2-RFQ 25-063 Arbitrage Rebate Yield Restriction Services Special Provisions.pdf

RFQ #25-063

Submission Deadline / RFQ Opening: 09/26/2025

Time: 2:30 PM CST

SPECIAL PROVISIONS

REQUEST FOR QUALIFICATIONS

ARBITRAGE REBATE & YIELD RESTRICTION SERVICES

GALVESTON COUNTY, TEXAS

Table of Contents

A. PURPOSE

B. EXCEPTIONS TO QUALIFICATION CONDITIONS

C. PROCUREMENT TIMELINE

D. SUBMISSION INSTRUCTIONS

E. BID SURETY

F. PERFORMANCE AND PAYMENT BONDS

G. BEST AND FINAL OFFERS (BAFO)

H. DAVIS-BACON WAGE RATES

I. PERSONNEL TO CONTACT

J. PROGRAM ADMINISTRATION & CONTRACT MANAGEMENT

K. REQUIREMENT OF RESPONSES

L. INSURANCE

M. SCOPE OF WORK / SERVICES

N. INVOICES

O. EVALUATION AND SELECTION PROCESS

P. REQUIRED DOCUMENTS CHECKLIST

The Special Provisions and the General Provisions of this Request for Qualification and the Exhibits attached hereto are made a part of this agreement between the Parties. In the event of a conflict between the General Provisions and the Special Provisions, the terms of the Special Provisions shall control.

****The Galveston County Purchasing Department utilizes Bonfire Interactive to distribute and receive bids and proposals in an electronic format via an online portal. Potential Bidders must register through the online portal to participate electronically.

“Walk-in” or “mailed-in” proposal submittals are still allowed, however, Bidders are strongly encouraged to submit their proposals online via Galveston County’s e-Procurement Portal located at https://galvestoncountytx.bonfirehub.com/ Please see Item D, SUBMISSION INSTRUCTIONS, for further details.

A. PURPOSE

The County of Galveston is soliciting sealed Statements of Qualifications from experienced firms for the preparation of arbitrage rebate calculation reports, yield restriction reports, and other such related arbitrage compliance requirements for all tax-exempt issues of Galveston County. The successful firm will have the responsibility of managing the work as described in the Scope of Work/Service section of this solicitation.

B. EXCEPTIONS TO QUALIFICATION CONDITIONS

The Respondent will list on a separate sheet of paper any exceptions to the conditions of this request for Proposal.

This sheet will be labeled, “Exceptions to Qualification Conditions”, and will be attached to the response.

If no exceptions are stated, it will be understood that all general and special conditions will be complied with, without exception.

The Respondent must specify in its response any alternatives it wishes to propose for consideration by the County. Each alternative should be sufficiently described and labeled within the response and should indicate its possible or actual advantage to the program being offered.

The County reserves the right to offer these alternatives to other Respondents.

C. PROCUREMENT TIMELINE

A timeline for this solicitation and initial process is included below. Galveston County reserves the right to change these dates and will notify Respondents of any changes:

Advertise Solicitation (first date of publication) Thursday, August 28, 2025 Advertise Solicitation (second date of publication) Thursday, September 04, 2025 Deadline for Questions & Inquiries Friday, September 12, 2025, by 5:00 PM CST Submission Deadline / RFQ Opening Friday, September 26, 2025, at 2:30 PM CST

Virtual Bid Opening:

Interested parties can attend the Friday, September 26, 2025, 2:30 PM CST bid opening virtually. Instructions are listed below:

Join from the meeting link https://galvestoncountytx.webex.com/galvestoncountytx/j.php?MTID=mf3555d02a001047baca08915aad0c5c1 https://galvestoncountytx.bonfirehub.com/ https://galvestoncountytx.webex.com/galvestoncountytx/j.php?MTID=mf3555d02a001047baca08915aad0c5c1

Join by meeting number Meeting number (access code): 2493 553 3671 Meeting password: 25-063 (250063 when dialing from a video system)

Tap to join from a mobile device (attendees only) +1-415-655-0001,,24935533671## US Toll

Join by phone +1-415-655-0001 US Toll Global call-in numbers

Join from a video system or application Dial 24935533671@galvestoncountytx.webex.com You can also dial 173.243.2.68 and enter your meeting number.

D. SUBMISSION INSTRUCTIONS

Galveston County Purchasing Department utilizes Bonfire Interactive to distribute and receive bids and proposals in an electronic format via an online portal. Potential Bidders must register through the online portal to participate electronically. “Walk-in” or “mailed-in” (see instructions below) proposal submittals are still allowed, however, Bidders are strongly encouraged to submit their proposals online via Galveston County’s e- Procurement Portal located at https://galvestoncountytx.bonfirehub.com/

Registration is currently open and free to the public. Once registered, suppliers will receive automatic email notifications of project opportunities based on the NIGP commodity codes selected by the vendor. Potential Bidders should visit the link below and click on the New Vendor Registration tab to register your business:

https://vendorsupport.gobonfire.com/hc/en-us/articles/15646869029783-Vendor-Registration

There is no cost to register as a vendor.

