and remedial maintenance.

10-004 Deployment Testing

Prior to Installation, the Vendor should perform a complete and organized DB Conversion Test to verify that the software has been properly integrated and that in fact it is ready for start of configuration. The Vendor shall notify TPU at least ten (10) business days prior to the start of the DB Test. The Vendor shall be responsible for performing the initial DB Test tests. TPU shall have the option to be present for these tests at the Vendor’s facility. The Vendor shall produce a summary of the testing describing the results along with the identification of all open variances classified by type and expected completion date. Upon review of the test report, TPU reserves the right to delay the start of Configuration Testing if the quantity or severity of variances is deemed excessive. Remedial work shall be performed by the Vendor and the testing, where appropriate, shall be repeated.

10-005 Deployment Testing All tests shall be conducted by the vendor using the most current TPU-specific configuration, database, and displays. This should include a refresh from PROD of the TPU database including a subset of the currently developed displays. The Vendor shall ensure that the database and display linkages are maintained during the refresh. The Vendor shall notify TPU when the Test has been successfully completed and the software is ready for Installation.

10-006 Deployment Testing

The completion criteria for these Test shall include: - The tests have been successfully executed in accordance with the agreed test plans and procedures. Any errors found in the plan and/or procedures have been corrected and incorporated into the appropriate documents, including TPU provided Test Scripts. - All exit criteria as described in the Test Plan have been met. - All problems found prior to, or during, Conversion Test have been corrected or a plan exists to correct them. - Zero (0) open critical and major variances. - The total number of minor variances shall not exceed 50 open variances - Vendor has documentation proof that all failed events have been retested and confirmed that all critical and major variances have been corrected. - The Vendor Smoke Test completion report has been reviewed and accepted by TPU.

10-007 Documentation Management

A comprehensive set of test cases shall be provided by the Vendor to demonstrate that the software adequately meets all requirements including performance under test conditions. During the development of these test cases, emphasis shall be placed on testing each logic function and on checking for error conditions. These test cases shall be used during Site Acceptance Testing by the vendor and by TPU users through the testing phases.

10-008 Documentation Management

All test cases, except for Configuration Testing and User Acceptance Test, shall be submitted to TPU by the vendor for review and approval at least six (6) weeks prior to the start of the corresponding testing cycle. TPU will complete its initial review within four (4) weeks after receipt of these plans and procedures.

10-009 Documentation Management

Each test case shall be comprehensive and include the following as appropriate: - Test ID - Test title or function to be tested - A description/purpose of the test - Reference(s) and description of SOW requirements addressed - The test setup and/or initial conditions for the test - Description of the techniques, scenarios, and tools to be used to simulate software field inputs and controlled equipment If appropriate - Step-by-step descriptions to perform the test, including the anticipated input and user action(s) for each individual test step - Expected results for each test step or segment, including pass/fail criteria. - Area for the recording actual results of each step and the test as a whole.

10-010 Documentation Management

As part of testing, a complete record of all test results shall be maintained by the vendor for Site Acceptance Testing and Database Conversation Testing. At a minimum, the following items shall be included in these test records: - Test case ID - S/W Version - Date of the test - Test results for each test step or section of the test including a pass/fail indication - Any hardcopy or printouts supporting test results - Vendor’s and/or TPU's personnel performing or witnessing the test - Provision for comments by TPU's representatives - List of all defect reports generated - Test Environment

10-011 Documentation Management

The following conditions shall be satisfied prior to the start of any formal tests: - All test cases have been approved by TPU. - TPU has received, reviewed, and approved all relevant documentation, including design and maintenance documents, user manuals, test plans, and test cases - A complete refresh of the software/function and database subject to testing has been performed just prior to the start of testing.

10-012 Failover The vendor shall assist TPU with simulating a software failover/Disaster Recovery event such that TPU can validate that all softwares failover correctly.

10-013 Functional Testing The objective of this test is to verify the correct functionality of the software. The test procedures shall take into account any additional test equipment required to support testing. These functional tests shall execute all functions and exercise all devices, both individually and collectively, and shall verify the correct functional operation of all hardware and software.

10-014 Functional Testing

These tests shall include the following, as a minimum: - Verification of all software functionality. - Verification shall include all standard and custom functions as well as purchased options, as applicable. - Verification that all software has been correctly sized and meets TPU’s capacity requirements. - Verification of proper acquisition and data exchanges with all external softwares that will interface with the software As required, the Vendor shall provide appropriate simulations of the external softwares; such simulations must themselves be verified before being used. - Verification of all User Interface functions - Verification of software reporting capabilities including the creation, modification and printing of reports - Verification of the proper operation of local and wide area network devices, including bridges, routers, gateways, and the network as a whole by monitoring network traffic using diagnostic procedures and reconfiguration tests. - Verification of the application program and software development capabilities including, software configuration management, documentation management, User Interface development, Real-Time data set development, database generation and maintenance. - Verification of all hardware maintenance capabilities - Verification of the usability of all the screens and workflows

10-015 Parallel Testing Starting at least 2 months prior to go live, TPU users shall execute their existing process in the current production software and in parallel, execute the new business process in the new software solution. The vendor shall provide support for variances that occur during this time.

10-016 Performance Testing The performance test shall verify that software Performance expectations are fully met. Simulation shall be provided by the Vendor, where necessary, to create the conditions for the specified performance scenarios.

10-017 Performance Testing Execution of the performance tests shall be automated as much as possible so that test runs can be reproduced. The overall execution times of each of the applications shall be less than the maximum execution time indicated in the design document.

10-018 Performance Testing Vendor should provide a tool to automate performance testing and simulate the software load during high and normal activity and tools to validate/monitor the performance of the software.

10-019 Quality Assurance TPU shall have the right to constantly verify that the Vendor designs, develops and delivers a well-engineered, fully functional and contractually compliant software in a timely manner. To this effect, a Quality Assurance (QA) Program managed by the Vendor shall be followed throughout the project.

10-020 Quality Assurance

The Vendor shall ensure the use of industry accepted standards and well documented QA processes, techniques, and practices throughout this project and beyond. This QA program shall be adhered to for the requirements definition, design, development phases as well as unit and software testing of all project deliverables including documentation, hardware (if applicable) and software. Such a QA program shall be an aid to minimize variances and/or defects. TPU shall be given access to the Vendor’s QA program as well as all software deficiencies and their corresponding correction process throughout the project.

10-021 Quality Assurance

For the acceptance of the software, tests shall be performed at different stages of the project. TPU shall have the right to interrupt, delay or cancel any current or planned testing if TPU considers that the functionality of the software being tested, or expected to be tested, is not ready to be formally tested. The criteria to be used to make the readiness determination of the functionality shall be defined during the Statement of Work (SOW) phase with the selected vendor.

10-022 Quality Assurance The Vendor shall provide TPU written evidence of its QA Program as well as soft copies and or hard copies upon request of TPU of all associated Certificates (e.g., ISO 9001, CMMI - Capability Maturity Model® Integration) ensuring adherence to such program.

10-023 Quality Assurance The software solution shall be subject to discrete rounds of formal testing phases as detailed below. The individual role by TPU and by the Vendor for each group of test phases shall be as indicated below.

10-024 Quality Assurance Vendor Database Conversion Testing – this phase shall be conducted at the Vendor’s site by the Vendor. TPU shall have the right to be present for these tests and the Vendor shall supply documented test results to TPU. This group of tests shall be conducted as per Vendor’s supplied test cases as approved by TPU.

10-025 Quality Assurance Site Acceptance Testing - this phase shall be conducted onsite at TPU by the vendor with TPU SME's included. This testing shall consist of execution of the test cases created by the vendor that have been approved by TPU. During the Site Acceptance Testing, TPU will follow along the tests as the vendor executes them to ensure that they are passing. Once completed, TPU and the vendor shall sign off on the completion of this testing phase.

10-026 Quality Assurance

Configuration Testing (Functional / software Integration Testing) – this phase shall be conducted at TPU's site by TPU SMEs with on-site support from the Vendor. This group of tests shall include both structured and unstructured testing. The structured testing portion shall be conducted as per Vendor’s supplied test cases which shall be reviewed and approved by TPU. The unstructured portion shall be conducted using test cases created by TPU to ensure all requirements are met and the design is fulfilled in the provided solution.

10-027 Quality Assurance User Acceptance Testing (UAT) – this group of tests shall be conducted at TPU’s site by TPU users with on-site support from Vendor. This group of tests shall include both structured and unstructured testing. The structured testing portion shall be conducted as per Vendor’s supplied test cases as approved by TPU, as well as TPU's business process.

10-028 Quality Assurance Parallel Operations - this group of tests shall be conducted at TPU's site by TPU users with support available from the vendor. During this test phase, TPU users will execute their new processes in the new software solution and at the same time, continue to run their current processes in the current production software. The new software solution shall be treated like production, but not connected to any production environments.

10-029 Quality Assurance Availability Test – this group of tests shall be conducted at TPU’s site by TPU with support from Vendor. During this test, the software solution shall be treated like it is in full production mode. The purpose of this test is to ensure the software can operate successfully for an extended period (1000 hours) with no critical issues.

10-030 Quality Assurance All of the defined test phases above shall be conducted using TPU’s displays, database and hardware (if necessary). If TPU’s data is not sufficient to satisfy all testing requirements, the Vendor shall provide any supplemental test data as needed.

10-031 Quality Assurance All tools, utilities, and/or third-party software and their associated documentation (e.g., user and installation manuals) used by the Vendor to simulate software loading and usage conditions during the performance tests shall be provided to TPU as part of the software delivery. TPU will use these tools, utilities, and third-party software to conduct further testing as deemed necessary.

10-032 Roles & Responsibilities

Test Coordinators from both TPU and from the Vendor shall be designated prior to the start of any formal testing. The Test Coordinator shall be responsible for insuring that all test procedures are conducted in accordance with the requirements of this project. Each Test Coordinator shall have the authority to make binding commitments for TPU and/or the Vendor such as formal approvals of test results and scheduling of software/hardware corrections. During the development of the Statement of Work (SOW), TPU and the Vendor shall agree to the pass/fail criteria for each group of tests and for the overall software.

