Spindletop Center 2750 South 8th Street, Bldg. D Beaumont TX 77701 or P.O. Box 3846 Beaumont TX 77704-3846

(409) 784-5400 www.spindletopcenter.org

REQUEST FOR PROPOSAL

ANNUAL FINANCIAL AND COMPLIANCE AUDITING SERVICES

RFP # STC-26-003

Closing Date: June 25, 2026 at 5:00 p.m.

Spindletop Center is requesting proposals from public accounting firms with community mental health and IDD center, governmental entity experience for annual financial auditing services for a one -year period beginning August 1, 2026 and ending July 31, 2027, with five (5) possible one-year extensions.

To receive the specifications for the proposal, contact Denise LeBlanc by email at denise.leblanc@stctr.org. Specifications will be sent to each respondent via email.

All proposals must be received by the FINANCIAL SERVICES DEPARTMENT of Spindletop Center via email at denise.leblanc@stctr.org before the closing date and time.

Proposals received after the deadline shall not be considered for the award of the contract and shall be considered void and unacceptable.

Proposals must have the RFP number included in the subject line of the submission email and must comply with the Instructions for Submitting Proposals included in the RFP. Failure to comply with the instructions may result in the proposal being excluded for consideration.

I. PURPOSE OF PROPOSAL

Spindletop Center (“Spindletop”) is requesting proposals from public accounting firms with mental health and IDD center, governmental entity experience for annual financial auditing services for a one-year period beginning August 1, 2026 and ending July 31, 2027, with five (5) possible one-year extensions.

II. INFORMATION ABOUT SPINDLETOP CENTER

Spindletop was formed in 2000 as a community mental health and mental retardation center established under the Texas Mental Health and Mental Retardation Act of 1965 and organized under Article 534, Texas Health and Safety Code. It is also a tax-exempt organization under Internal Revenue Code Section 501(c)(3). Spindletop does not pay Texas sales and/or use taxes, and such taxes may not be passed on as a cost to Spindletop.

Spindletop provides mental health, intellectual and developmental disabilities, early childhood intervention, and substance abuse services for residents of Jefferson, Chambers, Hardin, Jasper and Orange counties. It is governed by a Board of Trustees appointed by the Commissioners Courts of the counties it serves.

The fiscal year for Spindletop begins on September 1 of each year. The 2026 fiscal year annual budget is $49.75 million. Spindletop’s principal source of revenue is the Texas Health and Human Services Commission. Additional revenue is derived from federal and other state agencies, client fees, and local sources. The primary expense is payroll cost for providing client services. Spindletop currently employs approximately 400 full-time equivalent employees who are paid bi-weekly.

III. PURPOSE OF THE AUDIT

The purpose of the Request for Proposal is to obtain the services of a public accounting firm for the annual financial and compliance audit for the fiscal year 2026. The organization-wide audit will encompass the general-purpose financial statements, combining statements and other schedules for the Spindletop for the fiscal year ending August 31, 2026.

The audit is to be conducted in accordance with auditing standards generally accepted in the United States of America (GAAS) and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States (Government Auditing Standards), the audit requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance); the

Guidelines for Annual Financial and Compliance Audits of Community MHMR Centers, and the State of Texas Single Audit Circular.

The financial statement audit is to determine whether (1) the financial statements present fairly the financial position, results of operation, and cash flows in accordance with generally accepted accounting principles, and (2) whether Spindletop has complied with laws and regulations for those transactions and events that may have a material effect on the financial statements. The financial related audit will also include determining whether (1) financial reports and related items are fairly presented, and (2) financial information is presented in accordance with established or stated criteria.

As a part of the audit of the general purpose financial statements, the annual audit will also include obtaining an understanding of the Spindletop’s internal control structure and identifying any reportable conditions relating to the internal control systems coming to the attention of the auditors. Any reportable condition or material weakness noted during the study and evaluation of internal accounting and administrative controls must be reported.

As part of the audit of the general purpose financial statements, transactions and records pertaining to federal and state programs will be tested for material compliance with applicable federal and state laws, rules, and regulations, and all instances of noncompliance required to be reported under Government Auditing Standards will be reported to Spindletop.

