Contract - Raftelis Financial Consultants, Inc. - 8/9/2018 CITY OF ROUND ROCK AGREEMENT FOR
PROFESSIONAL CONSULTING SERVICES RELATED TO
PROVIDING SUPPORT AND DEFENSE OF THE 2015 AND 2017
WHOLESALE UTILITY RATE STUDIES WITH
RAFTELIS FINANCIAL CONSULTANTS, INC.
THE STATE OF TEXAS §
THE CITY OF ROUND ROCK § KNOW ALL BY THESE PRESENTS
COUNTY OF WILLIAMSON §
COUNTY OF TRAVIS §
THIS AGREEMENT for professional consulting services related to support services
connected to the 2015 and 2017 wholesale utility rate studies (the "Agreement") is made by and
between the CITY OF ROUND ROCK, a Texas home-rule municipal corporation with offices
located at 221 East Main Street, Round Rock, Texas 78664-5299, (the "City") and RAFTELIS
FINANCIAL CONSULTANTS, INC., located at 227 W. Trade Street, Suite 1400, Charlotte,
North Carolina 28202 (the"Consultant").
RECITALS:
WHEREAS, City has determined that there is a need for professional services to provide
support services in discussions and possibly defense of the 2015 and 2017 wholesale utility rate
studies; and
WHEREAS, City desires to contract for such services; and
WHEREAS, the parties desire to enter into this Agreement to set forth in writing their
respective rights, duties and obligations hereunder;
NOW, THEREFORE, WITNESSETH:
That for and in consideration of the mutual promises contained herein and other good and
valuable consideration, the sufficiency and receipt of which are hereby acknowledged, it is
mutually agreed between the parties as follows:
1.01 EFFECTIVE DATE, DURATION,AND TERM
This Agreement shall be effective on the date this Agreement has been signed by each party
hereto and shall remain in full force and effect unless and until it expires by operation of the term
indicated herein or is terminated or extended as provided herein.
The term of this Agreement shall be until full and satisfactory completion of the work
specified herein is achieved, with an estimated completion date of December 31, 2019.
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City reserves the right to review the Agreement at any time and may elect to terminate the
Agreement with or without cause or may elect to continue.
2.01 PROPOSAL FOR SERVICES
For purposes of this Agreement, Consultant has issued its proposal for services for the tasks
delineated therein, such proposal for services being attached to this Agreement as Exhibit "A"
titled"Scope of Work,"which document is incorporated herein for all purposes.
3.01 SCOPE OF SERVICES
Consultant shall satisfactorily provide all services described herein and as set forth in
Exhibit "A" according to the schedule set forth agreed upon by the parties. Consultant's
undertaking shall be limited to performing services for City and/or advising City concerning those
matters on which Consultant has been specifically engaged. Consultant shall perform services in
accordance with this Agreement in a professional and workmanlike manner.
4.01 LIMITATION TO SCOPE OF SERVICES
Consultant and City agree that the scope of services to be,performed is enumerated in
Exhibit"A" and herein,and Consultant shall not undertake work that is beyond the Scope of Worl�
set forth in Exhibit"A,"however, either party may make written requests for changes to the Scope
of Work. To be effective, a change to the Scope of Work must be negotiated and agreed to and
must be embodied in a valid Supplemental Agreement as described in 10.01.
5.01 CONTRACT AMOUNT
In consideration for the consulting services Consultant shall be paid on the basis of actual
hours worked by employees performing work associated with this Agreement, in accordance with
the Fee Schedule attached hereto as Exhibit"B."
Not-to-Exceed Total Payment for Services: Consultant's total compensation for
consulting services hereunder shall not exceed ONE HUNDRED FIFTY THOUSAND AND
00/100 DOLLARS ($150,000.00). This amount represents the absolute limit of City's liability to
Consultant hereunder unless same shall be changed by Supplemental Agreement, and City shall
pay, strictly within the not-to-exceed sum recited herein, Consultant's fees for work done on behalf
of City.
Payment for Reimbursable Expenses: There shall be no payments for reimbursable
expenses included in this Agreement.
