Contract - Raftelis Financial Consultants - 11/22/2016 CITY OF ROUND ROCK AGREEMENT FOR
PROFESSIONAL CONSULTING SERVICES FOR A
WATER AND WASTEWATER UTILITY RATE STUDY WITH
RAFTELIS FINANCIAL CONSULTANTS, INC.
THE STATE OF TEXAS §
THE CITY OF ROUND ROCK § KNOW ALL BY THESE PRESENTS
COUNTY OF WILLIAMSON §
COUNTY OF TRAVIS §
THIS AGREEMENT for professional consulting services related to a 2017 Water and
Wastewater Utility Rate Study (the "Agreement") is made by and between the CITY OF
ROUND ROCK, a Texas home-rule municipal corporation with offices located at 221 East Main
Street, Round Rock, Texas 78664-5299, (the "City") and RAFTELIS FINANCIAL
CONSULTANTS, INC., located at 5619 DTC Parkway, Suite 175, Greenwood, CO 80111 (the
"Consultant").
RECITALS:
WHEREAS, City has determined that there is a need for a 2017 City Water and
Wastewater Utility Rate Study; and
WHEREAS, City desires to contract for such professional services; and
WHEREAS, the parties desire to enter into this Agreement to set forth in writing their
respective rights, duties and obligations hereunder;
NOW, THEREFORE,WITNESSETH:
That for and in consideration of the mutual promises contained herein and other good and
valuable consideration, the sufficiency and receipt of which are hereby acknowledged, it is
mutually agreed between the parties as follows:
1.01 EFFECTIVE DATE,DURATION,AND TERM
This Agreement shall be effective on the date this Agreement has been signed by each
parry hereto, and shall remain in full force and effect unless and until it expires by operation of
the term indicated herein, or is terminated or extended as provided herein.
The term of this Agreement shall be until full and satisfactory completion of the work
specified herein is achieved,but in no event shall be later than December 31, 2017.
City reserves the right to review the Agreement at any time, and may elect to terminate
the Agreement with or without cause or may elect to continue.
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2.01 PROPOSAL FOR SERVICES"
For the purposes of this Agreement, the City agrees to furnish the Consultant the
information set forth in Exhibit "A" titled "City Services," which document is attached hereto
and incorporated herein for all purposes. For purposes of this Agreement Consultant has issued
its proposal for services. for the tasks delineated therein, such proposal for services being
attached to this Agreement as Exhibit `B" titled "Financial Services," which document is
incorporated herein for all purposes.
3.01 SCOPE OF SERVICES
Consultant shall satisfactorily provide all services described herein and as set forth in
Exhibit `B" according to the schedule set forth in the attached Exhibit "C" titled "Work
Schedule," which document is incorporated herein for all purposes. Consultant's undertaking
shall be limited to performing services for City and/or advising City concerning those matters on
which Consultant has been specifically engaged. Consultant shall perform services in
accordance with this Agreement, in accordance with the appended proposal for services, and in a
professional and workmanlike manner.
4.01 LIMITATION TO SCOPE OF SERVICES
Consultant and City agree that the scope of services to be performed is enumerated in
Exhibit `B" and herein, and Consultant shall not undertake work that is beyond the Scope of
Work set forth in Exhibit `B," however, either party may make written requests for changes to
the Scope of Work." To be effective, a change to the Scope of Work must be negotiated and
agreed to and must be embodied in a valid Supplemental Agreement as described in 9.01.
5.01 CONTRACT AMOUNT
In consideration for the professional consulting services to be performed by Consultant,
City agrees to pay Consultant in accordance with Exhibit "D" entitled "Fee Schedule," which
document is attached hereto and incorporated herein for all purposes, in payment for services and
the Scope of Services deliverables as delineated in Exhibit`B."
Not-to-Exceed Total Payment for Services: Consultant's total compensation for
consulting services hereunder shall not exceed One Hundred Fifty Thousand and no/100
($150,000.00). This amount represents the absolute limit of City's liability to Consultant
hereunder unless same shall be changed by Supplemental Agreement, and City shall pay, strictly
within the not-to-exceed sum recited herein, Consultant's professional fees for work done on
behalf of City.