10-033 Roles & Responsibilities

The Vendor shall be responsible for conducting all Vendor Smoke tests. This responsibility shall include the record keeping. TPU shall have the option to be present during the Vendor Smoke Tests. The Vendor shall produce a summary of all tests conducted during Vendor Smoke Test. This summary shall be delivered to TPU for review at least thirty (30) days prior to starting Installation Testing. After the review of this summary, TPU shall have the right to decide whether or not the software is ready for Install.

10-034 Roles & Responsibilities

The Vendor and TPU shall jointly be responsible for conducting Site Acceptance Testing. The Vendor shall be responsible for record keeping with inputs from TPU.

10-035 Roles & Responsibilities

TPU shall be responsible for conducting Configuration Testing, UAT Testing, and Availability related tests. This responsibility shall also include the record keeping. The Vendor shall support these activities. At least one Vendor staff member, subject to TPU approval, shall be onsite during UAT testing.

10-036 Roles & Responsibilities

TPU IT shall conduct security, vulnerability, and penetration testing on the new software which shall be supported by the vendor as needed. Completion of this testing shall be one of the exit criteria for User Acceptance Test.

10-037 software Testing

The software Integration Testing shall include: - Loading of the software software and initializing the software - Attachment of the software to communications facilities for all data sources and other softwares that interface with the software - Initialization and preliminary execution and tuning of all advanced applications

10-038 software Testing Verification of proper acquisition and data exchanges with all external softwares that will interface with the software. As required, the Vendor shall provide appropriate simulations of the external softwares; such simulations must themselves be verified before being used.

10-039 Test Definition

The definitions of the time periods used in determining the duration of the Availability Test and the definition of the criteria for a successful test shall be as follows: - Unavailable - A function is unavailable, when it ceases to function in its entirety under normal operation in accordance with Vendor recommended and reasonable IT practices. For the specific case of functions that execute on only a single server at any one time, those functions are also considered unavailable for the period of time required for them to migrate to their backup server in the event their primary server fails. In the particular case of the user interface software, the loss of a single console does not render user interface functionality unavailable, as it remains fully functional on the remaining consoles. In the event of more than two (2) concurrent console failures, the UI shall be considered unavailable. Similarly, the occurrence of a non-critical application error alone does not render the respective application function wholly unavailable. - Downtime – time during which the criteria for successful operation are not met. Downtime shall be counted from the detection of the ill-operation until full restoration is achieved.

10-040 Test Definition

- Hold time – time period under which the software is down due to circumstances beyond the Vendor’s or TPU’s control. These events may prevent successful operation of the software but shall be discarded for the measuring of the software availability. Specific instances of hold time are: o Scheduled shutdown – During scheduled shutdowns or if an equipment failure occurs while its backup device is scheduled out-of-service, the resulting software outage shall be hold time, provided that service can be restored according to Vendor specified procedures within thirty (30) minutes. o Power interruption and environmental excursion – Loss of power or manual shutdown of the software in case of power excursion or the loss of environmental control shall be considered hold time. If the software is operated during periods of power or environmental conditions beyond those specified, any resultant downtime shall be considered hold time. o Intermittent failure – Periods during which an intermittent, recurring failure is experienced shall be considered hold time, provided that the Vendor is engaged in remedial action and normal operation of the software can be restored within thirty (30) minutes by Vendor defined procedures whenever the failure occurs. o Failure of hardware or TPU software – Time during which the software is down due to failure of software written or provided by TPU shall be considered hold time. Programs developed by TPU under Vendor supervision are specifically excluded from this provision. Similarly, periods of unavailability of critical SCADA functions as a result of the failure of external softwares or networks (including the telecommunications and wide area networks) not in Vendor’s scope of supply shall not contribute to downtime and shall be considered hold time. o Corrected design defect – Hold time may be declared by mutual agreement to ensure against similar future occurrences if a failure occurs due to a defect in design for which the Vendor defines and implements corrective measures. In such a case, hold time shall be allowed in increments of 120 hours to allow verification of the corrective action. o Logistics delays – If repairs are delayed due to previous use of spare parts or because of TPU's failure to purchase recommended spare parts, hold time shall be declared after diagnosis of the failure and while the Vendor is pursuing replacement parts in an expeditious fashion. A maximum of 48 hours of hold time shall be allowed for each occurrence of logistics delays. Service response time – Hold time shall be declared from the time that a failure is detected until diagnostic procedures are begun. A maximum 24 hours of hold time shall be allowed for each failure.

10-041 Test Definition - Total time – The time elapsed from the start of the availability test until the end of the availability test. - Test time – The time elapsed from the start of the availability test until the end of the availability test, excluding hold time. That is, Test time=Total_time-Hold_time

10-042 Test Definition The duration of the Availability Test shall be one thousand (1000) consecutive hours. In order to establish that all variances have been satisfactorily corrected prior to the end of the Availability Test, no downtime, no intermittent failures, or no more than one un-commanded failover shall have occurred within 200 hours of the test's conclusion.

10-043 Test Definition The test shall be extended, if necessary, to satisfy this requirement. After 1000 consecutive hours of test time have elapsed and contingent on the conditions of the above paragraph, the software availability shall be computed as follows:

10-044 Test Definition 𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑚𝑚𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 =𝑇𝑇𝑆𝑆𝑆𝑆𝑆𝑆𝑇𝑇𝐴𝐴𝑇𝑇𝑇𝑇 − 𝐷𝐷𝐷𝐷𝐷𝐷𝑛𝑛𝑇𝑇𝐴𝐴𝑇𝑇𝑇𝑇

𝑇𝑇𝑆𝑆𝑆𝑆𝑆𝑆𝑇𝑇𝐴𝐴𝑇𝑇𝑇𝑇∗ 100%

10-045 Test Definition At TPU's sole discretion, the test may be restarted and/or re-scheduled if the software availability requirements have not been met until the specified availability is achieved.

10-046 Test Definition

When it has been determined that the software availability level required has been met, the availability of each device shall be calculated and compared against the device availability requirements. If one or more devices do not meet the requirements, the test shall be repeated and/or extended until TPU and the Vendor mutually agree that corrective action has been implemented for those devices. Corrective action shall include all necessary procedures to test and verify proper operation to TPU's satisfaction. If the software availability requirements are not met, the Vendor shall undertake remedial actions, including but not limited to: software modification, purchase of additional hardware, or reconfiguration of the software, at no additional cost to TPU. The Vendor shall complete these remedial actions within four (4) weeks, after which the Availability Test shall be repeated.

10-047 Test Management No Vendor software or code changes shall be made to the software after any groups of tests have started without TPU’s explicit authorization. The intent is to control the test environment and conditions.

10-048 Test Management TPU shall have the right to request to revert to a previous version of any software or hardware, and to restart any testing previously performed if, in TPU’s opinion, changes have been made to the software under test without authorization.

10-049 Test Management

TPU shall have the right to suspend and/or cancel any test at any time, if the amount and/or severity of variances found warrant it, at TPU’s sole discretion. In this event, the test shall be halted and remedial work shall be performed by the Vendor. Following TPU’s review, approval and acceptance of those variances that caused the suspension, the test shall be repeated or re-initiated. It shall be TPU’s sole decision to elect whether the test shall start at the point of suspension or it shall start from the beginning. If the duration of the suspension is significant, the re-start or repeat of the corresponding test shall be scheduled for a date and time agreed upon by both the Vendor and TPU.

10-050 Test Management TPU shall have the option to perform a regression test prior to the end of each formal test phase. The Vendor shall assist in this test as required by TPU.

10-051 Test Management A test phase shall be considered successful upon written approval by TPU.

10-052 Test Management

TPU shall use a Variance Tracking Tool to manage all variances (defects) throughout the project from the project start until the end of the Warranty period. At a minimum, the Variance Tracking Tool shall record and track variances for: - Documentation, functional and/or performance deficiencies - Test deficiencies (i.e., when the software cannot satisfactorily complete a test procedure due to a problem with the test.) - Severity of the variance (i.e., critical or non-critical)

10-053 Test Management The TPU Variance Tracking Tool shall be able to produce reports of all variances or of specific variances (e.g., by function, by date, etc.).

10-054 Test Management

The record of each variance shall include the following information at a minimum: - The date of the discovery of the variance - A unique identification - A brief variance description - Test Phase(Vendor Smoke Test, Installation, User Acceptance Test, Availability, Warranty, etc.) - Variance type (i.e., Problem, Enhancement Request, Training, Request for Information, Other); - Identification of the software component against which the variance is being written - An identification of the test procedure(s), as applicable - A detailed description of the variance along with recreation steps - Tester identification - Resource Assigned to correct variance - A description of the resolution - A record of all testing performed - Identification of TPU staff confirming the resolution and the date of acceptance

10-055 Test Management

A variance category that reflects the complete life cycle of variances, from discovery to acceptance by TPU. Examples of these categories are: - Open (variance recorded) - Request for Enhancement (requested modification which has not been approved) - Accepted (confirmation of variance) - Assigned (i.e., assigned for resolution) - Waiting Customer Response (additional information required to resolve) - Ready for Test (problem resolved, ready for retest) - Canceled (problem determined to be invalid or duplicate) - Closed (i.e., TPU has verified and has accepted the resolution) A variance severity such as:· - Critical – A variance that inhibits the use of a feature essential to the software or a variance that forces formal testing (e.g., Installation) to be cancelled. - Major – Denotes the failure to perform a required feature in a manner that significantly reduces the software efficient performance and/or feature or a variance that delays further testing of the software or feature.· - Minor – Denotes the failure of the software to perform a required feature in a manner that reduces the utility of the software or feature. Minor severity variances shall not delay any testing.

10-056 Test Management TPU shall have the right to review, approve, and change the severity assigned to any variances recorded during testing and at any time throughout the project.