The compliance audit, commonly referred to as the single audit, subjects to testing all federal and state financial assistance. Federal and state financial assistance must be treated as separate populations for the determination of major programs. Major Type A and Type B financial assistance programs (as defined by Uniform Guidance and TSAC) will be tested for compliance with laws and regulations, as well as compliance with specific requirements of the grants or contracts. All instances of noncompliance will be reported to Spindletop.

IV. INDEPENDENT AUDITOR

The proposer must demonstrate the capability to perform the annual audit in accordance with generally accepted government auditing standards and must have performed annual audits for similar entities, preferably with experience performing audits for local mental health or intellectual and developmental disability authorities functioning as governmental agencies.

V. TERM OF THE AUDIT ENGAGEMENT

The contract for audit services based upon Board of Trustee’s approval of the proposal will be for the fiscal year ending August 31, 2026. Spindletop may request to extend this agreement for up to five additional one-year terms through the fiscal year ending August 31, 2031, following satisfactory delivery of the services specified in the proposal and engagement letter. The agreement can be terminated for cause.

VI. DISPUTE RESOLUTION

Disputes concerning the terms of contracted services that cannot be resolved will be brought before an independent mediation center, whose decision will be binding upon both parties.

VII. STATEMENT OF REQUIREMENTS

1. The independent auditor will provide an electronic copy of the audit report and single audit report that meets the requirements of Guidelines for Annual Financial and Compliance Audits of Community MHMR Centers.

2. On or before November 30, 2026, the preliminary draft of the reports will be presented to Spindletop prior to submission of the final draft.

3. Satisfactory delivery of the services specified by the Request for Proposal and the engagement letter shall be accomplished no later than the December 2026 meeting of the Board of Trustees.

4. The independent auditor will be required to present the reports to the Board of Trustees at the December 2026 or January 2027 Board meeting, depending on the completion date; the exact date to be determined.

5. The independent auditor is required to provide a management letter containing comments oriented toward constructive improvements.

6. Copies of selected audit working papers will be provided as requested by Spindletop and as provided for in the engagement letter. The independent auditor will make the working papers available for review by Spindletop’s coordinating agency.

VIII. EMAIL BID FORMAT

1. Cover Letter – The first page of the sealed bid should include the following information:

a. Name of Firm

b. Name, address, and telephone number of the proposer’s representative.

c. Certification that the person signing the proposal is entitled to represent the firm, empowered to submit the bid, and authorized to sign a contract with Spindletop.

2. Technical Proposal – See Section IX.

3. Total all-inclusive maximum price bid – See Section X.

4. Attachments A - H - Completed

IX. TECHNICAL PROPOSAL CONTENT

1. Technical Component - To describe clearly the public accounting firm’s understanding of the work to be done, the proposer will:

a. Provide evidence that the proposer has experience in performing annual financial and compliance audits for community mental health/intellectual and developmental disabilities centers and include current and past audit client contact information;

b. Explain the proposer’s approaches to performing an annual financial and compliance audit, including the methodology, nature, and extent of audit procedures to be performed;

c. Specify a timeline and the sequence of work segments as well as hours for each level of staff; it is preferred that preliminary audit work be done prior to August 31 and that final field audit work be completed by the end of October.

d. Describe the proposed audit team, in terms of job positions in the firm;

e. List names of staff member(s) who will direct the overall audit throughout the duration of the engagement as well as those staff members who will be responsible for planning, directing, and conducting substantial portions of the fieldwork or reporting on this audit engagement. Include the educational background of all staff members named and professional licenses held;

f. Describe continuing professional education in governmental accounting and auditing received by the proposed audit team during the last two years;

g. Provide the names and qualifications of any needed outside specialists and consultants that will assist the proposer’s staff members;

h. Describe how the approach to performing the audit would be affected if this were multi-year contract;

i. Describe the level of assistance that will be expected from Spindletop personnel; (NOTE: Spindletop’s Chief Financial Officer will prepare the draft of the audit report); and

j. Make a statement concerning the independence of the proposer, including direct and indirect financial interest, and the relationship of the proposed audit team to employees of Spindletop and any members of the Board of Trustees.

