Contract - Grantworks, Inc - 5/11/2023 CITY OF ROUND ROCK AGREEMENT FOR
PROFESSIONAL CONSULTING SERVICES
RELATED TO ADMINISTRATION SERVICES FOR
AMERICAN RESCUE PLAN ACT PROGRAMS
WITH
GRANTWORKS, 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 the provision of
administration services for American Rescue Plan Act ("ARPA") Programs (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 GRANTWORKS, INC, with offices located at 2201 Northland Drive, Austin, Texas
78756 (the "Consultant").
RECITALS:
WHEREAS, professional services related to the provision of administration services for
ARPA Programs are desired by the City; and
WHEREAS,City has determined that there is a need for the delineated services; and
WHEREAS, City issued a Request for Qualifications (Request for Qualification No. 22-
030)for said services in September 2022; and
WHEREAS, City has determined that Consultant is the most qualified to provide said
services; and
WHEREAS, City desires to use American Rescue Plan funds fees and costs associated
with said services;
WHEREAS, City and Consultant shall comply with the requirements of 2 CFR Part 200
and any other applicable federal requirements related to the procurement and expenditure of fees
and costs related to the Project;
WHEREAS, the parties desire to enter into this Agreement to set forth in writing their
respective rights, duties and obligations hereunder.
2-2DZ3- log
4894-9757-0905/ss2
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:
1.0 EFFECTIVE DATE, DURATION,AND TERM
A. 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 as provided herein.
B. The term of this Agreement shall be for sixty (60) months commencing upon the
effective date of this Agreement.
C. City and the Consultant reserve 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.
2.0 SCOPE OF SERVICES
Consultant has issued its proposal for services, such proposal for services being attached
to this Agreement as Exhibit "A" titled "Scope of Services," which shall be referred to as the
Scope of Services of this Agreement and incorporated herein by reference for all purposes.
Consultant shall satisfactorily provide all services described herein and as set forth in
Exhibit "A." Consultant shall perform services in accordance with this Agreement, in
accordance with the appended Scope of Services and in accordance with due care and prevailing
consulting industry standards for comparable services.
3.0 LIMITATION TO SCOPE OF SERVICES
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
and City agree that the Scope of Services to be performed is enumerated in Exhibit "A" may
only be modified by a written Supplemental Agreement executed by both parties as described in
Section 9.0.
4.0 CONTRACT AMOUNT
In consideration for the professional consulting services to be performed by Consultant,
City agrees to pay Consultant an amount not-to-exceed Four Hundred Ninety-One Thousand
Three Hundred Fifty and No/100 Dollars ($491,350.00) as set forth in the attached Exhibit
"A"and at the following hourly rates:
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5.0 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 professional 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 laze 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.
6.0 INSURANCE
Consultant shall meet all City of Round Rock Insurance Requirements set forth at:
https://",ww.roundrocktexas.eov/wv-content/uploads/2014/12/corr insurance 07.20112.12
7.0 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 performance
of the services under this Agreement are completed, or the date the City receives a correct
invoice for the 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 service performed that cause the payment
to be late; or
(b) There is a bona fide dispute between Consultant and a subcontractor or
between a subcontractor and its supplier about the service performed that
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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.
8.0 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 affect
such termination by giving Consultant a written notice of termination at the end of its then-
current fiscal year.
9.0 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.
10.0 TERMINATION; DEFAULT
Termination: It is agreed and understood by Consultant that the City or Consultant may
terminate this Agreement for the convenience of the City or Consultant, upon thirty (30) days'
written notice to Consultant or City, 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
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.
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.
11.0 NON-SOLICITATION
Except as may be otherwise agreed in writing, during the term of this Agreement and for
twelve (12) months thereafter, neither the City nor Consultant shall offer employment to or shall
employ any person employed then or within the preceding twelve (12) months by the other or
any affiliate of the other if such person was involved, directly or indirectly, in the performance of
this Agreement. This provision shall not prohibit the hiring of any person who was solicited
solely through a newspaper advertisement or other general solicitation.
12.0 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:
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(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.
(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.
13.0 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
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shall not be unreasonably withheld. Each parry 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.
Notwithstanding anything to the contrary contained herein, neither party shall be
obligated to treat as confidential any information disclosed by the other party (the "Disclosing
Party") which: (1) is rightfully known to the recipient prior to its disclosure by the Disclosing
Party; (2) is released by the Disclosing Party to any other person or entity (including
governmental agencies) without restriction; (3) is independently developed by the recipient
without any reliance on Confidential Information; or (4) is or later becomes publicly available
without violation of this Agreement or may be lawfully obtained by a party from any non-party.
Notwithstanding the foregoing, either party will be entitled to disclose Confidential Information
of the other to a third party as may be required by law, statute, rule or regulation, including
subpoena or other similar form of process, provided that (without breaching any legal or
regulatory requirement) the party to whom the request is made provides the other with prompt
written notice and allows the other party to seek a restraining order or other appropriate relief.
Subject to Consultant's confidentiality obligations under this Agreement, nothing herein shall
preclude or limit Consultant from providing similar services for other clients.
Notwithstanding the foregoing, either party will be entitled to disclose Confidential
Information of the other to a third party as may be required by law, statute, rule or regulation,
including subpoena or other similar form of process, provided that (without breaching any legal
or regulatory requirement)the party to whom the request is made provides the other with prompt
written notice and allows the other party to seek a restraining order or other appropriate relief.
Subject to Consultant's confidentiality obligations under this Agreement, nothing herein shall
preclude or limit Consultant from providing similar services for other clients.
Neither the City nor Consultant will be liable to the other for inadvertent or accidental
disclosure of Confidential Information if the disclosure occurs notwithstanding the parry's
exercise of the same level of protection and care that such party customarily uses in safeguarding
its own proprietary and confidential information.
Notwithstanding anything to the contrary in this Agreement, the City will own as its sole
property all written materials created, developed, gathered, or originally prepared expressly for
the City and delivered to the City under the terms of this Agreement (the "Deliverables"); and
Consultant shall own any general skills, know-how, expertise, ideas, concepts, methods,
techniques, processes, software, or other similar information which may have been discovered,
created, developed or derived by Consultant either prior to or as a result of its provision of
services under this Agreement(other than Deliverables). Consultant shall have the right to retain
copies of the Deliverables and other items for its archives. Consultant's working papers and
Consultant's Confidential Information (as described herein) shall belong exclusively to the
Consultant. "Working papers" shall mean those documents prepared by Consultant during the
course of performing the Project including, without limitation, schedules, analyses,
transcriptions, memos, designed and developed data visualization dashboards and working notes
that serve as the basis for or to substantiate the Project. In addition, Consultant shall retain sole
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and exclusive ownership of its know-how, concepts,techniques, methodologies, ideas,templates,
dashboards, code and tools discovered, created or developed by Consultant during the
performance of the Project that are of general application and that are not based on City's
Confidential Information hereunder (collectively, "Consultant's Building Blocks"). To the
extent any Deliverables incorporate Consultant's Building Blocks, Consultant gives City a non-
exclusive, non-transferable, royalty-free right to use such Building Blocks solely in connection
with the deliverables. Subject to the confidentiality restrictions mentioned above, Consultant
may use the deliverables and the Building Blocks for any purpose. Except to the extent required
by law or court order, City will not otherwise use, or sublicense or grant any other party any
rights to use, copy or otherwise exploit or create derivative works from Consultant's Building
Blocks.
City shall have a non-exclusive, non-transferable license to use Consultant's Confidential
Information for City's own internal use and only for the purposes for which they are delivered to
the extent that they form part of the Deliverables.
14.0 WARRANTIES
Consultant represents that all services performed hereunder shall be performed consistent
with generally prevailing professional or industrial standards, and shall be performed in a
professional and workmanlike manner. Consultant shall re-perform any work not in compliance
with this representation.
15.0 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.
Neither party's liability, in contract, tort (including negligence) or any other legal or
equitable theory, (a) shall exceed the professional fees paid or due to Consultant pursuant to this
Agreement or (b) include any indirect, incidental, special, punitive or consequential damages,
even if such party has been advised of the possibility of such damages. Such excluded damages
include, without limitation, loss of data, loss of profits and loss of savings of revenue.
16.0 INDEMNIFICATION
Consultant shall save and hold harmless City and its officers and employees from all
claims and liabilities due to activities of his/her/itself and his/her/its agents or employees,
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performed under this Agreement, which are caused by or which result from the negligent error,
omission, or negligent act of Consultant or of any person employed by Consultant or under
Consultant's direction or control.
Consultant shall also save and hold City harmless from any and all expenses, including
but not limited to reasonable attorneys' fees which may be incurred by City in litigation or
otherwise defending claims or liabilities which may be imposed on City as a result of such
negligent activities by Consultant, its agents, or employees.
17.0 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.
1&0 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 a non-profit corporation and not subject to State of Texas
Sales and Use Tax.
19.0 COMPLIANCE WITH LAWS, FEDERAL REGULATIONS, 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 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 2271, 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 a contract. The signatory executing this Agreement on behalf of
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Consultant verifies Consultant does not boycott Israel and will not boycott Israel during the term
of this Agreement.
C. In accordance with 2274, Texas Government Code, a governmental entity may
not enter into a contract with a company with at least ten (10) full-time employees for a value of
at least One Hundred Thousand and No/100 Dollars ($100,000.00) unless the contract has a
provision verifying that it: (1) does not have a practice, policy, guidance, or directive that
discriminates against a firearm entity or firearm trade association; and (2) will not discriminate
during the term of the contract against a firearm entity or firearm trade association. The signatory
executing this Agreement on behalf of Consultant verifies Consultant does not have a practice,
policy, guidance, or directive that discriminates against a firearm entity or firearm trade
association, and it will not discriminate during the term of this Agreement against a firearm
entity or firearm trade association.
D. In accordance with 2274, Texas Government Code, a governmental entity may
not enter into a contract with a company with at least ten (10) full-time employees for a value of
at least One Hundred Thousand and No/100 Dollars ($100,000.00) unless the contract has a
provision verifying that it: (1) does not boycott energy companies; and (2) will not boycott
energy companies during the term of this Agreement. The signatory executing this Agreement on
behalf of Consultant verifies Consultant does not boycott energy companies, and it will not
boycott energy companies during the term of this Agreement.
E. Payment for these services are being assisted by the United States of America.
Consultant and City acknowledge and agree that this is a federally assisted Agreement, and as
such, shall comply with all such requirements. Said requirements include, but are not limited
to, compliance with 2 CFR 200 and the Equal Opportunity Act and any other federal
regulations, code provisions, orders and rules, including but not limited to, the federal
regulations set forth in Exhibit"B," attached hereto and incorporated herein by reference for all
purposes.
20.0 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.
21.0 DESIGNATION OF REPRESENTATIVES
The City hereby designates the following representative authorized to act on its behalf
with regard to this Agreement:
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Melana Taylor
Deputy Chief Financial Officer
Finance Department
221 East Main Street
Round Rock, Texas 78664
(512)218-3295
mtaylor(droundrocktexas.gov
22.0 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:
GrantWorks, Inc.
2201 Northland Drive
Austin, Texas 78756
Notice to City:
City Manager, City of Round Rock
221 East Main Street
Round Rock, TX 78664
AND TO:
Stephanie L. Sandre, 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.
23.0 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 governed by and construed in accordance with the laws and court decisions of Texas.
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24.0 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.
25.0 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.
26.0 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.
27.0 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.
2&0 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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29.0 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 an anticipatory repudiation of this Agreement.
30.0 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 the 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 hereof 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 of 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 Rou d Rock,Texas GrantWorks,Inc.
By: B
Printed N e e J i n el
Title: Title:
Date Signed: President
Date Signed: March 31, 2023
For City,Attest:
By:
Meagan SpinJ6City Clerk
For City,Approved as to Form:
By:
eph�LSan'
City Attorney
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Exhibit "A"
ROUND ROCK TEXAS
PURCHASING DIVISION
City of Round Rock, Texas
Purchasing Division
221 East Main Street
Round Rock, Texas 78664-5299
www.roundrocktexas.gov
REQUEST FOR QUALIFICATIONS (RFQS)
ADMINISTRATION SERVICES FOR AMERICAN
RESCUE PLAN ACT (ARPA) PROGRAMS
SOLICITATION NUMBER 22-030
SEPTEMBER 2022
City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
ADMINISTRATION SERVICES FOR AMERICAN RESCUE PLAN ACT(ARPA) PROGRAMS
PART I
GENERAL REQUIREMENTS
1. PURPOSE: The City of Round Rock, herein after"the City" seeks proposals from firms experienced in
administration/activity management and delivery services to assist the City in the overall administration or
implementation of the proposed American Rescue Plan Act, herein after"ARPA" program(s).
2. BACKGROUND: Services are being solicited to assist the City in the administration of program(s)funded
by the ARPA. The City of Round Rock has currently received a total of$16,397,285 from the U.S.
Treasury as allocated in the ARPA, Title IX: Subtitle M: Sec 603 and intends to allocate a portion of the
funds toward a public safety program and the balance towards local infrastructure needs. The City may
receive an additional $14m award from Williamson County for a waste line improvement. Program
Administration services for the public safety program and infrastructure projects and other eligible ARPA
funded programs will remain within the scope of the Contract resulting from this solicitation. Engineering
services will not be included in the use of ARPA funding.
This RFQS also covers the provision of professional administration services for programs that may be
funded with ARPA funds distributed by the county or State. The selected Respondent will assist the City
in the required administrative responsibilities, which includes but are not limited to compliance, reporting,
and close-out.
3. SOLICITATION PACKET: This solicitation packet is comprised of the following:
Description Index
Part I—General Requirements Page(s) 2-6
Part II —Definitions, Standard Terms and Conditions and Insurance Requirements Page 7
Part III —Supplemental Terms and Conditions Page(s) 8-10
Part IV—Scope of Work Page(s) 11-13
Part V—Proposal Preparation Instructions and Evaluation Factors Page(s) 14-16
Attachment A—Proposal Submittal Form and Execution Page 17
Attachment B—Reference Sheet Page 18
Attachment C—Subcontractor Information Form Page 19
4. AUTHORIZED PURCHASING CONTACT(S): For questions or clarification of specifications, you may
contact:
Adam Gagnon Amanda Crowell
Purchaser Purchaser
Purchasing Division Purchasing Division
City of Round Rock City of Round Rock
Phone: 512-218-5456 Phone: 512-218-5458
E-mail: agagnon(d)roundrocktexas.gov E-mail: acrowell(W-roundrocktexas.gov
The individual(s) listed above is/are the only authorized City contact(s)for this solicitation. The authorized
purchasing contact(s) may be contacted by e-mail for clarification for this solicitation including
specifications. No other City employee or representative may be contacted about this solicitation prior to
contract approval. No authority is intended or implied that specifications may be amended, or alterations
accepted prior to solicitation opening without written approval of the City of Round Rock through the
Purchasing Department.
