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Scope of Work - Regulatory Compliance Consultant RFQ 2025RFQ # 8840 Scope of Work Regulatory Compliance Program Analysis, Mitigation, and Enhancement RFQ # 8840 Page 1 of 5 DME is registered with NERC as a DP (Distribution Provider), GO (Generation Owner), GOP (Generation Operator), TO (Transmission Owner), TOP (Transmission Operator), and TP (Transmission Planner) and has a medium impact control center. The scope of work shall be finalized upon the selection of the Firm. The respondent’s submission shall have accurately described your understanding of the objectives and scope of the requested products and services and provided an outline of your process to implement the requirements of the Scope of Work and Services. The overall goal is to evaluate Denton Municipal Electric’s existing Regulatory Compliance Program consisting of NERC (North American Electric Reliability Corporation), ERCOT (Electric Reliability Council of Texas), and PUCT (Public Utility Commission of Texas) in advance of a 2028 audit. The primary objective is the identification of program deficiencies to eliminate non- compliance findings and provide the mitigation for any deficiencies with appropriate internal controls and programmatic changes. The purpose of this will be to ensure an effective and efficient reduction of risks to the reliability and security of the Bulk Electric System. It is anticipated that the scope of work will include, at a minimum, the following: SPECIFIC WORK ITEMS: • Review and update of DME’s Internal Compliance Program • Analysis of DME’s existing regulatory compliance program documents such as RSAWS, policies, processes, programs and plans in the areas of DP, GO, GOP, TO, TOP, and TP in comparison with the requirements for each of these areas to assess if DME’s program reasonably addresses them and identify specific areas of DME’s program that may be deficient. • Assist with regulatory compliance items for NERC standards, PUCT (Public Utility Commission of Texas) rules and ERCOT Electric Reliability Council of Texas) protocols that must be adhered to by DME. • For identified deficiencies (if any), create new or amended program language that will reasonably mitigate the found deficiencies and assist with the identification of evidence that would satisfy the mitigated language. • For programs areas that are not deemed deficient in relation to compliance, but are fairly considered to have inefficient methodologies or are out of step with general industry practice, vendor shall identify these areas and suggest alternative program methods and/or language. RFQ # 8840 Scope of Work Regulatory Compliance Program Analysis, Mitigation, and Enhancement RFQ # 8840 Page 2 of 5 • Review and assess evidence generated by the current program for completeness and identify areas where augmentation would be beneficial. • Identify and consult on the development of internal controls for both NERC CIP and O&P Standards, PUCT, and ERCOT that which aides in evidence creation and retention. • Consult on a compliance platform that most appropriately addresses DME’s current and future internal controls for all DME Regulatory Compliance. • Provide bi-annual review informing executive management of compliance program maturity, recommended resource allocation, short- and long-term program prioritization, and managerial consent. • Consultation and assistance with audit preparation and audit engagement. This will consist of evaluating particular inquiries of the audit team and provide a strategic approach to responding with the goal of achieving the best results possible. It is anticipated that this will proceed on an ad hoc basis and be done by remote/ on-site meeting. TECHNICAL SPECIFICATIONS: Documents shall be clear, concise and geared to a subject matter expert and user responsible for execution of the task required by regulatory authorities. Documents shall reference the requirement(s), rule(s), protocol(s), regulation(s), etc. DELIVERABLES: • Updated Internal Compliance Program document • Documented list of programs areas identified as potentially deficient by NERC requirement. • Develop and document new alternative program language that will address the deficiencies. • Document areas that may not have a compliance issue but are concerning due to poor or outdated methodology and suggest language to correct. • List of reviewed evidence from existing program with a grading as to its application to the given standard it is being applied to, and its potential values as evidence for other standards. • List of examples of augmenting evidence to further bolster a successful audit, if it is possible and permissible for DME to produce. • List of recommended internal controls • Recommendation of centralized platform to be used by DME Compliance for evidence creation and retention. • Development of RSAWS for applicable NERC standards and updates or recommendations to existing RSAWs. • Conduct activities authorized by DME, in accordance with vendor suggestions. RFQ # 8840 Scope of Work Regulatory Compliance Program Analysis, Mitigation, and Enhancement RFQ # 8840 Page 3 of 5 • Provide an organizational change management strategy that includes informing staff of changes, training staff, and final implementation of completed compliance services and its effect on overall OCM strategy. • Presentation to DME Executive Management bi-annually. • Project kick-off meeting to establish a shared understanding of project goals, scope, and deliverables. Introduce key team members, define roles and responsibilities, and outline the project timeline, milestones, and success criteria. Include discussions on project risks, communication protocols, stakeholder expectations, and resource allocation. Review any relevant background information or documentation. Conclude with clear next steps, action items, and agreement on the schedule for regular progress updates. • Monthly strategic