INSTRUCTIONS FOR “WALK-IN” SUBMITTALS ONLY

IF “WALKING IN” Submittals, one (1) unbound original proposal, two (2) proposal copies, must be submitted no later than 2:30 PM CST, on Friday, September 26, 2025:

Veronica Van Horn Interim Purchasing Agent

County of Galveston 722 Moody Avenue (21st Street), Fifth (5th) Floor

Galveston, TX 77550

The timestamp clock located in the Purchasing Agent’s office shall serve as the official time-keeping piece for this solicitation process. Any proposals received after 2:30 PM CST on the specified date will be returned unopened.

Proposal Specifications can be obtained at the office of the Galveston County Purchasing Agent, located in the Galveston County Courthouse, 722 Moody, (21st Street), Floor 5, Purchasing, Galveston, Texas 77550, or by visiting the Galveston County website @ https://www.galvestoncountytx.gov/county-offices/purchasing

E. BID SURETY

A bid surety/bond is not a requirement of this solicitation.

https://galvestoncountytx.bonfirehub.com/ https://vendorsupport.gobonfire.com/hc/en-us/articles/15646869029783-Vendor-Registration

F. PERFORMANCE AND PAYMENT BONDS

Performance and Payment Bonds are not requirements of this solicitation.

G. BEST AND FINAL OFFERS (BAFO)

The Best and Final Offer process is not applicable to this solicitation.

H. DAVIS-BACON WAGE RATES

Davis-Bacon Wage Rates are not requirements of this solicitation.

I. PERSONNEL TO CONTACT

Respondents desiring an explanation or interpretation relative to this solicitation must request it in writing. Oral explanations or instructions will not be binding. Any information given to a Respondent, which in the opinion of the County affects all Respondents or would be prejudicial to other Respondents if not communicated, shall be furnished to all Respondents as an addendum to the solicitation. Respondents must direct all inquiries to the following:

Veronica Van Horn Interim Purchasing Agent

722 21st Street (Moody) Galveston, Texas 77550 e-mail: purchasing.bids@co.galveston.tx.us

Respondents must e-mail their requests (with the subject line “Arbitrage Rebate & Yield Restriction Services, RFQ #25-063 – Questions”, for additional information and/or clarification to the address listed above. The request must include the Responder’s name and the solicitation number and title.

Any request for additional information or clarification must be received in writing no later than ten (10) calendar days prior to the solicitation due date. Late requests or those not delivered to the proper address may not receive a reply. Respondents shall not attempt to contact the County by any other means. The Purchasing Agent shall post the answers on the County website from the procurement web page and via addendum.

The County will issue responses to inquiries and any other corrections or amendments, it deems necessary, in the form of a written addendum, issued prior to the solicitation Submission Deadline / Solicitation Opening date. The County, at its sole discretion, may not issue a response to an RFI submittal. Respondents should not rely on any oral or written representations, statements, or explanations, other than those made in this solicitation or in any written addendum to this solicitation. Where there appears to be conflict between the solicitation and any issued addenda, the last addendum issued will prevail.

Addenda will be posted and made available on the County’s procurement web page. It is the Responder’s sole responsibility to ensure receipt of all addenda prior to submitting its response. All Respondents should check the County’s procurement web page for all addenda prior to submitting a response.

The County’s procurement web page is located at http://www.galvestoncountytx.gov/county-offices/purchasing

The Respondent must acknowledge the receipt of all addenda on the forms provided. In the event a Responder fails to acknowledge receipt of such addenda, the County may, at its sole discretion, determines that such failure to acknowledge any or all addenda does not materially affect the solicitation and waive the acknowledgement of one or more addenda.

mailto:purchasing.bids@co.galveston.tx.us http://www.galvestoncountytx.gov/county-offices/purchasing

Respondents who submit inquiries after the deadline date for receipt of questions indicated on the Procurement Timeline, risk that its response in the procurement will not be responsive or competitive because the County is not able to respond before the solicitation receipt date or in sufficient time for the Responder to prepare a responsive or competitive submittal.

All questions and responses as posted on the County website pertaining to this solicitation are considered an addendum to, and part of, this solicitation. Each Responder shall be responsible to monitor the County website for new or revised solicitation information. The County shall not be bound by any verbal information, nor shall it be bound by any written information that is not either contained within the solicitation or formally issued as an addendum by the Purchasing Agent.

