Contract - Whitley Penn, LLP - 5/11/2017 CITY OF ROUND ROCK AGREEMENT
FOR PROFESSIONAL CONSULTING SERVICES FOR FINANCIAL AND
COMPLIANCE AUDIT SERVICES WITH
WHITLEY PENN, LLP
THE STATE OF TEXAS §
CITY OF ROUND ROCK § KNOW ALL BY THESE PRESENTS:
COUNTY OF WILLIAMSON §
COUNTY OF TRAVIS
THIS AGREEMENT for professional consulting services for financial and compliance
audit services (the "Agreement") is made by and between the CITY OF ROUND ROCK,
TEXAS, a home-rule municipality with offices located at 221 East Main Street, Round Rock,
Texas 78664-5299 (the "City") and WHITLEY PENN, LLP, Certified Public Accountants, with
offices located at 1609 Shoal Creek Boulevard, Austin, Texas 78701 (the "Consultant" or
"Whitley Penn").
RECITALS:
WHEREAS, City has determined that there is a need for the delineated services; 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 receipt and sufficiency 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 it 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 stated
herein, or until terminated or extended as provided herein.
This Agreement shall remain effective until auditing services for six (6) fiscal years
(Fiscal Year 2017 through Fiscal Year 2022) have been fully completed to the satisfaction of the
City.
City reserves the right to review the Agreement at any time, and may elect to terminate
this Agreement with or without cause or may elect to continue.
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2.01 CONTRACT AMOUNT
In consideration for the professional consulting services to be performed by Consultant,
City agrees to pay Consultant a total sum not to exceed Six Hundred Forty-One Thousand
Four Hundred Sixty-Five and No/100 Dollars ($641,465.00) for the term of this Agreement in
payment for services and the scope of services deliverables, to be paid as delineated in
"Solicitation No. RFP 17-007 — Auditing Services" (Tab 8 —Attachment C), attached as Exhibit
"A" and incorporated herein by reference for all purposes. This amount includes reimbursable
expenses eligible for payment under this Agreement.
3.01 SCOPE OF SERVICES
For purposes of this Agreement, Consultant has issued its scope of services for the
assignments delineated herein, and such scope of services is recited in the attached as Exhibit
«A "
This Agreement shall evidence the entire understanding and agreement between the
parties and shall supersede any prior proposals, correspondence or discussions. This Agreement
shall take precedence in every instance over any conflicting provisions contained in Exhibit "A."
Consultant shall satisfactorily provide all services and deliverables described under the
referenced scope of services within the contract term specified herein. Consultant's undertakings
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 its services in
accordance with this Agreement and in accordance with the referenced scope of services.
Consultant shall perform its services in a professional and workmanlike manner.
Consultant shall not undertake work that is beyond the scope of services set forth in
Exhibit "A" and herein. However, either party may make written requests for changes to the
scope of services. To be effective, a change to the scope of services must be negotiated and
agreed to in all relevant details, and must be embodied in a valid Supplemental Agreement as
described herein.
4.01 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 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
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.
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5.01 INVOICE REQUIREMENTS; TERMS OF PAYMENT
Invoices: To receive payment under this Agreement, Consultant shall prepare and
submit detailed progress invoices to City, in accordance with the delineation contained herein,
for services rendered. Such invoices for professional services shall track the referenced scope of
services, 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 City. Such invoices shall conform to the schedule of services and
costs in connection therewith.
Should additional backup material be requested by City relative to service deliverables,
Consultant shall comply promptly. In this regard, should City determine it necessary,
Consultant shall make all records and books relating to this Agreement available to City for
inspection and auditing purposes.
Payment of Invoices: 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, City shall endeavor to pay
Consultant promptly, but no later than the time period required under the Texas Prompt Payment
Act. Under no circumstances shall Consultant be entitled to receive interest on payments which
are late because of a good faith dispute between Consultant and City or because of amounts
which City has a right to withhold under this Agreement or state law. City shall be responsible
for any sales, gross receipts or similar taxes applicable to the services, but not for taxes based on
Consultant's net income.
6.01 REQUIRED DRAFT REPORTS AND FINAL REPORT
Consultant agrees to provide City with draft reports and a detailed final written report,
together with all information gathered and materials developed during the course of the project.
Consultant agrees to provide City with additional bound copies of the final written report,
if and as requested, with the right to make additional copies being at the sole election of City.
All copies of the written final report will be to specifications as delineated by City.
7.01 LIMITATION TO SCOPE OF SERVICES
Consultant and City agree that the scope of services to be performed is enumerated in
Exhibit "A" and herein, and may not be changed without the express written agreement of the
parties. Notwithstanding anything herein to the contrary, the parties agree that City retains
absolute discretion and authority for all funding decisions, such to be based solely on criteria
accepted by City which may be influenced by but not be dependent on Consultant's work.
