ESBD_544474_1785427717967_RFP 2026-P17 Investment Advisor.pdf

RFP 2026-P17 Investment Advisor Page 1 of 45

SOLICITATION, OFFER

AND AWARD

Hays County Purchasing Office

1901 Dutton Drive, Ste. E San Marcos, Texas 78666

Solicitation No.:

RFP 2026-P17 Investment Advisor Date Issued: July 30, 2026

SOLICITATION

Vendors must submit proposals as listed: One (1) original and one (1) digital copy on a thumb drive at the Hays County Purchasing Office at the address shown above or Electronically through BidNet Direct and one (1) hard copy at the Hays County Purchasing Office at the address shown above until:

11:00 a.m. local time August 25, 2026

Proposals received after the time and date set for submission will be returned unopened.

For information please email:

purchasing.bids@hayscountytx.gov

Questions concerning this RFP must be received in writing no later than 5:00

August 12, 2026.

Phone No.: (512) 393-2267

OFFER (Must be fully completed by Respondent)

In compliance with the above, the undersigned offers and agrees to furnish all items or services awarded at the prices stipulated for each item delivered at the designated point(s) and within the time specified herein. Award shall include all solicitation documents and attachments.

MANUALLY SIGN ALL COPIES SUBMITTED. SIGNATURE IS MANDATORY.

Respondent Respondent’s Authorized Representative Entity Name:

Mailing Address:

Name:

Title:

Email Address:

Phone No.:

Signature: Date:

Name, Email Address and Phone No. of person authorized to conduct negotiations on behalf of Respondent:

NOTICE OF AWARD (To be completed by County) Funding Source: Awarded as to item(s): Contract Amount:

Vendor: Term of Contract:

This contract issued pursuant to award made by Commissioners Court on:

Date: Agenda Item:

Important: Award notice may be made on this form or by other Authorized official written notice.

Hays County Judge

Date

Hays County Clerk Date mailto:purchasing.bids@hayscountytx.gov

RFP 2026-P17 Investment Advisor Page 2 of 45

Table of Contents

Solicitation, Offer and Award

I. Submittal Checklist

II. Summary

III. Specifications

A. Introduction

B. Scope of Work

C. Payments & Fee Schedule

D. Qualifications

E. Proposal Requirements

F. Evaluation Criteria

G. Submittal Requirements

H. Award of Contract

I. Warranty of Performance

IV. General Terms and Conditions for Solicitations

V. Vendor Reference Form

VI. Certificate of Interested Parties

VII. Conflict of Interest Disclosure & Questionnaire

VIII. Code of Ethics

IX. HUB Practices

X. House Bill 89 Verification

XI. Comptroller Divestment Statute Certification

XII. Debarment and Licensing Certification

XIII. Vendor/Bidder’s Affirmation

XIV. Federal Affirmation and Solicitation Acceptance

XV. Related Party Disclosure Form

Attachment A: RFP 2026-P17 Fee Schedule Attachment B: Investment Policy

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I. Submittal Checklist

This checklist is provided for the Vendor’s convenience and identifies documents that MUST be submitted for the bid/proposal/SOQ to be considered responsive, as well as the required forms requested by Hays County.

A COMPLETE SOLICITATION RESPONSE PACKAGE INCLUDES:

The following forms MUST be returned for the bid/proposal/SOQ to be considered responsive:

____ 1. Solicitation, Offer and Award Form completed and signed

____ 2. Proposal

____ 3. Attachment A: RFP 2026-P17Fee Schedule

____ 4. Vendor Reference Form

____ 4. Conflict of Interest Disclosure & Questionnaire

____ 5. Related Party Disclosure Form

____ 6. Any addenda applicable to this solicitation

Required Forms by Hays County in Order to Execute a Contract:

____ 1. Code of Ethics

____ 2. HUB Practices

____ 3. House Bill 89 Verification

____ 4. Comptroller Divestment Statute Certification:

• Iran, Sudan, and Foreign Terrorist Organization Certification (TGC 2252)

• Israel Boycott Certification (TGC 2271.002)

• Prohibition of Energy Company Boycott Certification (TGC 2274)

• Prohibition of Discrimination against Firearm Companies or Firearm Trade Org. Certification (TGC 2274.002)

____ 5. Debarment & Licensing Certification

____ 6. Vendor/Bidder’s Affirmation

____ 7. Federal Affirmations and Solicitation Acceptance

____ 8. System for Award Management (www.SAM.gov) Printout

Hays County will accept bids/proposals/SOQ, by the due date by one of the following methods:

___ 1. Electronic Submission of Bid Packet through BidNet Direct and one (1) hard copy delivered, within 24 hours of proposal due date, in a sealed envelope with the Solicitation Number and Vendor’s name on the outermost envelope addressed to: Hays County Purchasing, 1901 Dutton Dr., Suite E, San Marcos, TX 78666