J. PROGRAM ADMINISTRATION & CONTRACT MANAGEMENT

The Program Administrator/Contract Manager that will manage the work to be performed under the resultant contract for the purpose of this solicitation is:

Sergio Cruz Chief Financial Officer

722 Moody, (21st St.), 3rd Floor Galveston, TX 77550

The Galveston County Commissioners’ Court, and/or authorized designees will be responsible for negotiating with the successful Vendor the scope of work, the standards of performance, the specific technology provided, and the support services required for the proposed projects. All contractual amendments will be processed in accordance with Galveston County Purchasing Policies. Amendments will also be brought to Galveston County Commissioners Court for approval as deemed necessary. The approval process serves to ensure the project technology and/or service is within the scope of the resultant contract, and that pricing meets the agreed upon pricing methodology as specified in the contract, and that funds are available.

K. REQUIREMENT OF RESPONSES

Respondent shall provide one (1) original and two (2) hard copies of its Statement of Qualifications to the Interim Purchasing Agent on or before the deadline specified herein. Font size is limited to no smaller than font size 11, except that organizational charts, other graphics, and footers may be as small as font size 9.

L. INSURANCE

Respondent must submit, with its response, a current certificate of insurance evidencing coverage in the amounts specified below or greater. In lieu of submitting a certificate of insurance, Respondents may submit a notarized statement from an insurance company authorized to conduct business in the State of Texas guaranteeing that Respondent has such insurance. Provided however, that successful Respondent(s) shall be required to provide a current certificate of insurance to the Galveston County Purchasing Agent’s Office before Respondent commences any work hereunder.

Insurance shall be placed with insurers having an A.M. Best’s rating of no less than A. Such insurance must be issued by a casualty company authorized to do business in the State of Texas, and in standard form approved by the Board of Insurance Commissioners of the State of Texas, with coverage provisions ensuring the public from loss or damage that may arise to any person or property by reason of services rendered by Contractor.

Galveston County shall be listed as an additional insured on each policy and all certificates of insurance and Contractor shall provide Galveston County with no less than thirty (30) calendar days prior notice of any changes to the policy during the contractual period.

Certificates of Insurance, fully executed by a licensed representative of the insurance company written or countersigned by an authorized Texas state agency, shall be filed with the County Purchasing Agent within ten (10) calendar days of the execution of this Agreement as written proof of such insurance and further provided that Contractor shall not commence work under this Agreement until Contractor has obtained all insurance required herein, provided written proof as required herein, and received written notice to proceed issued from the County Purchasing Agent. Failure to provide such evidence of insurance within the ten (10) calendar day period shall constitute an event of default.

Workers’ Compensation Insurance. Respondent shall carry in full force Workers’ Compensation Insurance Policy(ies), if there is more than one employee, for all its employees, including but not limited to full time, part time, and emergency employees employed by the Contractor.

Commercial General Liability. Respondent shall carry in full force commercial general liability insurance with a limit of not less than $1,000,000 each occurrence and $2,000,000 in the aggregate. The Policy shall, minimally, cover liability for bodily injury, personal injury, and property damage.

Business Automobile Liability. Respondent shall carry in full force business automobile liability coverage with a combined bodily injury/property damage limit of not less than $1,000,000 each accident. The policy shall cover liability arising from the operation of licensed vehicles by policyholder.

Subrogation Waiver. Contractor and Contractor’s insurance carrier shall waive any and all rights to subrogation against Galveston County in regard to any suit or claim arising out of personal injury or property damage resulting from Contractor’s performance under this Agreement.

M. SCOPE OF WORK / SERVICES

The successful firm shall submit within their statements, detailed information that the represented firm shall adhere to the following:

1. Verify the issue is subject to the Rebate Requirement.

2. Calculate the bond yield.

3. Prepares arbitrage rebate calculation reports, yield restriction reports and other such related arbitrage compliance requirements for all tax-exempt issues of the County.

4. Identify, and separately account for, all "Gross Proceeds" (as that term is defined in the Rebate

Requirement) of the bond issue, including those requiring allocation analyses due to "transferred proceeds" and/or "commingled funds" circumstances.

5. Calculate the issue's excess investment earnings (cumulative rebate liability), taking into account any proceeds that are or have become subject to the yield restriction requirements.

6. Provide an executive summary identifying the methodology employed, major assumptions, conclusions, and any recommendations for changes in County recordkeeping and investment policy.

7. Train County staff on arbitrage-related matters and discuss arbitrage issues and practices as the

County so requests.

8. Provide assistance and consultation as necessary to retain records and documentation at least six years after the issue's final maturity.

9. Provide a legal and CPA opinion that arbitrage calculation results are consistent with the Rebate Requirements or an explanation as to why such opinion is unnecessary.

10. Perform as needed all arbitrage rebate calculations through the term of the contract.

11. Perform all anniversary arbitrage rebate calculations through the term of the contract.

12. Provide the County electronic copies of all reports and appropriate documentation required to support calculations.

13. Prepare all filings required by the Internal Revenue Service necessary for the payments of arbitrage rebates or refunds.