10-057 Test Management

The Vendor’s and TPU’s Project Managers shall review the list of variances as frequently as deemed necessary. Each new variance opened since the previous meeting shall be scheduled for correction at the meeting. TPU and Vendor shall follow these guidelines for scheduling corrections: - The Vendor shall correct a critical variance within three (3) business days of its discovery - The Vendor shall correct major variances within five (5) business days unless mutually agreed to by both the Vendor and TPU - TPU and the Vendor shall establish a mutually agreeable date for the correction of minor severity variances

10-058 Test Management All variances shall be resolved and closed to TPU’s satisfaction by the last project payment milestone.

10-059 Test Management

A variance shall be deemed resolved only upon TPU’s written acceptance of the correction. Prior to submitting the corrected variance for acceptance by TPU, the Vendor shall take all reasonable steps to verify that the variance has been corrected. After the variance correction, TPU shall update the Variance Tracking Tool to reflect the corrective action(s) taken. TPU shall then schedule the corresponding testing to be performed in conjunction with the Vendor.

10-060 UAT TPU shall be responsible for the execution of User Acceptance Testing, with assistance from the Vendor. It is the intent that User Acceptance Test be conducted under conditions as close as practically possible to the real production state of the software.

10-061 UAT TPU shall have the right to perform unstructured testing during User Acceptance Testing at TPU’s own discretion.

10-062 UAT The User Acceptance Test shall also focus on those areas of software operations that are simulated or only partially tested during other phases. For example, software timing and loading while communicating with a full complement of interfaces shall be tested. This shall also include software failover and testing of the Alternate/Backup site.

10-063 UAT

User Acceptance Test testing shall, at a minimum, include the following individual tests (further details about each part of testing is defined further down): - Functional Test - Performance Test - Failover / Disaster Recovery Testing - Unstructured Test - Security, Vulnerability, and Penetration Tests User Acceptance Testing shall conclude with an End to End Testing cycle performed by TPU users to confirm the all key functional workflows and software integrations are working as expected.

10-064 UAT

In addition to the general test completion criteria for User Acceptance Test shall include: - All exit criteria as defined in the User Acceptance Test Plan have been met. - Zero (0) open critical and major variances. - Completed Vulnerability and Penetration Tests with an outside Vendor and received a report of corrective actions to implement prior to Go-Live. - Any remaining problems deemed necessary by TPU have been resolved. TPU reserves the right to require any remaining open problems to be resolved by the Vendor prior to declaring User Acceptance Test complete. - User Acceptance Test Completion Report published by TPU.

10-065 UAT The test data should include TPU database and display formats constructed for the project. The Vendor shall perform a complete database refresh prior to the start of User Acceptance Testing using the most current TPU data. An updated set of displays shall also be implemented with the database refresh. The Vendor shall ensure that all display linkages to the database are maintained during the refresh.

10-066 UAT Verification of proper acquisition and data exchanges with all external softwares that will interface with the software. As required, the Vendor shall provide appropriate simulations of the external softwares; such simulations must themselves be verified before being used.

10-067 UAT

In addition to the general testing entrance criteria stated previously, the entrance criteria for User Acceptance Test shall also include, at a minimum, the following: - There is sufficient resources and staffing in place to perform User Acceptance Test testing. - TPU has confirmed any open problems as not being required to begin testing. - All hardware and software to be used for User Acceptance Test testing is properly configured and operational.

ID Function 11 – Training Requirements

11-001 Instruction Qualification The Vendor shall provide instructors who are knowledgeable in both software functionality and course presentation. For those software elements developed specifically for TPU, it may be appropriate to have the corresponding developer participate in the instruction. In this case the Vendor shall use appropriate training staff to ensure that the training design and delivery are efficient and effective.

11-002 Instruction Qualification Where practical, third-party subcontractors shall deliver training on their own products. The Vendor shall remain responsible for offering these courses, coordinating their timeliness, and ensuring that all training objectives are met.

11-003 Instruction Qualification The Vendor shall provide a summary of qualifications for all proposed instructors. TPU shall have approval rights for all instructors.

11-004 Training Courses The Vendor shall be responsible for all the actual course titles and for the course content. Sections 12-020 through 12-029 identify the basic content of courses that shall be provided.

11-005 Training Courses

The software Administration course shall train participants on all the procedures required to: - Operate the software as an integrated entity - Recognize and respond to malfunctions and aid in issue resolution - Perform maintenance functions, including facilitating upgrades and patches The single prerequisite for this course shall be having familiarity with the overall functionality and architecture of the software

11-006 Training Courses

If applicable, courses shall be designed to give TPU's personnel sufficient knowledge on the design, maintenance, and operation of the software hardware to adequately maintain all equipment without the Vendor’s support. This training shall cover the following areas, at a minimum: - Documentation organization and contents (for Manuals and user/service guides) - software Operation: The theory of operation on a software level. - Hardware Troubleshooting and Maintenance: o Maintenance Training: Operation, maintenance techniques and practices, diagnostic procedures, and, where applicable, expansion techniques and procedures. These classes shall include at least 40 to 50% hands-on training for the specific subsoftware on TPU`s equipment or on other equipment identical to TPU's equipment. All interfaces between the computer subsoftware equipment shall be taught in detail as well as maintenance of any network equipment (routers, switches, etc.) and front-end equipment including terminal servers, line switches, modems, etc. o On-the-Job Training: Practical training on preventative and corrective maintenance of all equipment, including use of special tools and test equipment. This training shall be provided on TPU's equipment, or on other equipment identical to TPU's equipment, based on the availability of the equipment and the actual training schedule.

11-007 Training Courses Some of the required technology and hardware-related training such as training on specific operating softwares and/or specific programming courses may be offered solely by the hardware manufacturer or other third-party training supplier. The Vendor shall identify any courses along with recommended suppliers needed to support and maintain the proposed software.

11-008 Training Courses

At the conclusion of this course, participants shall be able to do the following if applicable: - Perform software startup and shutdown of all software functions and components - Site switch between the primary and backup softwares - Place equipment in and out of service - Interpret and react to messages generated by error-monitoring functions - Implement procedures for installing new or modified applications for operations use - Identify and execute procedures for managing Real-Time database(s) - Configure and maintain the User Interface - Identify and execute software diagnostics - Configure and execute backup functions required for normal maintenance - Build and configure the software from distribution media - Create and maintain RDBMS databases - Manage user accounts and permissions, including adding and deleting users - Understand Software Development Life Cycle (SDLC) process, procedures and artifacts relating change management and development of custom code, test and production deployment.

11-009 Training Courses The courses provided shall teach students how to prepare the input data to define and model the softwares operating environment, databases, reports and displays, and to prepare the database administrator to maintain and modify the database and its structures.

11-010 Training Courses

These courses are intended to help TPU bridge the gap between the training on the mechanics of database and display building and understanding practical design and conceptual issues. These workshops shall utilize actual TPU data, reports, displays, and models to ensure that TPU is properly engaged in database, report and display building activities. The workshops shall include the following: - Methodology (process & procedures) to efficiently transfer data from the existing TPU software to the new softwares - Cross-reference data mapping between the existing TPU softwares and the new software - Identification of data not available in the existing TPU software that is required in the new software - Application-specific modeling techniques - Data dictionary for vendor's database

11-011 Training Courses

The Vendor shall provide training on all Applications software. Each application course shall be organized to be responsive to TPU's specific requirements and shall be regarded as an extension to the Vendor's standard courses if any are provided. Each course shall cover the following topics from the software user and support personnel perspective as appropriate: - Functional design of the specific application program (using the approved functional specifications and displays as text) - Algorithms and models used by the application program - Programming techniques for the algorithms - Software implementation aspects, including each module's calling parameters and its interfaces with other modules as determined by these parameters and the data flags described - Database implementation aspects, including those portions of the database used by an application relative to content, structure, meaning, origin, and usage - Application program command language structure and common techniques - Application program procedures, including a review of standard procedures used to modify source code and compile, load, and install programs - Standard and ad-hoc reporting features

11-012 Training Courses TPU shall be permitted to produce video and/or audio recordings of all training classes. TPU will use these recordings for internal instruction purposes and will not release the recordings to third parties unless negotiated with the Vendor prior to release.

11-013 Training Courses The Vendor shall conduct course evaluations to ensure the associated training objectives have been met for all courses.

11-014 Training Equipment The Vendor shall provide a training environment as early in the project as possible. This environment shall be an accurate representation of the TPU production environment in data, performance, configuration, etc.

11-015 Training Equipment The Training environment shall persist after implementation as a separate and supported training simulator environment for TPU to conduct realistic training exercises to ensure that the TPU market operators are well versed in current and future market operations.

11-016 Training Location

It is anticipated that all training shall be conducted at either the Vendor’s facilities or at TPU’s facilities. - When conducted at the Vendor’s facilities, the Vendor shall provide the training room and equipment (e.g., workstations) required to conduct such training effectively. Where possible, the Vendor training environment shall closely match TPU’s software (e.g., use of TPU data and displays). Vendor shall provide a description of its training environment as part of the RFP response. - When conducted at TPU’s site, TPU will provide the training room facilities that meet vendor specifications. The Vendor shall confirm, with as much advance notice as possible, any additional facilities (e.g., internet access) and equipment (e.g., workstations) that shall be required for such training. - TPU will make the final determination whether training shall be conducted at Vendor’s or TPU’s facilities.

11-017 Training Material The Vendor shall provide all necessary training materials, including course manuals and reference documents in electronic format. The Vendor shall deliver all material for each course to TPU at least two (2) weeks prior to the scheduled course delivery. All training materials (e.g., handbooks, quick references, documents, slides, scenarios) shall be subject to review for QA and approval by TPU.

11-018 Training Material In addition to the electronic copy, the Vendor shall provide each trainee with individual bound paper copies of the training materials. All class material shall become the property of TPU. TPU will ensure that all documentation provided for training purposes are used for internal training only and will not be released to any third parties unless negotiated with the Vendor prior to release.