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
5. SCHEDULE OF EVENTS: It is the City's intention to follow the solicitation timeline below.
EVENT DATE
Solicitation released September 21, 2022
Deadline for submission of questions October 7, 2022 @ 5:00 PM, CST
City responses to questions or addendums Approx. October 12, 2022 @ 5:00 PM, CST
Deadline for submission of responses October 25, 2022 @ 3:00 PM, CST
All questions regarding the solicitation shall be submitted in writing by 5:00 PM, CST on the due date
noted above. A copy of all the questions submitted and the City's response to the questions shall be
posted on the City's webpage in the form of an addendum at:
https://www.roundrocktexas.gov/city-businesses/solicitations/
Questions shall be submitted in writing to the "Authorized Purchasing Contact'. The City reserves the
right to modify these dates. Notice of date change will be posted to the City's website:
hftps:/Avww.roundrocktexas.gov/City-businesses/solicitations/
6. SOLICITATION UPDATES: Respondents shall be responsible for monitoring the City's website at
https://www.roundrocktexas.ciov/city-businesses/solicitations/for any updates pertaining to the solicitation
described herein. Various updates may include addendums, cancellations, notifications, and any other
pertinent information necessary for the submission of a correct and accurate response. The City will not
be held responsible for any further communication beyond updating the website.
7. RESPONSE DUE DATE: Signed and sealed responses are due at or before 3:00 PM, on the due date
noted in PART I, Section 5—Schedule of Events. Mail or hand deliver sealed responses to:
City of Round Rock
Attn: Adam Gagnon
Purchasing Division
221 E. Main Street
Round Rock, Texas 78664-5299
A. Sealed responses shall be clearly marked on the outside of packaging with the RFQS Solicitation
title, number, due date and"DO NOT OPEN".
B. Facsimile or electronically transmitted responses are not acceptable-
C. Responses cannot be altered or amended after opening.
D. No response can be withdrawn after opening without written approval from the City for an acceptable
reason.
E. The City will not be bound by any oral statement or offer made contrary to the written proposal.
F. Samples and/or copies shall be provided at the Respondent's expense and shall become the property
of the City.
G. Receipt of all addenda to this RFQS must be acknowledged, signed, and included with the proposal
response.
H. Late Proposal(s)will not be considered under any circumstances and will be returned unopened if a
return address is provided.
8. RESPONDENT REQUIREMENTS:The City of Round Rock makes no warranty that this checklist is a full
comprehensive listing of every requirement specified in the solicitation. This list is only a tool to assist
participating Respondents in compiling their final responses. Respondents are encouraged to carefully
read the entire solicitation.
A. Respondent shall submit one (1) evident signed"Original" and one (1) identical electronic copy of the
RFQS response on a flash drive. The submittal is required to include all addendums and requested
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
attachments. The RFQS response along with samples and/or copies shall be provided at the
Respondent's expense and shall become the property of the City.
B. This request for qualifications (RFQS) does not commit the City to contract for any supply or service.
Respondents are advised that the City will not pay for any administrative costs incurred in response
of preparation to this RFQS; all costs associated with responding to this RFQS will be solely at the
interested parties'expense. Not responding to this RFQS does not preclude participation in any
future RFP/RFQ/IFB.
C. For your RFQS submittal to be considered responsive,the attachments identified below shall
be submitted with your proposal.
❑ Addendums: Addendums may be posted to this solicitation. Respondents are required to submit
signed addendums with their sealed response. The Respondent shall be responsible for
monitoring the City's website at https://www.roundrocktexas.,qov/city-businesses/solicitations/for
any updates pertaining to the solicitation.
❑ Attachment A: PROPOSAL SUBMITTAL FORM AND EXECUTION: Failure to complete, sign,
and return the proposal submittal form and execution with your offer by the deadline may result in
the disqualification of your proposal.
❑ Attachment B: REFERENCE SHEET: Provide the name, address, telephone number and E-
MAIL of at least three (3)valid Municipal, Government agencies or firms of comparable size that
have utilized services that are similar in type and capacity within the last two (2) years. City of
Round Rock references are not applicable. References may be checked prior to award. If
references cannot be confirmed or if any negative responses are received it may result in the
disqualification of submittal.
❑ Attachment C: SUBCONTRACTOR INFORMATION FORM: Provide a completed copy of the
Subcontractor Information Form.
9. CONFIDENTIALITY OF CONTENT. As stated in Section 16 of City of Round Rock Purchasing
Definitions, Standard Terms and Conditions, all documents submitted in response to a solicitation shall be
subject to the Texas Public Information Act. Following an award, responses are subject to release as
public information unless the response or specific parts of the response can be shown to be exempt from
the Texas Public Information Act. Pricing is not considered to be confidential under any circumstances.
A. Information in a submittal that is legally protected as a trade secret or otherwise confidential must be
clearly indicated with stamped, bold red letters stating"CONFIDENTIAL" on that section of the
document. The City will not be responsible for any public disclosure of confidential information if it is
not clearly marked as such.
B. If a request is made under the Texas Public Information Act to inspect information designated as
confidential, the Respondent shall, upon request from the City, furnish sufficient written reasons and
information as to why the information should be protected from disclosure. The matter will then be
presented to the Attorney General of Texas for final determination.
10. SUSPENSION OR DEBARMENT CERTIFICATION: The provisions of the Code of Federal Regulations 2
CFR part 180 suspension and debarment may apply to this agreement. The City of Round Rock is
prohibited from contracting with or making prime or sub-awards to parties that are suspended or debarred
or whose principals are suspended or debarred from doing business with the Federal Government, State
of Texas, or the City of Round Rock.
11. CERTIFICATE OF INTERESTED PARTIES: Section 2252.908 of the Texas Government Code requires
the successful offeror to complete a Form 1295"Certificate of Interested Parties" that is signed for a
contract award requiring council authorization. The"Certificate of Interested Parties" form must be
completed on the Texas Ethics Commission website, printed, signed, and submitted to the City by the
authorized agent of the Business Entity with acknowledgment that disclosure is made under oath and
under penalty of perjury prior to final contract execution. Link to Texas Ethics Commission Webpage:
https://www.ethics.state.tx.us/whatsnew/elf info form1295.htm
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
12. EX PARTE COMMUNICATION: Please note that to insure the proper and fair evaluation of an offer, the
City of Round Rock prohibits ex parte communication (e.g., unsolicited) initiated by the Offeror to the City
Official, Employee, City Consultant, or Evaluation Team member evaluating or considering the offers prior
to the time an award decision has been confirmed. Communication between an Offeror and the City will
be initiated by the appropriate City Official or Employee in order to obtain information or clarification
needed to develop a proper and accurate evaluation of the offer. Ex parte communication may be
grounds for disqualifying the offending Offeror from consideration of award in evaluation or any future bid.
13. OPPORTUNITY TO PROTEST: The Purchasing Manager for the City of Round Rock ("City"), in
consultation with the City Attorney, shall have the authority to settle or resolve any dispute concerning the
solicitation or award of a contract. The Purchasing Manager may solicit written responses to the protest
from other interested parties. The aggrieved person must prepare his or her complaint in writing and
send it by electronic mail to the City's Purchasing Department at protestQroundrocktexas.gov.
In the event of a timely protest, the City shall not proceed further with the solicitation or award of a
contract unless it is determined that the award must take place without delay, to protect the best interests
of the City.
The procedures for notifying the City of an alleged deficiency or filing a protest are listed below. If you fail
to comply with any of these requirements, the Purchasing Office may dismiss your complaint or protest.
A. Prior to Offer Due Date: If you are a prospective offeror for the award of a contract ("Offeror") and
you become aware of the facts regarding what you believe is a deficiency in the solicitation process
before the due date for receipt of offers in response to a solicitation ("Offers"), you must notify the City
in writing of the alleged deficiency before that date, giving the City an opportunity to resolve the
situation prior to the Offer due date.
B. After Offer Due Date: If you submit an Offer to the City and you believe that there has been a
deficiency in the solicitation process or the award, you have the opportunity to protest the solicitation
process, or the recommended award as follows:
i. You must file a written notice of your intent to protest within four(4)working days of the date that
you know or should have known of the facts relating to the protest. If you do not file a written
notice of intent within this time, you have waived all rights to protest the solicitation process or the
award.
ii. You must file your formal written protest within ten (10)working days of the date that you know or
should have known of the facts relating to the protest unless you know of the facts before the
Offer has been closed. If you know of the facts before those dates, you must notify the City as
stated in section (A) above.
iii. You must submit your protest in writing and must include the following information:
1. your name, address, telephone number, and email address.
2. the solicitation number.
3. a specific identification of the statutory or regulatory provision that you are alleging has been
violated.
4. a detailed statement of the factual grounds for your protest, including copies of any relevant
documents.
5. a statement of any issues of law or fact that you contend must be resolved; and
6. a statement of the argument and authority that you offer in support of your protest.
iv. Your protest must be concise and presented logically and factually to help with the City's review.
C. Receipt of Timely Protest: When the City receives a timely and complete written protest, the
Purchasing Manager, with assistance from the City Attorney, shall make one of the following
determinations:
i. Determine that a violation of rules and statutes has occurred prior to the award of the contract
and inform you and other interested parties of the determination. The City will prepare updated
solicitation documents and will re-solicit.
ii. Determine that no violation of rules or statutes has occurred and inform you and other interested
parties of the decision by letter. The reasons for the determination will be presented in the letter.
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
iii. Determine that a violation of rules and statutes has occurred after the award of the contract and
inform you and other interested parties of the determination. However, the awarded contract will
not be canceled. As needed, corrective actions may be taken with purchasing or any other
pertinent City staff.
iv. A determination will usually be made within fifteen (15) business days after receipt of the formal
protest.
v. Any written decisions by the Purchasing Manager shall be the final administrative action
for the City.
All documentation pertaining to a protest will be kept on file at the City and are subject to open
records requests.
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
PART II
DEFINITIONS, STANDARD TERMS AND CONDITIONS,
AND INSURANCE REQUIREMENTS
1. DEFINITIONS, STANDARD TERMS AND CONDITIONS: By submitting a response to this solicitation,
the Respondent agrees that the City's Definitions and Standard Terms and Conditions; in effect at the
time of release of the solicitation; shall govern unless specifically provided otherwise in a separate
agreement or on the face of a purchase order. These can be obtained from the City's website at:
https://www.roundrocktexas.gov/city-departments/purchasing/. In addition, the Supplemental Terms and
Conditions listed in Section III; shall also be enforced as part of the contract.
2. INSURANCE: The Respondent shall meet or exceed all insurance requirements set forth in Standard
Insurance Requirements. The City's Standard Insurance Requirements document can be viewed and
downloaded from the City's website at https//www roundrocktexas.gov/city-departments/purchasing/
3. PROFESSIONAL LIABILITY INSURANCE: The Contractor shall provide coverage, at a minimum limit of
$2,000,000 per claim; to pay on behalf of the assured all sums which the assured shall become legally
obligated to pay as damages by reason of any negligent act; error; or omission, or breach of security
(including but not limited to any confidential or private information) arising out of the performance of
professional services under this Agreement.
If coverage is written on a claims-made basis; the retroactive date shall be prior to or coincident with the
date of the Contract and the certificate of insurance shall state that the coverage is claims-made and
indicate the retroactive date This coverage shall be continuous and will be provided for 24 months
following the completion of the contract.
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
PART III
SUPPLEMENTAL TERMS AND CONDITIONS
1. AGREEMENT TERM: The terms of the awarded agreement shall include but not be limited to the
following:
A. The term of the Agreement shall begin from date of award and shall remain in full force for sixty (60)
months.
B. Upon expiration of the contract term, the Contractor agrees to hold over under the terms and
conditions of this agreement for such a period as is reasonably necessary to re-solicit and/or
complete the project up to 120 days.
2. RESPONDENT QUALIFICATIONS: The City has established the following minimum qualifications.
Respondents who do not meet the minimum qualifications will not be considered for award. The
Respondent shall:
A. Be firms, corporations, individuals, or partnerships normally engaged in providing administration
services for ARPA and comparable federally funded programs as specified herein and have adequate
organization, facilities, equipment, financial capability, and personnel to ensure prompt and efficient
service to the City.
B. To confirm financial stability, the City may choose to review audited financial statements at any time
throughout the RFQS evaluation process. Upon request, the Respondent shall provide two years
audited financial statements, including any notes or supplemental schedules within 2 business days
of the original request.
C. The Respondent shall include in the proposal a list of all litigation the company or its principals have
been involved in within the last three (3) years.
D. Be domiciled in or have a home office inside the United States. Respondents domiciled outside the
United States, or not having a home office inside the United States will not be included for
consideration in this RFQS process.
3. SUBCONTRACTORS: If Subcontractors will be used the Respondent is required to complete and submit
with their proposal response Attachment C: Subcontractor Information Form. The Contractor shall be fully
responsible to the City for all acts and omissions of the Subcontractors just as the Contractor is
responsible for the Contractors own acts and omissions. The Contractor shall:
A. Require that all deliverables to be provided by the Subcontractor be provided in strict accordance with
the provisions, specifications, and terms of the Contract.
B. Require that all Subcontractors obtain and maintain, throughout the term of their agreement, primary
insurance in the type and amounts specified for the Contractor, with the City being named as an
additional insured; and
C. Require that the Subcontractor indemnify and hold the City harmless to the same extent as the
Contractor is required to indemnify the City.
D. Awarded Contractor is required to submit a list of all subcontractors for approval by the City prior to
use of any subcontractors throughout the term of the contract.
4. SAFETY: The City reserves the right to remove any employee from City property for violation of federal,
state, and local health, safety and environmental laws, ordinances, rules, and regulations. The
Respondent shall:
A. Ensure that all employees comply with all Occupational Safety and Health Administration (OSHA),
State and City safety and occupational health standards and other applicable federal, state, and local
health, safety, and environmental laws ordinances, rules, and regulations in the performance of these
services.
B. Be held responsible for the safety of their employees and unsafe acts or conditions that may cause
injury or damage to any persons or property within and around the work site. In case of conflict, the
most stringent safety requirement shall govern.
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
C. Indemnify and hold the City harmless from and against all claims, demands, suits, actions,
judgments, fines penalties and liability of every kind arising from the breach of the Successful
Respondents obligations under this paragraph.
5. WORKFORCE: Successful Respondent shall:
A. Ensure Respondent's employees perform the services in a timely, professional; and efficient manner.
B. Ensure Respondent's employees, while working on City property, wear a company uniform that
clearly identifies them as the Respondent's employee.
C Employ all personnel for work in accordance with the requirements set forth by the United States
Department of Labor. The City reserves the right to verify citizenship or right to work in the United
States.
6. PRICING: DO NOT submit any pricing information with your original offer. If the City deems the
Respondent the most qualified to perform the work the City's authorized purchasing contact(s) will ask for
this value during negotiations and via best and final offers (BAFO).
7. ACCEPTANCE/INSPECTION: Acceptance/Inspection should not take more than five (5) working days.
The awarded respondent will be notified within the time frame if the services delivered are not in full
compliance with the specifications. In the event the services are not performed to the satisfaction of the
City the vendor shall agree to reperform services to specification at no additional cost to the City. If any
agreement or purchase order is cancelled for non-acceptance, the needed services may be purchased
elsewhere.
8. PERFORMANCE REVIEW: The City reserves the right to review the awarded Contractor's performance
anytime during the contract term.
9. POINT OF CONTACT/ DESIGNATED REPRESENTATIVE:
A Contractor's point of contact: In order to maintain consistent standards of quality work performed
across the City, the City shall be provided with a designated and identified point of contact upon
award of the contract to include contact information. The City's designated representative shall be
notified by the Respondent immediately should the point of contact change.