14. Represent the County as necessary in the event of an IRS inquiry.

15. Ensure continuity of arbitrage compliance coverage for the County and minimize risk of missing

Department of United States Treasury, Internal Revenue Service filing deadlines.

16. Provide special reports for each applicable issue opining to the arbitrage rebate liability and/or yield restriction/reduction liability to the County for the applicable computation periods, as well as:

a. Review all applicable documents related to the debt issue to include the Official Statement, Tax

Certificate, IRS Forms and Verification Reports,

b. Complete and in-depth analysis of debt structure to determine the subjectivity to arbitrage rebate and yield restriction regulations,

c. Monitor IRS filing deadlines, election requirements and restricted periods,

d. Prepare specific and applicable IRS forms and schedules with filing instructions for accurate and timely filing to the IRS, if applicable,

e. Assist in the IRS record retention requirements, which include storage of records related to the debt issue.

N. INVOICES

Invoices must be itemized, indicating all services, materials, and supplies used. Invoices must be submitted to:

Galveston County Auditor’s Office Attn: Accounts Payable

P.O. Box 1418 Galveston, Texas 77553

Failure to submit invoices to the above address or failure to include the Purchase Order Number will result in delay in payment.

Contractor must accept purchase order numbers for specified supplies, equipment, and/or services. Contractor shall not perform any work or release any supplies and/or equipment to any authorized representative of the County of Galveston unless a valid purchase order number issued by the office of the Galveston County Purchasing Agent accompanies the order or if vendor can comply with the provision as stated in the General Provisions, page 5, item 13, Procurement Card Program.

Payment for any items issued without prior receipt of a valid purchase order number may become the sole responsibility of the successful contractor.

O. EVALUATION AND SELECTION PROCESS

An Evaluation Committee will review the submitted Statements of Qualification and may select a short list of firms to interview for the project. Respondents not selected for further consideration may be notified at the first opportunity.

Galveston County intends to award the contract to the qualified firm which best demonstrates the commitment and application of experience, resources, and methods to the unique objectives established by Galveston County. Written responses to this RFQ will be used to evaluate each firm’s or team’s qualifications, proposed team members, and the suitability of indicated approaches or plans for the requested service.

A short list of firms will be selected for possible oral interviews. Representatives of Galveston County, integrally involved in the process, will conduct both the initial screening and the oral interviews process if invoked.

If invoked, interviews with selected short-listed firms will be held in the Galveston County Purchasing Department Conference Bid Room located at the Galveston County Courthouse, 722 Moody Avenue (21st Street), Fifth (5th) Floor, Galveston, Texas 77550, at which time the selected firms will be asked to present their qualifications and introduce their prime team members. Selected firms will be notified in advance of interview times.

At each stage of the process, the County will consider any number of individual factors weighing on each firm’s or team’s qualifications.

The respondent's RFQ will be evaluated based primarily on the criteria presented below.

1. Qualification/Experience of Firm (0-40)

The responding firm should provide information on their proposed professional team members, i.e. applicable certifications/ registrations, and other pertinent information that demonstrates their qualifications to perform the contract.

The professional team members shall have experience in performing similar contracts for counties, cities, or other clients as requested within the Request for Qualifications (RFQ). The proposal shall identify the project team composition, project leadership, reporting responsibilities and address how sub-providers, if any, will fit into the management structure.

Résumés of the key technical staff members, limited to two (2) pages per person, must be included in an appendix, as well as narrative descriptions of projects proposed as similar work experience. Also, in this section, outline the firm's contingency plans for servicing the project in the event that one or more key personnel are not available for any reason during the period of performance. Similar experience gained through other clients should be substantiated by reference.

The provider shall designate experienced legal staff to perform the work completely and efficiently.

2. Firm’s Understanding of Project and Approach to Scope of Work / Service (0-35) The firm shall designate availability of specialized legal expertise related to arbitrage calculation services to or within the firm in order to perform the arbitrage services completely and efficiently. The designated individuals may not be replaced during the project unless approved by the County.

3. Firm’s References and Similar Engagements (0-25)

The firm should provide as much background information as to its experience in providing similar services to City, County, or any other governmental agencies. A list of, and scope of, similar projects for comparative purposes shall be included

By the submission of its Statement of Qualification (also called response) in this Request for Qualifications, the Respondent accepts the requirements, formatting, and evaluation process herein.

End of Special Provisions Section

P. REQUIRED DOCUMENTS CHECKLIST

By signing here, the firm does hereby attest that it has fully read the instructions, conditions, and general and special provisions and understands them. Proposer shall return this checklist with completed submittal.

THE COMPANY OF:

ADDRESS:

The following documents shall be returned or confirmed with an “X” with solicitation submittals. Failure to do so may be ample cause for rejection of submittal and deemed as non-responsive. It is the responsibility of the Bidder to ensure that Bidder has received all addenda.