11-019 Training Material For internal purposes only, TPU shall have the right to reproduce Vendor training materials, or extract Vendor training material content for inclusion in TPU developed training material, for use in future training of their personnel. The Vendor shall deliver the training material in an editable format (i.e. MS PowerPoint or MS Word rather than just PDF).

11-020 Training Material Course material provided by the vendor shall be traceable to the functionality of the software being implemented at TPU. The Vendor shall be responsible for the update of the course material as applicable and the Vendor shall deliver the updated material (in electronic format) to TPU in a timely manner.

11-021 Training Material The software vendor shall provide online CBTs and complete documentation for the solution. Documentation shall include explanations of software functionality, how to use the software to accomplish tasks, and a discussion of common errors. Simple descriptions of interfaces will not be considered "complete" documentation.

11-022 Training Plan The Vendor shall train TPU’s software users and support personnel to operate, maintain, and expand the software without significant support from the Vendor. The Vendor shall provide training courses that thoroughly address each operational and technical aspect of the component being covered.

11-023 Training Plan

The Vendor shall provide courses that comprehensively train TPU’s staff on all hardware and software, including 3rd party software, delivered with the software with the following exceptions, as applicable: - General-purpose office applications such as Microsoft Office - Internet browsers such as Microsoft Internet Explorer - Servers and workstations/consoles operating softwares (unless nonstandard)

11-024 Training Plan

The Vendor shall develop a Training Plan and shall deliver it to TPU within four (4) weeks of the project start date for review and approval. This plan shall contain a short description of all courses required to meet TPU’s training objectives: - Enable TPU staff to effectively support software implementation - Thoroughly equip business users to make use of the software to accomplish role specific tasks - Provide software administrators with a comprehensive understanding of the software in order to facilitate upgrades and patches, support business users, and resolve issues - Train OT/IT staff to support maintenance and upgrade activity, resolve issues, and move data into and out of the software

11-025 Training Plan The Training Plan shall include a recommended sequence for all courses considering the overall project schedule. The Training Plan shall also include all training logistics (e.g., location, equipment to be provided/required, overall schedule), as well as the trainee’s qualifications and pre-requisites recommended for an effective participation in each course.

11-026 Training Plan

The Training Plan shall include, at a minimum, the following elements for each proposed training course: - Title and anticipated results and methodology to measure if the training objectives have been met - Course pre-requisites - Intended audience (e.g., software user, support personnel) - Trainee qualifications required - Number of trainees to attend - Location and the responsible party (i.e., Vendor or TPU) providing the training facilities (when proposing training at the Vendor's facilities, the Vendor should describe the advantages of conducting the training there instead of at TPU's site) - Equipment needed, the responsible party for supplying such equipment and expected equipment limitations (e.g., a description of how the training environment will differ from the final production environment) - Associated project milestones - Accommodation for personnel on shift work - Class duration in hours - Learning objectives - List of training materials to be supplied - List of reference materials to be used in the course - Sample course evaluation survey

11-027 Training Plan

The Vendor shall deliver, or arrange delivery of, training on all third-party software delivered as part of the software except as noted in the “Training Scope” Section above. This training shall cover the operation, use, and maintenance of the third-party software as well as address the installation of upgrades or new releases. The Vendor shall provide extensions to all third-party provided training to include how these products are used in the software environment.

11-028 Training Plan TPU, with the Vendor’s support, shall establish the overall training schedule to align with project milestones and suit TPU’s users and support personnel work schedules.

11-029 Training Scope Courses shall provide an overview of the software being delivered to TPU, including specific training on all applications provided as well as general operating procedures, user interface features, display and report capabilities, log-on steps, software navigation, areas of responsibility, user access restrictions, error messages, etc.

11-030 Training Scope and Cost

As part of the Vendor’s response to this RFP, the Vendor shall provide a preliminary training budget based on the courses, the number of sessions as well as the number of attendees for each session. However, the type of courses, the number of courses to be conducted, and/or the number of trainees attending each course may vary over the course of the project. Therefore, the training budget shall be considered as an allocation to TPU who shall have the right to manage this allocation and adjust the training curriculum, the number of training classes, and/or the number of trainees per course. TPU shall receive any residuals of this training allocation if it is not fully exhausted at the end of the project. The Vendor shall update the training budget accordingly after each training course is completed. Status of the training budget allocation shall be included as part of the Vendor’s periodic Project Status reporting.

11-031 Training Scope and Cost

Additional training costs shall be TPU’s responsibility if the training budget is exceeded due to TPU’s decision or acceptance to either have additional courses and/or to have additional trainees attending the requested courses which are above and beyond what was agreed to in the Training Plan. However, the Vendor shall be responsible for the cost of the additional training courses, as well as for any travel and living expenses for both the trainer and the trainees, if any of the following conditions occurs: - Unanticipated changes to any hardware or software to meet the requirements of this Contract - Project schedule delays caused by the Vendor that result in the need to receive additional training course - Poor quality training that fails to meet TPU's requirements for quality, content, appropriateness, or timeliness. - TPU shall have the right to deem any training course as not meeting TPU’s requirements. - Scope changes that affect training, unless the cost of the additional training is covered by the change order

11-032 Train-the-Trainer The Vendor shall propose an independent option (with pricing and details) to provide training to TPU’s trainers under a Train-the-Trainer concept. TPU’s training personnel receiving this training will then train the remaining members of TPU’s user and support staff.

11-033 Train-the-Trainer The Vendor shall provide access all training material that is used under this Train-the-Trainer concept in both soft (editable) and hard copy format to TPU.

11-034 Train-the-Trainer

All training materials used in this training shall be provided to TPU, including the following: - Documentation (e.g., manuals, user guides, slides, etc.) in editable format - Student Handbooks and Quick-Reference guides in editable format - Scenario Data and/or Save Cases - Demo Scenario Data/Save Cases - Training evaluation and effectiveness tools.

11-035 Train-the-Trainer The Vendor shall assume that this Train-The-Trainer training shall be conducted for two (2) TPU training personnel as per the approved Training Plan. The Vendor shall also include specific training to these Trainers on the development of training classes using the software and associated tools

ID Function 12 – Documentation Requirements

12-001 Documentation Delivery The software vendor shall list any software dependencies, Administrator, Client, Server, Web, Internet Browsers supported, Plug-Ins.

12-002 Documentation Delivery Preliminary, review, or approval documents may be transmitted by electronic transfer (electronic mail or ftp, for example). The delivery of final documents shall be both hardcopy and electronic (e.g., CD or DVD, other media).

12-003 Documentation Delivery

A Documentation Plan shall be submitted by the Vendor 30 days after contract signing. The plan shall describe the Vendor’s schedule and plan for the submittal of all documentation. The plan shall also include a detailed Master Document List that includes all individual documents that are to be submitted as part of the project. The Documentation Plan provided by the Vendor shall provide a requirements tracking mechanism back to the fully executed Statement of Work (or amendment as appropriate) to demonstrate that the Plan, together with the Master Document List, will fulfill all documentation requirements listed herein.

12-004 Documentation Delivery The documentation plan shall be subject to TPU’s review and approval.

12-005 Documentation Delivery The Vendor’s documentation and development methodology shall allow for adaptation of the best fit approach/methodology to be applied to the different development areas being undertaken on the project. The approach for discussing, documenting, developing and reviewing different development areas during the project shall be iterative and allow for appropriate levels of TPU review and approval.

12-006 Documentation Delivery The approval of any documents by TPU shall not relieve the Vendor from the responsibility to conform to the requirements as set forth in the Statement of Work or perform the correction of such documents as appropriate.

12-007 Documentation Delivery

Prior to beginning the system warranty period, the Supplier shall submit final, as-built, documentation sets to TPU for all documentation identified in the Documentation Plan. Any errors in or modifications to the system resulting from testing shall be incorporated in this documentation. All software listings shall be updated and shall reflect exactly the final as-built system. Any documentation affected by changes during the warranty period shall be revised and resubmitted. All future releases, updates, enhancements and fixes shall come with updated documentation handling the new functionality.

12-008 Documentation Delivery As part of the final documentation delivery, the Vendor shall submit three (3) complete hardcopy sets of all documents along with electronic copies in PDF as well as Microsoft formats delivered electronically (e.g., CD or DVD).

12-009 Documentation Delivery All installation media required to build or modify the configuration of the system must be provided. A media backup of the as-delivered systems shall also be provided. Backup media of all programs, source code, operating systems, third-party software system, control language, and data files suitable for generation of the entire software software solution shall be provided.

12-010 Documentation Maintenance The software documents shall also include users guides needed to develop and maintain the complete systems including displays and database(s).

12-011 Documentation Maintenance

The system maintenance manuals shall include a description of the procedures to restore normal operation after a failure of the Primary or Backup system. It shall also include documentation of the distributed system software supporting the configuration control function, data integrity, startup, restart, and the network management subsystem. This manual shall also describe the procedures to configure the Primary and Backup as well as procedures to backup and restore the system including routine maintenance or testing of backup functionality

12-012 Documentation Quality

The Vendor shall provide a document describing the Quality Assurance standards used to develop and maintain all documentation to be supplied by the Vendor. - The approval process that is followed by Vendor. - Templates for each document type. - Definitions of the contents for each document type. - Drawing standards to be followed. - The approval process to be followed for document releases.

12-013 Documentation Scope

The Vendor shall provide a complete set of system documentation for all equipment, applications and functions allowing TPU to fully utilize, use, test, accept, develop, and maintain the software solution. The documentation provided shall describe the as-built system, including all hardware, software, and middleware as well as any software interfaces. In general, the documentation provided shall cover installation, system startup, functionality, operation, and maintenance.