Payment for Reimbursable Expenses: There shall be no payments for reimbursable
expenses included in this Agreement.
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Deductions: No deductions shall be made for Consultant's compensation on account of
penalty, liquidated damages or other sums withheld from payments to Consultant.
Additions: No additions shall be made to Consultant's compensation based upon project
claims,whether paid by the City or denied.
6.01 INVOICE REQUIREMENTS; TERMS OF PAYMENT
Invoices: To receive payment, Consultant shall prepare and submit detailed invoices to
the City, in accordance with the delineation contained herein, for services rendered. Such
invoices for 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 7.01 herein. Under no circumstances shall Consultant be entitled to
receive interest on payments which are late because of a good faith dispute between Consultant
and the City or because of amounts which the City has a right to withhold under this Agreement
or state law. The City shall be responsible for any sales, gross receipts or similar taxes
applicable to the services,but not for taxes based.upon Consultant's net income.
7.01 PROMPT PAYMENT POLICY
In accordance with Chapter 2251, V.T.C.A., Texas Government Code, any payment to be
made by the City to Consultant will be made within thirty(30) days of the date the City receives
goods under this Agreement, the date the performance of the services under this Agreement are
completed, or the date the City receives a correct invoice for the goods or services, whichever is
later. Consultant may charge interest on an overdue payment at the "rate in effect" on September
1 of the fiscal year in which the payment becomes overdue, in accordance with V.T.C.A., Texas
Government Code, Section 2251.025(b). This Prompt Payment Policy does not apply to
payments made by the City in the event:
(a) There is a bona fide dispute between the City and Consultant, a contractor,.
subcontractor, or supplier about the goods delivered or the service performed
that cause the payment to be late; or
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(b) There is a bona fide dispute between Consultant and a subcontractor or
between a subcontractor and its supplier about the goods delivered or the
service performed that causes the payment to be late; or
(c) The terms of a federal contract, grant, regulation, or statute prevent the City
from making a timely payment with federal funds; or
(d) The invoice is not mailed to the City in strict accordance with any instruction
on the purchase order relating to the payment.
8.01 NON-APPROPRIATION AND FISCAL FUNDING
This Agreement is a commitment of the City's current revenues only. It is understood and
agreed that the City shall have the right to terminate this Agreement at the end of any City fiscal
year if the governing body of the City does not appropriate funds sufficient to purchase the
services as determined by the City's budget for the fiscal year in question. The City may effect
such termination by giving Consultant a written notice of termination at the end of its then-
current fiscal year.
9.01 SUPPLEMENTAL AGREEMENT
The terms of this Agreement may be modified by written Supplemental Agreement
hereto, duly authorized by City Council or by the City Manager, if the City determines that there
has been a significant change in (1) the scope, complexity, or character of the services to be
performed; or (2) the duration of the work. Any such Supplemental Agreement must be
executed by both parties within the period specified as the term of this Agreement. Consultant
.shall not perform any work or incur any additional costs prior to the execution, by both parties,
of such Supplemental Agreement. Consultant shall make no claim for extra work done or
materials furnished unless.and until there is full execution of any Supplemental Agreement, and
the City shall not be responsible for actions-by Consultant nor for any costs incurred by
Consultant relating to additional work not directly authorized by Supplemental Agreement.
10.01 TERMINATION; DEFAULT
Termination: It is agreed and understood by Consultant that the City may terminate this
Agreement for the convenience of the City, upon thirty (30) days' written notice to Consultant,
with the understanding that immediately upon receipt of said notice all work being performed
under this Agreement shall cease. Consultant shall invoice the City for work satisfactorily
completed and shall be compensated in accordance with the terms hereof for work accomplished
prior to the receipt of said notice of termination. Consultant shall not be entitled to any lost or
anticipated profits for work terminated under this Agreement. Unless otherwise specified in this
Agreement, all data, information, and work product related to this project shall become the
property of the City upon termination of this Agreement, and shall be promptly delivered to the
City in a reasonably organized form without restriction on future use. Should the City
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subsequently contract with a new consultant for continuation of service on the project,
Consultant shall cooperate in providing information.