8.01 NON-APPROPRIATION AND FISCAL FUNDING
This Agreement is a commitment of City's current revenues only. It is understood and
agreed that City shall have the right to terminate this Agreement at the end of any City fiscal year
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if the governing body of City does not appropriate funds sufficient to purchase the services as
determined by City's budget for the fiscal year in question. City may affect such termination by
giving Consultant a written notice of termination at the end of its then-current fiscal year.
9.01 PROMPT PAYMENT POLICY
In accordance with Chapter 2251, V.T.C.A., Texas Government Code, any payment to be
made by City to Consultant will be made within thirty (30) days of the date City receives goods
under this Agreement, the date the performance of the services under this Agreement are
completed, or the date 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 City in the event:
A. There is a bona fide dispute between City and Consultant, a contractor,
subcontractor, or supplier about the goods delivered or the service performed that
causes 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 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 City from
making a timely payment with federal funds; or
D. The invoice is not mailed to City in strict accordance with any instruction on the
purchase order relating to the payment.
10.01 TERMINATION; DEFAULT
Termination: It is agreed and understood by Consultant that City may terminate this Agreement
for the convenience of 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 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 City upon
termination of this Agreement, and shall be promptly delivered to City in a reasonably organized
form without restriction on future use, subject to the conditions set forth herein. Should City
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 City
and the terminated party to fulfill contractual obligations. Termination under this section shall
not relieve the terminated party of any obligations or liabilities which occurred prior to
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termination.
Nothing contained in this section shall require 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 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 City, the cost to City of employing another firm to complete the
useable work, and other factors will affect the value to 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 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 INDEPENDENT CONTRACTOR STATUS
Consultant is an independent contractor, and is not City's employee. Consultant's
employees or subcontractors are not 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 City agree to the following rights
consistent with an independent contractor relationship:
(l) 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 City shall not hire, supervise, or pay assistants to help Consultant.
(5) Neither Consultant nor its employees or subcontractors shall receive training from
City in skills necessary to perform services required by this Agreement.
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(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 City.
12.01 NON-SOLICITATION
Except as may be otherwise agreed in writing, during the term of this Agreement and for
twelve (12) months thereafter, neither 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.
13.01 CITY'S RESPONSIBILITIES
Full information: City shall provide full information regarding project requirements.
City shall have the responsibility of providing Consultant with such documentation and
information as is reasonably required to enable Consultant to provide the services called for.
City shall require its employees and any third parties who are otherwise assisting, advising or
representing City to cooperate on a timely basis with Consultant in the provision of its services.
Consultant may rely upon written information provided by City and its employees and agents as
accurate and complete. Consultant may rely upon any written directives provided by City or its
designated representative concerning provision of services as accurate and complete.
Required materials: Consultant's performance requires receipt of all requested
information reasonably necessary to provision of services. Consultant agrees to provide City
with a comprehensive and detailed information request list, if any, by the date set forth in the
Auditing Services Proposal (Exhibit"A").
14.01 CONFIDENTIALITY; AND MATERIALS OWNERSHIP
Any and all programs, data, or other materials furnished by 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 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 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. 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.
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.
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 party'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, City will own as its sole
property all written materials created, developed, gathered, or originally prepared expressly for
City and delivered to 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 the Deliverables). Consultant's working papers and
Consultant's Confidential Information (as described herein) shall belong exclusively to
Consultant. City shall have a non-exclusive, non-transferable license to use Consultant's
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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.
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 not in compliance
with this representation.
16.01 LIMITATION OF LIABILITY
Should any of Consultant's services not conform to the requirements of City or of this
Agreement, then and in that event City shall give written notification to Consultant; thereafter,
(a) Consultant shall either promptly re-perform such services to 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 City, its directors, employees or agents.
In no event shall Consultant be liable to 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 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.
17.01 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.
18.01 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. 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
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(3) Withhold state or federal income tax from any of Consultant's payments.
If requested, City shall provide Consultant with a certificate from the Texas State
Comptroller indicating that City is a non-profit corporation and not subject to State of Texas
Sales and Use Tax.
19.01 INSURANCE
Consultant shall meet all City of Round Rock Insurance Requirements as required by the
City's Purchasing Department as set forth at: https://www.roundrocktexas. og v/wp-
content/uploads/2014/12/Insurance-Requirements-2.pdf.