B The City's designated representative: The City's designated representative shall be
Melana Taylor
Deputy Chief Financial Officer Finance Department
Phone: (512) 218-3295
E-mail: mtaylor(o)roundrocktexas.gov
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
PART IV
SCOPE OF WORK
1. OVERVIEW: The Contractor will assist the City of Round Rock fulfill State and Federal ARPA statutory
responsibilities related to recovery from COVID-19. The Contractor will assist the City of Round Rock in
completion of ARPA program(s). Completion is defined as the ARPA funded project is complete and the
final reimbursement has been submitted to and accepted by ARPA authority.
The Contractor will provide Program Administration services for the following programs or services:
environmental, acquisition, general administration, etc. Program administrative services must be
performed in compliance with the guidance provided by the US Treasury.
Please refer to the United States Department of the Treasury (USDT) website for the FAQs and Fact
Sheet at: https:Hhome.treasury.qov/system/fiiles/136/SLFRP-Fact-Sheet-FINAL1-508A.pdf and
https://home.treasurV.qov/system/files/136/SLFRPFAQ.pdf for additional information regarding the ARPA.
ARPA funds must be fully encumbered by 12/3112024.ARPA funds must be completed and spent
on eligible projects by 12131/2026.
2. CONFIDENTIALITY: Any information and materials disclosed by or on behalf of the Contractor in
connection with this Agreement that is reasonably considered to be confidential should be kept in
confidence and used by the Receiving Party only for the purpose of this Agreement. The confidentiality
obligation under this section shall continue for five years thereafter from the disclosure of such
Confidential Information.
3. SERVICE REQUIREMENTS: Services shall be performed at-
221 East Main Street*
Round Rock, TX 78664
*Remote work as permitted by the City POC
4. GENERAL REQUIREMENTS: The Contractor shall-
A. Assist the City in completing required ARPA documentation.
B. Work with the local government and project manager(s), if applicable, to support the potential projects
that provide desired benefits and are compliant with any eligibility criteria as established by the US
Treasury Department.
C. Provide administrative support for eligible infrastructure projects and service programs approved for
ARPA funding.
D. Follow all compliance and regulatory requirements of the ARPA program(s), including 2 CFR
§200.101.
E. Furnish pre-funding and post-funding program administrative services to complete the ARP Act
projects.
5. PROGRAM ADMINISTRATION SERVICES: The Contractor shall-
A. General Administrative Responsibilities:
i. Monitor program compliance including all ARP Act requirements.
ii. Assist in establishing and maintaining financial processes for program departments.
iii. Obtain and maintain copies of the most current program agreement, if such exists, including all
related change requests, revisions, and attachments.
iv. Establish and maintain record keeping systems.
v. Implementation and coordination of Affirmatively Furthering Fair Housing ("AFFH") requirements
(if required).
vi. Implementation and coordination of Section 504 requirements (if required).
vii. Assist with monitoring and resolving audit findings.
viii. Serve as the monitoring liaison.
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item 918-06
September 2022
ix Assist with resolving third party claims.
x. Report suspected fraud to the City's point of contact.
xi. Submit timely responses to requests for additional information.
xii. Assist with the system of record, documentation; reports, change requests, progress of projects.
xiii. Coordinate. as necessary; between recipient and any other appropriate service providers (i.e.,
Engineer, Environmental, etc.), contractor, subcontractor, and other state/federal agencies to
effectuate the services requested.
xiv. May assist in public hearings, if required.
xv. Provide project status updates.
B Procurement
I Assist with procurements as necessary for program implementation.
ii. Monitor compliance with procurement regulations and policies per 2 CFR 200.
iii. Assist City staff with developing contract/bid packages that meet ARPA program requirements.
C. Financial Duties
i. Provide guidance on Program compliance.
ii. Assist with developing fraud prevention and abuse practices.
iii. Prepare for submission closeout documents.
iv. Assist in preparation of contract revisions and supporting documents including but not limited to
amendments and modifications.
D Necessary Water, Sewer, or Broadband Infrastructure
i. Offer recommendations for this program.
ii. Assist the recipient in submitting/setting up project(s)
iii. Assist with monitoring and reporting Contractor's performance and associated documentation.
iv. Review and recommend any change orders as appropriate to the individual projects.
v. Labor Standards duties (as required):
a) Act as the City's Labor Standards Officer (LSO)
b) Monitor compliance with all relevant labor standards regulations
c) Maintain document files to support compliance.
vi. Environmental Services:
a) Review each project description to ascertain and/or verify the level of environmental review
requirements.
b) Prepare, complete, and submit required forms for environmental review and provide all
documentation to support environmental findings.
c) Consult and coordinate with oversight/regulatory agencies to facilitate environmental
clearance.
vii. Acquisition Duties:
a) Submit acquisition reports and related documents.
b) Establish and maintain acquisition files (if necessary).
6. DELIVERABLES:
A The Contractor shall deliver reports based on Federal Reporting Guidelines
(https.//home treasury.gov/system/files/136/SLFRF-Compliance-and-Reporting-Guidance.pdf) on.
i. Available ARPA funds
ii. Committed ARPA Funds
iii Amount of funds spent by each project to date.
B. Compile and review for completeness contract/closeout packages that meet ARPA program
requirements.
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City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
7. CITY RESPONSIBILITIES: The City will-
A. Provide accurate information when available.
B. Provide access to the departments utilizing the ARPA funds.
C. Coordinate scheduling with the Contractor.
D. Provide clear deadlines with dates upon execution of contract.
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City of Round Rock Exhibit ''A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
PART V
PROPOSAL PREPARATION INSTRUCTIONS
AND EVALUATION FACTORS
1. PROPOSAL ACCEPTANCE PERIOD: All proposals are valid for a period of one hundred and twenty
(120) calendar days subsequent to the RFQS closing date unless a longer acceptance period is offered in
the proposal.
2. PROPRIETARY INFORMATION: All material submitted to the City becomes public property and is
subject to the Texas Open Records Act upon receipt. If a Proposer does not desire proprietary
information in the proposal to be disclosed; each page must be identified and marked proprietary at time
of submittal. The City will, to the extent allowed by law, endeavor to protect such information from
disclosure. The final decision as to what information must be disclosed, however, lies with the Texas
Attorney General. Failure to identify proprietary information will result in all unmarked sections being
deemed non-proprietary and available upon public request.
3. PROPOSAL PREPARATION COSTS: All costs directly or indirectly related to preparation of a response
to the RFQS, or any oral presentation required to supplement and/or clarify a proposal which may be
required by the City shall be the sole responsibility of the Proposer.
4. PROPOSAL RESPONSE: Responses shall be clear and concise and shall include at a minimum: title
page, transmittal letter, index or table of contents; dividers for each section and all required attachments.
One page shall be interpreted as one side of a double-spaced; printed; 8 1/2" X 11" sheet of paper. It is
recommended that responses be submitted in a professional., bound format that best contains all required
documentation for submission.
In order to do business with the City of Round Rock you must be registered with the City's Vendor
Database. To register, go to: https://roundrocktxvendors.munisselfservice.com/Vendors/default.aspx
5. PROPOSAL FORMAT: Prefacing the proposal. the Proposer shall provide an Executive Summary of
three (3) pages or less, which gives in brief, concise terms, a summation of the proposal. The proposal
should NOT include any pricing information. The proposal itself shall include a title page, index or table of
contents. dividers for each section and all required attachments and addendums to be organized in the
following format by Tab and informational sequence:
A Tab 1- Business Organization State full name and address of your organization and identify parent
company if you are a subsidiary. Specify the branch office or other subordinate element which will
perform, or assist in performing, work herein. Indicate whether you operate as a partnership,
corporation, or individual. Include the State in which incorporated or licensed to operate. Provide a
brief history of the organization and any teaming partners/subcontractors. including general
background, knowledge of and experience working with Federal agencies and programs to include
related recent experience in securing and managing federally funded local projects, both
infrastructure construction and service projects.
B. Tab 2 - Company Structure Provide a general explanation and chart which specifies project
leadership and reporting responsibilities, and interface the team with City project management and
team personnel. If use of subcontractors is proposed, identify their placement in the primary
management structure, and provide internal management description for each subcontractor
C. Tab 3 —Protect Management Approach (20 pts): Describe your technical plan and process for
accomplishing required work. Include such time-related displays, graphs, and charts as
necessary to show tasks, sub-tasks, milestones, and decision points related to the Scope of Work
and your plan for accomplishment. Specifically indicate-
i. A description of your work program by tasks.
ii. The technical factors that will be considered in section above; and the depth to which each
will be treated.
iii. The degree of definition provided in each technical element of your plan.
iv. Your process and plan for invoicing.
v. The points at which written, deliverable reports will be provided.
vi. A statement of your compliance with all applicable rules and regulations of Federal; State and
Page 13 of 18
City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
Local governing entities. The Proposer must state their compliance with terms of this
Request for Qualifications (RFQS) or clearly document any exceptions.
D. Tab 4- Prior Experience(40 pts): Describe only relevant municipal, corporate, and individual
experience for personnel who will be actively engaged in the project. Do not include corporate
experience unless personnel assigned to this project actively participated. Do not include experience
prior to 2014. Supply the project title, year, and reference name, title, present address, and phone
number of principal persons for whom prior projects were accomplished.
Provide a description of work performance and experience with the U.S. Treasury, CARES Act,
CDBG, CDBG Disaster Recovery, FEMA Hazard Mitigation or similar construction and service
projects. Provide information describing the relevancy of the referenced projects for both similar
construction and service projects for the references provided above as well as other pertinent
projects.
E. Tab 5 - Personnel (40 pts): Include names, qualifications, and resumes of all levels of personnel who
will be assigned to the account. State the primary work assigned to each person and the percentage
of time each person will devote to this work. Identify key persons by name and title. On each resume
identify the firm employing each staff member and identify any conditional/proposed hires.
Clearly indicate if you intend to provide services in-house with existing staff or through subcontracting
or partnership arrangements. Program Administration Services will be provided in conformance with
the guidance documents utilizing forms provided by the US Treasury or other designated agencies, if
applicable.
F. Tab 6- Authorized Negotiator: Include the name, email address, and telephone number of the
person(s) in your organization authorized to negotiate Contract terms and render binding decisions on
Contract matters.
G. Tab 7 —Attachments and Addendum: including Attachment A—Proposal Submittal Form and
Execution, Attachment B—Reference Sheet, Attachment C—Subcontractor Information Form, and
signed addendums(if applicable).
H. Tab 8 - Exceptions: Be advised that exceptions to any portion of the Solicitation may jeopardize
acceptance of the Proposal by the City. Exceptions to this solicitation if any,shall be
submitted on a separate sheet labeled "Exceptions"with the Respondent's proposal.
6. EVALUATION CRITERIA: The intent of the City is to award to one Respondent in accordance with the
evaluation criteria below. The purpose of this evaluation criteria is to determine which proposal best
meets the requirements and provides the best overall value to the City.
A. Evaluation Criteria: Weights:
• Respondent's Project Management Approach (Tab 3) 20 pts
• Company Work Experience (Tab 4) 40 pts
• Personnel Qualifications of Assigned Individuals (Tab 5) 40 pts
Maximum Weight: 100 pts
B. An evaluation committee will be established to evaluate the proposal. The committee will include
employees of the City and may include other impartial individuals who are not City employees. The
evaluation committee will determine if discussions and/or Best and Final Offers (BAFO) are
necessary. Award of a contract may be made without discussions or BAFO, if in the best interest of
the City. The evaluation committee may determine that discussions are necessary to clarify or verify
a written proposal response. The City may, at its discretion, elect to have respondents provide oral
presentations of their proposal. The City reserves the right to rescore an offer based on provided
demonstrations. A request for a BAFO is at the sole discretion of the City and will be requested in
writing. The evaluation committee will evaluate the finalists and make a recommendation for award.
C. The City reserves the right to reject any or all responses submitted, or to award to the respondent
who in the City's opinion, offers the best value to the City. The City also reserves the right to cancel
the RFQS process and pursue alternate methods for providing the requirements.
Page 14 of 18
City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
D. The City reserves the right to conduct studies and other investigations as necessary to evaluate any
proposal.
E. The City reserves the right to waive any minor technicality, irregularities, or informalities noted
in the submission process. Submission of proposal confers no legal rights upon any
Respondent.
F. The City reserves the right to request further documentation or information and to discuss proposal
response with any Respondent in order to answer questions or to clarify any aspects of the proposal.
7. AGREEMENT NEGOTIATIONS AND AWARD PROCESS:
A. A proposal presented in response to this RFQS is subject to negotiation concerning any issues
deemed relevant by the City. The City reserves the right to negotiate any issue with any party. Any
unsolicited communication by the Respondent to a City official, undesignated employee, or an
evaluation team member evaluating or considering the offers may be grounds for disqualifying the
offending Offeror from consideration of award.
B. Submission of proposal indicates the Respondent's acceptance of the evaluation process and
recognition that the City may make subjective judgments in evaluating the proposal to determine the
best value for the City.
C. If negotiations are successful, the City and Respondent may enter into an agreement.
D. If negotiations are unsuccessful, the City may formally end negotiations with that Respondent. The
City may then:
i. Select the next most highly qualified Respondent and attempt to negotiate an agreement at fair
and reasonable terms, conditions, and cost with that Respondent.
ii. The City shall continue this process until an agreement is entered into or all negotiations are
terminated.
E. The City also reserves the right to reject any or all submittals, or to accept any submittal deemed
most advantageous, or to waive any irregularities or informalities in the submittal received.
F. An independent signed authorized contract will be sent to the successful Respondent. Execution of a
City of Round Rock contract is required prior to starting work and processing any payments to the
awarded Respondent.
8. POST AWARD MEETING: The City and the Respondent may schedule a post award meeting to discuss,
but not be limited to the following:
A. Provide City contact(s) information for implementation of the Agreement.
B. Identify specific milestones, goals, and strategies to meet objectives.
Page 15 of 18
City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
ATTACHMENT A
PROPOSAL SUBMITTAL FORM AND EXECUTION
NOTE: RESPONDENTS SHALL COMPLETE, SIGN, AND RETURN THIS ATTACHMENT WITH THEIR
PROPOSAL. FAILURE TO DO SO MAY RESULT IN DISQUALIFICATION OF THE PROPOSAL.
By signature hereon, the Respondent certifies that:
All statements and information prepared and submitted in the response to this RFQS are current,
complete, and accurate.
He/she has not given. offered to give, nor intends to give at any time hereafter, any economic opportunity,
future employment, gift, loan gratuity, special discount, trip. favor, or service to a City employee, evaluator,
or evaluating entity in connection with the submitted response. Signing the Execution of Proposal with a
false statement shall void the submitted offer or any resulting contracts.
Respondent represents and warrants that the individual signing this Execution of Proposal is authorized
to sign this document on behalf of the Respondent and to bind the Respondent under any contract
resulting from this request for qualifications.
RESPONDENT(COMPANY): GrantWorks, Inc.