Items: Confirmed (X):

1. Required Documents Checklist (this page)

2. Addenda Acknowledgement (if any) #1 #2 #3 #4

3. “Walked In” Submittals: One (1) original, and two (2) copies of submittal; Bonfire: One (1) submittal _______

4. ATTACHMENT A - Vendor Qualification Packet

5. ATTACHMENT B - Certification Reg. Debarment, Suspension, and Other Ineligibility _______

6. ATTACHMENT C - Certification Regarding Lobbying Form _______

7. ATTACHMENT D - Non-Collusion Affidavit _

8. ATTACHMENT E - Prohibition on Contracts with Companies Boycotting Israel _______

9. ATTACHMENT F - Prohibition on Contracts with Certain Companies _______

10. ATTACHMENT G - Information for Notice _______

Person to contact regarding this qualification:

Title: Phone: Fax:

E-mail address:

Name of person authorized to bind the Firm:

Signature: Date:

Title: Phone: Fax:

E-mail address:

County of Galveston

Purchasing Department Vendor Qualification Packet

(rev. 1.4, September 28, 2017)

All interested parties seeking consideration for qualified vendor status with the County of Galveston should complete and return only the following forms to:

Galveston County Purchasing Department 722 Moody Avenue, (21st Street), 5th Floor

Galveston, Texas 77550

(409) 770-5371 office

(409) 621-7987 fax

PEID Form: Person /Entity Information Data

W -9 Form: Request for Taxpayer Identification Number and Certification (please note that the included form may not be the latest revised form issued by the Internal Revenue Service. Please check the IRS website at http://www.irs.govlpublirs-rdflfw9.pdf for the latest revision of this form.)

CIQ Form: Conflict of Interest Questionnaire (please note that the included form may not be the latest revised form issued by the State of Texas Ethics Commission. Please check the Texas Ethics Commission website at http://www.ethics.state.tx.us/whatsnew/conflict_forms.htm for the latest revision of this form.

Please note that Galveston County Purchasing Agent is not responsible for the filing of this form with the Galveston County Clerk per instructions of the State of Texas Ethics Commission).

Debarment: CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED

DEBARMENT, AND OTHER RESPONSIBILITY MATTERS &

REQUIREMENT TO REGISTER IN SAM

Vendors/contractor certifies that neither it, nor any of its Principals, are presently debarred, suspended, proposed for debarment, disqualified, excluded, or in any way declared ineligible for the award of contracts by any Federal agency. Vendor agrees that it shall refund Galveston County for any payments made to Contractor while ineligible. Vendor acknowledges that Contractor's uncured failure to perform under any agreement with the County of Galveston, if such should occur, may result in Contractor being debarred from performing additional work for the County, the respecting State Agency administering the grant funding the contract, if applicable, the State, FEMA or HUD (as applicable), and other Federal and State entities.

Further, Vendor has executed the Certification Regarding Debarment, Suspension, Proposed Debarment, and Other Responsibility Matters and returned the fully completed and executed original certification with the submission of this Vendor Qualification Packet. The truthful and fully completed and executed original of the Certification Regarding Debarment, Suspension, Proposed Debarment, and Other Responsibility Matters must be included with the submission of this Vendor Qualification Packet and is a mandatory requirement to become a vendor of Galveston County. Vendor's failure to include the fully completed and executed original of this Certification shall be considered non-compliant with the requirements of this vendor qualification request and grounds for the rejection of vendor's request. Vendor shall immediately notify the County Purchasing Agent if it becomes debarred or suspended, placed on the Consolidated List of Debarred Contractors, or in any other way becomes ineligible for award of contract by any Federal agency. This Certification is a material fact relied upon by Galveston County; if it is later determined that the vendor did not comply with 2 C.F.R. Part 180 and 2 C.F.R. Part 3000, in additional to the remedies available to Galveston County and the State agency administering a grant, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment of contractor. If the contract to be awarded pursuant to a Galveston County procurement effort involves the use of Federal funds, then vendor must also be registered in the Federal Contractor Registry through the System for Award Management (SAM) to be eligible for award of contract pursuant to the procurement.

Information regarding the SAM is available at:

http://www.federalcontractorregistry.com/?gclid=CIG1hf2rr8wCFYkCaQoducANZw or at https://www.sam.gov/portal/SAM/#1.

No contract involving the use of Federal funds may be awarded to any vendor unless and until such registration is current and in good standing under SAM. Successful vendors must maintain SAM registration throughout the entire term of any contractual agreement with the County. If a contract involves the use of Federal funds, then vendor must enclose proof of such SAM registration within its response, which is also a mandatory requirement of County procurement policy; failure to enclose such proof shall be considered non-compliant with the requirements of any procurement effort and grounds for the rejection of vendor's response to any procurement efforts (i.e., bid, proposal, or qualifications statement, as applicable).