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,
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 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(s) authorized to act in its behalf
with regard to this Agreement:
City Manager
City of Round Rock
221 East Main Street
Round Rock, Texas 78664
Consultant hereby designates the following representative authorized to act in its behalf
with regard to this Agreement:
Guadalupe R. Garcia, CPA—Audit Partner
Whitley Penn, LLP
1609 Shoal Creek Boulevard, Suite 300
Austin, Texas 78701
Lupe.Garcia c(e,whitleypenn.com
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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:
Whitley Penn, LLP
1609 Shoal Creek Boulevard, Suite 300
Austin, Texas 78701
Notice to City:
City Manager, City of Round Rock
221 East Main Street
Round Rock, TX 78664
AND TO:
Stephan L. Sheets, City Attorney
309 East Main Street
Round Rock, TX 78664
Nothing contained in this section shall be construed to restrict the transmission of routine
communications between representatives of 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.
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26.01 DISPUTE RESOLUTION
If a dispute arises under this Agreement, the parties agree to first try to resolve the
dispute with the help of a mutually selected mediator. If the parties cannot agree on a mediator,
City shall select one mediator and Consultant shall select one mediator and those two mediators
shall agree upon a third mediator. Any costs and fees, other than attorney fees, associated with
the mediation shall be shared equally by the parties.
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 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.
Consultant shall not be deemed to be in default of its obligations to City if its failure to
perform or its substantial delay in performance is due to City's failure to timely provide
requested information, data, documentation, or other material necessary for Consultant to
perform its obligations hereunder.
28.01 SEVERABILITY
The invalidity, illegality, or unenforceability of any provision of this Agreement or the
occurrence of any event rendering any portion of provision of this Agreement void shall in no
way affect the validity or enforceability of any other portion or provision of this Agreement. Any
void provision shall be deemed severed from this Agreement, and the balance of this Agreement
shall be construed and enforced as if this Agreement did not contain the particular portion of
provision held to be void. The parties further agree to amend this Agreement to replace any
stricken provision with a valid provision that comes as close as possible to the intent of the
stricken provision. The provisions of this section shall not prevent this entire Agreement from
being void should a provision which is of the essence of this Agreement be determined void.
29.01 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 City and according to generally accepted business
practices.
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30.01 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.
31.01 RIGHT TO ASSURANCE
Whenever either party to this Agreement, in good faith, has reason to question the other
party's intent to perform hereunder, then demand may be made to the other party for written
assurance of the intent to perform. In the event that no written assurance is given within the
reasonable time specified when demand is made, then and in that event the demanding party may
treat such failure as an anticipatory repudiation of this Agreement.
32.01 COMPLIANCE WITH LAWS, CHARTER AND ORDINANCES
Consultant, its 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.
33.01 GENERAL AND MISCELLANEOUS
The section numbers and headings contained herein are provided for convenience only
and shall have no substantive effect on construction of this Agreement.
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.
This Agreement may be executed in multiple counterparts, any one of which shall be
considered an original of this document; and all of which, when taken together, shall constitute
one and the same instrument. City agrees to provide Consultant with one fully executed original.
[Signatures on the following page.]
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IN WITNESS WHEREOF, City and Consultant have executed this Agreement on the
dates indicated.
Whitley Penn, LLP
By: .
Printed Name: �,j
Title: w r ,.t
Date Signed:
City of Round Rock, Texas
By: 0M
Printed Name:
Title: 1A M
Date Signed:
For City,Attest:
By: (4/� �k�
Sara L. White, City Clerk
For Cit4Stepha
Aoved as to Form:
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Sheets, City Attorney
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■■ Austin Office
w h i t l e y p e n n® 1609 Shoal Creek Boulevard
Suite 301
Austin,Texas 78701
512.478.7165 Main
whitleypenn.com
April 24,2017
To the Honorable Mayor,Members of the
City Council and the City Manager
221 East Main Street
Round Rock,Texas 78664
You have requested that we audit the financial statements of the governmental activities,the business-type
activities, each major fund, and the aggregate remaining fund information of City of Round Rock, Texas
(the "City"), as of September 30, 2017, and for the year then ended, and the related notes to the financial
statements, which collectively comprise the City's basic financial statements as listed in the table of
contents.In addition,we will audit the City's compliance over major federal award programs for the period
ended September 30,2017. We are pleased to confirm our acceptance and our understanding of this audit
engagement by means of this letter. Our audits will be conducted with the objectives of our expressing an
opinion on each opinion unit and an opinion on compliance regarding the City's major federal award
programs.
Accounting principles generally accepted in the United States of America require that management's
discussion and analysis and budgetary comparison information be presented to supplement the basic
financial statements. Such information,although not a part of the basic financial statements,is required the
Governmental Accounting Standards Board,who considers it to be an essential part of financial reporting
for placing the basic financial statements in an appropriate operational, economic,or historical context.As
part of our engagement,we will apply certain limited procedures to the required supplementary information
(RSI) in accordance with auditing standards generally accepted in the United States of America. These
limited procedures will consist primarily of inquiries of management regarding their methods of
measurement and presentation, and comparing the information for consistency with management's
responses to our inquiries. We will not express an opinion or provide any form of assurance on the RSI.