-1J
SIGNATURE (IN INK):
NAME (TYPED/PRINTED) Bruce J. Spitzengel
TITLE: President DATE: October 25, 2022
STREET: 2201 Northland Drive
CITY/STATE/ZIP: Austin, Texas 78756
TELEPHONE AND FACSIMILE NO.: office: 512-420-0303: fax: 512-420-0302
E-MAIL ADDRESS: bruce@grantworks.net
FEDERAL TAX IDENTIFICATION NUMBER (FIN): 76-0446220
By submitting a response to this solicitation, the Respondent agrees that the City's Definitions and Standard
Terms and Conditions, in effect at the time of release of the solicitation. shall govern unless specifically
provided otherwise in a separate agreement or on the face of a purchase order. In addition. the
Supplemental Terms and Conditions listed in Section III, shall also be enforced as part of the contract, and
can be obtained from the City's website at: https://www.roundrocktexas.gov/city-businesses/solicitations/
Page 16 of 18
City of Round Rock Exhibit "A"
Administration Services for American Rescue Plan Act (ARPA) Programs
RFQS No. 22-030
Class/Item: 918-06
September 2022
ATTACHMENT B
REFERENCE SHEET
PLEASE COMPLETE AND RETURN THIS FORM WITH THE SOLICITATION RESPONSE
SOLICITATION NUMBER: 22-030
RESPONDENT'S NAME: Bruce J. Spitzengel DATE: October 25 2022
Provide the name, address, telephone number and E-MAIL of at least three (3) valid Municipal, Government
agencies or firms of comparable size that have utilized services that are similar in type and capacity within the
last two (2) years. City of Round Rock references are not applicable. References may be checked prior to
award. If references cannot be confirmed or if any negative responses are received it may result in the
disqualification of submittal.
1. Company's Name City of Brownsville
Name of Contact Helen Ramirez. AICP
Title of Contact
Interim City Manager
E-Mail Address helen.ramirez@brownsvilletx.gov
Present Address
1001 E. Elizabeth St., 2nd Floor
City, State, Zip Code Brownsville, Texas 78522
Telephone Number ( 956 ) 548-6007 Fax Number: ( 956 ) 546-4021
2. Company's Name Johnson County, Texas
Name of Contact Roger Harmon
Title of Contact County Judge
E-Mail Address countyjudge@johnsoncountytx.org
Present Address 2 N. Main St., Room 120
City, State, Zip Code Cleburne, Texas 76033
Telephone Number (817 ) 556-6360 Fax Number: ( 817 ) 556-6359
3. Company's Name Bastrop County, Texas
Name of Contact
Leon Scaife
Title of Contact Purchasing Agent
E-Mail Address leon.scaife@co.bastrop.tx.us
Present Address 804 Pecan St.
City, State, Zip Code Bastrop, Texas 78602
Telephone Number (512 ) 581-7110 Fax Number: ( 512 ) 581-4228
FAILURE TO PROVIDE THE REQUIRED INFORMATION WITH THE SOLICITATION RESPONSE MAY
AUTOMATICALLY DISQUALIFY THE RESPONSE FROM CONSIDERATION FOR AWARD.
Page 17 of 18
Exhibit "A"
Q10: Are there any proposed infrastructure projects that would be solely funded by the U.S. Treasury?
A10: These projects will be fully funded from ARPA and cash on hand.
Q11: What types of environmental reviews do you anticipate being associated with any infrastructure projects?
A11: If any environmental reviews are necessary, they would be related to the placement of a water line
underground or with improvements to the wastewater treatment plan filtration system.
Q12: Please identify who on behalf of the City will facilitate the engineering oversight in order to coordinate any
environmental requirements and/or outreach with regulators?
Al The Utility and Environmental Services department project manager will facilitate all oversight.
013: If the City needs support related to grant funding research, how many grants(including the $ amount) do
you expect the Contractor to manage annually?
A13: Support will be only for ARPA funded projects.
Q14: How many grant applications do you expect to be submitted annually by the Contractor?
A14: No grant applications will be prepared or submitted by the Contractor.
Q15: What is the approximate volume of expenses that the City expects to be reviewed annually?
A15: ARPA funding must be fully encumbered by December 31, 2024, and fully spent by December 31, 2026.
Total of funds eligible for projects is $16,397,285. The City is a subrecipient for an additional
$14,000,000 to be used on a water infrastructure project. The annual expenditures will vary.
Q16: Does the City expect to award funds to subrecipients?
A16: The City does not expect to award funds to a subrecipient.
Q17. If so, how many subrecipients does the City expect to be monitored annually?
A17: Not applicable.
Q18. Do you expect the Contractor to assist the City in using the City's internal system to track and manage
the needs assessment and grants, or would the City anticipate using the Contractor's grants management
system?
A18: The City has a project specific module that can be utilized for tracking costs as they are incurred.
Because the only funding source is ARPA, a separate management system may not be necessary
Q19: How many payment requests do you expect to be processed annually related to these funding streams?
A19: All ARPA funding has been received and is being held in restricted accounts until eligible expenses have
been incurred. No formal funding stream payment requests will be necessary.
Q20. How many meetings would you expect the Contractor to attend on a monthly basis?Would these
meetings be in-person, or could they be virtual?
A20: Meeting frequency will be based on project activities, but initially expected to be once a month.
Attendance could be in-person or virtual via Microsoft Teams.
Q21: Is there a need for any community outreach for future/contingent projects?
A21: No, there is no need for community outreach.
Q22: Do you have a portal in place to receive applications?
A22: Submission are done in writing. Instructions for submissions are found in PART I, Section 7.
Q23: What accounting software is currently in place?
A24: Tyler Munis is the City's accounting software platform.
Q24: Does the City have a grants management system currently in place?
A24: No. The City does not have a grants management system currently in place.
Exhibit "N'
CITY OF ROUND ROCK,TEXAS I RFQS 22-030:ADMINISTRATION SERVICES FOR THE AMERICAN RESCUE PLAN ACT(APRA)
PROGRAMS
ATTACHMENT F - STATEMENT OF CONFLICTS OF
INTEREST
GrantWorks has identified no conflicts and/or potential conflicts regarding the company or key
employees.
October 25,2022
LA4hdWized Signature Date
Bruce J.Spitzengel,President
Print Name&Title
GRANTWORKS,INC.I PROPRIETARY&CONFIDENTIAL ATTACHMENT F-STATEMENT OF CONFLICTS OF INTEREST 1111
Exhibit "A"
CITY OF ROUND ROCK.TEXAS RFQS 22-030.ADMINISTRATION SERVICES FOR THE AMERICAN RESCUE PLAN ACT(APRA)
PROGRAMS
ATTACHMENT G - SYSTEM FOR AWARD
MANAGEMENT VERIFICATION
GrantWorks is not debarred or suspended from the Excluded Parties List System (EPLS) in the System for
Award Management(SAM).We have included verification that GrantWorks and the company's principal are
not listed through SAM through a printout of the search results with the record date on the following pages.
GRANTWORKS,INC.I PROPRIETARY&CONFIDENTIAL ATTACHMENT G-SYSTEM FOP AWAP.D MANAGEMENT VERIFICATION 1113
ASAKGOV•
Entity Information Search Results I TotaFWAit "A"
Filter by:
Keyword(ALL) Status
"grantworks inc" active
Inactive
GRANTWORKS INC •Active Registration Entity
Unique Entity ID: UZ9NMVF8SGD8 Physical Address: Expiration Date:
CAGE/NCAGE:5JH22 2201 NORTHLAND DR Oct04,2023
AUSTIN ,TX
Purpose of Registration:
78756 USA
All Awards
ASAM.00v
Entity Information Search Results I Tothlbit "A"
Filter by:
Keyword(ALL) Status
"bruce spitzengel" active
Inactive
GRANTWORKS INC •Active Registration Entity
Unique Entity ID: UZ9NMVF8SGD8 Physical Address: Expiration Date:
CAGE/NCAGE:5JH22 2201 NORTHLAND DR Oct04,2023
AUSTIN ,TX
Purpose of Registration:
78756 USA
All Awards
SAKoov Exhibit "A"
GRANTWORKS, INC.
Unique Entity ID CAGE/NCAGE Purpose of Registration
UZ9NMVF8SGD8 5JH22 All Awards
Registration Status Expiration Date
Active Registration Sep 2,2022
Phvsical Address Mailing Address
2201 Northland DR 2201 Northland Drive
Austin,Texas 78756-1117 Austin,Texas 78756-1117
United States United States
Doing Business as Division Name Division Number
(blank) Grantworks (blank)
Congressional District State/Country of Incorporation URL
Texas 10 Texas/United States http://www.grantworks.net
Registration Dates
Activation Date S.:bmission Date Initial Registration Date
Aug 4,2021 Aug 3,2021 Jun 16,2009
Entity Dates
Entity Start Date Fiscal Year End Close Date
Sep 16,1979 Dec 31
Immediate Owner
CAGE Legal Business Name
(blank) (blank)
Highest Level Owner
CAGE Legal Business Name
(blank) (blank)
Executive Compensation
Registrants in the System for Award Management(SAM)respond to the Executive Compensation questions in accordance with Section 6202 of
P.L.110-252,amending the Federal Funding Accountability and Transparency Act(P.L. 109-282).This information is not displayed in SAM.It is
sent to USAspending.gov for display in association with an eligible award.Maintaining an active registration in SAM demonstrates the registrant
responded to the questions.
Proceedings Questions
Registrants in the System for Award Management(SAM)respond to proceedings questions in accordance with FAR 52.209-7, FAR 52.209-9,or
2.C.F.R.200 Appendix XII.Their responses are not displayed in SAM.They are sent to FAPIIS.gov for display as applicable.Maintaining an active
registration in SAM demonstrates the registrant responded to the proceedings questions.
Active Exclusions Records?
No
SAM Search Authorizati
I authorize my entitys non-sensitive information to be displayed in SAM public search results:
Yes
Business Types
Entity Structure Entity Type Organization Factors
Corporate Entity(Not Tax Exempt) Business or Organization (blank)
Socio-Economic Types
Self Certified Small Disadvantaged Business Exhibit "A
Check the registrant's Reps&Certs,if present, under FAR 52.212-3 or FAR 52.219-1 to determine if the entity is an SBA-certified HUBZone small
business concern.Additional small business information may be found in the SBA's Dynamic Small Business Search if the entity completed the
SBA supplemental pages during registration.
Accepts Credit Card Payments Debt Subject To Offset
No No
EFT Indicator CAGE Code
0000 5J H22
Electronic Business
2201 Northland Drive
Bruce Spitzengel, President Austin, Texas 78756
United States
ERIC HARTZELL, Executive VP 2201 Northland Drive
Austin.Texas 78756
United States
Government Business
2201 Northland Drive
Bruce Spitzengel, President Austin, Texas 78756
United States
ERIC HARTZELL, Executive VP 2201 Northland Drive
Austin,Texas 78756
United States
NAICS Codes
Primary NAICS Codes NAICS Title
Yes 541611 Administrative Management And General Management Consulting
Services
Yes.this entity appears in the disaster response registry.
Bonding Levels Dollars
(blank) (blank)
States Counties Metropolitan Statistical Areas
Any (blank) (blank)
Exhibit "A"
CITY OF ROUND ROCK.TEXAS I RFQS 22-030:ADMINISTRATION SERVICES FOR THE AMERICAN RESCUE PLAN ACT(APRA)
PROGRAMS
ATTACHMENT H - CONFLICT OF INTEREST
QUESTIONNAIRE (FORM CIO)
GrantWorks has provided a signed copy of the Conflict-of-Interest Questionnaire(Form CIQ)on the
following page.
GRANTWOPKS,INC.1 PROPRIETARY&CONFIDENTIAL ATTACHMENT H-CONFLICT OF INTEREST QUESTIONNAIRE(FORM CIQ)1119
Exhibit "A"
CONFLICT OF INTEREST QUESTIONNAIRE FORM CIQ
For vendor doing business with local governmental entity
This questionnaire reflects changes made to the law by H.B. 23, 84th Leg., Regular Session. OFFICE USE ONLY
This questionnaire is being filed in accordance with Chapter 176.. Local Government Code, by a vendor who Date Received
has a business relationship as defined by Section 176.001(1-a) with a local governmental entity and the
vendor meets requirements under Section 176.006(a).
By law this questionnaire must be filed with the records administrator of the local governmental entity not later
than the 7th business day after the date the vendor becomes aware of facts that require the statement to be
filed. See Section 176.006(a-1). Local Government Code.
A vendor commits an offense if tie vendor knowingly violates Section 176.006. Local Government Code.An
offense under this section is a misdemeanor
jJ Name of vendor who has a business relationship with local governmental entity.
N/A
2
❑ Check this box if you are filing an update to a previously filed questionnaire.(The law requires that you file an updated
completed questionnaire with the appropriate filing authority not later than the 7th business day after the date on which
you became aware that the originally filed questionnaire was incomplete or inaccurate.)
3 Name of local government officer about whom the information is being disclosed.
N/A
Name of Officer
41 Describe each employment or other business relationship with the local government officer, or a family member of the
officer,as described by Section 176.003(a)(2)(A). Also describe any family relationship with the local government officer.
Complete subparts A and B for each employment or business relationship described. Attach additional pages to this Form
CIO as necessary.
A. Is the local government officer or a family member of the officer receiving or likely to receive taxable income..
other than investment income, from the vendor?
Yes F-1 No
B. Is the vendor receiving or likely to receive taxable income.. other than investment income. from or at the direction
of the local government officer or a family member of the officer AND the taxable income is not received from the
local governmental entity?
71 Yes F-1 No
5 Describe each employment or business relationship that the vendor named in Section 1 maintains with a corporation or
other business entity with respect to which the local government officer serves as an officer or director. or holds an
ownership interest of one percent or more.
6
❑ Check this box if the vendor has given the local government officer or a family member of the officer one or more gifts
as described in Section 176.00 )(2)(B). excluding gifts described in Section 176.003(a-1).
TT
71
October 25. 2022
ianature of nd doing sines with the governmental entity Date
Form provided by Texas Ethics Commission www.ethics.state.tx.us Revised 1/1/2021
Exhibit "A"
CONFLICT OF INTEREST QUESTIONNAIRE
For vendor doing business with local governmental entity
Acomplete copy of Chapter 176 of the Local Government Code may be found at http://www.statutes.legis.state.tx.us/
Docs/LG/htm/LG.176.htm. For easy reference, below are some of the sections cited on this form.
Local Government Code§176.001(1-a): "Business relationship" means a connection between two or more parties
based on commercial activity of one of the parties. The term does not include a connection based on:
(A) a transaction that is subject to rate or fee regulation by a federal, state,or local governmental entity or an
agency of a federal, state,or local governmental entity;
(B) a transaction conducted at a price and subject to terms available to the public;or
(C) a purchase or lease of goods or services from a person that is chartered by a state or federal agency and
that is subject to regular examination by, and reporting to,that agency.
Local Govemment Code§176.003(a)(2)(A)and(B):
(a) A local government officer shall file a conflicts disclosure statement with respect to a vendor if:
(2) the vendor:
(A) has an employment or other business relationship with the local government officer or a
family member of the officer that results in the officer or family member receiving taxable
income, other than investment income, that exceeds $2,500 during the 12-month period
preceding the date that the officer becomes aware that
(i) a contract between the local governmental entity and vendor has been executed;
or
(ii) the local governmental entity is considering entering into a contract with the
vendor;
(B) has given to the local government officer or a family member of the officer one or more gifts
that have an aggregate value of more than$100 in the 12-month period preceding the date the
officer becomes aware that:
(i) a contract between the local governmental entity and vendor has been executed;or
(ii) the local governmental entity is considering entering into a contract with the vendor.
Local Government Code§176.006(a)and (a-1)
(a) Avendor shall file a completed conflict of interest questionnaire if the vendor has a business relationship
with a local governmental entity and:
(1) has an employment or other business relationship with a local government officer of that local
governmental entity,or a family member of the officer,described by Section 176.003(a)(2)(A);
(2) has given a local government officer of that local governmental entity, or a family member of the
officer,one or more gifts with the aggregate value specified by Section 176.003(a)(2)(B),excluding any
gift described by Section 176.003(a-1);or
(3) has a family relationship with a local government officer of that local governmental entity.