Termination of this Agreement shall extinguish all rights, duties, and obligations of the
City and the terminated parry 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 parry 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 Parry 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.
11.01 NON-SOLICITATION
All parties agree that they shall not directly or indirectly solicit for employment, employ,
or otherwise retain staff of the other during the term of this Agreement.
12.01 CITY'S RESPONSIBILITIES
City shall perform the services described in Exhibit "A." Consultant's performance
requires receipt of all requested information reasonably necessary to provision of services..
Consultant agrees, in a timely manner, to provide City with a comprehensive and detailed
information request list,,if any.
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13.01 INDEPENDENT CONTRACTOR STATUS
Consultant is an independent contractor, and is not the City's employee. Consultant's
employees or subcontractors are not the City's employees. This Agreement does not create a
partnership, employer-employee, or joint venture relationship. No party has authority to enter
into contracts as agent for the other party. Consultant and the City agree to the following rights
consistent with an independent contractor relationship:
(1) Consultant has the right to perform services for others during the term hereof.
(2) Consultant has the sole right to control and direct the means, manner and method
by which it performs its services required by this Agreement.
(3) Consultant has the right to hire assistants as subcontractors, or to use employees
to provide the services required by this Agreement.
(4) Consultant or its employees or subcontractors shall perform services required
hereunder, and the City shall not hire, supervise, or pay assistants to help
Consultant.
(5) Neither Consultant nor its employees or subcontractors shall receive training from
the City in skills necessary to perform services required by this Agreement.
(6) City shall not require Consultant or its employees or subcontractors to devote full
time to performing the services required by this Agreement.
(7) Neither Consultant nor its employees or subcontractors are eligible to participate
in any employee pension, health, vacation pay, sick pay, or other fringe benefit
plan of the City.
14.01 CONFIDENTIALITY; MATERIALS OWNERSHIP
Any and all programs, data, or other materials furnished by the City for use by Consultant
in connection with services to be performed under this Agreement, and any and all data and
information gathered by Consultant, shall be held in confidence by Consultant as set forth
hereunder. Each party agrees to take reasonable measures to preserve the confidentiality of any
proprietary or confidential information relative to this Agreement, and .to not make any use
thereof other than for the performance of this Agreement, provided that no claim may be made
for any failure to protect information that occurs more than three (3) years after the end of this
Agreement.
The parties recognize and understand that the City is subject to the Texas Public
Information Act and its duties run in accordance therewith.
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All .data relating specifically to the City's business and any other information which
reasonably should be understood to be confidential to City is confidential information of City.
Consultant's proprietary software, tools, methodologies, techniques, ideas, discoveries,
inventions, know-how, and any other information which reasonably should be understood to be
confidential to Consultant is confidential information of Consultant. The City's confidential
information and Consultant's confidential information is collectively referred to as "Confidential
Information." Each party shall use Confidential Information of the other party only in
furtherance of the purposes of this Agreement and shall not disclose such Confidential
Information to any third party without the other party's prior written consent, which consent
shall not be unreasonably withheld. Each party agrees to take reasonable measures to protect the
confidentiality of the other party's Confidential Information and to advise their employees of the
confidential nature of the Confidential Information and of the prohibitions herein.
Any and all materials created and developed by Consultant in connection with services
performed under this Agreement, including all trademark and copyright rights, shall be the sole
property of City at the expiration of this Agreement.
15.01 WARRANTIES
Consultant represents that all services performed hereunder shall be performed consistent
with generally prevailing professional or industry standards, and shall be performed in a
professional and workmanlike manner. Consultant shall re-perform any work no in compliance,
with this representation.
16.01 LIMITATION OF LIABILITY
Should any of Consultant's services not conform to the requirements of the City or of this
Agreement, then and in that event the City shall give written notification to Consultant;
thereafter, (a) Consultant shall either promptly re-perform such services to the City's satisfaction
at no additional charge, or (b) if such deficient services cannot be cured within the cure period
set forth herein,then this Agreement may be terminated for default.
In no event will Consultant be liable for any loss, damage, cost or expense attributable to
negligence, willful misconduct or misrepresentations by the City, its directors, employees or
agents.