The following RSI is required by accounting principles generally accepted in the United States of America.
This RSI will be subjected to certain limited procedures but will not be audited:
1) Management's Discussion and Analysis
2) Schedule of Funding Progress
3) Schedule of Changes in the Net Position Liability and Related Ratios
4) Schedule of Contributions
Supplementary information other than RSI will accompany the City's basic financial statements. We will
subject the following supplementary information to the auditing procedures applied in our audit of the basic
financial statements and certain additional procedures, including comparing and reconciling the
supplementary information to the underlying accounting and other records used to prepare the financial
statements or to the financial statements themselves,and additional procedures in accordance with auditing
standards generally accepted in the United States of America. We intend to provide an opinion on the
following supplementary information in relation to the financial statements as a whole:
1) Combining and Individual Fund Statements and Schedules
A member of
Nexia
International Austin Dallas Fort Worth Houston
To the Honorable Mayor,Members of the
City Council and the City Manager
April 24,2017
Page 2
Schedule of Expenditures of Federal Awards
We will subject the schedule of expenditures of federal awards to the auditing procedures applied in our
audit of the basic financial statements and certain additional procedures, including comparing and
reconciling the schedule to the underlying accounting and other records used to prepare the financial
statements or to the financial statements themselves,and additional procedures in accordance with auditing
standards generally accepted in the United States of America. We intend to provide an opinion on whether
the schedule of expenditures of federal awards is presented fairly in all material respects in relation to the
financial statements as a whole.
Also,the document we submit to you will include the following other additional information that will not
be subjected to the auditing procedures applied in our audit of the financial statements:
1) Introductory Section
2) Statistical Section
Data Collection Form
Prior to the completion of our engagement,we will complete the sections of the Data Collection Form that
are our responsibility. The form will summarize our audit findings, amounts and conclusions. It is
management's responsibility to submit a reporting package including financial statements, schedule of
expenditure of federal awards, summary schedule of prior audit findings and corrective action plan along
with the Data Collection Form to the federal audit clearinghouse. The financial reporting package must be
text searchable, unencrypted, and unlocked. Otherwise,the reporting package will not be accepted by the
federal audit clearinghouse. We will assist you in the electronic submission and certification. You may
request from us copies of our report for you to include with the reporting package submitted to pass-through
entities.
The Data Collection Form is required to be submitted within the earlier of 30 days after receipt of our
auditors' reports or nine months after the end of the audit period, unless specifically waived by a federal
cognizant or oversight agency for audits. Data Collection Forms submitted untimely are one of the factors
in assessing programs at a higher risk.
Audit of the Financial Statements
We will conduct our audit in accordance with auditing standards generally accepted in the United States of
America (U.S. GAAS), the standards applicable to financial audits contained in Government Auditing
Standards, issued by the Comptroller General of the United States of America; the audit requirements of
Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Those standards and the
Uniform Guidance require that we plan and perform the audit to obtain reasonable assurance about whether
the basic financial statements are free from material misstatement.An audit involves performing procedures
to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures
selected depend on the auditor's judgment, including the assessment of the risks of material misstatement
of the financial statements,whether due to error,fraudulent financial reporting,misappropriation of assets,
or violations of laws, governmental regulations,grant agreements,or contractual agreements.
To the Honorable Mayor,Members of the
City Council and the City Manager
April 24,2017
Page 3
An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness
of significant accounting estimates made by management, as well as evaluating the overall presentation of
the financial statements.If appropriate,our procedures will therefore include tests of documentary evidence
that support the transactions recorded in the accounts, tests of the physical existence of inventories, and
direct confirmation of cash, investments, and certain other assets and liabilities by correspondence with
creditors and financial institutions. As part of our audit process, we will request written representations
from your attorneys, and they may bill you for responding. At the conclusion of our audit, we will also
request certain written representations from you about the financial statements and related matters.
Because of the inherent limitations of an audit,together with the inherent limitations of internal control,an
unavoidable risk that some material misstatements or noncompliance(whether caused by errors,fraudulent
financial reporting, misappropriation of assets, detected abuse, or violations of laws or governmental
regulations) may not be detected exists, even though the audit is properly planned and performed in
accordance with U.S.GAAS and Government Auditing Standards of the Comptroller General of the United
States of America. Please note that the determination of abuse is subjective and Government Auditing
Standards does not require auditors to detect abuse.