(a-1) The completed conflict of interest questionnaire must be filed with the appropriate records administrator
not later than the seventh business day after the later of:
(1) the date that the vendor:
(A) begins discussions or negotiations to enter into a contract with the local governmental
entity; or
(B) submits to the local governmental entity an application,response to a request for proposals
or bids, correspondence, or another writing related to a potential contract with the local
governmental entity;or
(2) the date the vendor becomes aware:
(A) of an employment or other business relationship with a local government officer, or a
family member of the officer,described by Subsection (a);
(B) that the vendor has given one or more gifts described by Subsection (a);or
(C) of a family relationship with a local government officer.
Form provided by Texas Ethics Commission www.ethics.state.tx.us Revised 1/1/2021
Exhibit "A"
CITY OF ROUND ROCK,TEXAS I RFQS 22-030:ADMINISTRATION SERVICES FOR THE AMERICAN RESCUE PLAN ACT(APRA)
PROGRAMS
ATTACHMENT I - CERTIFICATION REGARDING
LOBBYING
GrantWorks has provided a signed copy of our Certification Regarding Lobbying on the following page.
GRANTWORKS,INC.I PROPRIETARY&CONFIDENTIAL ATTACHMENT I-CERTIFICATION REGARDING LOBBYING 1123
Exhibit "A"
Certification Regarding Lobbying
(To be submitted with each bid or offer exceeding$100,000)
The undersigned certifies, to the best of his or her knowledge and belief, that:
(a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form
to Report Lobbying," in accordance with its instructions.
(c) The undersigned shall require that the language paragraph 1 and 2 of this anti-lobbying certification be
included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by 31, U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995).
The Contractor, GrantWorks, Inc. , certifies or affirms the truthfulness and accuracy of each statement of its
certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31
U.S.C. § 3801 et seq., apply too this certification and disclosure, if any.
Signature of Contrac or's Authorized Official
Bruce J. Spitzengel, President
Printed Name and Title of Contractor's Authorized Official
October 25, 2022 Date
Exhibit "A"
CITY OF ROUND ROCK.TEXAS:RFQS 22-030.ADMINISTRATION SERVICES FOR THE AMERICAN RESCUE PLAN ACT(APRA)
PROGRAMS
ATTACHMENT J - DISCLOSURE OF LOBBYING
ACTIVITIES
GrantWorks has provided a signed copy of our Disclosure of Lobbying Activities on the following page.
GRANTWORKS.INC.I PROPRIETARY&CONFIDENTIAL ATTACHMENT J-DISCLOSURE OF LOBBYING ACTIVITIES 1127
Exhibit "A"
Approved by OMB
0348-0046
Disclosure of Lobbying Activities
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure)
Type of Federal Action: Status of Federal Action: Report Type:
a. contract a. bid/offer/application a. initial filing
b. grant b. initial award b. material change
c. cooperative agreement c. post-award
d. loan
e. loan guarantee
f. loan insurance
Name and Address of Reporting Entity: If Reporting Entity in No. 4 is Subawardee, Enter
Prime Subawardee Name and Address of Prime:
Tier if Known:
Congressional District, if known: Congressional District, if known:
Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number, if applicable:
Federal Action Number, if known: 9. Award Amount, if known:
10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including
(if individual, last name, first name, MI). address if different from No. 10a)
(last name, first name, MI).
11. Information requested through this form is
authorized by title 31 U.S.C. section 1352. This Signature:
disclosure of lobbying activities is a material
representation of fact upon which reliance was placed Print Name: Bruce J. Spitzenciel
by the tier above when this transaction was made or
entered into. This disclosure is required pursuant to 31 Title: President
U.S.C. 1352.This information will be reported to the
Congress semi-annually and will be available for public
inspection. Any person who fails to file the required Telephone No.: (512)420-0303 Date: 10/25/2022
disclosure shall be subject to a civil penalty of not less
than $10,000 and not more than $100,000 for each such
failure.
Federal Use Only Authorized for Local Reproduction
Standard Form - LLL(Rev. 7-97)
Exhibit "A"
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the
initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C.
section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity
for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action.
Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance
published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence
the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to
the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last
previously submitted report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if
known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or
subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1 st tier. Subawards
include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks"Subawardee," then enter the full name, address, city, State
and zip code of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational
level below agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full
Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan
commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g.,
Request for Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number;the contract, grant,
or loan award number; the application/proposal control number assigned by the Federal agency). Included prefixes,
e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter
the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.
10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying
Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a). Enter
Last Name, First Name, and Middle Initial (MI).
11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it
displays a valid OMB control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public
reporting burden for this collection of information is estimated to average 10 minutes per response, including time for reviewing
instructions,searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection
of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including
suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046),
Washington, DC 20503
Exhibit "A"
Fee Schedule
Title Roles Rate Projected Hours Projected Cost
Subject Matter Expert Accounting,Guidance $165.00 260.0 $42,900.00
Lead Project Manager Prime Point of Contact $145.00 1750.0 $253,750.00
Project Management Individual Project Management $135.00 750.0 $101,250.00
Construction Manager Field Activity,Project Checks $125.00 120.0 $15,000.00
Procurement Manager Procurement Assistance $125.00 120.0 $15,000.00
Environmental Specialist Review Environmental $125.00 80.0 $10,000.00
Considerations
Analyst Data Management,Dashboarding $120.00 280.0 $33,600.00
Specialist Labor Standards,URA $95.00 130.0 $12,350.00
Administrative Support Documentation,Building Closeout $75.00 100.0 $7,500.00
File
Estimated Not-To-Exceed Total $491,350.00
EXHIBIT B: FEDERAL REQUIREMENTS FOR AMERICAN RESCUE PLAN PROJECTS
Section No. Title
FR-01 Breach of Contract Terms
FR-02 Termination of Contract
FR-03 Equal Employment Opportunity - 41 CFR Part 60-1.4(b)
FR-04 Standard Federal Equal Employment Opportunity Construction Contract
Specifications — 41 CFR Part 60.4.3
FR-05 Copeland Anti-Kickback Act 29 CFR Part 5
FR-06 Davis-Bacon Labor Requirements 29 CFR part 5
FR-07 Contract Work hours and Safety Standards Act Requirements
FR-08 Rights to Inventions
FR-9 Access to Records and Record Retention
FR-10 Clean Air and Water Pollution Control
FR-11 Energy Conservation Requirements
FR-12 Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion
FR-13 Lobbying and Influencing Procurement
FR-14 Domestic Preference for Procurements
FR-15 Procurement of Recovered Materials
Page 21
FEDERAL REQUIREMENTS: FR-01
BREACH OF CONTRACT TERMS
Any violation or breach of terms of this contract on the part of the contractor
or their subcontractors may result in the suspension or termination of this
contract or such other action that may be necessary to enforce the rights of the
parties of this agreement. The duties and obligations imposed by the Contract
Documents and the rights and remedies available thereunder shall be in
addition to and not a limitation of any duties, obligations, rights and remedies
otherwise imposed or available by law.
Page 22
FEDERAL REQUIREMENTS: FR-02
TERMINATION OF CONTRACT
1 The City may, by written notice, terminate this contract in whole or in part at
any time, either for the City's convenience or because of failure to fulfill the
contract obligations. Upon receipt of such notice services shall be immediately
discontinued (unless the notice directs otherwise) and all materials as may have
been accumulated in performing this contract, whether completed or in progress,
delivered to the City.
2 If the termination is for the convenience of the City, an equitable adjustment in
the contract price shall be made, but no amount shall be allowed for anticipated
profit on unperformed services.
3 If the termination is due to failure to fulfill the contractor's obligations, the City
may take over the work and prosecute the same to completion by contract or
otherwise. In such case, the contractor shall be liable to the City for any additional
cost occasioned to the City thereby.
4 If, after notice of termination for failure to fulfill contract obligations, it is
determined that the contractor had not so failed, the termination shall be deemed
to have been effected for the convenience of the City. In such event, adjustment
in the contract price shall be made as provided in this clause.
5 The rights and remedies of the City provided in this clause are in addition to
any other rights and remedies provided by law or under this contract.
Page 23
FEDERAL REQUIREMENTS: FR-03
EQUAL EMPLOYMENT OPPORTUNITY - Executive Order 11246 as amended,
41 CFR PART 60-1.4(b)
During the performance of this contract, the contractor agrees as follows:
a. The contractor will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, or national origin. The
contractor will take affirmative action to ensure that applicants are employed,
and that employees are treated during employment without regard to their race,
color, religion, sex, or national origin. Such action shall include, but not be
limited to the following: Employment, upgrading, demotion, or transfer;
recruitment or recruitment advertising; layoff or termination; rates of pay or other
forms of compensation; and selection for training, including apprenticeship. The
contractor agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided setting forth the provisions of
this nondiscrimination clause.
b. The contractor will, in all solicitations or advertisements for employees placed
by or on behalf of the contractor, state that all qualified applicants will receive
considerations for employment without regard to race, color, religion, sex, or
national origin.
C. The contractor will send to each labor union or representative of workers
with which he/she has a collective bargaining agreement or other contract or
understanding, a notice to be provided by the agency contracting officer,
advising the labor union or workers' representatives of the contractor's
commitments under Section 202 of Executive Order 11246 of September 24,
1965, and shall post copies of the notice in conspicuous places available to
employees and applicants for employment.
d. The contractor will comply with all provisions of Executive Order 11246 of
September 24, 1965, as amended, and of the rules, regulations, and relevant
orders of the Secretary of Labor.
e. The contractor will furnish all information and reports required by Executive
Order 11246 of September 24, 1965, and by rules, regulations, and orders of the
Secretary of Labor, or pursuant thereto, and will permit access to his/her books,
records, and accounts by the contracting agency and the Secretary of Labor for
purposes of investigation to ascertain compliance with such rules, regulations,
and orders.
f. In the event of the contractor's noncompliance with the nondiscrimination
clauses of this contract or with any of the such rules, regulations, or orders, this
contract may be cancelled, terminated or suspended in whole or in part and the
contractor may be declared ineligible for further Government contracts or federally
assisted construction contracts in accordance with procedure authorized in
Executive Order 11246 of September 24, 1965, and such other sanctions may be
imposed and remedies invoked as provided in Executive Order 11246 of
Page 24
September 24, 1965, or by rule, regulation, or order of the Secretary of
Labor, or as otherwise provided by law.
g. The contractor will include the provisions of paragraphs (1) through (7) in
every subcontract or purchase order unless exempted by rules, regulations, or
orders of the Secretary of Labor issued pursuant to Section 204 of Executive
Order 11246 of September 24, 1965, so that such provisions will be binding
upon each subcontractor or vendor. The contractor will take such action with
respect to any subcontract or purchase order as may be directed by the
Secretary of Labor as a means of enforcing such provision, including sanctions
for noncompliance: Provided, however, that in the event a contractor becomes
involved in, or is threatened with, litigation with a subcontractor or vendor as a
result of such direction by the administering agency the contractor may request the
United States to enter into such litigation to protect the interests of the United
States.
[Sec. 202 amended by EO 11375 of Oct 13, 1967, 32 FR 14303, 3 CFR, 1966-
1970 Comp., p. 684. EO 12086 of Oct5, 1978, 43 FIR 46501, 3 CFR, 1978 Comp.,
p. 230]
SEC. 203.Each contractor having a contract containing the provisions prescribed
in Section 202 shall file, and shalt cause each of his subcontractors to file,
Compliance Reports with the contracting agency or the Secretary of Labor as
may be directed. Compliance Reports shall be filed within such times and shall
contain such information as to the practices, policies, programs, and
employment policies, programs, and employment statistics of the contractor and
each subcontractor, and shall be in such form, as the Secretary of Labor may
prescribe.
Contractors or subcontractors may be required to state whether they have
participated in any previous contract subject to the provisions of this Order, or
any preceding similar Executive order, and in that event to submit, on behalf of
themselves and their proposed subcontractors, Compliance Reports prior to or
as an initial part of their bid or negotiation of a contract.
Whenever the contractor or subcontractor has a collective bargaining agreement
or other contract or understanding with a labor union or an agency referring
workers or providing or supervising apprenticeship or training for such workers,
the Compliance Report shall include such information as to such labor union's
or agency's practices and policies affecting compliance as the Secretary of
Labor may prescribe: Provided, That to the extent such information is within the
exclusive possession of a labor union or an agency referring workers or
providing or supervising apprenticeship or training and such labor union or
agency shall refuse to furnish such information to the contractor, the contractor
shall so certify to the Secretary of Labor as part of its Compliance Report and
shall set forth what efforts he has made to obtain such information.
The Secretary of Labor may direct that any contractor or subcontractor shall
submit, as part of his/her Compliance Report, a statement in writing, signed by
Page 25
an authorized officer or agent on behalf of any labor union or any agency
referring workers or providing or supervising apprenticeship or other training,
with which the contractor deals, with supporting information, to the effect that
the signer's practices and policies do not discriminate on the grounds of race,
color, religion, sex or national origin, and that the signer either will affirmatively
cooperate in the implementation of the policy and provisions of this Order or that
it consents and agrees that recruitment, employment, and the terms and
conditions of employment under the proposed contract shall be in accordance
with the purposes and provisions of the order. In the event that the union, or the
agency shall refuse to execute such a statement, the Compliance Report shall
so certify and set forth what efforts have been made to secure such a statement
and such additional factual material as the Secretary of Labor may require.
[Sec. 203 amended by EO 11375 of Oct. 13, 1967, 32 FIR 14303, 3 CFR,
1966-1970 Comp., p. 684; EO 12086 of Oct. 5, 1978, 43 FIR 46501, 3 CFR, 1978
Comp., p.230]
Page 26
FEDERAL REQUIREMENTS: FR-04
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY
CONSTRUCTION CONTRACT SPECIFICATIONS -41 CFR Part 60.4.3
1. As used in these specifications:
a. "Covered area" means the geographical area described in the solicitation
from which this contract resulted;
b. "Director" means Director, Office of Federal Contract Compliance
Programs (OFCCP),
U.S. Department of Labor, or any person to whom the Director delegates
authority;
C. "Employer identification number" means the Federal social security
number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury
Department Form 941 ;
d. "Minority" includes:
(i) Black (all) persons having origins in any of the Black African racial groups
not of Hispanic origin);
(ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South
American, or other Spanish culture or origin regardless of race);
(iii) Asian and Pacific Islander (all persons having origins in any of the original
peoples of the Far East, Southeast Asia, the Indian Subcontinent, or
the Pacific Islands); and
(iv) American Indian or Alaskan native (all persons having origins in any of
the original peoples of North America and maintaining identifiable tribal
affiliations through membership and participation or community
identification).
2. Whenever the contractor, or any subcontractor at any tier, subcontracts a
portion of the work involving any construction trade, it shall physically include
in each subcontract in excess of $10,000 the provisions of these specifications
and the Notice which contains the applicable goals for minority and female
participation and which is set forth in the solicitations from which this contract
resulted.
3. If the contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown
Plan approved by the U.S. Department of Labor in the covered area either
individually or through an association, its affirmative action obligations on all
work in the Plan area (including goals and timetables) shall be in accordance
with that Plan for those trades which have unions participating in the Plan.