12-014 Documentation Scope

Documentation shall include the following, at a minimum: - Documentation Plan - System Overview - Software QA Design Standards - Software Functional Design Documentation - Detailed Software System Documentation - Software Maintenance Documentation - Software Inventory - Hardware Functional Design Documentation - Hardware Maintenance Documentation - Detailed Configuration Diagrams and ERD Diagrams - Equipment Inventory - Site Preparation Documentation - Trouble & Maintenance Logs - System Maintenance Manuals - Cyber Security Standards & Processes - User Interface Style Guide - Third-party Manuals and Documentation - Vendor Release Notes

12-015 Documentation Scope

The functional description shall describe the particular functions to be performed by each application. The functional operation of The software solution shall be clearly described so that it can be understood without understanding the detailed operation of each software module. These documents shall have the following information to ensure that TPU -specific functionality will meet the application requirements, as a minimum: - Functional description - A narrative description of each application. Where appropriate, the algorithms used inside the application, initialization, and failover considerations shall be described. - Performance requirements - The execution periodicity, processing capacity, and tuning and execution parameters that control or limit the capabilities of the application. - User interface - A description of the interface used to control the application, including all user inputs and program responses. - Application interface requirements - A description of the logic interfaces with other applications. - Data requirements - A description of all data and databases accessed by the application, including execution parameters. - Error messages - A concise description of all error messages and possible corrective actions. - Diagnostic messages - Where the application generates a record of its internal operations, the messages shall be described. - Maintenance and expansion procedures.

12-016 External Documents

The interface requirements and design document(s) shall describe in detail the interfaces between the software solution and TPU-provided systems and networks. The interface requirements document shall be used by both the Vendor and TPU as the definition of the interface between the software solution and all other systems, so that each system can be designed or modified to meet its requirements. TPU will provide all required information to the Vendor so that it can prepare the document accordingly. As a minimum, the interface requirements document shall cover the following aspects: - Description of the interface. - Description of the communication protocols, including the lower level network protocols, the upper level session, presentation, and application protocols, and the options and parameters selected. - Description of the database access methods and capabilities, including specific displays, commands, and access and authorization requirements. - Description of relevant database models, structures, and contents for these databases. - Data exchange requirements including timing, priority, volume, and security requirements. A specific list of data to be exchanged during factory and site testing shall also be included. - Description of the performance requirements. - Description of software required to execute this interface such as DLLs or other drivers that may or may not be unique for this interface.

12-017 Format All Vendor documentation must be provided in Microsoft Office format unless otherwise agreed to by TPU. (Compatible with MS Office 2003 and later)

12-018 Documentation Maintenance

Software Maintenance Documentation shall be provided for all the software including all third-party documentation. This documentation shall provide all information needed to maintain and/or modify existing or new software. The Software Maintenance Documentation shall include as a minimum: - Standard Software - Custom Software - Operating System - Software Management and Development Tools - Compilers and Text Editor - System Utilities - System Generation and Configuration - Diagnostic Software - Database Descriptions - Database Generation and Maintenance - Display Generation and Maintenance - Software Error Reporting Tools and Procedures - Third-party Documentation - Data Dictionary

12-019 Revision Tracking All documents shall include a title or information page with the document number, title, date, revision, Author, description of change. The document number shall be a unique number assigned in accordance with the Vendor's standard practice. The title page shall include a space into which TPU may enter a document number assigned from TPU’s Documentation Management system.

12-020 Software Management The software solution shall provide a knowledgebase or wiki for self-support/FAQ to access via the internet or as an installable software package.

12-021 Software Management The software vendor shall have a proven process for software upgrades. For all software upgrades, the vendor shall provide release notes that includes descriptions of all changes and test cases TPU can use to verify the changes.

12-022 Software Management

The Vendor shall furnish a User Interface Style Guide, that describes the discretionary aspects of the user interface including display design and implementation standards used for all Vendor provided displays and applications. TPU will also use this guide as input to develop a custom TPU User Interface Style Guide for the software solution which shall be used by TPU and the Vendor to configure user interface applications and displays. The objective of the display conventions and standards shall be to promote a consistent look and feel across all user functions and displays.

ID Function 13 – Project Management Requirements

13-001 Communications All project documentation, such as, correspondence, memos, meeting minutes, and monthly progress reports, shall be produced using the Microsoft Office productivity suite (or compatible software)

13-002 Communications

A progress report shall be prepared by the Vendor prior to scheduled project meetings and be available to TPU for approval prior to the meetings at a time frame determined by TPU’s Project Management. The details and content of the progress report shall be determined by the project managers and should contain the following at a minimum: - An updated detailed project schedule, with explanations for any changes - A detailed list of all activities completed since the previous report - A detailed list of activities not accomplished since the previous reports and the reasons and contingency plans to recover - The status of unresolved contract changes and issues - A list of current or anticipated problem areas - Identification of any item that might impact vendors ability to meet schedule - Updated list of Action Items identifying owner along with required resolution dates - Updated Risk Log including a ID, brief description, owner, expected completion date

13-003 Communications A Change Order Log shall be maintained containing a summary of Change Orders including ID, brief description, status, expected implementation and completion dates.

13-004 Communications

The Vendor shall submit in the proposal an overall project schedule for major project activities from the time of contract award to the completion of the Availability Test. The schedule shall address the following project activities, at a minimum: - Project payment milestones - Progress review dates and project meetings - Hardware procurement (if applicable), integration, and testing - Delivery dates for TPU-furnished data, interface equipment, and software as appropriate - Software design and approvals - Software development - System integration and testing - Preparation of test plans and procedures - Testing, including Acceptance and Availability tests - Error correction and retest - Final system and user documentation - Training Note: The project schedule shall be included as an attachment in PDF format (please note the file name in the comments field).

13-005 Communications

The Vendor shall propose a schedule which meets the minimum requirements The following dates are targeted project constraints: - Contract Award – May 2020 - System Go-Live – August 2021 - All other dates shall be confirmed during the Statement of Work phase and a detailed implementation schedule shall be developed and agreed to during contract negotiations. NOTE: Deviations from the proposed milestones and dates shall be thoroughly explained as part of the proposal. Vendors may propose accelerated schedules (i.e., shorter than 24 months).

13-006 Communications Vendor shall provide us with Quality Test Results and test cases on regular periods defined by the project.

13-007 Meetings The Vendor shall schedule and attend periodic progress review meetings as required during the implementation of the software. Progress meetings shall be used to review the progress report, action items, and technical issue review. The responsibility for the development of meeting agendas and minutes shall be the Vendor’s and shall be provided to TPU for approval at a minimum of 2 business day(s) prior to the scheduled meeting.

13-008 Meetings Progress reporting with vendors shall be time bound (e.g., weekly reporting). The detailed activities shall be aligned with deliverables in the contract. The vendor should include on their reporting, by contracted deliverable, the % complete AND the % budget spent (Earned Value, by deliverable)

13-009 office Both TPU and the Vendor shall make office facilities available for use by the other party. Office space, furniture, and reasonable office services such as internet, telephone, FAX, copying, printing, mail, courier services along with access to meeting rooms. TPU will provide work space for up to two representatives from the Vendor’s staff at TPU’s offices throughout the project.

13-010 Project Coordination This section sets forth the required project monitoring and control processes as well as providing a high-level description of the Vendor’s and TPU’s responsibilities throughout the ETRM/EIM project.

13-011 Project Coordination The vendor shall adhere to industry best practices with regard to project management controls, monitoring and governance. In the comments section, please provide details regarding the project management approach and methodology to be employed.

13-012 Project Coordination The vendor shall adhere where possible to Agile Scrum methodologies along with the ability to provide a well trained Scrum Master

13-013 Team

The Vendor shall designate a project manager who shall be responsible for the overall coordination of all project work and authorized to act on behalf of the Vendor for all communications between the Vendor and TPU. The Vendor’s Project Manager shall be subject to TPU’s approval. In the proposal, the Vendor shall submit at least three (3) resumes as potential candidates for the position of Project Manager. TPU shall have the right to interview these candidates and select the project manager during the Statement of Work phase. Except for conditions outside the control of the Vendor, the Vendor's Project Manager shall not be removed or replaced without the previous approval of TPU. The Vendor’s designated Project Manager shall participate during the Statement of Work phase.

13-014 Team As part of the proposal, the Vendor shall also describe the general project organization responsible for the delivery of the TPU project (i.e., the vendor team organization) and TPU make recommendations based on best practices’

13-015 Team

In addition to the project manager, the project shall be staffed with a core project team including a test manager and deployment manager. The core team members shall be identified in the proposal along with a resume. For each core team member, the Vendor shall identify the percentage of time each person shall be dedicated to the project. Core team members shall have previous experience in a similar position on at least one other project that is similar in size and scope to this project. The vendor can provide recommendations for additional staffing to the core team (ultimately up to TPU on how it is staffed).

13-016 Team The vendor shall be responsible to keep all core team members resident on the team throughout the entirety of the project, unless the employee leaves the vendor or TPU chooses to dismiss. In the case of leave of absence or vacation, vendor shall be responsible of insuring correct cross training and coverage during this time to keep project on track.

13-017 Team TPU shall have the right to have any Vendor staff removed from the project with reasonable notice.

13-018 Team

TPU shall be allowed planned access to the Vendor’s facilities (with reasonable notice) throughout the project, where hardware or software is being produced or to any facilities where the System is being staged. Vendor shall provide office facilities for TPU and all documentation necessary to conduct these inspections and to verify that the System is being designed, developed, integrated, and maintained in accordance with the System Specification and following the Vendor’s documented QA Process.

ID Function 14 – Maintenance Requirements

14-001 Business Continuity TPU has physically separate primary and backup office locations for market operations staff. TPU market operation from the primary or backup office locations shall be capable without outage or loss of data between the two.

14-002 Business Continuity The hosted vendor software solution shall have primary and secondary hosted computer data center sites. The primary and secondary site locations shall be in separate geographic regions. Operation from primary and secondary hosted sites shall be verified once per month.

14-003 Business Continuity The vendor shall offer an alternate solution to perform uninterrupted market operation by market operators in the event that the primary/secondary ETRM system is not available for up to 48 hours. The schedules (deals) created during this outage period must be able to sync with or import into the primary ETRM system once it is operational.