In no event shall Consultant be liable to the City, by reason of any act or omission
relating to the services provided under this Agreement (including the negligence of Consultant),
whether a claim be in tort, contract or otherwise, (a) for any consequential, indirect, lost profit,
punitive, special or similar damages relating to or arising from the services, or (b) in any event,
in the aggregate, for any amount in excess of the total professional fees paid by the City to
Consultant under this Agreement, except to the extent determined to have resulted from
Consultant's gross negligence, willful misconduct or fraudulent acts relating to the service
provided hereunder.
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17.01 INDEMNIFICATION
Consultant agrees to hold harmless, exempt, and indemnify City, its officers, agents,
directors, servants, representatives and employees, from and against any and all suits, actions,
legal proceedings, demands, costs, expenses, losses, damages, fines, penalties, liabilities and
claims of any character, type, or description, including but not limited to any and all expenses of
litigation, court costs, attorneys' fees and all other costs and-fees incident to any work done as a
result hereof.
To the extent allowable by law, City agrees to hold harmless, exempt, and indemnify
Consultant, its officers, agents, directors, servants, representatives and employees, from and
against any and all suits, actions, legal proceedings, demands, costs, expenses, losses, damages,
fines, penalties, liabilities and claims of any character, type, or description, including but not
limited to any and all expenses of litigation, court costs, attorneys' fees and all other costs and
fees incident to any work done as a result hereof.
18.01 ASSIGNMENT AND DELEGATION
The parties each hereby bind themselves, their successors, assigns and legal
representatives to each other with respect to the terms of this Agreement. Neither party may
assign any rights or delegate any duties under this Agreement without the other party's prior
written approval,which approval shall not be unreasonably withheld.
19.01 LOCAL, STATE AND FEDERAL TAXES
Consultant shall pay all income taxes, and FICA (Social Security and Medicare taxes)
incurred while performing services under this Agreement. The City will not do the following:
(1) Withhold FICA from Consultant's payments or make FICA payments on its
behalf,
(2) Make state and/or federal unemployment compensation contributions on
Consultant's behalf, or
(3) Withhold state or federal income tax from any of Consultant's payments.
If requested, the City shall provide Consultant with a certificate from the Texas State
Comptroller indicating that the City is a non-profit corporation and not subject to State of Texas
Sales and Use Tax.
20.01 COMPLIANCE WITH LAWS, CHARTER AND ORDINANCES
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,
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state and national boards, bureaus and agencies. Consultant shall further obtain all permits,
licenses, trademarks, or copyrights, if required in the performance of the services contracted for
herein, and same shall belong solely to the City at the expiration of the term of this Agreement.
21.01 FINANCIAL INTEREST PROHIBITED
Consultant covenants and represents that Consultant, its officers, employees, agents,
consultants and subcontractors will have no financial interest, direct or indirect, in the purchase
or sale of any product, materials or equipment that will be recommended or required hereunder.
22.01 DESIGNATION OF REPRESENTATIVES
The City hereby designates the following representative authorized to act in its behalf
with regard to this Agreement:
Michael Thane, P.E.
Director, Utilities and Environmental Services
2008 Enterprise Drive
Round Rock, TX 78664
(512) 218-3236
23.01 NOTICES
All notices and other communications in connection with this Agreement shall be in
writing and shall be considered given as follows:
(1) When delivered personally to recipient's address as stated herein; or
(2) Three (3) days after being deposited in the United States mail,with postage
prepaid to the recipient's address as stated in this Agreement.
Notice to Consultant:
Raftelis Financial Consultants, Inc.,
5619 DTC Parkway, Suite 175
Greenwood Village, CO 80111
Notice to City:
City Manager, City of Round Rock
221 East Main Street
Round Rock, TX 78664
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AND TO:
Stephan L. Sheets, City Attorney
309 East Main Street
Round Rock, TX 78664
Nothing contained in this section shall be construed to restrict the transmission of routine
communications between representatives of the City and Consultant.