Contractors shall be able to demonstrate their participation in and compliance
Page 27
with the provisions of any such Hometown Plan. Each contractor or
subcontractor participating in an approved plan is individually required to
comply with its obligations under the EEO clause and to make a good faith effort to
achieve each goal under the Plan in each trade in which it has employees. The
overall good faith performance by other contractors or subcontractors toward a
goal in an approved Plan does not excuse any covered contractor's or
subcontractor's failure to take good faith efforts to achieve the Plan goals and
timetables.
4. The contractor shall implement the specific affirmative action standards
provided in paragraphs 18.7a through 18.7p of these specifications. The goals set
forth in the solicitation from which this contract resulted are expressed as
percentages of the total hours of employment and training of minority and
female utilization the contractor should reasonably be able to achieve in each
construction trade in which it has employees in the covered area. Covered
construction contractors performing construction work in a geographical area
where they do not have a Federal or federally assisted construction contract shall
apply the
minority and female goals established for the geographical area where the work
is being performed. Goals are published periodically in the Federal Register in
notice form, and such notices may be obtained from any Office of Federal
Contract Compliance Programs office or from Federal procurement contracting
officers. The contractor is expected to make substantially uniform progress in
meeting its goals in each craft during the period specified.
5. Neither the provisions of any collective bargaining agreement nor the
failure by a union with whom the contractor has a collective bargaining agreement
to refer either minorities or women shall excuse the contractor's obligations under
these specifications, Executive Order 11246 or the regulations promulgated
pursuant thereto.
6. In order for the non-working training hours of apprentices and trainees to
be counted in meeting the goals, such apprentices and trainees shall be employed
by the contractor during the training period and the contractor shall have
made a commitment to employ the apprentices and trainees at the
completion of their training, subject to the availability of employment
opportunities. Trainees shall be trained pursuant to training programs approved by
the U.S. Department of Labor.
7. The contractor shall take specific affirmative actions to ensure equal
employment opportunity. The evaluation of the contractor's compliance with these
specifications shall be based upon its effort to achieve maximum results from
its actions. The contractor shall document these efforts fully and shall
implement affirmative action steps at least as extensive as the following:
a. Ensure and maintain a working environment free of harassment,
intimidation, and coercion at all sites, and in all facilities at which the contractor's
employees are assigned to work. The contractor, where possible, will assign two
or more women to each construction project. The contractor shall specifically
Page 28
ensure that all foremen, superintendents, and other onsite supervisory personnel
are aware of and carry out the contractor's obligation to maintain such a
working environment, with specific attention to minority or female individuals
working at such sites or in such facilities.
b. Establish and maintain a current list of minority and female recruitment
sources, provide written notification to minority and female recruitment sources
and to community organizations when the contractor or its unions have
employment opportunities available, and maintain a record of the organizations'
responses.
C. Maintain a current file of the names, addresses, and telephone numbers of
each minority and female off-the-street applicant and minority or female referral
from a union, a recruitment source, or community organization and of what action
was taken with respect to each such individual. If such individual was sent to the
union hiring hall for referral and was not referred back to the contractor by the
union or, if referred, not employed by the contractor, this shall be documented in
the file with the reason therefore along with whatever additional actions the
contractor may have taken.
d. Provide immediate written notification to the Director when the union or
unions with which the contractor has a collective bargaining agreement has not
referred to the contractor a minority person or female sent by the contractor, or
when the contractor has other information that the union referral process has
impeded the contractor's efforts to meet its obligations.
e. Develop on-the-job training opportunities and/or participate in training
programs for the area which expressly include minorities and women, including
upgrading programs and apprenticeship and trainee programs relevant to the
contractor's employment needs, especially those programs funded or approved
by the Department of Labor. The contractor shall provide notice of these programs
to the sources compiled under 7b above.
f. Disseminate the contractor's EEO policy by providing notice of the policy
to unions and training programs and requesting their cooperation in assisting the
contractor in meeting its EEO obligations; by including it in any policy manual and
collective bargaining agreement; by publicizing it in the company newspaper,
annual report, etc.; by specific review of the policy with all management
personnel and with all minority and female employees at least once a year; and
by posting the company EEO policy on bulletin boards accessible to all
employees at each location where construction work is performed.
g. Review, at least annually, the company's EEO policy and affirmative
action obligations under these specifications with all employees having any
responsibility for hiring, assignment, layoff, termination, or other employment
decisions including specific review of these items with onsite supervisory
personnel such a superintendents, general foremen, etc., prior to the initiation of
construction work at any job site. A written record shall be made and maintained
identifying the time and place of these meetings, persons attending, subject matter
discussed, and disposition of the subject matter.
Page 29
h. Disseminate the contractor's EEO policy externally by including it in any
advertising in the news media, specifically including minority and female news
media, and providing written notification to and discussing the contractor's EEO
policy with other contractors and subcontractors with whom the contractor does or
anticipates doing business.
i. Direct its recruitment efforts, both oral and written, to minority, female,
and community organizations, to schools with minority and female students;
and to minority and female recruitment and training organizations serving the
contractor's recruitment area and employment needs. Not later than one
month prior to the date for the acceptance of applications for apprenticeship
or other training by any recruitment source, the contractor shall send written
notification to organizations, such as the above, describing the openings,
screening procedures, and tests to be used in the selection process.
j. Encourage present minority and female employees to recruit other
minority persons and women and, where reasonable provide after school,
summer, and vacation employment to minority and female youth both on the site
and in other areas of a contractor's workforce.
k. Validate all tests and other selection requirements where there is an
obligation to do so under 41 CFR Part 60-3.
I. Conduct, at least annually, an inventory and evaluation at least of all
minority and female personnel, for promotional opportunities and encourage
these employees to seek or to prepare for, through appropriate training, etc.,
such opportunities.
M. Ensure that seniority practices, job classifications, work assignments,
and other personnel practices do not have a discriminatory effect by continually
monitoring all personnel and employment related activities to ensure that the
EEO policy and the contractor's obligations under these specifications are being
carried out.
n. Ensure that all facilities and company activities are non-segregated except
that separate or single user toilet and necessary changing facilities shall be
provided to assure privacy between the sexes.
o. Document and maintain a record of all solicitations of offers for subcontracts
from minority and female construction contractors and suppliers, including
circulation of solicitations to minority and female contractor associations and
other business associations.
p. Conduct a review, at least annually, of all supervisor's adherence to and
performance under the contractor's EEO policies and affirmative action
obligations.
8. Contractors are encouraged to participate in voluntary associations,
which assist in fulfilling one or more of their affirmative action obligations (18.7a
through 18.7p). The efforts of a contractor association, joint contractor union,
contractor community, or other similar groups of which the contractor is a member
Page 30
and participant, may be asserted as fulfilling any one or more of its obligations
under 18.7a through 18.7p of these specifications provided that the contractor
actively participates in the group, makes every effort to assure that the group has
a positive impact on the employment of minorities and women in the industry,
ensures that the concrete benefits of the program are reflected in the contractor's
minority and female workforce participation, makes a good faith effort to meet its
individual goals and timetables, and can provide access to documentation which
demonstrates the effectiveness of actions taken on behalf of the contractor.
The obligation to comply, however, is the contractor's and failure of such a
group to fulfill an obligation shall not be a defense for the contractor's
noncompliance.
9. A single goal for minorities and a separate single goal for women have
been established. The contractor, however, is required to provide equal
employment opportunity and to take affirmative action for all minority groups, both
male and female, and all women, both minority and non-minority. Consequently,
if the particular group is employed in a substantially disparate manner (for
example, even though the contractor has achieved its goals for women
generally,) the contractor may be in violation of the Executive Order if a
specific minority group of women is underutilized.
10. The contractor shall not use the goals and timetables or affirmative action
standards to discriminate against any person because of race, color, religion, sex,
or national origin.
11. The contractor shall not enter into any subcontract with any person or firm
debarred from Government contracts pursuant to Executive Order 11246,
12. The contractor shall carry out such sanctions and penalties for
violation of these specifications and of the Equal Opportunity Clause, including
suspension, termination, and cancellation of existing subcontracts as may be
imposed or ordered pursuant to Executive Order 11246, as amended, and its
implementing regulations, by the Office of Federal Contract Compliance
Programs. Any contractor who fails to carry out such sanctions and penalties
shall be in violation of these specifications and Executive Order 11246, as
amended.
13. The contractor, in fulfilling its obligations under these specifications,
shall implement specific affirmative action steps, at least as extensive as those
standards prescribed in paragraph 18.7 of these specifications, so as to achieve
maximum results from its efforts to ensure equal employment opportunity. If the
contractor fails to comply with the requirements of the Executive Order, the
implementing regulations, or these specifications, the Director shall proceed in
accordance with 41 CFR 60-4.8.
14. The contractor shall designate a responsible official to monitor all
employment related activity to ensure that the company EEO policy is being carried
out, to submit reports relating to the provisions hereof as may be required by
the Government, and to keep records. Records shall at least include for each
employee, the name, address, telephone number, construction trade, union
affiliation if any, employee identification number when assigned, social security
Page 31
number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or
laborer), dates of changes in status, hours worked per week in the indicated
trade, rate of pay, and locations at which the work was performed. Records
shall be maintained in an easily understandable and retrievable form; however,
to the degree that existing records satisfy this requirement, contractors shall not
be required to maintain separate records.
15. Nothing herein provided shall be construed as a limitation upon the
application of other laws which establish different standards of compliance or
upon the application of requirements for the hiring of local or other area
residents.
Page 32
FEDERAL REQUIREMENTS: FR-05
COPELAND "ANTI-KICKBACK" ACT— 18 U.S.C. 874 /40 U.S.C. 276c / 29
CFR Part 3
Compliance with Copeland Act requirements. The Contractor shall comply
with all the requirements of 29 CFR Part 3 which are incorporated by
reference in this contract.
TITLE 18 USC 874
Sec. 874. Kickbacks from public works employees
"Whoever, by force, intimidation, or threat of procuring dismissal from
employment, or by any other manner whatsoever induces any person
employed in the construction, prosecution, completion or repair of any public
building, public work, or building or work financed in whole or in part by loans or
grants from the United States, to give up any part of the compensation to which
he is entitled under his contract of employment, shall be fined not more than
$5,000 or imprisoned not more than five years, or both."
TITLE 40, U.S.C. (as amended)
Sec. 276c, Regulations governing contractors and subcontractors
"The Secretary of Labor shall make reasonable regulations for contractors and
subcontractors engaged in the construction, prosecution, completion or repair
of public buildings, public works or buildings or works financed in whole or in part
by loans or grants from the United States, including a provision that each
contractor and subcontractor shall furnish weekly a statement with respect to
the wages paid each employee during the preceding week. Section 1001 of
Title 18 of the United States Code (Criminal Code and Criminal Procedure) shall
apply to such statements."
Reorganization Plan No. 14 of 1950 (15 F.R. 3176, 64 Stat. 1267, 5 U.S.C. 133z
note):
"In order to assure coordination of administration and consistency of
enforcement of the labor standards provision of each of the [foregoing and
other enumerated] Acts by the Federal agencies responsible for the
administration thereof, the Secretary of Labor shall prescribe appropriate
standards, regulations, and procedures, which shall be observed by these
agencies, and cause to be made by the Department of Labor such investigations,
with respect to compliance with and enforcement of such labor standards, as he
deems desirable, ..."
Page 33
FEDERAL REQUIREMENTS: FR-06
FEDERAL LABOR STANDARDS PROVISIONS (HUD 4010)
DAVIS - BACON REQUIREMENTS
Compliance with Davis-Bacon and Related Act Requirements: All rulings
and interpretations of the Davis-Bacon and Related Acts Contained in 29
CFR Parts 1, 3 and 5 are herein incorporated by reference.
For additional information regarding Labor Rates, please go to the following
official website of the United States government:
www.SAM.gov
Applicability
The Project or Program to which the construction work covered by this contract
pertains is being assisted by the United States of America and the following
Federal Labor Standards Provisions are included in this Contract pursuant to the
provisions applicable to such Federal assistance.
1. (i) Minimum Wages All laborers and mechanics employed or working upon
the site of the work will be paid unconditionally and not less often than once
a week, and without subsequent deduction or rebate on any account (except
such payroll deductions as are permitted by the Secretary of Labor under the
Copeland Act (29 CFR Part 3)), the full amount of wages and bona fide fringe
benefits (or cash equivalent thereof) due at time of payment computed at rates
not less than those contained in the wage determination of the Secretary of Labor
which is attached hereto and made a part hereof, regardless of any contractual
relationship which may be alleged to exist between the contractor and such
laborers and mechanics. Contributions made or costs reasonably anticipated for
bona fide fringe benefits under Section 1(b)(2) of the Davis-Bacon Act on
behalf of laborers or mechanics are considered wages paid to such laborers or
mechanics, subject to the provisions of 29 CFR 5.5(a.)(1)(iv); also, regular
contributions made or costs incurred for more than a weekly period (but not
less often than quarterly) under plans, funds, or programs which cover the
particular weekly period, are deemed to be constructively made or incurred
during such weekly period.
Such laborers and mechanics shall be paid the appropriate wage rate and fringe
benefits on the wage determination for the classification of work actually
performed, without regard to skill, except as provided in 29 CFR Part 5.5(a)(4).
Laborers or mechanics performing work in more than one classification may be
compensated at the rate specified for each classification for the time actually
worked therein: Provided, that the employer's payroll records accurately set
forth the time spent in each classification in which work is performed. The wage
determination (including any additional classification and wage rates conformed
under 29 CFR 5.5(a)(1)(ii) and the Davis-Bacon poster (WH-1321) shall be
posted at all times by the contractor and its subcontractors at the site of the
Page 34
work in a prominent and accessible place where it can easily be seen by the
workers.
(ii) (a) Any class of laborers or mechanics, which is not listed in the wage
determination and which is to be employed under the contract shall be classified
in conformance with the wagedetermination. HUD shall approve an additional
classification and wage rate and fringe benefits therefore only when the
following criteria have been met:
(1) The work to be performed by the classification requested is not
performed by a classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a
reasonable relationship to the wage rates contained in the wage determination.
(b) If the contractor and the laborers and mechanics to be employed in the
classification (if known), or their representatives, and HUD or its designee agree
on the classification and wage rate (including the amount designated for fringe
benefits where appropriate), a report of the action taken shall be sent by HUD or
its designee to the Administrator of the Wage and Hour Division, Employment
Standards Administration, U.S. Department of Labor, Washington, D.C. 20210.
The Administrator, or an authorized representative, will approve, modify, or
disapprove every additional classification action within 30 days of receipt and so
advise HUD or its designee or will notify HUD or its designee within the 30-day
period that additional time is necessary. (Approved by the Office of Management
and Budged under OMB control number 12150140.)
(c) In the event the contractor, the laborers or mechanics to be employed in the
classification or their representatives, and HUD or its designee do not agree on the
proposed classification and wage rate (including the amount designated for fringe
benefits where appropriate), HUD or its designee shall refer the questions,
including the views of all interested parties and the recommendation of HUD or its
designee, to the Administrator for determination. The Administrator, or an
authorized representative, will issue a determination within 30 days of receipt and
so advise HUD or its designee or will notify HUD or its designee within the 30-
day period that additional time is necessary. (Approved by the Office of
Management and Budged under OMB control number 12150140.)