14-004 Business Continuity

The software solution shall be expected to be available 24x7x365 and available at both a primary and alternate data centers. The software solution will have redundancy and system design will support the following: - No single un-planned outages. - No single planned outage should last more than 60 minutes, where a planned outage has been scheduled no less than 24-hours in advance. Scheduled maintenance windows are exempt from the calculation of availability. - Total system availability should exceed 99.9% as measured over a consecutive 365 days - planned outages are excluded from this measure.

14-005 Business Continuity The software solution shall offer a disaster recovery (DR) strategy. Whether via an automated fail over or a manual fail over.

14-006 Business Continuity The software solution shall support failing over to a disaster recovery (DR) environment under 60 minutes and the fail over process must be repeatable during regular interval exercises with no data loss and performed at regular intervals (monthly ) to confirm reliable DR operation.

14-007 Support

If the Vendor offers different tiers of maintenance services for software, the Vendor shall provide details of each tier as part of the RFP response. At a minimum, these details shall include: - Type of coverage by tier (e.g., 7x24, 8 AM to 5 PM, etc.). - Response time to problems reported. - Escalation procedures for issues not resolved as expected. - Upgrade process and items covered. - Prior version support details. - Automated Incident submittal and tracking procedures (web, etc.). - Software Patch Management, Validation, and Notification services. - Dedicated maintenance contact or help desk.

14-008 Support The vendor shall be able to maintain the system within the standards provided by the City of Tacoma Information Technology Group. The vendor will provide the necessary updates to maintain these standards

14-009 Support The Vendor shall also guarantee the availability of patches, upgrades, and technical support for all software and operating system for a period of ten (10) years after the end of the warranty period. The Vendor shall also provide TPU a minimum of two (2) years’ advance notice of any intention to terminate support after this period.

14-010 System Maintenance Note: This section defines the Vendor’s and TPU’s responsibilities for maintenance of the EIM and all other component software and hardware over the life of the project through the Warranty period. The Warranty period shall start upon successful completion of the Availability period

14-011 System Maintenance The vendor shall be responsible for all applicable regression testing. If functionality is broke as a by product of a future release, this shall be taken as an emergency fix and or roll back release option until functionality is no longer effected

14-012 Updates

The software delivered shall be the latest official version certified by the Vendor or 3rd party and approved by TPU. The Vendor shall insure that all delivered software and patches will inter-operate successfully as a complete system. If it becomes necessary to upgrade, patch or downgrade some software to meet this inter-operability requirement, all effort and costs shall be at the Vendor’s expense. The Vendor shall present a plan to correct the problems in the newer release if a downgrade is performed. Such corrections shall be at the Vendor's sole expense.

14-013 Updates The Vendor shall provide a patch management and update process to TPU for all installed operating systems, applications, and third-party software. The Vendor shall perform the required testing on an equivalent TPU ETRM/B2B release and provide the patches to TPU only after they have been fully tested and certified by the Vendor.

14-014 Updates The Vendor shall provide notification of all patches affecting Security within two (2) weeks of their official release as well an assessment of applicability to TPU’s ETRM/B2B system configuration. All other patch testing, validation, and mitigation shall occur within one (1) month of the patch’s official release date.

14-015 Updates

The Vendor shall have the responsibility for maintenance of all software during project implementation through the Availability period. During this period, TPU may make changes to operating systems, databases, displays, code which is intended to be modified by TPU (e.g., the addition, modification, or deletion of custom calculations) and report programs as necessary to meet TPU's operational needs. TPU shall inform Vendor of all such changes prior to installation of the changes.

14-016 Updates The Vendor shall notify TPU of any potential problems that may occur due to the implementation of such changes if the Vendor believes that the changes may adversely affect the operation of software for which the Vendor is responsible. Both parties shall work towards a mutually agreeable implementation of the desired changes.

14-017 Warranty Software maintenance during the Warranty period shall be in conformance with the terms of the Warranty sections of the SOW

14-018 Warranty During this period, TPU will continue to make changes to databases, displays, and code intended to be modified by TPU (e.g., the addition, modification, or deletion of custom calculations) as well as report programs as necessary to meet TPU's operational needs.

14-019 Warranty

The Vendor shall provide its standard Maintenance Services Agreement for TPU’s review. In this Agreement, the Vendor shall offer technical resolution for problems with the software. Depending on the severity of the problem reported, the Vendor’s technical assistance shall be provided remotely or onsite. In addition, the Vendor shall not limit the number of man-hours that are offered under their Agreement for any problem detected with Vendor’s software.

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Appendix D: Vendor Security Questions

Instructions

Use the Vendor Security Response Form to respond to the questions in this appendix.

Tacoma Public Utilities realizes not all technology products or services will be applicable to every security requirement listed below. All organizations submitting a response for a Request for Proposal (RFP) are required to respond each of the following requirements. If a requirement listed does not apply to the proposed solution, please explain why. Failing to address the requirements listed may result in the disqualification of the RFP. Complete and descriptive responses will assist the reviewers to better understand the proposed solution. If there are any questions or concerns, please contact the City of Tacoma contracting representative listed for the RFP.

Please note that these requirements are based on the Department of Energy “Cybersecurity Procurement Language for Energy Delivery Systems” dated April 2014 (https://energy.gov/sites/prod/files/2014/04/f15/CybersecProcurementLanguage-EnergyDeliverySystems_040714_fin.pdf ).

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Security Requirements – Architecture # Requirement 1.a In the response, provide a system high level architecture diagram that includes all components and connections of the

proposed solution.

1.b In the response, provide a list of the ports/protocols/services required for the proposed solution. 1.c In the response, provide a data flow diagram of the proposed solutions.

1.d Specify the Hardware, Operating System, and Software the proposed solution requires.

Security Requirements – Software and Services # Requirement 1.1 The Supplier shall remove all software components that are not required for the operation and/or maintenance of the

procured product. If removal is not technically feasible, then the Supplier shall disable software not required for the operation and/or maintenance of the procured product. This removal shall not impede the primary function of the procured product. If software that is not required cannot be removed or disabled, the Supplier shall document a specific explanation and provide risk mitigating recommendations and/or specific technical justification. The Supplier shall provide documentation on what is removed and/or disabled. The software to be removed and/or disabled shall include, but not be limited to: • Games • Device drivers for product components not procured/delivered • Messaging services (e.g., email, instant messenger, peer-to-peer file sharing) • Source code • Software compilers in user workstations and servers • Software compilers for programming languages that are not used in the procured product

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• Unused networking and communications protocols • Unused administrative utilities, diagnostics, network management, and system management functions • Backups of files, databases, and programs used only during system development • All unused data and configuration files

1.2 The Supplier shall provide documentation of software/firmware that supports the procured product, including scripts and/or macros, run time configuration files and interpreters, databases and tables, and all other included software (identifying versions, revisions, and/or patch levels, as delivered). The listing shall include all ports and authorized services required for normal operation, emergency operation, or troubleshooting.

1.3 The Supplier shall remove and/or disable, through software, physical disconnection, or engineered barriers, all services and/or ports in the procured product not required for normal operation, emergency operations, or troubleshooting. This shall include communication ports and physical input/output ports (e.g., USB ports, CD/DVD drives, video ports, and serial ports). The Supplier shall provide documentation of disabled ports, connectors, and interfaces.

1.4 The Supplier shall configure the procured product to allow Tacoma Public Utilities the ability to re-enable ports and/or services if they are disabled by software.

1.5 The Supplier shall disclose the existence of all known methods for bypassing computer authentication in the procured product, often referred to as backdoors, and provide written documentation that all such backdoors created by the Supplier have been permanently deleted from the system.

1.6 The Supplier shall provide summary documentation of the procured product’s security features and security-focused instructions on product maintenance, support, and reconfiguration of default settings.

Security Requirements – Access Control # Requirement 2.1 The Supplier shall configure each component of the procured product to operate using the principle of least privilege. This

includes operating system permissions, file access, user accounts, application-to-application communications, etc.

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2.2 The Supplier shall provide user accounts with configurable access and permissions associated with one or more organizationally defined user role(s), where roles are used.

2.3 The Supplier shall provide a system administration mechanism for changing user(s’) role (e.g., group) associations.

2.4 The Supplier shall configure the procured product such that when a session or inter-process communication is initiated from a less privileged application, access shall be limited and enforced at the more critical side.

2.5 The Supplier shall provide a method for protecting against unauthorized privilege escalation.

2.6 The Supplier shall document options for defining access and security permissions, user accounts, and applications with associated roles. The Supplier shall configure these options, as specified by Tacoma Public Utilities.

2.7 The Supplier shall recommend methods for Tacoma Public Utilities to prevent unauthorized changes to the Basic Input/Output System (BIOS) and other firmware. If it is not technically feasible to protect the BIOS to reduce the risk of unauthorized changes, the Supplier shall document this case and provide mitigation recommendations.

2.8 The Supplier shall verify and provide documentation for the procured product, attesting that unauthorized logging devices (e.g., key loggers, cameras, and microphones) are not installed or are disabled, as specified by Tacoma Public Utilities.

2.9 The Supplier shall deliver a product that enables the ability for Tacoma Public Utilities to configure its components to limit access to and from specific locations (e.g., security zones, business networks, and demilitarized zones [DMZs]) on the network to which the components are attached, where appropriate, and provide documentation of the product’s configuration as delivered.

Security Requirements – Account Management # Requirement 3.1 The Supplier shall document all accounts (including, but not limited to, generic and/or default) that need to be active

for proper operation of the procured product.

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3.2 The Supplier shall change default account and password settings to Tacoma Public Utilities-specific settings (e.g., password length, complexity, history, expiration, and configurations) or support Tacoma Public Utilities in these changes. The Supplier shall not publish changed account information. The Supplier shall provide new account information to Tacoma Public Utilities via a protected mechanism.

3.3 Prior to delivery of the procured product to Tacoma Public Utilities, the Supplier shall remove or disable any accounts

that are not needed for normal or maintenance operations of the procured product.

3.4 As specified by Tacoma Public Utilities, accounts for emergency operations shall be placed in a highly secure configuration and documentation on their configuration shall be provided to Tacoma Public Utilities.