24.01 APPLICABLE LAW; ENFORCEMENT AND VENUE
This Agreement shall be enforceable in Round Rock, Texas, and if legal action is
necessary by either party with respect to the enforcement of any or all of the terms or conditions
herein, exclusive venue for same shall lie in Williamson County, Texas. This Agreement shall
be governed by and construed in accordance with the laws and court decisions of Texas.
25.01 EXCLUSIVE AGREEMENT
The terms and conditions of this Agreement, including exhibits, constitute the entire
agreement between the parties and supersede all previous communications, representations, and
agreements, either written or oral, with respect to the subject matter hereof. The parties
expressly agree that, in the event of any conflict between the terms of this Agreement and any
other writing, this Agreement shall prevail. No modifications of this Agreement will be binding
on any of the parties unless acknowledged in writing by the duly authorized governing body or
representative for each party.
26.01 DISPUTE RESOLUTION
The City and Consultant hereby expressly agree that no claims or disputes between the
parties arising out of or relating to this Agreement or a breach thereof shall be decided by any
arbitration proceeding, including without limitation, any proceeding under the Federal
Arbitration Act(9 USC Section 1-14) or any applicable state arbitration statute.
27.01 SEVERABILITY
The invalidity, illegality, or unenforceability of any provision of this Agreement or the
occurrence of any event rendering any portion of provision of this Agreement void shall in no
way affect the validity or enforceability of any other portion or provision of this Agreement. Any
void provision shall be deemed severed from this Agreement, and the balance of this Agreement
shall be construed and enforced as if this Agreement did not contain the particular portion of
provision held to be void. The parties further agree to amend this Agreement to replace any
stricken provision with a valid provision that comes as close as possible to the intent of the
-
stricken
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stricken provision. The provisions of this Article shall not prevent this entire Agreement from
being void should arovision which is of the essence of this Agreement be determined void.
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28.01 STANDARD OF CARE
Consultant represents that it is specially trained, experienced and competent to perform
all of the services, responsibilities and duties specified herein and that such services,
responsibilities and duties shall be performed, whether by Consultant or designated
subconsultants, in a manner acceptable to the City and according to generally accepted business
practices.
29.01 GRATUITIES AND BRIBES
City, may by written notice to Consultant, cancel this Agreement without incurring any
liability to Consultant if it is determined by City that gratuities or bribes in the form of
entertainment, gifts, or otherwise were offered or given by Consultant or its agents or
representatives to any City Officer, employee or elected representative with respect to the
performance of this Agreement. In addition, Consultant may be subject to penalties stated in
Title 8 of the Texas Penal Code.
30.01 RIGHT TO ASSURANCE
Whenever either party to this Agreement, in good faith, has reason to question the other
party's intent to perform hereunder, then demand may be made to the other party for written
assurance of the intent to perform. In the event that no written assurance is given within the
reasonable time specified when demand-is made, then and in that event the demanding party may
treat such failure an anticipatory repudiation of this Agreement.
31.01 INSURANCE
Consultant shall meet all City of Round Rock Insurance Requirements set forth at:
http://www.roundrocktexas. og v/wp-content/uploads/2014/12/corr insurance 07.20112.pdf.
32.01 MISCELLANEOUS PROVISIONS
Time is of the Essence. Consultant agrees that time is of the essence and that any failure
of Consultant to complete the services for each phase of this Agreement within the agreed
project schedule may constitute a material breach of this Agreement. Consultant shall be fully
responsible for its delays or for failures to use reasonable efforts in accordance with the terms of
this Agreement. Where damage is caused to City due to Consultant's failure to perform in these
circumstances, City may withhold, to the extent of such damage, Consultant's payments
hereunder without a waiver of any of City's additional legal rights or remedies. City shall render
decisions pertaining to Consultant's work promptly to avoid unreasonable delays in the orderly
progress of Consultant's work.
Force Majeure. Notwithstanding any other provisions hereof to the contrary, no failure,
delay or default in performance of any obligation hereunder shall constitute an event of default
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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 parry 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.
[Signatures appear on the following page.]
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IN WITNESS WHEREOF, the parties have executed this Agreement on the dates
hereafter indicated.
City of Round Rock, Texas RaftelisFinancial Consu ants,I c.