(d) The wage rate (including fringe benefits where appropriate) determined
pursuant to subparagraphs (1)(ii) (b) or (c) of this paragraph, shall be paid to all
workers performing work in the classification under this contract from the first day
on which work is performed in the classification.
(iii) Whenever the minimum wage rate prescribed in the contract for a class of
laborers or mechanics includes a fringe benefit which is not expressed as an
hourly rate, the contractor shall either pay the benefit as stated in the wage
determination or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
Page 35
(iv) If the contractor does not make payments to a trustee or other third
person, the contractor may consider as part of the wages of any laborer or
mechanic the amount of any costs reasonably anticipated in providing bona fide
fringe benefits under a plan or program, Provided, That the Secretary of Labor has
found, upon the written request of the contractor, that the applicable standards of
the Davis-Bacon Act have been met. The Secretary of Labor may require the
contractor to set aside in a separate account assets for the meeting of
obligations under the plan or program. (Approved by the Office of Management
and Budged under OMB control number 12150140.)
2. Withholding. HUD or its designee shall upon its own action or upon
written request of an authorized representative of the Department of Labor
withhold or cause to be withheld from the contractor under this contractor any
other Federal contract with the same prime contractor, or any other Federally-
assisted contract subject to David-Bacon prevailing wage requirements, which
is held by the same prime contractor, so much of the accrued payments or
advances as may be considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers, employed by the contractor or any
subcontractor the full amount of wages required by the contract. In the event of
failure to pay any laborer or mechanic, including any apprentice, trainee, or
helper, employed or working on the site of work, all or part of the wages required
by the contract, the HUD or its designee may, after written notice to the
contractor, sponsor, applicant, or owner, take such action as may be
necessary to cause the suspension of any further payment, advance, or guarantee
of funds until such violations have ceased. HUD or its designee may, after
written notice to the contractor, disburse such amounts withheld for and on
account of the contractor or subcontractor to the respective employees to whom
they are due. The Comptroller General shall make such disbursements in the
case of direct Davis-Bacon Act contracts.
3. (i) Payrolls and basic records. Payrolls and basic records relating thereto
shall be maintained by the contractor during the course of the work and
preserved for a period of three years thereafter for all laborers and mechanics
working at the site of the work. Such records shall contain the name, address,
and social security number of each such worker, his or her correct classification,
hourly rates of wages paid (including rates of contributions or costs anticipated
for bona fide fringe benefits or cash equivalents thereof of the types described
in Section 1(b) (2) (B) of the Davis-Bacon Act), daily and weekly number of hours
worked, deductions made and actual wages paid. Whenever the Secretary of
Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated in providing
benefits under a plan or program described in Section 1(b)(2)(B) of the Davis-
Bacon Act, the contractor shall maintain records which show that the commitment
to provide such benefits is enforceable, that the plan or program is financially
responsible, and that the plan or program has been communicated in writing to the
laborers or mechanics affected, and records which show the costs anticipated or
the actual costs incurred in providing such benefits. Contractors employing
apprentices or trainees under approved programs shall maintain written evidence
of the registration of apprenticeship programs and certification of trainee
programs, the registration of the apprentices and trainees, and the ratios and
Page 36
wage rates prescribed in the applicable programs. (Approved by the Office of
Management and Budget under OMB Control Numbers 1215-0140 and 1215-
0017.)
(ii) (a) The contractor shall submit weekly, for each week in which any contract
work is performed, a copy of all payrolls to HUD or its designee if the agency
is a party to the contract, but if the agency is not such a party, the contractor will
submit the payrolls to the applicant sponsor or owner, as the case may be, for
transmission to HUD or its designee. The payrolls submitted shall set out
accurately and completely all of the information required to be maintained under 29
CFR 5.5(a) (3) (i). This information may be submitted in any form desired. Optional
Form WH-347 is available for this purpose and may be purchased from the
Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S.
Government Printing Office, Washington, D.C. 20402. The prime contractor is
responsible for the submission of copies of payrolls by all subcontractors.
(Approved by the Office of Management and Budget under OMB Control
Numbers 1215-0149.)
(b) Each payroll submitted shall be accompanied by a "Statement of
Compliance, "signed by the contractor or subcontractor or his or her agent who
pays or supervises the payment of the persons employed under the contract and
shall certify the following:
(1) That the payroll for the payroll period contains the information required to be
maintained under CFR 5.5(a) (3) (i) above and that such information is correct and
complete;
(2) That each laborer and mechanic (including each helper, apprentice and
trainee) employed on the contract during the payroll period has been paid the
full weekly wages earned, without rebate, either directly or indirectly, and that no
deductions have been made either directly or indirectly from the full wages earned,
other than permissible deductions as set forth in Regulations 29 CFR Part 3;
(3) That each laborer or mechanic has been paid not less than the applicable
wage rates and fringe benefits or cash equivalents for the classification of work
performed, as specified in the applicable wage determination incorporated into the
contract.
(c) The weekly submission of a properly executed certification set forth on the
reverse side of Optional Form WH-347 shall satisfy the requirement for
submission of the "Statement of Compliance" required by paragraph A.3.(ii)(b).
(d) The falsification of any of the above certifications may subject the contractor
or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and
Section 231 of Title 31 of the United States Code.
(iii) The contractor or subcontractor shall make the records required under
paragraph A.3.(i) available for inspection, copying or transcription by authorized
representatives of HUD or its designee, or the Department of Labor, and shall
permit such representatives to interview employees during working hours on the
job. If the contractor or subcontractor fails to submit the required records or to make
Page 37
them available, HUD or its designee may, after written notice to the contractor,
sponsor, applicant or owner, take such action as may be necessary to cause
the suspension of any further payment, advance, or guarantee of funds.
Furthermore, failure to submit the required records upon request or to make such
records available may be grounds for debarment action pursuant to 29 CFR 5.12.
4. Apprentices and Trainees.
(i) Apprentices. Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are employed pursuant
to and individually registered in a bona fide apprenticeship program registered
with the U.S. Department of Labor, Employment and Training Administration,
Office of Apprenticeship Training, Employer and Labor Services or with a State
Apprenticeship Agency recognized by the Office, or if a person is employed in
his or her first 90 days of probationary employment as an apprentice in such an
apprenticeship program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship Training, Employer
and Labor Services or a State Apprenticeship Agency (where appropriate) to
be eligible for probationary employment as an apprentice. The allowable ratio
of apprentices to journeymen on the job site in any craft classification shall not
be greater than the ratio permitted to the contractor as to the entire work force
under the registered program. Any worker listed on a payroll at an apprentice
wage rate, who is not registered or otherwise employed as stated above, shall be
paid not less than the applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any apprentice performing
work on the job site in excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the wage determination for
the work actually performed. Where a contractor is performing construction on a
project in a locality other than that in which its program is registered, the ratios
and wage rates (expressed in percentages of the journeyman's hourly rate)
specified in the contractor's or subcontractor's registered program shall be
observed. Every apprentice must be paid at not less than the rate specified in the
registered program for the apprentice's level of progress, expressed as a
percentage of the journeymen hourly rate specified in the applicable wage
determination. Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program. If the apprenticeship program does
not specify fringe benefits, apprentices must be paid the full amount of fringe
benefits listed on the wage determination for the applicable classification. If the
Administrator determines that a different practice prevails for the applicable
apprentice classification, fringes shall be paid in accordance with that
determination. In the event the Office of Apprenticeship Training, Employer and
Labor Services, or a State Apprenticeship Agency recognized by the Office,
withdraws approval of an apprenticeship program, the contractor will no longer be
permitted to utilize apprentices at less than the applicable predetermined rate for
the work performed until an acceptable program is approved.
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted
to work at less than the predetermined rate for the work performed unless they are
employed pursuant to and individually registered in a program which has received
prior approval, evidenced by
Page 38
formal certification by the U.S. Department of Labor, Employment and
Training Administration. The ratio of trainees to journeymen on the job site shall
not be greater than permitted under the plan approved by the Employment and
Training Administration. Every trainee must be paid at not less than the rate
specified in the approved program for the trainee's level of progress,
expressed as a percentage of the journeyman hourly rate specified in the
applicable wage determination. Trainees shall be paid fringe benefits in
accordance with the provisions of the trainee program. If the trainee program
does not mention fringe benefits, trainees shall be paid the full amount of fringe
benefits listed on the wage determination unless the Administrator of the Wage and
Hour Division determines that there is an apprenticeship program associated
with the corresponding journeyman wage rate on the wage determination which
provides for less than full fringe benefits for apprentices. Any employee listed on
the payroll at a trainee rate who is not registered and participating in a training
plan approved by the Employment and Training Administration shall be paid
not less than the applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any trainee performing work
on the job site in excess of the ratio permitted under the registered program shall
be paid not less than the applicable wage rate on the wage determination for the
work actually performed. In the event the Employment and Training
Administration withdraws approval of a training program, the contractor will no
longer be permitted to utilize trainees at less than the applicable
predetermined rate for the work performed until an acceptable program is
approved.
(iii) Equal Employment Opportunity. The utilization of apprentices, trainees
and journeymen under 29 CFR Part 5 shall be in conformity with the equal
employment opportunity requirements of Executive Order 11246, as amended,
and 29 CFR Part 30.
5. Compliance with Copeland Act Requirements.
The contractor shall comply with the requirements of 29 CFR Part 3, which are
incorporated by reference in this contract.
6. Subcontracts. The contractor or subcontractor shall insert in any
subcontracts the clauses contained in subparagraphs 1 through 11 of this
paragraph A and such other clauses as HUD or its designee may by
appropriate instructions require, and a copy of the applicable prevailing wage
decision, and also a clause requiring the subcontractors to include these
clauses in any lower tier subcontracts. The prime contractor shall be responsible
for the compliance by any subcontractor or lower tier subcontractor with all the
contract clauses in this paragraph.
7. Contract termination: debarment. A breach of the contract clauses in 29 CFR
5.5 may be grounds for termination of the contract, and for debarment as a
contractor and a subcontractor as provided in 29 CFR 5.12.
8. Compliance with Davis-Bacon and Related Act Requirements. All rulings
and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR
Parts 1, 3, and 5 are herein incorporated by reference in this contract.
Page 39
9. Disputes Concerning Labor Standards. Disputes arising out of the labor
standards provisions of this contract shall not be subject to the general disputes
clause of this contract. Such disputes shall be resolved in accordance with the
procedures of the Department of Labor set forth in 29 CFR Parts 5, 6 and 7.
Disputes within the meaning of this clause include disputes between the contractor
(or any of its subcontractors) and HUD, the U.S. Department of Labor, or the
employees or their representatives.
10. (i) Certification of Eligibility. By entering into this contract, the contractor
certifies that neither it (nor he or she) nor any person or firm who has an interest
in the contractor's firm is a person or firm ineligible to be awarded. Government
contracts by virtue of section 3(a)
of the Davis- Bacon Act or 29 CFR 5.12(a) (1) or to be awarded HUD contracts or
participate in HUD programs pursuant to 24 CF Part 24.
(ii) No part of this contract shall be subcontracted to any person or firm
ineligible for award of a Government contract by virtue of section 3(a) of the
Davis-Bacon Act or 29 CFR 5.12 (a)(1) or to be awarded HUD contracts or
participate in HUD programs pursuant to 24 CFR Part 24.
(iii) The penalty for making false statements is prescribed in the U.S. Criminal
Code, 18 U.S. Criminal 1001. Additionally, U.S. Criminal Code Section 1 01 0,
Title 18, U.S.C. 1001. Additionally, U.S. Criminal Code, Section 1 01 0, Title 18,
U.S.C, "Federal Housing Administration transactions", provides in part: "Whoever,
for the purpose of influencing in any way the action of such
Administration....makes, utters or publishes any statement knowing the same to
be false.....shall be fined not more than $5,000 or imprisoned not more than two
years, or both."
11. Complaints, Proceedings, or Testimony by Employees. No laborer or
mechanic to whom the wage, salary, or other labor standards provision of this
Contract are applicable shall be discharged or in any other manner discrimination
against by the Contractor or any subcontractor because such employee has filed
any complaint or instituted or caused to be instituted any proceeding or has
testified or is about to testify in any proceeding under or relating to the labor
standards applicable under this Contract to his employer.
Page 40
WAGE RATES
"General Decision Number: TX20210007 01/01/2021
Superseded General Decision Number: TX20200007
State: Texas
Construction Types: Heavy and Highway
Counties: Atascosa, Bandera, Bastrop, Bell, Bexar, Brazos,
Burleson, Caldwell, Comal, Coryell, Guadalupe, Hays,
Kendall, Lampasas, McLennan, Medina, Robertson, Travis,
Williamson and Wilson Counties in Texas.
HEAVY (excluding tunnels and dams, not to be used for work
on Sewage or Water Treatment Plants or Lift / Pump Stations
in Bell, Coryell, McClennon and Williamson Counties) and
HIGHWAY Construction Projects
Note: Under Executive Order (EO) 13658, an hourly minimum
wage of $10.95 for calendar year 2021 applies to all
contracts subject to the Davis-Bacon Act for which the
contract is awarded (and any solicitation was issued) on or
after January 1, 2015.
If this contract is covered by the EO, the contractor must
pay all workers in any classification listed on this wage
determination at least $10.95 per hour (or the applicable
wage rate listed on this wage determination, if it is
higher) for all hours spent performing on the contract in
calendar year 2021. If this contract is covered by the EO
and a classification considered necessary for performance of
work on the contract does not appear on this wage
determination, the contractor must pay workers in that
classification at least the wage rate determined through the
conformance process set forth in 29 CFR 5.5 (a) (1) (ii) (or
the EO minimum wage rate, if it is higher than the conformed
wage rate) . The EO minimum wage rate will be adjusted
annually. Please note that this EO applies to the above-
mentioned types of contracts entered into by the federal
government that are subject to the Davis-Bacon Act itself,
but it does not apply to contracts subject only to the
Davis-Bacon Related Acts, including those set forth at 29
CFR 5.1 (a) (2)- (60) . Additional information on contractor
requirements and worker protections under the EO is
available at www.dol .gov/whd/govcontracts.