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6.01 INVOICE REQUIREMENTS; TERMS OF PAYMENT
Invoices: To receive payment, Consultant shall prepare and submit detailed invoices to
the City, in accordance with the delineation contained herein, for services rendered. Such invoices
for services shall track the referenced Scope of Work, and shall detail the services performed,
along with documentation for each service performed. Payment to Consultant shall be made on
the basis of the invoices submitted by Consultant and approved by the City. Such invoices shall
conform to the schedule of services and costs in connection therewith.
Should additional backup material be requested by the City relative to service deliverables,
Consultant shall comply promptly. In this regard, should the City determine it necessary,
Consultant shall make all records and books relating to this Agreement available to the City for
inspection and auditing purposes.
Payment of Invoices: The City reserves the right to correct any error that may be
discovered in any invoice that may have been paid to Consultant and to adjust same to meet the
requirements of this Agreement. Following approval of an invoice, the City shall endeavor to pay
Consultant promptly, but no later than the time period required under the Texas Prompt Payment
Act described in Section 8.01 herein. Under no circumstances shall Consultant be entitled to
receive interest on payments which are late because of a good faith dispute between Consultant
and the City or because of amounts which the City has a right to withhold under this Agreement
or state law. The City shall be responsible for any sales, gross receipts or similar taxes applicable
to the services, but not for taxes based upon Consultant's net income.
7.01 INSURANCE
Consultant shall meet all City of Round Rock Insurance Requirements set forth at:
http•//www roundrocktexas.gov/wp-content/Toads/2014/12/corr insurance 07.20112.pdf.
Consultant's Certificate of Insurance is attached as Exhibit"B."
8.01 PROMPT PAYMENT POLICY
In accordance with Chapter 2251, V.T.C.A., Texas Government Code, any payment to be
made by the City to Consultant will be made within thirty (30) days of the date the City receives
goods under this Agreement, the date the performance of the services under this Agreement are
completed, or the date the City receives a correct invoice for the goods or services, whichever is
later. Consultant may charge interest on an overdue payment at the "rate in effect" on September
1 of the fiscal year in which the payment becomes overdue, in accordance with V.T.C.A., Texas
Government Code, Section 2251.025(b). This Prompt Payment Policy does not apply to payments
made by the City in the event:
(a) There is a bona fide dispute between the City and Consultant, a contractor,
subcontractor, or supplier about the goods delivered or the service performed
that cause the payment to be late; or
(b) There is a bona fide dispute between Consultant and a subcontractor or between
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a subcontractor and its supplier about the goods delivered or the service
performed that causes the payment to be late; or
(c) The terms of a federal contract, grant, regulation, or statute prevent the City
from making a timely payment with federal funds; or
(d) The invoice is not mailed to the City in strict accordance with any instruction
on the purchase order relating to the payment.
9.01 NON-APPROPRIATION AND FISCAL FUNDING
This Agreement is a commitment of the City's current revenues only. It is understood and
agreed that the City shall have the right to terminate this Agreement at the end of any City fiscal
year if the governing body of the City does not appropriate funds sufficient to purchase the services
as determined by the City's budget for the fiscal year in question. The City may effect such
termination by giving Consultant a written notice of termination at the end of its then-current fiscal
year.
10.01 SUPPLEMENTAL AGREEMENT
The terms of this Agreement may be modified by written Supplemental Agreement hereto,
duly authorized by City Council or by the City Manager,if the City determines that there has been
a significant change in (1) the scope, complexity, or character of the services to be performed; or
(2)the duration of the work. Any such Supplemental Agreement must be executed by both parties
within the period specified as the term of this Agreement. Consultant shall not perform any work
or incur any additional costs prior to the execution, by both parties, of such Supplemental
Agreement. Consultant shall make no claim for extra work done or materials furnished unless and
until there is full execution of any Supplemental Agreement, and the City shall not be responsible
for actions by Consultant nor for any costs incurred by Consultant relating to additional work not
directly authorized by Supplemental Agreement.
11.01 TERMINATION; DEFAULT
Termination: It is agreed and understood by Consultant that the City may terminate this
Agreement for the convenience of the City, upon thirty (30) days' written notice to Consultant,
with the understanding that immediately upon receipt of said notice all work being performed
under this Agreement shall cease. Consultant shall invoice the City for work satisfactorily
completed and shall be compensated in accordance with the terms hereof for work accomplished
prior to the receipt of said notice of termination. Consultant shall not be entitled to any lost or
anticipated profits for work terminated under this Agreement. Unless otherwise specified in this
Agreement, all data, information, and work product related to this project shall become the
property of the City upon termination of this Agreement and shall be promptly delivered to the
City in a reasonably organized form without restriction on future use. Should the City
subsequently contract with a new consultant for continuation of service on the project, Consultant
shall cooperate in providing information.