In making our risk assessments, we consider internal control relevant to the City's preparation and fair
presentation of the financial statements in order to design audit procedures that are appropriate in the
circumstances, but not for the purpose of expressing an opinion on the effectiveness of the City's internal
control. However, we will communicate to you in writing concerning any significant deficiencies or
material weaknesses in internal control relevant to the audit of the financial statements that we have
identified during the audit. Our responsibility as auditors is,of course, limited to the period covered by our
audit and does not extend to any other periods.
We will issue a written report upon completion of our audit of the City's basic financial statements. Our
report will be addressed to the governing body of the City. We cannot provide assurance that unmodified
opinions will be expressed.Circumstances may arise in which it is necessary for us to modify our opinions,
add an emphasis-of-matter or other-matter paragraph(s), or withdraw from the engagement.
In accordance with the requirements of Government Auditing Standards,we will also issue a written report
describing the scope of our testing over internal control over financial reporting and over compliance with
laws, regulations, and provisions of grants and contracts, including the results of that testing. However,
providing an opinion on internal control and compliance over financial reporting will not be an objective
of the audit and,therefore,no such opinion will be expressed.
Audit of Major Program Compliance
Our audit of the City's major federal award programs compliance will be conducted in accordance with the
requirements of the Single Audit Act, as amended; and the Uniform Guidance, and will include tests of
accounting records,a determination of major programs in accordance with the Uniform Guidance and other
procedures we consider necessary to enable us to express such an opinion on major federal award program
compliance and to render the required reports. We cannot provide assurance that an unmodified opinion on
compliance will be expressed.Circumstances may arise in which it is necessary for us to modify our opinion
or withdraw from the engagement.
To the Honorable Mayor,Members of the
City Council and the City Manager
April 24,2017
Page 4
The Uniform Guidance requires that we also plan and perform the audit to obtain reasonable assurance
about whether the City has complied with applicable laws and regulations and the provisions of contracts
and grant agreements applicable to major federal award programs. Our procedures will consist of
determining major federal programs and performing the applicable procedures described in the U.S.Office
of Management and Budget OMB Compliance Supplement for the types of compliance requirements that
could have a direct and material effect on each of the City's major programs. The purpose of those
procedures will be to express an opinion on the City's compliance with requirements applicable to each of
its major programs in our report on compliance issued pursuant to the Uniform Guidance.
Also, as required by the Uniform Guidance,we will perform tests of controls to evaluate the effectiveness
of the design and operation of controls that we consider relevant to preventing or detecting material
noncompliance with compliance requirements applicable to each of the City's major federal award
programs. However, our tests will be less in scope than would be necessary to render an opinion on these
controls and,accordingly,no opinion will be expressed in our report.
We will issue a report on compliance that will include an opinion or disclaimer of opinion regarding the
City's major federal award programs,and a report on internal controls over compliance that will report any
significant deficiencies and material weaknesses identified; however, such report will not express an
opinion on internal control.
Management's Responsibilities
Our audit will be conducted on the basis that management and, when appropriate, those charged with
governance acknowledge and understand that they have responsibility:
1. For the preparation and fair presentation of the financial statements in accordance with accounting
principles generally accepted in the United States of America;
2. For the design,implementation,and maintenance of internal control relevant to the preparation and
fair presentation of financial statements that are free from material misstatement, whether due to
error fraudulent financial reporting,misappropriation of assets,or violations of laws,governmental
regulations,grant agreements,or contractual agreements;
3. For safeguarding assets;
4. For identifying all federal awards expended during the period including federal awards and funding
increments received prior to December 26, 2014, and those received in accordance with the
Uniform Guidance generally received after December 26,2014;
5. For preparing the schedule of expenses of federal awards (including notes and noncash assistance
received)in accordance with the Uniform Guidance requirements;
6. For the design,implementation, and maintenance of internal control over compliance;
7. For identifying and ensuring that the City complies with laws, regulations, grants, and contracts
applicable to its activities and its federal award programs and implementing systems designed to
achieve compliance with applicable laws,regulations,grants,and contracts applicable to activities
and its federal award programs;
8. For identifying and providing report copies of previous audits, attestation engagements, or other
studies that directly relate to the objectives of the audit,including whether related recommendations
have been implemented;
To the Honorable Mayor,Members of the
City Council and the City Manager
April 24,2017
Page 5
9. For addressing the findings and recommendations of auditors, for establishing and maintaining a
process to track the status of such findings and recommendations and taking corrective action on
reported audit findings from prior periods and preparing a summary schedule of prior audit
findings;
10. For following up and taking corrective action on current year audit findings and preparing a
corrective action plan for such findings;
11. For submitting the reporting package and data collection form to the appropriate parties;
12. For making the auditor aware of any significant vendor/contractor relationships where the vendor
/contractor is responsible for program compliance;
13. To provide us with:
a. Access to all information of which management is aware that is relevant to the preparation and
fair presentation of the financial statements, and relevant to federal award programs, such as
records, documentation,and other matters;
b. Additional information that we may request from management for the purpose of the audit;and
c. Unrestricted access to persons within the City from whom we determine it necessary to obtain
audit evidence.