Security Requirements – Session Management # Requirement 4.1 The Supplier shall not permit user credentials to be transmitted or shared in clear text. The Supplier shall not store user

credentials in clear text unless the Supplier and Tacoma Public Utilities agree that this is an acceptable practice for the procured product given the protection offered by other security controls. The Supplier shall only allow access protocols that encrypt or securely transmit login credentials (e.g., tunneling through Secure Shell Terminal Emulation [SSH], Transport Layer Security [TLS]).

4.2 The Supplier shall provide an appropriate level of protection (e.g., encryption and digital signing) for the session, as specified by Tacoma Public Utilities, commensurate with the technology platform, communications characteristics, and response time constraints.

4.3 Unless specifically requested by Tacoma Public Utilities, the Supplier shall not allow multiple concurrent logins using the same authentication credentials, allow applications to retain login information between sessions, provide any auto-fill functionality during login, or allow anonymous logins.

4.4 The Supplier shall provide account-based and group-based configurable session-based logout and timeout settings (e.g., alarms and human-machine interfaces).

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Security Requirements – Authentication/Password Policy and Management # Requirement 5.1 The Supplier shall document the levels, methods, and capabilities for authentication and authorization. The Supplier shall

deliver a product that adheres to standard authentication protocols.

5.2 The Supplier shall provide a configurable account password management system that allows for, but is not limited to, the following: • Changes to passwords (including default passwords) • Selection of password length • Frequency of change • Setting of required password complexity • Number of login attempts prior to lockout • Inactive session logout • Screen lock by application • Comparison to a library of forbidden strings • Derivative use of the user name • Denial of repeated or recycled use of the same password

5.3 The Supplier shall protect passwords, including not storing passwords in clear text and not hardcoding passwords into software or scripts.

5.4 The Supplier shall provide a centralized and local account management capability.

5.5 If needed for ongoing support and maintenance, the Supplier’s solutions involving interactive remote access/control shall adhere to (i.e., be compatible with) Tacoma Public Utilities’ implementation of multifactor authentication (e.g., two-factor or token).

5.6 The Supplier shall ensure that account access for single sign-on is equivalent to that enforced as a result of direct login.

5.7 The Supplier shall use a secure method of authentication (e.g., strong two-factor authentication) to allow single sign-on to a suite of applications.

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5.8 The Supplier shall protect key files and access control lists used by the single-sign-on system from non-administrative user read, write, and delete access. The single-sign-on system must resolve each individual user’s credentials, roles, and authorizations to each application.

5.9 The Supplier shall provide documentation on configuring a single-sign-on system, as well as documentation showing equivalent results in running validation tests against the direct login and the single sign-on.

Security Requirements – Logging and Auditing # Requirement 6.1 The Supplier shall provide logging capabilities or the ability to support Tacoma Public Utilities’ existing logging system.

Logging capabilities provided by the Supplier shall be configurable by Tacoma Public Utilities and support Tacoma Public Utilities’ security auditing requirements. As specified by Tacoma Public Utilities, the procured product shall cover the following events, at a minimum (as appropriate to their function): • Information requests and server responses • Successful and unsuccessful authentication and access attempts • Account changes • Privileged use • Application start-up and shutdown • Application failures • Major application configuration changes

6.2 The Supplier shall provide standard time synchronization in the procured product (e.g., Global Positioning System [GPS], Network Time Protocol [NTP], and IEEE 1508-2008). If the Supplier is not providing standard time synchronization and is providing an authoritative time source, the procured product shall be configured to synchronize to the authoritative time source.

6.3 The Supplier shall time stamp audit trails and log files, as specified by Tacoma Public Utilities.

6.4 If required by Tacoma Public Utilities, the Supplier shall provide confidentiality and integrity security protection of log files.

6.5 The Supplier shall implement an approach for collecting and storing (e.g., transfer or log forwarding) security log files.

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6.6 The Supplier shall recommend log management and Security Information and Event Management (SIEM) integration

methods (e.g., syslog).

6.7 The Supplier shall provide a list of all log management capabilities that the procured product is capable of generating and the format of those logs. This list shall identify which of those logs are enabled by default.

Security Requirements – Communication Restrictions # Requirement 7.1 The Supplier shall recommend guidance on the design and configuration of network security zones within the procured

product.

7.2 The Supplier shall provide information on all communications (e.g., protocols) required between network security zones, whether inbound or outbound, and identify each network component of the procured product initiating communication.

7.3 The Supplier shall provide a method to restrict communication traffic between different network security zones. The Supplier shall provide documentation on any method or equipment used to restrict communication traffic.

7.4 The Supplier shall verify and document that disconnection points are established between the network security zones and provide the methods to isolate the zones to continue limited operations.

7.5 The Supplier shall provide a means to document that network traffic is monitored, filtered, and alarmed (e.g., alarms for unexpected traffic through network security zones) and provide filtering and monitoring rules.

7.6 If firewalls are provided by the Supplier, the Supplier shall provide documentation on the firewalls and their firewall rule sets for normal and emergency operations. If Tacoma Public Utilities has the responsibility of procuring its own firewalls, the Supplier shall recommend appropriate firewall rule sets or rule set guidance for normal and emergency operations. The basis of the firewall rule sets shall be “deny all,” with exceptions explicitly identified by the Supplier.

7.7 The Supplier shall provide Tacoma Public Utilities with access, including administrative as needed, to network components of the procured product, including firewalls.

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7.8 The Supplier shall document all remote access entry pathways and ensure that they can be enabled or disabled by Tacoma

Public Utilities as needed.

7.9 The Supplier shall verify that the procured product allows use of unique routable network address spaces (i.e., address spaces other than 192.168.0.0/16, 172.16.0.0/12, and 10.0.0.0/8 must be supported) that work within Tacoma Public Utilities’ network. Where this is not available, the Supplier shall offer an alternative approach, with mitigating security measures, that is acceptable to Tacoma Public Utilities.

7.10 The Supplier shall provide or utilize an existing security-isolated environment outside the control network (e.g., using a demilitarized zone [DMZ] or an equivalent or a superior form of security isolation) for the communications tunneling server to reside in.

7.11 The Supplier shall use different authentication credentials from those used for in-network communications when establishing control network access using communication tunneling.

7.12 The Supplier shall configure the communication tunneling components of the procured product (e.g., connectors, filters, and concentrators) to provide end-to-end protection (e.g., end-to-end encryption) of the data in transit. This shall address confidentiality and/or integrity, as specified by Tacoma Public Utilities.

7.13 The Supplier shall provide a method for managing the network components of the procured product and changing configurations, including hardware and software configurations (e.g., addressing schemes).

7.14 The Supplier shall verify and provide documentation that the network configuration management interface is secured.

7.15 The Supplier shall provide Access Control Lists (ACLs) for monitoring network components (e.g., port mirroring and network tap) of the procured product.

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Security Requirements – Malware Detection and Protection # Requirement 8.1 The Supplier shall provide, or specify how to implement, the capability to automatically scan any removable media that is

introduced to the product being acquired.

8.2 The Supplier shall implement at least one of the following: • Provide a host-based malware detection capability. The Supplier shall quarantine (instead of automatically deleting)

suspected infected files. The Supplier shall provide an updating scheme for malware signatures. The Supplier shall test and confirm compatibility of malware detection application patches and upgrades.

• If the Supplier is not providing the host-based malware detection capability, the Supplier shall suggest malware detection products to be used and provide guidance on malware detection and configuration settings that will work with Supplier products.

• If the Supplier is not providing a host-based malware detection capability, nor suggesting malware detection products, and if specified by Tacoma Public Utilities, the Supplier shall provide an application whitelisting solution that is tested, validated, and documented that shall only permit approved applications to run.

8.3 The Supplier shall validate that cybersecurity services running on the procured product (e.g., virus checking and malware

detection) do not conflict with other such services running on the procured product.

Security Requirements – Heartbeat Signals # Requirement 9.1 The Supplier shall identify heartbeat signals or protocols and recommend which should be included in network monitoring.

At a minimum, a last gasp report from a dying component or equivalent shall be included in network monitoring.

9.2 The Supplier shall provide packet definitions of the heartbeat signals and examples of the heartbeat traffic if the signals are included in network monitoring.

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Security Requirements – Reliability and Adherence to Standards # Requirement 10.1 The Supplier shall protect the confidentiality and integrity of Tacoma Public Utilities’ sensitive information.

10.2 The Supplier shall verify that the addition of security features does not adversely affect connectivity, latency, bandwidth, response time, and throughput specified.

10.3 The Supplier shall use an implementation that complies with the current applicable interoperability and security standards, as specified by Tacoma Public Utilities (e.g., NIST 800 series, ISA/IEC 62443, IEEE 1613, IEEE 1588, and NERC CIP).

10.4 Upon Tacoma Public Utilities’ request, the Supplier shall return or document the secure disposal of Tacoma Public Utilities’ data and Tacoma Public Utilities-owned hardware that is no longer needed by the Supplier (e.g., NIST Special Publication [SP] 800-80).

Security Requirements – Secure Development Practices # Requirement 11.1 The Supplier shall provide summary documentation of its secure product development life cycle including the standards,

practices (including continuous improvement), and development environment (including the use of secure coding practices) used to create or modify Supplier-provided energy delivery system hardware, software, and firmware. If applicable, the Supplier shall document how the most critical application security weaknesses (including OWASP Top 10 or SANS Top 25 Most Dangerous Software Errors) are addressed in the Supplier’s SDLC.

11.2 As specified by Tacoma Public Utilities, the Supplier shall identify the country (or countries) of origin of the procured product and its components (including hardware, software, and firmware). The Supplier shall identify the countries where the development, manufacturing, maintenance, and service for the product are provided. The Supplier shall notify Tacoma Public Utilities of changes in the list of countries where product maintenance or other services are provided in support of the procured product. This notification shall occur within [a negotiated time period] prior to initiating a change in the list of countries.