By: By:
Printed Name: l Printed Name: A �
Title: TTitle: c.Ac V(V S1 a*7A-
Date Signed: .22. 11 ifn Date Signed:
For City,Attest:
By:
Sara L. White, City Clerk
For City,i pi iroved as to Fo m:
B
Stephan . Sheets, City Attorney
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City of Round Rock 2017 Rate Study
Contract for Professional Services
Exhibit A
Services to be provided by the City
The City will provide the following information and other assistance to RFC that the City deems
appropriate and necessary:
1. Providing necessary and relevant data requested by the Consultant;
2. Participating in Project Kick-off meeting;
3. Participating in calls/meetings to discuss preferred approaches (financial plan,rate design);
4. Participating in calls/meetings to discuss preliminary results of each project element;
5. Responding to questions;
6. Make timely decisions on policy matters that will affect the conduct of the study;
7. Reviewing draft deliverables (reports,presentation packages); and
8. Coordinate the scheduling of the Public and/or Council meetings during which the
Consultant will present findings of the study.
Page A-1 of 1
City of Round Rock 2017 Rate Study
Contract for Professional Services
EXHIBIT B
Services to be provided by the Consultant
Project Pu pose
The purpose of this contract is to provide ongoing support for specific tasks as deemed necessary
by City of Round Rock staff. These tasks shall be generally associated with the professional
services to review, update, and recommend changes to the-various rates and fees that fund the
water,wastewater and drainage utilities.
Tasks may include but are not limited to the following:
1. Water and Wastewater Model Update
• Update the existing water and wastewater financial planning and rate model
• Collect and review the most recent financial and customer information and
incorporate into the model.
• Analyze customer demand behavior of retail and wholesale customers and determine
rate revenue adjustments to meet annual revenue requirements.
2. Examine Water and Wastewater Rate Alternatives
• Review rate alternatives in the model and discuss alternatives with staff
• Incorporate retail water rate alternatives into the model for comparison
• Prepare rate schedules for the three-year forecast for retail and wholesale customers
accompanied by customer impact analyses for consideration by the City.
3. Drainage Fee and Financial Planning Study
• Collect, analyze, and forecast operating and capital expenditures, debt service, and
miscellaneous items to be included in comprehensive Drainage financial plan.
• Determine level of fee revenue required to fund utility operations, meet financial
targets and balances, and ensure long-term financial viability.
• Develop a new comprehensive rate model.
4. Regional Stormwater Management Program(RSMP)—aka Regional Detention
• Evaluate the City's existing RSMP program including rate structure.
• Recommend changes,updates, or abandonment of the program as appropriate.
• Examine the City's options under state law for an impact fee and compare and
contrast those options with the existing RSMP voluntary fee.
5. Public Presentations and Meeting Support
• Attendance and support for various public and council meetings
• Presentations of results and recommendations to at public and council meetings
Page B-1 of
City of Round Rock 2017 Rate Study
Contract for Professional Services
EXHIBIT C
Work Schedule
All work shall be completed by 31 December 2017.
(Work Schedule to be determined with each individual Work Authorization)
Page C-1 of 1
City of Round Rock 2017 Rate Study
Contract for Professional Services
EXHIBIT D
Fee Schedule
Hourly rates to be billed on a time and materials basis as described in each Work Authorization.
RFC's 2016*Standard Hourly Billing Rates
Position Hourly Billing Rate**
Chair Emeritus $400
Chief Executive Officer/President $375
Chief Operating Officer $325
Executive Vice President $305
Vice President/Principal Consultant $275
Director of Storm Water Management $275
Director of Governmental Services $275
Senior Manager $250
Director of Management Consulting $275
Director of Florida Operations $205
Manager $225
Senior Consultant $195
Consultant $170
Associate $140
Analyst $105
Administration $75
*Rates may be-amended once between Jan. 1,2017 and Dec. 31,2017,not to exceed a 3%increase.
**For services related to the preparation for and participation in deposition and trial/hearing,the standard billing
rates listed above will be increased by 50%.