2. Management Component – The proposer will furnish satisfactory evidence of capability to provide, in a professional and timely manner, the services stated in the Request for Proposal. To meet this requirement, the proposer will:

a. Provide the name of the external quality control review organization of which the proposer is a member and the proposer’s length of membership. Also, state the review organization’s planned frequency of peer reviews;

b. State whether the firm has received a peer review and whether in the most recent review an unqualified report was issued (a copy of the review report must be provided to Spindletop);

c. State whether the proposer is a national, regional or local public accounting firm;

d. State whether the proposer is currently under the terms of a public or private reprimand by the Texas State Board of Public Accountancy and /or licensing boards of other states;

e. Provide evidence of the ability to comply with the requirements in Sections VII and IX of the Request for Proposal.

3. Attachments – Additional documents to be completed and submitted with bid.

4. Evaluation – Criteria used to evaluate the proposer’s methodologies, products, and services are included as Exhibit A.

X. TOTAL ALL-INCLUSIVE MAXIMUM PRICE BID

The dollar-cost bid should contain all pricing information relative to performing the audit engagement as described in this Request for Proposal. Spindletop will not be responsible for expenses incurred in preparing and submitting the technical proposal or the sealed dollar cost bid. Such costs should not be included in the proposal.

XI. CONDITIONS FOR SUBMISSIONS OF PROPOSAL

All proposals responses to this request must meet the following conditions to be considered:

1. Proposals must include a cover letter clearly stating the name of the firm and the name, address, and telephone number of the proposer’s representative;

2. Proposal must address each of the audit requirements as stated in Section VII in this Request for Proposal;

3. Spindletop reserves the right to reject any and all proposals, and to negotiate portions thereof. Proposals that address only part of the requirements contained in this Request for Proposal will not be considered.

4. Spindletop reserves the right to select any proposal, considering the quoted estimated fee and other factors;

5. The proposer shall furnish additional information that Spindletop may reasonably require;

6. Spindletop will not be liable for any cost incurred in the preparation of proposals;

7. Spindletop may ask proposers for an oral interview prior to Board of Trustees approval of a proposal. This interview, if necessary, will be done through video- conference. Spindletop will not be liable for the costs incurred by the proposer in connection with such interview.

XII. PROCEDURES FOR SUBMITTING PROPOSALS

Proposals must be received no later than 5:00 p.m., Thursday, June 25, 2026.

XIII. QUESTIONS

Any person wishing to obtain additional information about the Request for Proposal or about the operations of Spindletop Center may contact Denise LeBlanc by email at denise.leblanc@stctr.org. All questions and subsequent answers will be shared with proposers requesting bid packet.

XIV. SELECTION OF SUCCESSFUL BIDDER

Spindletop will conduct a comprehensive, fair, and impartial evaluation of all proposals received in response to this RFP. Each proposal will be analyzed to determine overall responsiveness and qualifications under this RFP. The criteria to be used as the weighting basis for evaluation of the proposals can be found in Attachment A:

Spindletop may select all, some, or none of the respondents for interviews. If Spindletop elects to conduct interviews, respondents may be interviewed and re-scored based upon the same criteria, or other criteria to be determined by Spindletop. Spindletop may also request additional information from respondents at any time prior to final approval of a selected proposal.

Spindletop reserves the right to accept one or more proposals or reject any or all proposals received in response to this RFP and to waive informalities and irregularities in the proposals received.

The contract, if awarded, will be awarded to the respondent whose proposal is deemed most advantageous to Spindletop.

Spindletop may accept any proposal in whole or in part. If subsequent negotiations are conducted, they shall not constitute a rejection or alternate RFP on the part of Spindletop. Spindletop reserves the right to amend this RFP prior to the proposal due date.

XV. RFP TIMELINE

Wednesday - June 3, 2026 Legal notice of RFP begins; Issuance of RFP specifications to Proposers & placed on Spindletop Center’s website at www.spindletopcenter.org

Thursday – June 18, 2026 Questions Due – Questions will be answered as submitted. Final questions answered by COB, June 18, 2026.

Thursday - June 25, 2026 Deadline for Submission/Proposals due at Spindletop by 5:00 p.m. CT via email to Denise LeBlanc, CFO at denise.leblanc@stctr.org.