Direct Deposit: Direct Deposit Authorization Form Banking made easier through an ACH Vendor Payment service (direct deposit) available from

Galveston County. With an ACH Vendor Payment, payments are deposited directly into a checking or savings account at a designated bank, savings and loan, credit union, or any other member of an automated clearing house.

Certificate(s) of Insurance: If the person or entity seeking qualified vendor status with the County will be performing work at or on any County owned facility and/or property, Certificate(s) of Insurance are required to be submitted prior to performing any work.

Insurance requirements are as follows:

Public Liability and Property Damage Insurance:

Successful vendor agrees to keep in full force and effect, a policy of public liability and property damage insurance issued by a casualty company authorized to do business in the State of Texas, and in standard form approved by the Board of Insurance Commissioners of the State of Texas, with coverage provisions insuring the public from any loss or damage that may arise to any person or property by reason of services rendered by vendor. Vendor shall at its own expense be required to carry the following minimum insurance coverages:

1. For damages arising out of bodily injury to or death of one person in anyone occurrence

- one hundred thousand and no/100 dollars ($100,000.00);

2. For damages arising out of bodily injury to or death of two or more persons in anyone occurrence - three hundred thousand and no/100 dollars ($300,000.00); and

3. For injury to or destruction of property in anyone occurrence - one hundred thousand and no/100 dollars ($100,000.00).

This insurance shall be either on an occurrence basis or on a claims made basis. Provided however, that if the coverage is on a claims made basis, then the vendor shall be required to purchase, at the termination of this agreement, tail coverage for the County for the period of the County's relationship with the vendor under this agreement. Such coverage shall be in the amounts set forth in subparagraphs (1), (2), and (3) above.

Worker's Compensation Insurance:

Successful vendor shall also carry in full force Workers' Compensation Insurance policy(ies), if there is more than one employee, for all employees, including but not limited to full time, part time, and emergency employees employed by the vendor. Current insurance certificates certifying that such policies as specified above are in full force and effect shall be furnished by the vendor to the County.

The County of Galveston shall be named as additional insured on policies listed in subparagraphs above and shall be notified of any changes to the policy(ies) during the contractual period.

Insurance is to be placed with insurers having a Best rating of no less than A. The vendor shall furnish the County with certificates of insurance and original endorsements affecting coverage required by these insurance clauses. The certificates and endorsements for each insurance policy are to be signed by a person authorized by the insurer to bind coverage on its behalf. The vendor shall be required to submit annual renewals for the term of any contractual agreement, purchase order or term contract, with Galveston County prior to expiration of any policy.

In addition to the remedies stated herein, the County has the right to pursue other remedies permitted by law or in equity.

The County agrees to provide vendor with reasonable and timely notice of any claim, demand, or cause of action made or brought against the County arising out of or related to utilization of the property. Vendor shall have the right to defend any such claim, demand, or cause of action at its sole cost and expense and within its sole and exclusive discretion. The County agrees not to compromise or settle any claim or cause of action arising out of or related to the utilization of the property without the prior written consent of the vendor.

In no event shall the County be liable for any damage to or destruction of any property belonging to the vendor unless specified in writing and agreed upon by both parties.

Procurement Policy - Special Note:

Understand that it is, according to Texas Local Government Code, Section 262.011, Purchasing Agents, subsections (d), (e), and (f), the sole responsibility of the Purchasing Agent to supervise all procurement transactions.

Therefore, be advised that all procurement transactions require proper authorization in the form of a Galveston County purchase order from the Purchasing Agent's office prior to commitment to deliver supplies, materials, equipment, including contracts for repair, service, and maintenance agreements. Any commitments made without proper authorization from the Purchasing Agent's office, pending Commissioners' Court approval, may become the sole responsibility of the individual making the commitment including the obligation of payment.

Code of Ethics - Statement of Purchasing Policy:

Public employment is a public trust. It is the policy of Galveston County to promote and balance the objective of protecting the County's integrity and the objective of facilitating the recruitment and retention of personnel needed by Galveston County. Such policy is implemented by prescribing essential standards of ethical conduct without creating unnecessary obstacles to entering public office.

Public employees must discharge their duties impartially so as to assure fair competitive access to governmental procurement by responsible contractors. Moreover, they should conduct themselves in such a manner as to foster public confidence in the integrity of the Galveston County procurement organization.

To achieve the purpose of these instructions, it is essential that those doing business with Galveston County also observe the ethical standards prescribed here.

General Ethical Standards: It shall be a breach of ethics to attempt to realize personal gain through public employment with Galveston County by any conduct inconsistent with the proper discharge of the employee's duties.

It shall be a breach of ethics to attempt to influence any public employee of Galveston County to breach the standards of ethical conduct set forth in this code.

It shall be a breach of ethics for any employee of Galveston County to participate directly or indirectly in procurement when the employee knows that:

The employee or any member of the employee's immediate family has a financial interest pertaining to the procurement.