14. For adjusting the financial statements to correct material misstatements and confirming to us in the
management representation letter that the effects of any uncorrected misstatements aggregated by
us during the current engagement and pertaining to the current year period under audit are
immaterial,both individually and in the aggregate,to the financial statements as a whole;
15. For maintaining adequate records,selecting and applying accounting principles, and safeguarding
assets;and
16. For confirming your understanding of your responsibilities as defined in this letter to us in your
management representation letter.
With regard to the supplementary information referred to above, you acknowledge and understand your
responsibility (a) for the preparation of the supplementary information in accordance with the applicable
criteria,(b)to provide us with the appropriate written representations regarding supplementary information,
(c)to include our report on the supplementary information in any document that contains the supplementary
information and that indicates that we have reported on such supplementary information,and(d)to present
the supplementary information with the audited financial statements, or if the supplementary information
will not be presented with the audited financial statements,to make the audited financial statements readily
available to the intended users of the supplementary information no later than the date of issuance by you
of the supplementary information and our report thereon.
As part of our audit process,we will request from management and,when appropriate,those charged with
governance,written confirmation concerning representations made to us in connection with the audit.
We understand that your employees will prepare all confirmations we request and will locate any documents
or invoices selected by us for testing.
If you intend to publish or otherwise reproduce the financial statements and make reference to our firm,
you agree to provide us with printers' proofs or masters for our review and approval before printing. You
also agree to provide us with a copy of the final reproduced material for our approval before it is distributed.
To the Honorable Mayor,Members of the
City Council and the City Manager
April 24,2017
Page 6
Fees and Timing
The timing of our audit will be scheduled for performance and completion as follows:
Document internal control and preliminary tests July/August 2017
September 30,2017 or
Inventory Observation(for material balances) agreed upon date
Perform year-end audit procedures November 2017
Issue audit reports February 2018
Guadalupe R. Garcia is the engagement partner for the audit services specified in this letter. His
responsibilities include supervising Whitley Penn, LLP's services performed as part of this engagement
and signing or authorizing another qualified firm representative to sign the audit report.
Our fee for the audit services will be based on the amount of time required and the difficulty of the work
involved which we estimate to be$98,925.The fee estimate for the audit is based on anticipated cooperation
from the City's personnel and the assumption that unexpected circumstances will not be encountered during
the audit. If significant additional time is necessary, we will keep you informed of any problems we
encounter and our fees will be adjusted accordingly.
Our invoices for these fees will be rendered each month as work progresses and are payable on presentation
and payment is due in Williamson County. You agree to pay reasonable attorney fees and collection costs
incurred relating to collection of fees for services performed under the terms of this engagement. In
accordance with Whitley Penn, LLP policy, work may be suspended if your account becomes 30 days or
more past due and will not resume until your account is paid in full.In addition,invoices not paid in full by
the last day of the month will be assessed interest at a rate of one percent per month.If we elect to terminate
our services for nonpayment, our engagement will be deemed to have been complete even if we have not
issued our report.You will be obligated to compensate us for all time expended and to reimburse us for all
out-of-pocket expenditures through the date of termination.Our final auditors' report will be released upon
final payment of any outstanding invoices.
You may request that we perform additional services not addressed in this engagement letter. If this occurs,
we will communicate with you concerning the scope of the additional services and the estimated fees. We
also may issue a separate engagement letter covering the additional services. In the absence of any other
written communication from us documenting such additional services, our services will continue to be
governed by the terms of this engagement letter.
We would like to make the following comments regarding the fee estimates:
1) Our fee estimates have not considered the effects of any changes to auditing standards and
accounting principles,which may be promulgated by the AICPA,Congress,or any other regulatory
body in the future and are unknown to us at this time. If significant additional time is necessary
resulting in increased fees, we will endeavor to notify you of any such circumstances as they are
assessed.
To the Honorable Mayor,Members of the
City Council and the City Manager
April 24,2017
Page 7
2) The City's personnel are responsible for the preparation of all items requested in the Prepared by
Client("PBC")listing and received by the date requested. Any delays caused by not preparing the
items when requested may result in additional fees, as well as the possibility of postponing our
fieldwork. The PBC listing will be provided to you during the planning process of the engagement.