Friday June 26, 2026 Proposal evaluation, interviews (if required), questions, negotiations

Monday - June 29, 2026 Alternate date – Thursday, July 16, 2026 Recommendation of Contract(s) to Board of Trustees. Anticipated Award Date the following business day – subject to board approval

Monday - August 3, 2026 Commencement of Contract – subject to board approval

XVI. EXHIBITS

XVII. ATTACHMENTS – To be completed and included with bid

RFP

STC-

26-003 Request for Proposal for Financial Auditing

Services Spindletop

Center

RFP

STC-

26-003

Page

EXHIBIT A

EVALUATION WORKSHEET

Mandatory Criteria – No points allotted. Required for further evaluation.

If any of the above answers are “No”, proposal will not be considered for further evaluation.

Technical Component – Possible 40 points

Management Component – Possible 45 points

Cost – Possible 15 points

RFP

STC-

6-003 Annual Financial and Compliance Audit Services Spindletop

Center

RFP

STC-

6-003

Page

EXHIBIT B

SPINDLETOP CENTER

KEY PERSONS LIST

BOARD OF TRUSTEES

Frank Coffin, Chairman Rebecca Ford, Vice Chair Gaye Lokey, Secretary Judge Jimmy Sylvia Dolores Sennette Mike Marion Dr. Dana Johnson Edreauanna Fowler Ida Schossow Judge Mark Allen Lacey Guedry Sheriff Zena Stephens, Ex Officio Sheriff Mark Davis, Ex Officio

EXECUTIVE MANAGEMENT TEAM

Holly Borel, Chief Executive Officer Denise LeBlanc, Chief Financial Officer Heather Champion, Chief Clinical Officer Lisa Gibbs, Chief Intellectual and Developmental Disabilities Officer Creslyn Foster, Chief Human Resources Officer Bryan Gauthier, Chief Information Officer Dr. Olumuyiwa Abdul, Chief Medical Officer

PROCUREMENT TEAM

Denise LeBlanc, Chief Financial Officer Ben Heubach, Controller Hillary Midkiff, Purchaser

ATTACHMENT A

VENDOR PROFILE

RFP #STC-26-003

ANNUAL FINANCIAL AND COMPLIANCE AUDITING SERVICES

Date of Proposal

Name of Company

Company Mailing Address

Company Telephone Number

Name and Title of Authorized Representative

Representative’s Telephone Number

Representative’s Email Address

Legal Status (non-profit, sole proprietorship, partnership, corporation, LLC, etc.

Name of all persons owning a 5% or more interest in business.

Factor:

Provide Names, Telephone numbers, and addresses of at least three (3) business references for whom Proposer has provided services in Jefferson, Orange, Hardin, Chambers, and/or Jasper counties that are similar to the Services required in this RFP or provides similar services at a community center in Texas.

ATTACHMENT B

SIGNATURE PAGE

The attached proposal application is being submitted in response to RFP #STC-26-003 – Annual Financial and Compliance Auditing Services. The proposal is a firm offer and shall remain an open offer, valid for six (6) months from the date of this document.

Spindletop in its sole and absolute discretion shall have the right to award contracts for any or all materials listed in each proposal, shall have the right to reject any and all proposals and shall not be bound to accept the lowest proposal and shall be allowed to accept the total proposal of any one vendor.

I understand that this proposal will be reviewed and evaluated according to the procedures indicated in this RFP.

Authorized Signature Company Name

Typed or Printed Name Street Address

Title City, State, Zip Code

Telephone Number Fax Number

Email Address

ATTACHMENT C

REQUIRED DOCUMENTS

All Required Documentation must be included in the Bid Package

Please place a checkmark in the provided space next to the item to verify it has been included

Technical Component included

Management Component included

Additional Required Document

_____ Copy of the Proposer’s financial statements from the past three (3) years

_____ Current Certificate of Account Status from the Texas Secretary of State which shows the Proposer is in good standing or that it is exempt from the state franchise tax.