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Termination of this Agreement shall extinguish all rights, duties, and obligations of the
City and the terminated party to fulfill contractual obligations. Termination under this section
shall not relieve the terminated party of any obligations or liabilities which occurred prior to
termination.
Nothing contained in this section shall require the City to pay for any work which it deems
unsatisfactory or which is not performed in compliance with the terms of this Agreement.
Default: Either party may terminate this Agreement, in whole or in part, for default if the
Party provides the other Party with written notice of such default and the other fails to satisfactorily
cure such default within ten(10)business days of receipt of such notice(or a greater time if agreed
upon between the Parties).
If default results in termination of this Agreement,then the City shall give consideration to
the actual costs incurred by Consultant in performing the work to the date of default. The cost of
the work that is useable to the City,the cost to the City of employing another firm to complete the
useable work, and other factors will affect the value to the City of the work performed at the time
of default. Neither party shall be entitled to any lost or anticipated profits for work terminated for
default hereunder.
The termination of this Agreement for default shall extinguish all rights, duties, and
obligations of the terminating Party and the terminated Party to fulfill contractual obligations.
Termination under this section shall not relieve the terminated party of any obligations or liabilities
which occurred prior to termination.
Nothing contained in this section shall require the City to pay for any work which it deems
unsatisfactory, or which is not performed in compliance with the terms of this Agreement.
12.01 NON-SOLICITATION
All parties agree that they shall not directly or indirectly solicit for employment, employ,
or otherwise retain staff of the other during the term of this Agreement.
13.01 INDEPENDENT CONTRACTOR STATUS
Consultant is an independent contractor and is not the City's employee. Consultant's
employees or subcontractors are not the City's employees. This Agreement does not create a
partnership, employer-employee, or joint venture relationship.No party has authority to enter into
contracts as agent for the other party. Consultant and the City agree to the following rights
consistent with an independent contractor relationship:
(1) Consultant has the right to perform services for others during the term hereof.
(2) Consultant has the sole right to control and direct the means, manner and method
by which it performs its services required by this Agreement.
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(3) Consultant has the right to hire assistants as subcontractors, or to use employees to
provide the services required by this Agreement.
(4) Consultant or its employees or subcontractors shall perform services required
hereunder, and the City shall not hire, supervise, or pay assistants to help
Consultant.
(5) Neither Consultant nor its employees or subcontractors shall receive training from
the City in skills necessary to perform services required by this Agreement.
(6) City shall not require Consultant or its employees or subcontractors to devote full
time to performing the services required by this Agreement.
(7) Neither Consultant nor its employees or subcontractors are eligible to participate in
any employee pension, health, vacation pay, sick pay, or other fringe benefit plan
of the City.
14.01 CONFIDENTIALITY; MATERIALS OWNERSHIP
Any and all programs, data,.or other materials furnished by the City for use by Consultant
in connection with services to be performed under this Agreement, and any and all data and
information gathered by Consultant, shall be held in confidence by Consultant as set forth
hereunder. Each party agrees to take reasonable measures to preserve the confidentiality of any
proprietary or confidential information relative to this Agreement,and to not make any use thereof
other than for the performance of this Agreement, provided that no claim may be made for any
failure to protect information that occurs more than three(3)years after the end of this Agreement.
The parties recognize and understand that the City is subject to the Texas Public
Information Act and its duties run in accordance therewith.
All data relating specifically to the City's business and any other information which
reasonably should be understood to be confidential to City is confidential information of City.
Consultant's proprietary software, tools, methodologies, techniques, ideas, discoveries,
inventions, know-how, and any other information which reasonably should be understood to be
confidential to Consultant is confidential information of Consultant. The City's confidential
information and Consultant's confidential information is collectively referred to as "Confidential
Information." Each party shall use Confidential Information of the other party only in furtherance
of the purposes of this Agreement and shall not disclose such Confidential Information to any third
party without the other party's prior written consent, which consent shall not be unreasonably
withheld. Each party agrees to take reasonable measures to protect the confidentiality of the other
party's Confidential Information and to advise their employees of the confidential nature of the
Confidential Information and of the prohibitions herein.