OR

____ 2. One (1) original bid packet and one (1) digital copy on a thumb drive in a sealed envelope with the Solicitation

Number and Vendor’s Name on the outermost envelope, addressed to: Hays County Purchasing, 1901 Dutton Dr., Suite E, San Marcos, TX 78666 http://www.sam.gov/

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II. Summary

1. Type of Solicitation: Request for Proposal (RFP)

2. Solicitation Number: RFP 2026-P17

Investment Advisor

3. Issuing Office: Hays County Purchasing Office 1901 Dutton Drive, Suite E San Marcos, TX 78666

4. Responses to Solicitation: Sealed proposals marked with Solicitation Number and Vendor Name on the outermost envelope Manual: One (1) Original and one (1) digital copy on a thumb drive, or

Electronic: Proposals can be submitted through BidNet Direct and one (1) hard copy is required to be received within 24 hours of due date.

5. Deadline for Responses: In issuing office no later than:

August 25, 2026; 11:00 a.m. Central Time (CT)

6. Initial Contract Term: One year from contract execution date

7. Optional Contract Terms: four (4), one (1) year renewals

8. Designated Contact: Hays County Purchasing Email: purchasing.bids@hayscountytx.gov

9. Questions & Answers: Questions regarding this solicitation must be made in writing and submitted to the designated contact above no later than August 12, 2026; 5:00 p.m. CT. Telephone inquiries will not be accepted. Questions may be submitted by email to the address above. Answers to questions will be provided in the form of an addendum posted after the question deadline on the CivicPlus, BidNet Direct, and ESBD websites for the benefit of all potential respondents. The County reserves the right to contact the person submitting a question to clarify the question received, if necessary. Each clarification, supplement, or addenda to this solicitation, if any, will be posted on the CivicPlus, BidNet Direct and ESBD websites. All potential or actual respondents are responsible for monitoring the websites for such materials. Respondents are deemed to have notice of, and are required to comply with, any such material posted in accordance with this paragraph. Respondents should not rely upon any other sources of written or oral responses to inquiries.

10. Addenda: Any interpretations, corrections or changes to this solicitation and specifications will be made by addenda. Sole issuing authority of addenda shall be vested in the Hays County Purchasing Office. It is the Vendor’s responsibility to acknowledge receipt of all addenda with proposal mailto:purchasing.bids@hayscountytx.gov

RFP 2026-P17 Investment Advisor Page 5 of 45 submission. Any addendum not acknowledged and not included with your bid/proposal will deem your response non-responsive.

11. Conflicts within Solicitation Documents: In the event that conflicts exist within the solicitation documents, and/or the electronic bidding sites, the following paragraphs shall govern:

A. If there is an identified conflict in the information presented in the

Solicitation documents and/or the bidding sites an addendum will Be issued to correct the conflict.

B. Addenda shall supersede all other Contract Documents to the extent specified. Subsequent addenda shall supersede prior addenda only to the extent specified.

C. Drawings and Specifications are intended to agree and be mutually explanatory and shall be accepted and used as a whole and not separately. Should any item be omitted from either the drawings or Specifications as specified, it shall be implied that such omissions are contained in both the drawings and the Specifications as necessary for the proper construction of the work herein specified.

12. Contact with County Staff: Upon issuance of this solicitation, employees and representatives of

Hays County, other than the Purchasing Office staff identified as the Designated Contact above, will not discuss the contents of this solicitation with any Vendor or its representatives. Failure of a Vendor or any of its representatives to observe this restriction may result in disqualification of any related offer. This restriction does not preclude discussions between affected parties for the purpose of conducting business unrelated to this procurement.

13. Websites: Plans, Specifications, and Bidding documents for pre-qualified bidders and interested non-bidders may be secured from the following websites:

www.bidnetdirect.com/haysCounty, http://www.txsmartbuy.com/sp, https://www.sanmarcostx.gov/Bids.aspx

Anticipated Schedule of Events

July 30, 2026 Issuance of RFP August 12, 2026 Deadline for Submission of Questions (5:00 PM CT) August 25, 2026 Deadline for Submission of Proposals (11:00 AM CT)

Late proposals will not be accepted.

October 2026 Anticipated contract award date https://www.sanmarcostx.gov/Bids.aspx

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III. Specifications A. Introduction

Hays County, Texas (“County”) is seeking proposals from eligible and qualified investment advisory firms who are registered with the Securities and Exchange Commission and the Texas State Securities Board to serve as investment advisor to the Hays County Treasurer, and the County’s Investment Committee.