_____ Proposer’s current insurance coverage. Must include the following coverages and limits –

a. General Liability – Two million dollars ($2,000,000) per claim. Three million dollars ($3,000,000) aggregate of all claims. Policy shall also include a waiver of subrogation in favor of Spindletop if contract is awarded to proposer.

b. Worker’s Compensation – Must meet statutory limits. Policy shall also include a waiver of subrogation in favor of Spindletop if contract is awarded to proposer.

c. Professional Liability Coverage – One million dollars ($1,000,000) per claim. Two million dollars ($2,000,000) aggregate of all claims.

d. Errors and Omissions Liability Coverage – One million dollars ($1,000,000) per claim. One million dollars ($1,000,000) aggregate of all claims.

e. Cyber Liability – Cover to include defense for liability from loss of income.

_____ Copy of any, and all Proposer’s required federal, state, and/or local licenses and/or certifications required with respect to the Services.

_____ Is the Proposer currently on or has ever been placed on vendor hold by any agency or business? If “Yes”, attach a separate page with pertinent dates and a detailed explanation.

_____ Is the Proposer currently or has ever been a defendant or party to a lawsuit? If “Yes”, attach a separate page with the cause number, names of parties, name of the court in which the lawsuit was filed, pertinent dates, and a detailed explanation of the nature of the lawsuit and the ultimate disposition of the lawsuit.

_____ Is the Proposer currently in default on any loan agreement or financing agreement with any bank, financial institution, or other entity? If “Yes”, attach a separate page with date(s), details, circumstances, and prospects for resolution.

ATTACHMENT D

ASSURANCES DOCUMENT

For purposes of this Attachment D the term “local government officer” with respect to Spindletop means a member of Spindletop’s Board of Trustees (see Exhibit B), Spindletop’s Chief Executive Officer, and/or an agent of the Spindletop who exercises discretion in the planning, recommending, selecting, or contracting of the Contract. The term “local public official” with respect to Spindletop means a member of Spindletop’s Board of Trustees, or another Spindletop officer who exercises responsibilities beyond those that are advisory in nature See Exhibit B – Key Persons List.

The term “family member” means a person related to another person within the first degree by consanguinity or affinity, as described by Subchapter B, Chapter 573 of the Texas Government Code. The term “family relationship” means a relationship between a person and another person within the third degree by consanguinity or the second degree by affinity, as those terms are defined by Subchapter B, Chapter 573, Texas Government Code.

Proposer Assures the Following:

1. Proposer has received all addenda and attachments to the RFP as distributed by Spindletop.

2. Proposer will not make any attempt to induce any person or firm to submit or not submit a Proposal.

3. Proposer will ensure that no person on the basis of race, color, national origin, religion, sex, age, sexual orientation, gender identity, genetic characteristics, veteran status, disability or political affiliation, will be excluded from participation in, be denied the benefits of, or be subject to discrimination with respect to any Contract, under any of the policies of HHSC or Spindletop. Proposer does not discriminate in its service or employment practices on the basis of race, color, religion, sex, sexual orientation, gender identity, genetic characteristics, national origin, disability, veteran status, age or political affiliation.

4. Proposer accepts the terms, conditions, criteria, and requirements set forth in the RFP.

5. Proposer accepts Spindletop’s right to alter the timetables for procurement as set forth in the RFP.

6. The Proposal submitted by Proposer has been arrived at independently without consultation, communication, or agreement for the purpose of restricting competition.

7. Unless otherwise required by law, the information in the Proposal submitted by Proposer has not been knowingly disclosed by Proposer to any other Proposer.

8. No claim will be made for payment to cover costs incurred in the preparation or the submission of the Proposal or any other associated costs.

9. The individual signing this Assurances Document is authorized to legally bind Proposer.

ATTACHMENT D

ASSURANCES DOCUMENT - CONTINUED

10. Proposer agrees to follow all applicable federal, state, county, and local laws, regulations, codes, standards, and all applicable Spindletop policies and procedures if chosen as the Successful Proposer.

11. No employee, local government officer or any family member thereof has directly or indirectly received any gift(s) with an aggregate value of more than $100 in the 12-month period preceding the date the local government officer becomes aware that Spindletop is considering entering into a Contract with Proposer, but excluding a political contribution defined by Title 15 of the Texas Election Code, or food accepted as a guest. If Proposer is unable to make this affirmation, then Proposer must disclose any knowledge of such interests by including a completed Form CIQ, a copy of which is attached to this Attachment E, with the submitted Proposal. See Exhibit B.