Any and all materials created and developed by Consultant in connection with services
performed under this Agreement, including all trademark and copyright rights, shall be the sole
property of City at the expiration of this Agreement.
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15.01 WARRANTIES
Consultant represents that all services performed hereunder shall be performed consistent
with generally prevailing professional or industry standards and shall be performed in a
professional and workmanlike manner. Consultant shall re-perform any work no in compliance
with this representation.
16.01 LIMITATION OF LIABILITY
Should any of Consultant's services not conform to the requirements of the City or of this
Agreement,then and in that event the City shall give written notification to Consultant;thereafter,
(a) Consultant shall either promptly re-perform such services to the City's satisfaction at no
additional charge, or(b) if such deficient services cannot be cured within the cure period set forth
herein, then this Agreement may be terminated for default.
In no event will Consultant be liable for any loss, damage, cost or expense attributable to
negligence, willful misconduct or misrepresentations by the City, its directors, employees or
agents.
In no event shall Consultant be liable to the City, by reason of any act or omission relating
to the services provided under this Agreement (including the negligence of Consultant), whether
a claim be in tort, contract or otherwise, (a) for any consequential, indirect, lost profit, punitive,
special or similar damages relating to or arising from the services, or (b) in any event, in the
aggregate, for any amount in excess of the total fees paid by the City to Consultant under this
Agreement, except to the extent determined to have resulted from Consultant's gross negligence,
willful misconduct or fiaudulent acts relating to the service provided hereunder.
17.01 INDEMNIFICATION
Consultant agrees to hold harmless, exempt, and indemnify City, its officers, agents,
directors,servants,representatives and employees,from and against any and all suits,actions,legal
proceedings, demands, costs, expenses, losses, damages, fines, penalties, liabilities and claims of
any character, type, or description, including but not limited to any and all expenses of litigation,
court costs, attorneys' fees and all other costs and fees incident to any work done as a result hereof.
To the extent allowable by law, City agrees to hold harmless, exempt, and indemnify
Consultant, its officers, agents, directors, servants, representatives and employees, from and
against any and all suits, actions, legal proceedings, demands, costs, expenses, losses, damages,
fines, penalties, liabilities and claims of any character, type, or description, including but not
limited to any and all expenses of litigation, court costs, attorneys' fees and all other costs and fees
incident to any work done as a result hereof.
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18.01 ASSIGNMENT AND DELEGATION
The parties each hereby bind themselves,their successors,assigns and legal representatives
to each other with respect to the terms of this Agreement. Neither party may assign any rights or
delegate any duties under this Agreement without the other party's prior written approval, which
approval shall not be unreasonably withheld.
19.01 LOCAL, STATE AND FEDERAL TAXES
Consultant shall pay all income taxes, and FICA (Social Security and Medicare taxes)
incurred while performing services under this Agreement. The City will not do the following:
(1) Withhold FICA from Consultant's payments or make FICA payments on its
behalf,
(2) Make state and/or federal unemployment compensation contributions on
Consultant's behalf, or
(3) Withhold state or federal income tax from any of Consultant's payments.
If requested, the City shall provide Consultant with a certificate from the Texas State
Comptroller indicating that the City is not subject to State of Texas Sales and Use Tax.
20.01 COMPLIANCE WITH LAWS, CHARTER AND ORDINANCES
A. Consultant, its consultants, agents, employees and subcontractors shall use best efforts to
comply with all applicable federal and state laws,the Charter and Ordinances of the City of Round
Rock, as amended, and with all applicable rules and regulations promulgated by local, state and
national boards, bureaus and agencies. Consultant shall further obtain all permits, licenses,
trademarks, or copyrights, if required in the performance of the services contracted for herein, and
same shall belong solely to the City at the expiration of the term of this Agreement.
B. In accordance with Chapter 2270,Texas Government Code, a governmental entity may not
enter into a contract with a company for goods and services unless the contract contains written
verification from the company that it: (1) does not boycott Israel; and (2) will not boycott Israel
during the term of the contract. The signatory executing this Agreement on behalf of Consultant
verifies Consultant does not boycott Israel
21.01 FINANCIAL INTEREST PROHIBITED
Consultant covenants and represents that Consultant, its officers, employees, agents,
consultants and subcontractors will have no financial interest, direct or indirect, in the purchase or
sale of any product,materials or equipment that will be recommended or required hereunder.