Page C-1 of 1
CERTIFICATE OF 'INTERESTED PARTIES
FORM 1295
10f1
I Complete Nos.l-4 and 6 if there are interested parties.: OFFICE USE ONLY
Complete Nos,1,2,3,5,and 6 if there are no interested°parties' CERTIFICATION OF FILING
1 Name of business anti filin form
ty 9 and the city,state and countryof the business entity's place Certificate Number:
of business. 2016-135850
Raftelis Financial Consultants, Inc.
` Charlotte,NC United States Date Filed:
2Name of governmental entity or state agency t at.s a pttgy.to:t e�contract`for is a=form.s; 11/1112016
being filed.
City of Round Rock Date Acknowledged:
3 Provide the identification number used by the governmental entity or state agency to track or identify the contract,and provide a
descrlptiorr,of the services,goods,or other property to be provided under the contract.
Water/Wastewater Rate Study
Professional consulting for a Water and Wastewater Utility Rate Study for the City of Round Rock
4 Nature of interest
Name of Interested Party City,State,Country(place of business) (check applicable)
- Controlling Intermediary
Stannard,William G., Kansas City,MO United States X
{
Brandt,Peiffer A. Charlotte,NC United States X
Burns,Byron B. Charlotte,NC United States X
i _.
Davis,Jon P, Charlotte,NC United States X
'Giardina, Richard D. Greenwood Village, CO United X
Rawls,Benjamin M,: Charlotte,NC United States X
Readling,Ronald K, Cary,NC United States X
Thomas, Darin H. Greensboro, NC United States X
5 Checkonly"if iiiere;ls NO Inteiesfed Party.77-
6
6 AFFIDAVIT I swear,or affirm,under penalty of perjury,that the above disclosure is true and correct.
Gt/ ;fid. . `i cse3 : •
Signature of authorizer)"agent of contracting business entity
AFFIX NOTARY STAMP/SEAL ABOVE
%%till I l l tr►!t!!!�!�
Swum to and subscribed before me,by the said LE S �. Vy A WAT anis the
20_L&_,to certify which,witness my hand and seal of office. AN,6k -
fi
o n
F arta s
Signature of officer administering oath' Printed name of officer administering oath 'f, fofficeradmims��`;oath
Forms provided'by Texas Ethics.0ornmissi6n, www.ethics.state,tx.us Version V1.0.277
CERTIFICATE OF INTERESTED PARTIES
FORM 1295
10f1
Complete Nos.1-4 and 6 if there are interested parties. OFFICE USE ONLY
Complete Nos.1,2,3,5,and 6 if there are no interested parties. CERTIFICATION OF FILING
1 Name of business entity filing form,and the city,state and country of the business entity's place Certificate Number:
of business. 2016-135850
Raftelis Financial Consultants, Inc.
Charlotte, NC United States Date Filed:
2 Name of governmental entity or state agency that is a party to the contract for which the form is 11/11/2016
being filed.
City of Round Rock Date Acknowledged:
11/14/2016
3 Provide the identification number used by the governmental entity or state agency to track or identify the contract,and provide a
description of the services,goods,or other property to be provided under the contract.
Water/Wastewater Rate Study
Professional consulting for a Water and Wastewater Utility Rate Study for the City of Round Rock
4 Nature of interest
Name of Interested Party City,State,Country(place of business) (check applicable)
Controlling Intermediary
Stannard,William G. Kansas City, MO United States X
Brandt, Peiffer A. Charlotte, NC United States X
Burns, Byron,B. Charlotte, NC United States X
Davis,Jon P. Charlotte, NC United States X
Giardina, Richard D. Greenwood Village, CO United X
Rawls, Benjamin M. Charlotte, NC United States X
Readling, Ronald K. Cary, NC United States X
Thomas,Darin H. Greensboro, NC United States X
5 Check only if there is NO Interested Party. ❑
6 AFFIDAVIT I swear,or affirm,under penalty of perjury,that the above disclosure is true and correct.
Signature of authorized agent of contracting business entity
AFFIX NOTARY STAMP/SEAL ABOVE
Sworn to and subscribed before me,by the said this the day of
20 ,to certify which,witness my hand and seal of office.
Signature of officer administering oath Printed name of officer administering oath Title of officer administering oath
Forms provided by Texas Ethics Commission www.ethics.state.tx.us Version V1.0.277