12. Proposer does not have a family relationship with a local government officer of Spindletop. If such family relationship exists, Proposer must disclose any knowledge of such relationships by including a completed Form CIQ, a copy of which is attached to this Assurances Document with the submitted Proposal. See Exhibit B.

13. Proposer does not have any employment or business relationship with any corporation or other business entity with respect to which any local public official of Spindletop or any family member thereof serves as an employee, officer or director, or holds an ownership interest and no local public official of Spindletop or family member thereof has an employment or business relationship with Proposer, or holds an ownership interest in Proposer. If Proposer is unable to make this affirmation, then Proposer must disclose any knowledge of such relationships in a written statement included with this signed Assurances Document.

14. Proposer shall disclose in a written statement included with this signed Assurances Document whether any of the directors or personnel of Proposer has either been an employee or a trustee of Spindletop within the past two (2) years preceding the date of submission of the Proposal. This requirement applies to all personnel, whether or not identified as a Key Person. If such employment has existed, or any term of office been served, include in the written statement the nature and time of the affiliations as defined.

15. Proposer does not have any employment or business relationship with any corporation or other business entity with respect to which any local government officer of Spindletop either serves as an employee, officer or director, or holds an ownership interest of one percent or more, and no local public official of Spindletop or family member thereof has an employment or business relationship with Proposer, or holds an ownership interest in Proposer. If Proposer is unable to make this affirmation, then Proposer must disclose any knowledge of such relationships by including a completed form CIQ, a copy of which is attached to this Attachment D, with the submitted Proposal. See Exhibit B.

ATTACHMENT D

ASSURANCES DOCUMENT - CONTINUED

16. No former employee or officer of HHSC and/or Spindletop directly or indirectly aided or attempted to aid in procurement of Proposer’s service.

17. No local government officer or family member thereof is receiving or is likely to receive taxable income, other than investment income, from Proposer. If Proposer is unable to make this affirmation, then Proposer must disclose any knowledge of such relationships by including a completed form CIQ, a copy of which is attached to this Attachment D, with the submitted Proposal. See Exhibit B.

18. Under Section 231.006, Family Code, the vendor or applicant certifies that the individual or business entity named in this contract, bid, or application is not ineligible to receive the specified grant, loan, or payment and acknowledges that this contract may be terminated and payment may be withheld if this certification is inaccurate. For purposes of the foregoing sentence, “vendor or applicant” shall mean Proposer; contract, bid or application shall mean the Proposal; and “this contract” shall mean any Contract awarded to a Successful Proposer pursuant to this RFP.

19. Proposer is not currently held in abeyance or barred from the award of a federal or state contract.

20. Proposer is currently in good standing for payment of all applicable state tax.

21. Proposer is in good standing with all state and federal funding and regulatory agencies; is not currently debarred, suspended, or otherwise excluded from participation in federal, state, county or city contract or grant programs; is not delinquent on any repayment agreements; has not had a required license or certification revoked; has not had a contract terminated by HHSC; and has not voluntarily surrendered an obligation issued by HHSC or any other entity within the past three (3) years.

22. Proposer agrees to provide the Services described in this RFP at the rate(s) of payment described in the Proposal.

23. Proposer is a reputable company regularly engaged in providing products and/or services necessary to meet requirements, specifications, terms and conditions of the RFP.

24. Proposer has the necessary experience, knowledge, abilities, skills, and resources to satisfactorily perform the requirements, specifications, terms and conditions of the RFP.

25. This Proposal shall remain in full force and effect one hundred twenty (120) days from the date of this document and may be accepted by Spindletop at any time prior to this date.

ATTACHMENT D

ASSURANCES DOCUMENT - CONTINUED

26. The requirements of Subchapter J, Chapter 552, Government Code, may apply to this Contract and Proposer agrees that the Contract can be terminated if the Proposer knowingly or intentionally fails to comply with the requirement of that Subchapter.

The Organization or Individual named below offers and agrees to furnish all labor, materials, and services offered within the designated time frame for the amount to be agreed upon and upon conclusion of a successful contract.