3) Time incurred for audit adjustments identified during our audit and the related additional testing
required has not been considered in our fee estimates. Prior to performing any additional testing,
we will notify you of the exceptions and obtain approval for any additional fees which may be
incurred.
4) Our fee estimates are based on all general ledger sub ledgers being reconciled to the general ledger
balance and any adjustment necessary should be recorded to the general ledger prior to our
fieldwork start date.
The ethics of our profession prohibit the rendering of professional services where the fee for such services
is contingent, or has the appearance of being contingent, upon the results of such services.Accordingly, it
is important that our bills be paid promptly when received. If a situation arises in which it may appear that
our independence would be questioned because of significant unpaid bills, we may be prohibited from
issuing our auditors' report.
In the unlikely event that differences concerning our services or fees should arise that are not resolved by
mutual agreement,to facilitate judicial resolution and save time and expense of both parties,the City and
Whitley Penn, LLP agree not to demand a trial by jury in any action, proceeding or counterclaim arising
out of or relating to our services and fees for this engagement.Any controversy,dispute,or questions arising
out of or in connection with this agreement or our engagement shall be determined by arbitration conducted
in accordance with the rules of the American Arbitration Association, and any decision rendered by the
American Arbitration Association shall be binding on both parties to this agreement. The costs of any
arbitration shall be borne equally by the parties. Any and all claims relating to or arising out of this
contract/agreement shall be governed by the laws of Texas and any dispute shall be finally resolved by the
Texas courts in Williamson County.
This letter replaces and supersedes any previous proposals, correspondence and understanding, whether
written or oral. The agreements contained in this engagement letter shall survive the completion or
termination of this engagement.
The audit documentation for this engagement is the property of Whitley Penn, LLP and constitutes
confidential information.However,we may be requested to make certain audit documentation available to
various regulators pursuant to authority given to it by law or regulation,or to peer reviewers. If requested,
access to such audit documentation will be provided under the supervision Whitley Penn,LLP's personnel.
Furthermore, upon request, we may provide copies of selected audit documentation to the applicable
regulator. The regulator may intend, or decide,to distribute the copies of information contained therein to
others, including other governmental agencies.
To ensure that Whitley Penn,LLP's independence is not impaired under the AICPA Code of Professional
Conduct, you agree to inform the engagement partner before entering into any substantive employment
discussions with any of our personnel.
To the Honorable Mayor, Members of the
City Council and the City Manager
April 24, 2017
Page 8
Other Matters
During the course of the engagement, we may communicate with you or your personnel via fax or e-mail,
and you should be aware that communication in those mediums contains a risk of misdirected or intercepted
communications.
The audit documentation for this engagement is the property of Whitley Penn, LLP and constitutes
confidential information. However, we may be requested to make certain audit documentation available to
your pass-through regulatory entity and federal agencies and the U.S. Government Accountability Office
pursuant to authority given to it by law or regulation,or to peer reviewers. If requested,access to such audit
documentation will be provided under the supervision Whitley Penn, LLP's personnel. Furthermore, upon
request, we may provide copies of selected audit documentation to these agencies and regulators. The
regulators and agencies may intend, or decide,to distribute the copies of information contained therein to
others, including other governmental agencies. We agree to retain our audit documentation or work papers
for a period of at least five years from the date of our report.
Further, we will be available during the year to consult with you on financial management and accounting
matters of a routine nature.
During the course of the audit, we may observe opportunities for economy in, or improved controls over,
your operations. We will bring such matters to the attention of the appropriate level of management,either
orally or in writing.
You agree to inform us of facts that may affect the financial statements of which you may become aware
during the period from the date of the auditor's report to the date the financial statements are issued.
At the conclusion of our audit engagement,we will communicate to the Honorable Mayor and Members of
City Council the following significant findings from the audit:
• Our view about the qualitative aspects of the City's significant accounting practices;
• Significant difficulties, if any, encountered during the audit;
• Uncorrected misstatements,other than those we believe are trivial, if any;
• Disagreements with management, if any;
• Other findings or issues, if any, arising from the audit that are, in our professional judgment,
significant and relevant to those charged with governance regarding their oversight of the financial
reporting process;
• Material, corrected misstatements that were brought to the attention of management as a result of
our audit procedures;
• Representations we requested from management;
• Management's consultations with other accountants, if any; and
• Significant issues, if any, arising from the audit that were discussed, or the subject of
correspondence,with management.
In accordance with the requirements of Government Auditing Standards, we have attached a copy of our
latest external peer review report of our firm for your consideration and files.
To the Honorable Mayor, Members of the
City Council and the City Manager
April 24,2017
Page 9
Please sign and return the attached copy of this letter to indicate your acknowledgment of,and agreement
with,the arrangements for our audit of the financial statements compliance over major federal award
programs including our respective responsibilities.