Page 41
Modification Number Publication Date
0 01/01/2021
* SUTX2011-006 08/03/2011
Rates Fringes
CEMENT MASON/CONCRETE
FINISHER (Paving and
Structures) . . . . . . . . . . . . . . . . . . . . . .$ 12 .56
ELECTRICIAN. . . . . . . . . . . . . . . . . . . . . .$ 26.35
FORM BUILDER/FORM SETTER
Paving & Curb. . . . . . . . . . . . . . .$ 12 .94
Structures. . . . . . . . . . . . . . . . . .$ 12 .87
LABORER
Asphalt Raker. . . . . . . . . . . . . . .$ 12 .12
Flagger. . . . . . . . . . . . . . . . . . . . .$ 9 .45
Laborer, Common. . . . . . . . . . . . .$ 10.50
Laborer, Utility. . . . . . . . . . . .$ 12 .27
Pipelayer. . . . . . . . . . . . . . . . . . .$ 12 .79
Work Zone Barricade
Servicer. . . . . . . . . . . . . . . . . . . .$ 11 .85
PAINTER (Structures) . . . . . . . . . . . . .$ 18 .34
POWER EQUIPMENT OPERATOR:
Agricultural Tractor. . . . . . . .$ 12 .69
Asphalt Distributor. . . . . . . . .$ 15.55
Asphalt Paving Machine. . . . . .$ 14 .36
Boom Truck. . . . . . . . . . . . . . . . . .$ 18 .36
Broom or Sweeper. . . . . . . . . . . .$ 11 .04
Concrete Pavement
Finishing Machine. . . . . . . . . . .$ 15.48
Crane, Hydraulic 80 tons
or less. . . . . . . . . . . . . . . . . . . . .$ 18 .36
Crane, Lattice Boom 80
tons or less. . . . . . . . . . . . . . . .$ 15.87
Crane, Lattice Boom over
80 tons. . . . . . . . . . . . . . . . . . . . .$ 19 .38
Crawler Tractor. . . . . . . . . . . . .$ 15 .67
Directional Drilling
Locator. . . . . . . . . . . . . . . . . . . . .$ 11 .67
Directional Drilling
Operator. . . . . . . . . . . . . . . . . . . .$ 17 .24
Excavator 50, 000 ibs or
Less. . . . . . . . . . . . . . . . . . . . . . . .$ 12 .88
Excavator over 50, 000 lbs. . .$ 17 .71
Foundation Drill, Truck
Mounted. . . . . . . . . . . . . . . . . . . . .$ 16.93
Page 42
Front End Loader, 3 CY or
Less. . . . . . . . . . . . . . . . . . . . . . . .$ 13.04
Front End Loader, Over 3 CY.$ 13 .21
Loader/Backhoe. . . . . . . . . . . . . .$ 14 .12
Mechanic. . . . . . . . . . . . . . . . . . . .$ 17 .10
Milling Machine. . . . . . . . . . . . .$ 14 .18
Motor Grader, Fine Grade. . . .$ 18 .51
Motor Grader, Rough. . . . . . . . .$ 14 .63
Pavement Marking Machine. . . .$ 19.17
Reclaimer/Pulverizer. . . . . . . .$ 12 .88
Roller, Asphalt . . . . . . . . . . . . .$ 12 .78
Roller, Other. . . . . . . . . . . . . . .$ 10 .50
Scraper. . . . . . . . . . . . . . . . . . . . .$ 12 .27
Spreader Box. . . . . . . . . . . . . . . .$ 14 .04
Trenching Machine, Heavy. . . .$ 18 .48
Servicer. . . . . . . . . . . . . . . . . . . . . . . . .$ 14 .51
Steel Worker
Reinforcing. . . . . . . . . . . . . . . . .$ 14 .00
Structural . . . . . . . . . . . . . . . . . .$ 19 .29
TRAFFIC SIGNAL INSTALLER
Traffic Signal/Light Pole
Worker. . . . . . . . . . . . . . . . . . . . . .$ 16.00
TRUCK DRIVER
Lowboy-Float . . . . . . . . . . . . . . . .$ 15. 66
Off Road Hauler. . . . . . . . . . . . .$ 11 .88
Single Axle. . . . . . . . . . . . . . . . .$ 11 .79
Single or Tandem Axle Dump
Truck. . . . . . . . . . . . . . . . . . . . . . .$ 11 .68
Tandem Axle Tractor w/Semi
Trailer. . . . . . . . . . . . . . . . . . . . .$ 12 .81
WELDER. . . . . . . . . . . . . . . . . . . . . . . . . . .$ 15.97
------------------------------------------------------------
WELDERS - Receive rate prescribed for craft performing
operation to which welding is incidental .
Note: Executive Order (EO) 13706, Establishing Paid Sick
Leave
for Federal Contractors applies to all contracts subject to
the
Davis-Bacon Act for which the contract is awarded (and any
solicitation was issued) on or after January 1, 2017 .
Page 43
If this contract is covered by the EO, the contractor must
provide employees with 1 hour of paid sick leave for every
30 hours they work, up to 56 hours of paid sick leave each
year.
Employees must be permitted to use paid sick leave for their
own illness, injury or other health-related needs, including
preventive care; to assist a family member (or person who is
like family to the employee) who is ill, injured, or has
other health-related needs, including preventive care; or
for reasons resulting from, or to assist a family member (or
person who is like family to the employee) who is a victim
of, domestic violence, sexual assault, or stalking.
Additional information on contractor requirements and worker
protections under the EO is available at
www.dol.gov/whd/govcontracts.
Unlisted classifications needed for work not included within
the scope of the classifications listed may be added after
award only as provided in the labor standards contract
clauses
(29CFR 5 .5 (a) (1) (ii) ) .
------------------------------------------------------------
The body of each wage determination lists the classification
and wage rates that have been found to be prevailing for the
cited type (s) of construction in the area covered by the
wage determination. The classifications are listed in
alphabetical order of ""identifiers"" that indicate whether
the particular rate is a union rate (current union
negotiated rate for local) , a survey rate (weighted average
rate) or a union average rate (weighted union average rate) .
Union Rate Identifiers
A four letter classification abbreviation identifier
enclosed in dotted lines beginning with characters other
than ""SU"" or ""UAVG"" denotes that the union
classification and rate were prevailing for that
classification in the survey.
Example:
PLUM0198-005 07/01/2014 . PLUM is an abbreviation identifier
of the union which prevailed in the survey for this
classification, which in this example would be Plumbers.
0196 indicates the local union number or district council
number where applicable, i .e. , Plumbers Local 0198. The next
number,005 in the example, is an internal number used in
processing the wage determination. 07/01/2014 is the
effective date of the most current negotiated rate, which in
this example is July 1, 2014 .
Page 44
Union prevailing wage rates are updated to reflect all rate
changes in the collective bargaining agreement (CBA)
governing this classification and rate.
Survey Rate Identifiers
Classifications listed under the ""SU"" identifier indicate
that no one rate prevailed for this classification in the
survey and the published rate is derived by computing a
weighted average rate based on all the rates reported in the
survey for that classification. As this weighted average
rate includes all rates reported in the survey, it may
include both union and non-union rates. Example: SULA2012-
007 5/13/2014 . SU indicates the rates are survey rates based
on a weighted average calculation of rates and are not
majority rates. LA indicates the State of Louisiana. 2012 is
the year of survey on which these classifications and rates
are based. The next number, 007 in the example, is an ,
internal number used in producing the wage determination.
5/13/2014 indicates the survey completion date for the
classifications and rates under that identifier.
Survey wage rates are not updated and remain in effect until
a new survey is conducted.
Union Average Rate Identifiers
Classification (s) listed under the UAVG identifier indicate
that no single majority rate prevailed for those
classifications; however, 100% of the data reported for the
classifications was union data. EXAMPLE: UAVG-OH-0010
08/29/2014 . UAVG indicates that the rate is a weighted union
average rate. OH indicates the state. The next number, 0010
in the example, is an internal number used in producing the
wage determination. 08/29/2014 indicates the survey
completion date for the classifications and rates under that
identifier.
A UAVG rate will be updated once a year, usually in January
of each year, to reflect a weighted average of the current
negotiated/CBA rate of the union locals from which the rate
is based.
------------------------------------------------------------
WAGE DETERMINATION APPEALS PROCESS
1 . ) Has there been an initial decision in the matter? This
can
be.
Page 45
* an existing published wage determination
* a survey underlying a wage determination
* a Wage and Hour Division letter setting forth a position
on
a wage determination matter
* a conformance (additional classification and rate) ruling
On survey related matters, initial contact, including
requests for summaries of surveys, should be with the Wage
and Hour Regional Office for the area in which the survey
was conducted because those Regional Offices have
responsibility for the Davis-Bacon survey program. If the
response from this initial contact is not satisfactory, then
the process described in 2 . )
and 3. ) should be followed.
With regard to any other matter not yet ripe for the formal
process described here, initial contact should be with the
Branch of Construction Wage Determinations. Write to:
Branch of Construction Wage Determinations
Wage and Hour Division
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
2. ) If the answer to the question in 1 . ) is yes, then an
interested party (those affected by the action) can request
review and reconsideration from the Wage and Hour
Administrator
(See 29 CFR Part 1.8 and 29 CFR Part 7) . Write to:
Wage and Hour Administrator
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
The request should be accompanied by a full statement of the
interested party' s position and by any information (wage
payment data, project description, area practice material,
eta . ) that the requestor considers relevant to the issue.
3. ) If the decision of the Administrator is not favorable,
an
interested party may appeal directly to the Administrative
Review Board (formerly the Wage Appeals Board) . Write to:
Page 46
Administrative Review Board
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
4 . ) All decisions by the Administrative Review Board are
final .
END OF GENERAL DECISION
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Page 47
FEDERAL REQUIREMENTS: FR-07
CONTRACT WORK HOURS AND SAFETY STANDARDS ACT REQUIREMENTS
(1) Overtime requirements. No contractor or subcontractor contracting for any part
of the contract work which may require or involve the employment of laborers
or mechanics shall require or permit any such laborer or mechanic, in any
workweek in which he or she is employed on such work to work in excess of 40
hours in such workweek unless such laborer or mechanic receives compensation
at a rate not less than one and one-half times the basic rate of pay for all hours
worked in excess of forty hours in such workweek.
(2) Violation; Liability for Unpaid Wages; Liquidated Damages. In the event of any
violation of the clause set forth in subparagraph (1) of this paragraph, the
contractor and any subcontractor responsible therefor shall be liable for the
unpaid wages. In addition, such contractor and subcontractor shall be liable to
the United States (in the case of work done under contract for the District of
Columbia or a territory, to such District or to such territory), for liquidated
damages. Such liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and guards, employed in
violation of the clause set forth in subparagraph (1) of this paragraph above, in the
sum of $10 for each calendar day on which such individual was required or
permitted to work in excess of the standard workweek of 40 hours without payment
of the overtime wages required by the clause set forth in subparagraph (1) of this
paragraph.
(3) Withholding for unpaid wages and liquidated damages. HUD or its designee
shall upon its own action or upon written request of an authorized representative of
the Department of Labor withhold or cause to be withheld, from any monies payable
on account of work performed by the contractor or subcontractor under any such
contract or any other Federal contract with the same prime contractor, or any
other Federally-assisted contract subject to the Contract Work Hours and
Safety Standards Act, which is held by the same prime contractor, such
sums as may be determined to be necessary to satisfy any liabilities of such
contractor or subcontractor for unpaid wages and liquidated damages as
provided in the clause set forth in paragraph (2) of this paragraph.
(4) Subcontractors. The contractor or subcontractor shall insert in any
subcontracts the clauses set forth in paragraphs (1) through (4) of this
paragraph and also a clause requiring the
subcontractor to include these clauses in any lower tier subcontracts. The prime
contractor shall be responsible for compliance by any subcontractor or lower tier
subcontractor with the clauses set forth in subparagraphs (1) through (4) of this
paragraph.
(5) Health and Safety. No laborer or mechanic shall be required to work in
surroundings or under working conditions which are unsanitary, hazardous, or
dangerous to his/her health and safety as determined under construction safety
and health standards promulgated by the Secretary of Labor by regulation.
Page 48
The Contractor shall comply with all regulations issued by the Secretary of Labor
pursuant to Title 29 Part1926 and failure to comply may result in imposition of
sanctions pursuant to the Contract Work Hours and Safety Standards Act, 40 USC
3701 et seq.
The Contractor shall include the provisions of this paragraph in every subcontract
so that such provisions will be binding on each subcontractor. The Contractor
shall take such action with
respect to any subcontract as the Secretary of Housing and Urban Development or
the Secretary.
Page 49
FEDERAL REQUIREMENTS: FR-08
RIGHTS TO INVENTIONS
All rights to inventions and materials generated under this contract are subject
to regulations issued by the Sponsor of the Federal grant under which this
contract is executed.
Page 50
FEDERAL REQUIREMENTS: FR-9
ACCESS TO RECORDS AND RECORD RETENTION
The Contractor shall maintain an acceptable cost accounting system. The Contractor
agrees to provide the Sponsor and the Comptroller General of the United States or any
of their duly authorized representative's access to any books, documents, papers, and
records of the contractor which are directly pertinent to the specific contract for the
purpose of making audit, examination, excerpts and transcriptions. The Contractor
agrees to maintain all books, records and reports required under this contract for a
period of not less than three years after final payment is made and all pending matters
are closed.
Page �1
FEDERAL REQUIREMENTS: FR-10
CLEAN AIR AND WATER POLLUTION CONTROL
Contractors and subcontractors agree:
a. That any facility to be used in the performance of the contract or subcontract or
to benefit from the contract is not listed on the Environmental Protection Agency
(EPA) List of Violating Facilities;
b. To comply with all the requirements of Section 114 of the Clean Air Act, as
amended, 42 U.S.C. 1857 et seq. and Section 308 of the Federal Water Pollution
Control Act, as amended, 33 U.S.C. 1251 et seq. relating to inspection, monitoring,
entry, reports, and information, as well as all other requirements specified in
Section 114 and Section 308 of the Acts, respectively, and all other regulations
and guidelines issued thereunder;
c. That, as a condition for the award of this contract, the contractor or
subcontractor will notify the awarding official of the receipt of any communication
from the EPA indicating that a facility to be used for the performance of or benefit
from the contract is under consideration to be listed on the EPA List of Violating
Facilities;
d. To include or cause to be included in any construction contract or subcontract
which exceeds $ 100,000 the aforementioned criteria and requirements.
Page 52
FEDERAL REQUIREMENTS: FR-11
ENERGY CONSERVATION REQUIREMENTS
The contractor agrees to comply with mandatory standards and policies
relating to energy efficiency that are contained in the state energy conservation
plan issued in compliance with the Energy Policy and Conservation Act (Public
Law 94-163).
Page 53
FEDERAL REQUIREMENTS: FR-12
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY
AND VOLUNTARY EXCLUSION
The Contractor certifies, by acceptance of this contract, that neither it nor its
principals is presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this transaction by any
Federal department or agency. It further agrees that it will include this clause
without modification in all lower tier transactions, solicitations, proposals,
contracts, and subcontracts.
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FEDERAL REQUIREMENTS: FR-13
LOBBYING AND INFLUENCING FEDERAL EMPLOYEES
(1) No Federal appropriated funds shall be paid, by or on behalf of the contractor,
to any person for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the making of any
Federal grant and the amendment or modification of any Federal grant.
(2) If any funds other than Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with any Federal grant, the
contractor shall complete and submit Standard Form-LLL, "Disclosure of Lobby
Activities," in accordance with its instructions.
Page S>
FEDERAL REQUIREMENTS: FR-14
DOMESTIC PREFERENCE FOR PROCUREMENTS
As appropriate and to the extent consistent with law, the non-Federal entity should, to the
greatest extent practicable under the award, provide a preference for the purchase, acquisition,
or use of goods, products, or materials produced in the United States) including but not limited
to iron, aluminum, steel, cement, and other manufactured products). The requirements of this
section must be included in all subawards including all contracts and purchase order or products
under this award.
FEDERAL REQUIREMENTS: FR-15
PROCUREMENT OF RECOVERED MATERIALS
A non-Federal entity that is a state agency or agency of a political subdivision of the state and
its contractors must comply with section 6002 of the Solid Waste Disposal Act, as amended by
the Resource Conservation and Recovery Act. The requirements of 6002 include procuring
only items designed in guidelines of the EPA at 40 CFR 247 that contain the highest percentage
of recovered materials practicable consistent with maintaining a satisfactory level of competition,
where the purchase price of the item exceeds $10,000 or the value of the quantity acquired
during the preceding fiscal year exceeded $10,000; procuring solid waste management services
in a manner that maximizes energy and resource recovery; and establishing an affirmative
procurement program for procurement of recovered materials identified in the EPA guidelines.