Signature of Applicant or Applicant’s Authorized Representative Date

Printed Name

Title

Organization

ATTACHMENT E

ATTACHMENT E

ATTACHMENT F

LOBBYING CERTIFICATION

The undersigned certifies, to the best of their knowledge and belief that:

1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or an employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.

2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

3. The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Signature of Authorized Individual Date

Print Name of Authorized Individual Title

ATTACHMENT G

ATTACHMENT H

CERTIFICATION

REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY

AND VOLUNTARY EXCLUSION FOR COVERED CONTRACTS AND AGREEMENTS

Executive Order 12549, CFR part 180, requires Spindletop Center (“Spindletop”) to screen each covered potential contractor/vendor to determine whether each has a right to obtain a contract in accordance with federal regulations on debarment, suspension, ineligibility, and voluntary exclusion. Each covered contractor/vendor must also screen each of its covered subcontractors/ vendors. In this certification "contractor/vendor" refers to both contractor/vendor and subcontractor/sub vendor; "contract/agreement" refers to both contract/agreement and subcontract/sub agreement.

By signing and submitting this certification the potential contractor/vendor accepts the following terms:

1. The certification below is a material representation of fact upon which reliance was placed when this contract/agreement was entered into. If it is later determined that the potential contractor/vendor knowingly rendered an erroneous certification, in addition to other remedies available to the federal government, Spindletop may pursue available remedies, including suspension and/or debarment.

2. The potential contractor/vendor shall provide immediate written notice to the person to which this certification is submitted if at any time the potential contractor/vendor learns that the certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

3. The words "covered contract," "debarred," "suspended," "ineligible," "participant," "person," "principal," "proposal," and "voluntarily excluded," as used in this certification have meanings based upon materials in the Definitions and Coverage sections of federal rules implementing Executive Order 12549.

4. The potential contractor/vendor agrees by submitting this certification that, should the proposed covered contract/agreement be entered into, it shall not knowingly enter into any subcontract with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by Spindletop, as applicable.

Do you have or do you anticipate having subcontractors/sub vendors under this proposed contract? _____ YES _____ NO

1. The potential contractor/vendor further agrees by submitting this certification that it will include this certification titled "Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion for Covered Contracts and Agreements" without modification, in all covered subcontracts and in solicitations for all covered subcontracts.

2. A contractor/vendor may rely upon a certification of a potential subcontractor/sub vendor that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered contract/agreement, unless it knows that the certification is erroneous. A contractor/ vendor must, at a minimum, obtain certifications from its covered subcontractors/ sub vendor upon each subcontract's/sub agreement's initiation and upon each renewal.

ATTACHMENT H

CERTIFICATION

REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY

AND VOLUNTARY EXCLUSION FOR COVERED CONTRACTS AND AGREEMENTS

Continued

3. Nothing contained in all the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this certification document. The knowledge and information of a contractor/vendor is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

4. Except for contracts/agreements authorized under paragraph 4 of these terms, if a contractor/vendor in a covered contract/agreement knowingly enters into a covered subcontract/sub agreement with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in the transaction, in addition to other remedies available to the federal government or Spindletop may pursue available remedies, including suspension and/or debarment.

Indicate which statement applies to the covered potential contractor/vendor:

____ The potential contractor/vendor certifies, by submission of this certification, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this contract/agreement by any federal department or agency or by the State of Texas.

____ The potential contractor/vendor is unable to certify one or more of the terms in this certification. In this instance, the potential contractor/vendor must attach an explanation for each of the above terms to which the contractor/vendor is unable to make certification. Attach the explanation(s) to this certification.

NAME OF POTENTIAL CONTRACTOR/GRANTEE

VENDOR ID NO./FEDERAL EMPLOYER'S ID NO. _________________________________

DUNS Number: ______________________ CAGE Code (if applicable): __________________

Signature of Authorized Representative Printed Name of Authorized Representative

Date

THIS CERTIFICATION IS FOR FY 2026, FY 2027, FY 2028

September 1, 2025 to August 31, 2026 September 1, 2026 to August 31, 2027 September 1, 2027 to August 31, 2028 image2.png image3.png image4.png image1.jpeg