meetings that facilitates discussions on key objectives, recent progress, upcoming challenges, and priorities. Include a review of ongoing projects, risk assessments, new initiatives, and project financials such as budget left and percent complete. • Weekly tactical meeting to convene as a minimum check-in to assess project progress, address immediate issues, and ensure alignment on short-term tasks and priorities. Review completed actions, upcoming deadlines, and any obstacles requiring resolution. Discuss status updates on deliverables, clarify outstanding questions, and realign responsibilities if necessary. • Project overview document EXPECTATIONS OF CITY DURING AND AFTER CONCLUSION OF PROJECT The City wants to select an eligible firm that has demonstrated competence and qualifications to perform services associated with Electric Utility Regulatory Compliance programs. The firm must be able to meet our expectations as outlined in this solicitation, include all services listed in Scope of Work. RFQ submissions and subsequent documentation will comply with all Federal, State, County and City laws, regulations, and licensing. Firms must be able to provide a competent and experienced contract administration liaison to work with the City and its third-party contractor(s). After award, the firm confirmed as eligible will be selected based on availability, expertise, workload, score and/or any other factors relevant to the RFQ goals. OBJECTIVES To provide qualified Consultants to accomplish the needs, the selection of an eligible firm does not guarantee the use of a specific firm; the City reserves the right to select and use individual firms with indefinite quantity of hours and with the understanding that no work or minimum hours is guaranteed. RFQ # 8840 Scope of Work Regulatory Compliance Program Analysis, Mitigation, and Enhancement RFQ # 8840 Page 4 of 5 PROFESSIONAL SERVICES REQUESTED Interested firms must include copies of current licenses or certifications with its submission to this RFQ. FIRM RESPONSIBILITIES The successful firm(s) shall perform all necessary actions as defined by each awarded contract that results from this RFQ. Due to the uniqueness and variability of tasks subject to this RFQ, firm(s) responsibilities and project scopes, schedules and budgets, task orders subject to the contract shall be negotiated and agreed upon in writing prior to the delivery of services. The selected firm will be responsible to work/collaborate with any other firm/vendor that may be selected that is relevant to the SOW outlined in this document. This includes those vendors/firms that may be considered competitive. CITY RESPONSIBILITIES Like the Firm’s responsibilities above, the City shall perform all necessary actions as defined by each awarded contract because of this RFQ. Due to the uniqueness and variability of projects subject to this RFQ, the City’s responsibilities shall be negotiated and agreed upon in writing at prior to the delivery of services. PRICING Pricing will not be a factor in evaluation and awarding this RFQ. All pricing references will apply if selected, once a contract is in place, and once a task order is issued. Contractual compensation shall be negotiated on a cost, plus expenses, basis. Payment will be made within 30-days of receipt of Firm’s invoice (issued no less than a monthly frequency) to be paid per contracted rate schedule attached to each task order issued resulting from the RFQ. Any travel will be reimbursed at cost ONLY after receipts are received, verified, and approved. Travel reimbursement would only be applicable if firm’s personnel are traveling outside a 75-mile radius from the City of Denton and must use the gsa.gov website for mileage reimbursement. Travel outside the 75-mile radius must be approved in advance by the City. SUMMARY OF QUALIFICATIONS Interested firms must submit a summary of qualifications that showcases the firm’s qualifications as outlined in the scope of work and associated requirement list, Exhibit A. RFQ # 8840 Scope of Work Regulatory Compliance Program Analysis, Mitigation, and Enhancement RFQ # 8840 Page 5 of 5 The firm(s) scores will be based on the responses to the Scope of Work and Requirement List (Exhibit A) using the following selection criteria listed below. A minimum of three (3) years of general experience within the scope of work with an emphasis on TRE within the ERCOT region for NERC, ERCOT, and PUCT, possess a minimum of ten (10) years’ experience in technical writing, five (5) years’ experience in preparation for regulatory audit preparation, and prior NERC auditor experience. SELECTION CRITERIA All firm(s) will be evaluated and scored as outlined in the evaluation procedures of this solicitation. The top 3 firms will give an in-person vendor interview with a demonstration including: potential team members, technical document example, and product/services provided. Firms with a score of 80 and above from the categories of: Project Schedule- total possible 30% Specifications (work plan) 30% Past Experience and Probable Performance 40% that meet and follow all the requirements as outlined in this specification will be invited the second phase (negotiation) of the evaluation. ADDITIONAL INFORMATION: • The City estimates that the project will involve on-site visits, especially in the area to inspect for NERC CIP security. The majority of the work can be conducted remotely. DME envisions that a meeting to kick-off the project, and initial interviews with Subject Matter Experts will be conducted on-site. The City may work with the selected firm by e-mail, phone conference, and TEAMS. A vendor hosted TEAMS site will be required for project collaboration. • The on-site visits will be located at various DME facilities in Denton, Texas. Time is an important consideration for this project; target time for completion is prior to the audit engagement letter 270 day notification by TRE expected date of May 2027.