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22.01 DESIGNATION OF REPRESENTATIVES
The City hereby designates the following representative authorized to act in its behalf with
regard to this Agreement:
David Freireich,P.E.,Utility Engineering Manager
Utilities and Environmental Services
2008 Enterprise Drive
Round Rock, TX 78664
dfreireich�roundro cictexas.gov
23.01 NOTICES
All notices and other communications in connection with this Agreement shall be in writing
and shall be considered given as follows:
(1) When delivered personally to recipient's address as stated herein; or
(2) Three (3)days after being deposited in the United States mail,with postage prepaid
to the recipient's address as stated in this Agreement.
Notice to Consultant:
Raftelis Financial Consultants, Inc.
227 W. Trade Street
Suite 1400
Charlotte,North Carolina 28202
Notice to City:
City Manager, City of Round Rock
221 East Main Street
Round Rock, TX 78664
AND TO:
Stephan L. Sheets, City Attorney
309 East Main Street
Round Rock, TX 78664
Nothing contained in this section shall be construed to restrict the transmission of routine
communications between representatives of the City and Consultant.
24.01 APPLICABLE LAW; ENFORCEMENT AND VENUE
This Agreement shall be enforceable in Round Rock,Texas, and if legal action is necessary
by either party with respect to the enforcement of any or all of the terms or conditions herein,
exclusive venue for same shall lie in Williamson County, Texas. This Agreement shall be
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governed by and construed in accordance with the laws and court decisions of Texas.
25.01 EXCLUSIVE AGREEMENT
The terms and conditions of this Agreement, including exhibits, constitute the entire
agreement between the parties and supersede all previous communications, representations, and
agreements, either written or oral,with respect to the subject matter hereof. The parties expressly
agree that, in the event of any conflict between the terms of this Agreement and any other writing,
this Agreement shall prevail. No modifications of this Agreement will be binding on any of the
parties unless acknowledged in writing by the duly authorized governing body or representative
for each party.
26.01 DISPUTE RESOLUTION
The City and Consultant hereby expressly agree that no claims or disputes between the
parties arising out of or relating to this Agreement or a breach thereof shall be decided by any
arbitration proceeding, including without limitation, any proceeding under the Federal Arbitration
Act (9 USC Section 1-14) or any applicable state arbitration statute.
27.01 SEVERABILITY
The invalidity, illegality, or unenforceability of any provision of this Agreement or the
occurrence of any event rendering any portion of provision of this Agreement void shall in no way
affect the validity or enforceability of any other portion or provision of this Agreement. Any void
provision shall be deemed severed from this Agreement, and the balance of this Agreement shall
be construed and enforced as if this Agreement did not contain the particular portion of provision
held to be void.The parties further agree to amend this Agreement to replace any stricken provision
with a valid provision that comes as close as possible to the intent of the stricken provision. The
provisions of this Article shall not prevent this entire Agreement from being void should a
provision which is of the essence of this Agreement be determined void.
28.01 STANDARD OF CARE
Consultant represents that it is specially trained, experienced and competent to perform all
of the services, responsibilities and duties specified herein and that such services, responsibilities
and duties shall be performed, whether by Consultant or designated subconsultants, in a manner
acceptable to the City and according to generally accepted business practices.
29.01 GRATUITIES AND BRIBES
City, may by written notice to Consultant, cancel this Agreement without incurring any
liability to Consultant if it is determined by City that gratuities or bribes in the form of
entertainment, gifts, or otherwise were offered or given by Consultant or its agents or
representatives to any City Officer, employee or elected representative with respect to the
performance of this Agreement. In addition, Consultant may be subject to penalties stated in Title
8 of the Texas Penal Code.
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30.01 RIGHT TO ASSURANCE
Whenever either party to this Agreement, in good faith, has reason to question the other
party's intent to perform hereunder, then demand may be made to the other party for written
assurance of the intent to perform. In the event that no written assurance is given within the
reasonable time specified when demand is made, then and in that event the demanding party may
treat such failure as an anticipatory repudiation of this Agreement.