We appreciate the opportunity to be your financial statement auditors and look forward to working with
you and your staff.
Respectfully,
RESPONSE:
This letter correctly sets forth our understanding.
Acknowledged and agreed on behalf of City of Round Rock,Texas by:
Name: /�' M
Title: 0 h a-/
Date:
Name:
Title:
Date: I I
To the Honorable Mayor, Members of the
City Council and the City Manager
April 24, 2017
Page 10
OLSEN T'HIELEN & Co. , LTD.
e'er f:itred?ublzc Accu unfan is&Co n:ulfunts
SYSTEM REVIEW REPORT
June 25,2015
To the Partners of Whitley Penn LLP and the
National Peer Review Committer of the AICPA
We have reviewed the system of quality control for the accounting and auditing practice of Whitley
Penn LLP (the Firm) applicable to engagements not subject to PCAOB permanent inspection in
effect for the year ended April 30, 2015_ Our peer review was conducted in accordance with the
Standards for Performing and Reporting on Peer Reviews established by the Peer Review Board of
the American Institute of Certified Public Accountants. As part of our peer review,we considered
reviews by regulatory entities,if applicable,in determining the nature and extent of our procedures_
The Firm is responsible for designing a system of quality controt and complying with it to provide the
Firm with reasonable assurance of performing and reporting in conformity with applicable
professional standards in all materiat respects. Our responsibility is to express an opinion on the
design of the system of quality control and the F'irm's compliance therewith based on our review.
The nature.,obfectives,scope.limitations of,and the procedures performed in a System Review are
described in the standards at www.aicpa.org/prsummary.
As required by the standards,engagements selected for review included engagements perfomied
under Government Auditing Standards, audits of employee benefit plans,audits performed under
FOICIA, audits of carrying broker-dealers, and examinations of service organizations (Service
Organization Control(SOC)7 engagements)_
fn our opinion,the system)of quality control for the accounting and auditing practice of Whitley Penn
LLP applicable to engagements not subject to PCAOB permanent inspection in effect for the year
ended April 30, 2015. has been suitably designed and complied with to provide the Firm with
reasonable assurance of performing and reporting in conformity with applicable professional
standards in all material respects. Firms can receive a rating of pass,pass with defciency(ies)or
far.. Whitley Penn LLP has received a peer review rating of pass.
Ofsen Thielen&Co.,Ltd. O �
Facl Office 1 d675 Lang 1 akt Road 1 Sc NO,4SN:S;13 1117-1 451 483 c511 1 451 -95 246:FAX
tip.ri ;,ole i lifer I SOO 1'm— D.,S:t�1001 5l vinca yn lr s.UN 5 i;4t.!90A 1 7'i.`-9t7-91A::1 y`-,-P1E-0!?'7 FAX
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. 2017-189497
Whitley Penn,LLP
Austin,TX United States Date Filed:
2 Name of governmental entity or state agency that is a party to the contract for which the form is 04/07/2017
being filed.
City of Round Rock,Texas Date Acknowledged:
3 Provide the identification number used by the governmental entity or state agency to track or identify the contract,and provide a
description of the services,goods,or other property to be provided under the contract.
RFP No.17-007
Audit Services
Nature of interest
4 Name of Interested Party City,State,Country(place of business) (check applicable)
Controlling I Intermediary
5 Check only if there is NO Interested Party. ❑
X
6 AFFIDAVIT I swear,or affirm,under penalty of perjury,that the above disclosure is true and correct.
DENA H. PERRY
zx°' �cNotary Public,StateTexas
Comm.Expires 07-011-2020
Notary ID 130726143 —
Signature of authorized agent of contracting business entity
AFFIX NOTARY STAMP/SEAL ABOVE (� \
Sworn to and subscribed before me,by the said=lV�\ `� t this the day of
20 ,to certify which,witness my hand and seal of office.
�� �ena \-\tet QCT 1C2C,w -SA C.v3-•
Signature of officer administe i g oath Printed name of officer admi istering oath Title of officer administering oath
Forms provided by Texas Ethics Commission www.ethics.state.tx.us Version V1.0.883
CERTIFICATE OF INTERESTED PARTIES
FORM 1295
lofl
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. 2017-189497
Whitley Penn, LLP
Austin,TX United States Date Filed:
2 Name of governmental entity or state agency that is a party to the contract for which the form is 04/07/2017
being filed.
City of Round Rock,Texas Date Acknowledged:
04/11/2017
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.
RFP No. 17-007
Audit Services
Nature of interest
4
Name of Interested Party City,State,Country(place of business) (check applicable)
Controlling I Intermediary
5 Check only if there is NO Interested Party.
X
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 V1.0.883