A business or organization in which the employee, or any member of the employee's immediate family, has a financial interest pertaining to the procurement.

Any other person, business or organization with which the employee or any member of the employee's immediate family is negotiating or has an arrangement concerning prospective employment is involved in the procurement.

Gratuities: It shall be a breach of ethics to offer, give or agree to give any employee of Galveston County, or for any employee or former employee of Galveston County to solicit, demand, accept or agree to accept from another person, a gratuity or an offer of employment in connection with any decision, approval, disapproval, recommendation, preparation of any part of a program requirement or purchase request, influencing the content of any specification or procurement standard, rendering of advice, investigation, auditing, or in any other advisory capacity in any program requirement or a contract or subcontract, or to any solicitation or proposal therefore pending before this government.

Kickbacks: It shall be a breach of ethics for any payment, gratuity or offer of employment to be made by or on behalf of a subcontractor under a contract to the prime contractor or higher tier subcontractor for any contract for Galveston County, or any person associated therewith, as an inducement for the award of a subcontract or order.

Contract Clause: The prohibition against gratuities and kickbacks prescribed above shall be conspicuously set forth in every contract and solicitation by Galveston County.

Confidential Information: It shall be a breach of ethics for any employee or former employee of Galveston County to knowingly use confidential information for actual or anticipated personal gain, or for the actual or anticipated gain of any person.

Questions/Concerns:

If you have any questions or concerns regarding the information or instructions contained within this packet, please contact any member of the Purchasing Department staff at (409) 770-5371.

CONFLICT OF INTEREST DISCLOSURE REPORTING

Proposer may be required under Chapter 176 of the Texas Local Government Code to complete and file a conflict of interest questionnaire (CIQ Form). If so, the completed CIQ Form must be filed with the County Clerk of Galveston County, Texas.

If Proposer has an employment or other business relationship with an officer of Galveston County or with a family member of an officer of Galveston County that results in the officer or family member of the officer receiving taxable income that exceeds $2,500.00 during the preceding 12-month period, then Proposer MUST complete a CIQ Form and file the original of the CIQ Form with the County Clerk of Galveston County.

If Proposer has given an officer of Galveston County or a family member of an officer of Galveston County one or more gifts with an aggregate value of more than $250.00 during the preceding 12-months, then Proposer MUST complete a CIQ Form and file the original of the CIQ Form with the County Clerk of Galveston County.

The Galveston County Clerk has offices at the following locations:

Galveston County Clerk Galveston County Justice Center, Suite 2001 600 59th Street Galveston, Texas 77551

Galveston County Clerk North County Annex, 1st Floor 174 Calder Road League City, Texas 77573

Again, if Proposer is required to file a CIQ Form, the original completed form is filed with the Galveston County Clerk (not the Purchasing Agent).

For Proposer's convenience, a blank CIQ Form is enclosed with this proposal. Blank CIQ Forms may also be obtained by visiting the Galveston County Clerk's website and/or the Purchasing Agent's website -both of these web sites are linked to the Galveston County homepage, at http://www.co.galveston.tx.us.

As well, blank CIQ Forms may be obtained by visiting the Texas Ethics Commission website, specifically at http://www.ethics.state.tx.us/whatsnew/conflictforms.htm.

Chapter 176 specifies deadlines for the filing of CIQ Forms (both initial filings and updated filings).

It is Proposer's sole responsibility to file a true and complete CIQ Form with the Galveston County Clerk if Proposer is required to file by the requirements of Chapter 176. Proposer is advised that it is an offense to fail to comply with the disclosure reporting requirements dictated under Chapter 176 of the Texas Local Government Code.

If you have questions about compliance with Chapter 176, please consult your own legal counsel.

Compliance is the individual responsibility of each person, business, and agent who is subject to Chapter 176 of the Texas Local Government Code.

COUNTY of GALVESTON Purchasing Department rev. 1.3, March 29, 2010

FORM PEID: Request for Person-Entity Identification Data

Instructions: Please type or print clearly when completing sections 1 thru 4 and return completed form to:

Galveston County Purchasing Agent 722 Moody Avenue (21 st. Street), 5th Floor Galveston, Texas 77550

(409) 770-5371 prodoc@co.galveston.tx.us

1.

Business Name:

Attention Line:

2.

Physical Address:

City: State: Zip+4:

3.

Billing / Remit Address:

City:

State: Zip+4

4.

Main Contact Person:

Main Phone Number:

Fax Number:

E-mail Address:

Areas below are for County use only.

Requested By: Phone I Ext. #

Department: Date:

Action Requested - Check One: IFAS PEID Vendor Number:

( ) Add New ( ) Change Data ( ) Re-activate ( ) Inactivate ( ) Employee ( ) Attorney ( ) Landlord ( ) Foster Parent ( ) Refund ( ) OneTime ( ) Foster Child

Form W-9 (Rev. December 2014) Department of the Treasury Internal Revenue Service

Request for Taxpayer Identification Number and Certification

Give Form to the requester. Do not send to the IRS.