31.01 MISCELLANEOUS PROVISIONS
Time is of the Essence. Consultant agrees that time is of the essence and that any failure
of Consultant to complete the services for each phase of this Agreement within the agreed project
schedule may constitute a material breach of this Agreement. Consultant shall be fully responsible
for its delays or for failures to use reasonable efforts in accordance with the terms of this
Agreement. Where damage is caused to City due to Consultant's failure to perform in these
circumstances, City may withhold,to the extent of such damage, Consultant's payments hereunder
without a waiver of any of City's additional legal rights or remedies. City shall render decisions
pertaining to Consultant's work promptly to avoid unreasonable delays in the orderly progress of
Consultant's work.
Force Majeure. Notwithstanding any other provisions herein to the contrary, no failure,
delay or default in performance of any obligation hereunder shall constitute an event of default or
breach of this Agreement, only to the extent that such failure to perform, delay or default arises
out of causes beyond control and without the fault or negligence of the party otherwise chargeable
with failure, delay or default; including but not limited to acts of God, acts of public enemy, civil
war, insurrection, riots, fires, floods, explosion, theft, earthquakes, natural disasters or other
casualties, strikes or other labor troubles, which in any way restrict the performance under this
Agreement by the parties.
Section Numbers. The section numbers and headings contained herein are provided for
convenience only and shall have no substantive effect on construction of this Agreement.
Waiver. No delay or omission by either party in exercising any right or power shall impair
such right or power or be construed to be a waiver. A waiver by either party of any of the covenants
to be performed by the other or any breach thereof shall not be construed to be a waiver of any
succeeding breach or of any other covenant. No waiver or discharge shall be valid unless in writing
and signed by an authorized representative of the party against whom such waiver or discharge is
sought to be enforced.
Multiple Counterparts. This Agreement may be executed in multiple counterparts,which
taken together shall be considered one original. The City agrees to provide Consultant with one
fully executed original.
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IN WITNESS WHEREOF,the parties have executed this Agreement on the dates hereafter
indicated.
City of Round Rock,Texas Rafte Financi 1 Con ultc.
MB . lzr
By: ,� Y
Printed Name: Printed Name: Bichard Giardina
Title: M440 0 liTitle: Executive Vice President
Date Signed: Date Signed: 7/19/1 R
For City,Attest:
By:
Sara L. White, City Clerk
For City, A proved as to Form:
By:' lu
StephanT. Sheets, City Attorney
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Exhibit A
Scope of Work
Project Purpose
The purpose of this contract is to provide ongoing support for a potential rate case which may be
brought by several of the City's wholesale customers ("Customers"), including:
• Paloma Lake MUD No. 1
• Paloma Lake MUD No. 2
• Williamson County MUD No. 10 (Teravista)
• Williamson County MUD No. 11 (Teravista)
• Vista Oaks MUD.
Raftelis Financial Consultants, Inc. ("Raftelis") is prepared to participate in any Legal Team
meetings with the Customers and participate in strategy and negotiation meetings.
If the City is unable to settle and a formal rate case is filed at the Texas Public Utility Commission,
Raftelis will serve as a rate expert. Raftelis will serve as an expert regarding the 2015 and 2017
Wholesale Rate Studies. As a consultant to the legal team, Raftelis will provide the following
support:
1) Participate in Legal Team Meetings as requested by the City;
2) Participate in Negotiations with the Customers as requested by the City;
3) Review settlement offers;
4) Participate in the discovery phase of the rate case, including depositions if required;
5) Provide expert testimony;
6) Any other legal-related tasks related to this rate case as required by the City.
Exhibit B
Fee Schedule
Hourly rates to be billed on a time and materials basis.
Raftelis 2018 Standard Hourly Rates*
Position Hourly Billing Rate xxx
Chair $415
Chief Executive Officer/President $370
Executive Vice President $325
Vice President/Principal Consultant $290
Director of Governmental Services $290
Senior Manager $260
Director of Florida Operations $220
Manager $235
Director of Data Services $235
Senior Consultant $205
Consultant $180
Associate $150
Analyst $110
Administration $75
Technology/Communications Charge** $10
* Rates may be amended once between Jan. 1, 2019 and Dec. 31, 2019, not to exceed a 3%
increase.
** Technology/Communications Charge — this is an hourly fee charged monthly for each hour
worked on the project to recover telephone, facsimile, computer, postage/overnight delivery,
conference calls, electronic/computer webinars,photocopies, etc.