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11.3 The Supplier shall provide a Quality Assurance program and validate that the software and firmware of the procured product have undergone Quality Control testing to identify and correct potential cybersecurity weaknesses and vulnerabilities. This testing shall include fuzz testing, static testing, dynamic testing, and penetration testing. The Supplier shall use positive and appropriate negative tests to verify that the procured product operates in accordance with requirements and without extra functionality, as well as monitor for unexpected or undesirable behavior during these tests. This testing may be done by the Supplier or an independent entity. The Supplier shall provide summary documentation of the results of the testing that includes unresolved vulnerabilities and recommended mitigation measures.

11.4 The Supplier shall provide summary documentation of its coding reviews, including defect lists and plans to correct identified vulnerabilities.

11.5 The Supplier shall communicate security-related technical issues with a single technical point of contact (e.g., a company support email address or a company support phone number), as specified by Tacoma Public Utilities. The Supplier shall communicate with Tacoma Public Utilities within [a negotiated time period] (see Section 3.3.3). This is not intended for nontechnical contract-related issues.

11.6 The Supplier shall provide documentation of all input validation testing including, but not limited to, measures for prevention of command injection, Structured Query Language (SQL) injection, directory traversal, Remote File Include, Cross-Site Scripting (XSS), and buffer overflow.

11.7 The Supplier shall provide a contingency plan for sustaining the security of the procured product in the event the Supplier leaves the business (e.g., security-related procedures and products placed in escrow).

11.8 Tacoma Public Utilities shall have the right to request documentation of the Supplier’s implemented cybersecurity program, including recent assessment results or conduct periodic [at a negotiated frequency and scope] on-site security assessments at the Supplier’s facilities. These on-site security assessments may be conducted by an independent third party, at the discretion of Tacoma Public Utilities.

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Security Requirements – Documentation and Tracking of Vulnerabilities # Requirement 12.1 Upon request of Tacoma Public Utilities, and prior to the delivery of the procured product, the Supplier shall provide

summary documentation of publicly disclosed vulnerabilities in the procured product and the status of the Supplier’s disposition of those publicly disclosed vulnerabilities.

12.2 The Supplier shall provide, within [a negotiated time period] after product delivery, summary documentation of uncorrected security vulnerabilities in the procured product. This includes summary documentation on vulnerabilities that have not been publicly disclosed or have only been identified after the delivery of the product. The summary documentation shall include a description of each vulnerability and its potential impact, root cause, and recommended compensating security controls, mitigations, and/or procedural workarounds.

12.3 After contract award, the Supplier shall provide summary documentation within [a negotiated time period] of any identified security breaches involving the procured product or its supply chain. Initial and follow-up documentation shall include a description of the breach, its potential security impact, its root cause, and recommended corrective actions involving the procured product.

Security Requirements – Problem Reporting # Requirement 13.1 The Supplier shall provide a secure process for users to submit problem reports and remediation requests. This process

shall include tracking history and corrective action status reporting.

13.2 Upon Tacoma Public Utilities submitting a problem report to the Supplier, the Supplier shall review the report, develop an initial action plan within [a negotiated time period], and provide status reports of the problem resolution to Tacoma Public Utilities within [a negotiated time period].

13.3 The Supplier shall provide Tacoma Public Utilities with its responsible disclosure and threat reporting policies and procedures (e.g., Computer Emergency Response Teams [CERTs]), which shall address public disclosure protections implemented by the Supplier.

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Security Requirements – Patch Management and Updates # Requirement 14.1 The Supplier shall provide documentation of its patch management program and update process (including third-party

hardware, software, and firmware). This documentation shall include resources and technical capabilities to sustain this program and process. This includes the Supplier’s method or recommendation for how the integrity of the patch is validated by Tacoma Public Utilities. This documentation shall also include the Supplier’s approach and capability to remediate newly reported zero-day vulnerabilities.

14.2 The Supplier shall verify and provide documentation that procured products (including third-party hardware, software, firmware, and services) have appropriate updates and patches installed prior to delivery to Tacoma Public Utilities, or within [a pre-negotiated period] after delivery.

14.3 For [a negotiated time period of the contract or support agreement], the Supplier shall provide appropriate software and firmware updates to remediate newly discovered vulnerabilities or weaknesses within [a negotiated time period]. Updates to remediate critical vulnerabilities shall be provided within a shorter period than other updates, within [a negotiated time period (e.g., 7, 14, or 21 days)]. If updates cannot be made available by the Supplier within these time periods, the Supplier shall provide mitigations and/or workarounds within [a negotiated time period].

14.4 When third-party hardware, software, and firmware is provided by the Supplier to Tacoma Public Utilities, the Supplier shall provide appropriate hardware, software, and firmware updates to remediate newly discovered vulnerabilities or weaknesses within [a negotiated time period]. Updates to remediate critical vulnerabilities shall be provided within a shorter period than other updates, within [a negotiated time period (e.g., 30, 60, or 90 days)]. If these third-party updates cannot be made available by the Supplier within these time periods, the Supplier shall provide mitigations and/or workarounds within [a negotiated time period].

Security Requirements – Supplier Personnel Management # Requirement 15.1 The Supplier shall provide summary documentation to attest to its workforce receiving position-appropriate cybersecurity

training and awareness. This includes specialized training for those involved in the design, development, manufacture,

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testing, shipping, installation, operation, and maintenance of products procured by Tacoma Public Utilities, as part of the Supplier’s cybersecurity program.

15.2 The Supplier shall perform security background checks on its employees (including contract personnel) working directly on or involved in the development of a Tacoma Public Utilities’ system or procured product. The background check methodology shall be mutually agreed upon by Tacoma Public Utilities and Supplier.

15.3 The Supplier shall ensure that policies and procedures are followed to prohibit the unauthorized disclosure of knowledge, information, architectures, or configuration relevant to Tacoma Public Utilities’ system.

15.4 The Supplier shall share information with Tacoma Public Utilities to support the timely update of authentication credentials and access control to reflect staffing changes.

Security Requirements – Secure Hardware and Software Delivery # Requirement 16.1 The Supplier shall establish, document, and implement risk management practices for supply chain delivery of hardware,

software, and firmware. The Supplier shall provide documentation on its: • Chain-of-custody practices • Inventory management program (including the location and protection of spare parts) • Information protection practices • Integrity management program for components provided by sub-suppliers • Instructions on how to request replacement parts • Maintenance commitment to ensure that for a specified time into the future, spare parts shall be made available by

the Supplier

16.2 The Supplier shall specify how digital delivery for procured products (e.g., software and data) will be validated and monitored to ensure the digital delivery remains as specified. If Tacoma Public Utilities deems that it is warranted, the Supplier shall apply encryption to protect procured products throughout the delivery process.

16.3 The Supplier shall use trusted channels to ship technology system hardware, such as U.S. registered mail.

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16.4 The Supplier shall demonstrate a capability for detecting unauthorized access throughout the delivery process.

16.5 The Supplier shall demonstrate chain-of-custody documentation for technology system hardware and require tamper-evident packaging for the delivery of this hardware.

Security Requirements – General Wireless Technology Provisions # Requirement 17.1 The Supplier shall document specific protocols and other detailed information required for wireless devices to

communicate with the control network, including other wireless equipment that can communicate with the Supplier-supplied devices.

17.2 The Supplier shall document use, capabilities, and limits for the wireless devices.

17.3 The Supplier shall document the power and frequency requirements of the wireless devices (e.g., microwave devices meet the frequency requirements of Generic Requirements [GR]-63 Network Equipment Building System [NEBS] and GR-1089).

17.4 The Supplier shall document the range of the wireless devices and verify that the range of communications is minimized to both meet the needs of Tacoma Public Utilities’ proposed deployment and reduce the possibility of signal interception.

17.5 The Supplier shall document that the wireless technology and associated devices comply with standard operational and security requirements specified in applicable wireless standard(s) or specification(s) (e.g., applicable IEEE standards, such as 802.11).

17.6 The Supplier shall demonstrate—through providing summary test data—that known attacks (e.g., those documented in the Common Attack Pattern Enumeration and Classification [CAPEC] list, such as malformed packet injection, man-in-the middle attacks, or denial-of-service attacks) do not cause the receiving wireless devices to crash, hang, be compromised, or otherwise malfunction.

17.7 The Supplier shall document the configuration control options that enable varying of the security level of the devices.

17.8 The Supplier shall allow and recommend alarm settings in accordance with the needs of the system.

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Security Requirements – Cryptographic System Documentation # Requirement 18.1 The Supplier shall document how the cryptographic system protects the confidentiality, data integrity, authentication, and

non-repudiation of devices and data flows in the underlying system as specified by Tacoma Public Utilities. This documentation shall include, but not be limited to, the following: • The cryptographic methods (hash functions, symmetric key algorithms, or asymmetric key algorithms) and primitives

(e.g., Secure Hash Algorithm [SHA]- 256, Advanced Encryption Standard [AES]-128, RSA, and Digital Signature Algorithm [DSA]-2048) that are implemented in the system, and how these methods are to be implemented.

• The preoperational and operational phases of key establishment, deployment, ongoing validation, and revocation.

Security Requirements – Cryptographic Key and Method Establishment, Usage and Update # Requirement 19.1 The Supplier shall only use “Approved” cryptographic methods as defined in the Federal Information Processing Standard

(FIPS) Security Requirements for Cryptographic Modules (FIPS 140-2).

19.2 The Supplier shall provide an automated remote key-establishment (update) method that protects the confidentiality and integrity of the cryptographic keys.

19.3 The Supplier shall ensure that: • The system implementation includes the capability for configurable cryptoperiods (the life span of cryptographic key

usage) in accordance with the Suggested Cryptoperiods for Key Types found in Table 1 of NIST 800-57 Part 1. • The key update method supports remote re-keying of all devices within [a negotiated time period(s)] as part of normal

system operations. • Emergency re-keying of all devices can be remotely performed within [a negotiated time period (e.g., 30 days)].

19.4 The Supplier shall provide a method for updating cryptographic primitives or algorithms. (Note: Prior requirements have addressed updating cryptographic keys. This requirement addresses updates to or replacement of the cryptographic method.)

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