P ri n t o r ty p e

S ee

S p e c if ic

I n s tr u c ti o n s o n p ag e

2.

1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank.

2 Business name/disregarded entity name, if different from above

3 Check appropriate box for federal tax classification; check only one of the following seven boxes:

Individual/sole proprietor or single-member LLC

C Corporation S Corporation Partnership Trust/estate

Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership)

Note. For a single-member LLC that is disregarded, do not check LLC; check the appropriate box in the line above for the tax classification of the single-member owner.

Other (see instructions)

4 Exemptions (codes apply only to certain entities, not individuals; see instructions on page 3):

Exempt payee code (if any)

Exemption from FATCA reporting code (if any) (Applies to accounts maintained outside the U.S.)

5 Address (number, street, and apt. or suite no.)

6 City, state, and ZIP code

Requester’s name and address (optional)

7 List account number(s) here (optional)

Part I Taxpayer Identification Number (TIN)

Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid backup withholding. For individuals, this is generally your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3.

Note. If the account is in more than one name, see the instructions for line 1 and the chart on page 4 for guidelines on whose number to enter.

Social security number or Employer identification number

Part II Certification

Under penalties of perjury, I certify that:

1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and

2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and

3. I am a U.S. citizen or other U.S. person (defined below); and

4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct.

Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 3.

Sign Here

Signature of

U.S. person Date

General Instructions Section references are to the Internal Revenue Code unless otherwise noted.

Future developments. Information about developments affecting Form W-9 (such as legislation enacted after we release it) is at www.irs.gov/fw9.

Purpose of Form

An individual or entity (Form W-9 requester) who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) which may be your social security number (SSN), individual taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or employer identification number (EIN), to report on an information return the amount paid to you, or other amount reportable on an information return. Examples of information returns include, but are not limited to, the following:

• Form 1099-INT (interest earned or paid)

• Form 1099-DIV (dividends, including those from stocks or mutual funds)

• Form 1099-MISC (various types of income, prizes, awards, or gross proceeds)

• Form 1099-B (stock or mutual fund sales and certain other transactions by brokers)

• Form 1099-S (proceeds from real estate transactions)

• Form 1099-K (merchant card and third party network transactions)

• Form 1098 (home mortgage interest), 1098-E (student loan interest), 1098-T (tuition)

• Form 1099-C (canceled debt)

• Form 1099-A (acquisition or abandonment of secured property)

Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN.

If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding? on page 2.

By signing the filled-out form, you:

1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued),

2. Certify that you are not subject to backup withholding, or

3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners' share of effectively connected income, and

4. Certify that FATCA code(s) entered on this form (if any) indicating that you are exempt from the FATCA reporting, is correct. See What is FATCA reporting? on page 2 for further information.

Cat. No. 10231X Form W-9 (Rev. 12-2014)

Form W-9 (Rev. 12-2014) Page 2

Note. If you are a U.S. person and a requester gives you a form other than Form W-9 to request your TIN, you must use the requester’s form if it is substantially similar to this Form W-9.

Definition of a U.S. person. For federal tax purposes, you are considered a U.S.

person if you are:

• An individual who is a U.S. citizen or U.S. resident alien;

• A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States;

• An estate (other than a foreign estate); or

• A domestic trust (as defined in Regulations section 301.7701-7).

Special rules for partnerships. Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax under section 1446 on any foreign partners’ share of effectively connected taxable income from such business. Further, in certain cases where a Form W-9 has not been received, the rules under section 1446 require a partnership to presume that a partner is a foreign person, and pay the section 1446 withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid section 1446 withholding on your share of partnership income.

In the cases below, the following person must give Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business in the United States:

• In the case of a disregarded entity with a U.S. owner, the U.S. owner of the disregarded entity and not the entity;

• In the case of a grantor trust with a U.S. grantor or other U.S. owner, generally, the U.S. grantor or other U.S. owner of the grantor trust and not the trust; and

• In the case of a U.S. trust (other than a grantor trust), the U.S. trust (other than a grantor trust) and not the beneficiaries of the trust.

Foreign person. If you are a foreign person or the U.S. branch of a foreign bank that has elected to be treated as a U.S. person, do not use Form W-9. Instead, use the appropriate Form W-8 or Form 8233 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities).

Nonresident alien who becomes a resident alien. Generally, only a nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a “saving clause.” Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes.

If you are a U.S. resident alien who is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of income, you must attach a statement to Form W-9 that specifies the following five items:

1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien.

2. The treaty article addressing the income.

3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions.

4. The type and amount of income that qualifies for the exemption from tax.

5. Sufficient facts to justify the exemption from tax under the terms of the treaty article.

Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years.

However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States.