*** For services related to the preparation for and participation in deposition and trial/hearing,
the standard billing rates listed above will be increased by an amount up to 50%.
CERTIFICATE OF INTERESTED PARTIES
FORM1295
10f1
Complete Nos.1-4 and 6 if there are interested parties. OFFICE USE ONLY
Complete Nos.1,2,3,5,and 6 if there are no interested parties. CERTIFICATION OF FILING
1 Name of business entity filing form,and the city,state and country of the business entity's place Certificate Number:
of business. 2018-381607
Raftelis Financial Consultants, Inc.
Charlotte, NC United States Date Filed:
2 Name of governmental entity or state agency that is a party to the contract for which the form is 07/18/2018
being filed.
City of Round Rock Date Acknowledged:
3 Provide the identification number used by the governmental entity or state agency to track or identify the contract,and provide a
description of the services,goods,or other property to be provided under the contract.
2017 Rate Study-Wholesale Cust
Provide support services in discussions and possibly defense of the rate study to a portion of wholesale customer group.
4
Nature of interest
Name of Interested Party City,State,Country(place of business) (check applicable)
Controlling Intermediary
Conti, Elaine V. Charlotte, NC United States X
Burns, Byron B. Charlotte, NC United States X
Rawls, Benjamin M. Charlotte, NC United States X
Thomas, Darin H. Greensboro, NC United States X
Giardina, Richard D. Greenwood Village,CO United X
Davis,Jon P. Charlotte, NC United States X
Readling, Ronald K. Cary, NC United States X
Brandt, Peiffer Charlotte, NC United States X
Stannard,William G. Kansas City, MO United States X
5 Check only if there is NO Interested Party. ❑
6 UNSWORN DECLARATION
My name is �.�c,�SO�I/ and my date of birth is r�
My address is 2z�z bAk:2 Ta�� Sf c�d���°O, `` r AJ
(street) (city) (state) (zip code) (country)
I declare under penalty of perjury that the foregoing is true and correct.
Executed in 2& -6 County, State of /V6 ,on the / day of .?—✓�►T ,20 r .
(month) (year)
Signature of authorized age d t ('contracting business entity
(Declarant)
Forms provided by Texas Ethics Commission www.ethics.state.tx.us Version V1.0.6711
CERTIFICATE OF INTERESTED PARTIES
FORM 3.295
1 of 1
Complete Nos.1-4 and 6 if there are interested parties. OFFICE USE ONLY
Complete Nos.1,2,3,5,and 6 if there are no interested parties. CERTIFICATION OF FILING
1 Name of business entity filing form,and the city,state and country of the business entity's place Certificate Number:
of business. 2018-381607
Raftelis Financial Consultants, Inc.
Charlotte, NC United States Date Filed:
2 Name of governmental entity or state agency that is a party to the contract for which the form is 07/18/2018
being filed.
City of Round Rock Date Acknowledged:
07/25/2018
3 Provide the identification number used by the governmental entity or state agency to track or identify the contract,and provide a
description of the services,goods,or other property to be provided under the contract.
2017 Rate Study-Wholesale Cust
Provide support services in discussions and possibly defense of the rate study to a portion of wholesale customer group.
Nature of interest
4
Name of Interested Party City,State,Country(place of business) (check applicable)
Controlling Intermediary
Conti, Elaine V. Charlotte, NC United States X
Burns, Byron B. Charlotte, NC United States X
Rawls, Benjamin M. Charlotte, NC United States X
Thomas, Darin H. Greensboro, NC United States X
Giardina, Richard D. Greenwood Village, CO United X
Davis,Jon P. Charlotte, NC United States X
Readling, Ronald K. Cary, NC United States X
Brandt, Peiffer Charlotte, NC United States X
Stannard,William G. Kansas City, MO United States X
5 Check only if there is NO Interested Party. ❑
6 UNSWORN DECLARATION
My name is and my date of birth is
My address is
(street) (city) (state) (zip code) (country)
declare under penalty of perjury that the foregoing is true and correct.
Executed in County, State of on the day of 20
(month) (year)
Signature of authorized agent of contracting business entity
(Declarant)
Forms provided by Texas Ethics Commission www.ethics.state.tx.us Version V1.0.6711