The investment advisor will be a key partner in the management of the County's Investment portfolio, estimated total $80,000,000.00. The County is seeking a firm that can provide these services and willing to be attentive and responsive to the County's needs. The firm shall be expected to optimize interest income as authorized by the County's Investment Policy and in accordance with State law. It is the County's intent to award a contract to the one firm that offers the most advantages to the County by providing investment advisory services at a reasonable cost.

The County Currently maintains the following fund types: General Fund, Special Revenues Funds, Capital Project Funds, Custodial Funds, and a Medical/Dental Internal Service Fund held in the bank depository, certificates of deposit, and Investment Pools.

B. Scope of Work The County currently has a depository contract with Sage Capital Bank. All County securities will be held at Sage Capital bank in the name Hays County. Day to Day management responsibilities for the investment program is delegated to the Hays County Treasurer. The advisor will receive instructions regarding securities purchases/sales from the Treasurer. The County Auditor or Assistant County Auditor must countersign all investment transactions. The County’s investment funds are managed according to the County’s approved Investment Policy (Attachment B). The County’s Investment Committee generally meets quarterly to review investment performance and strategy, and the advisor is expected to attend these meetings.

Services include, but are not limited to:

• Actively research and provide investment recommendations/opportunities to achieve the investment goals of the County.

• Be a registered Investment Advisor as defined and regulated by the Securities and Exchange

Commission and be registered with the Texas State Securities Board.

• Be either completely independent of any financial institution or securities brokerage firm; or fully and continuously disclose any relationships with such financial institution(s) and/or securities brokerage firm(s), and further disclose any commissions, bonuses, or soft-dollar payments resulting from the firm’s relationship with the County.

• Indicate full understanding of Investment Policy by submitting a written acknowledgement annually.

• Take no possession of County monies or investment securities, nor have access to or control over such monies and/or securities.

• Be knowledgeable of and comply with Texas State law and the ordinances and policies of Hays County.

• Review investment policy annually and recommend appropriate amendments.

• Review the present investment management procedures and documentation and propose improvements.

• Assist in developing and implementing investment strategies that will enhance portfolio performance under current and anticipated changes in market conditions within the parameters of established investment policies and cash flow needs.

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• Make presentations to the County’s Investment Committee, as needed, to support recommendations relating to investment strategy.

• Provide non-discretionary management of the County’s investment portfolio by acting solely in an advisory and administrative capacity within the guidelines of the County’s Investment Policy.

• Provide daily, timely assessments of the market including market reaction to economic events.

• Execute securities purchases/sales upon written instructions from authorized County staff.

After a trade is executed, the advisor must confirm to the County by email or fax all details of the trade including the dealers contacted and the prices received. An official trade confirmation must be mailed to the County within five business days of the transaction. The County is responsible for instructing the County’s Bank Depository to either accept or deliver securities transacted through the advisor.

• Obtain a minimum of three offers/bids for each trade and provide monthly reports documenting total trades offered and awarded to each dealer.

• Provide detailed monthly reports, in a format specified in State code and acceptable to the County.

• Attend Investment Committee meetings and present quarterly performance reports which shall include current information regarding the creditworthiness of investments in the portfolio, total return comparisons of the County’s portfolio to the established index for the quarter and since inception; and market commentary and future outlook as it pertains to the County’s portfolio.

• Demonstrate the capacity to research market instruments and evaluate for relative safety, liquidity and yield.

• Keep the County apprised, in the form of a written report, of any proposed or enacted legislative changes that could directly impact the management of the portfolio.

C. Payments & Fee Schedule The Respondent will provide a description of their compensation methodology and the expected based off $80 million in managed assets. Provide the compensation for services as a flat annual rate, per trade fee with an annual cap, and an hourly rate/per visit charge. The Respondent will also provide all additional costs that could be billed to Hays County under this contract. The County will pick which fee structure is the best for the County.

All respondents are required to fill out Attachment A: RFP 2026-P17 Fee Schedule. The hourly labor rates shall include all applicable overhead and profit, lodging, meals, and transportation.

D. Qualifications All of the services required herein shall be performed by the Contractor or under its supervision, and all personnel engaged in performing the services shall be fully qualified and, if required, authorized or permitted under state and local law to perform such services.

The following minimum requirements must be demonstrated in order for the submission to be considered responsive to Hays County, as well as the items identified on the Submittal Checklist.

• Provide a copy of your Certificate of Insurance;

• The vendor shall demonstrate experience as an independent investment advisor for public agencies for the past five (5) years.

• Must be licensed and registered under all appropriate state and federal securities, insurance or bank laws.

• The vendor shall be completely independent of any financial institution or securities brokerage firm or shall fully disclose any such relationships relevant to the firm’s relationship to the County.

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• The vendor shall be knowledgeable of and adhere to all aspects of the County’s Investment Policy and the Public Funds Investment Act regulations and must be a fiduciary to the County by having an affirmative duty of care, loyalty, honesty, and good faith to act in the best interest of the County.

• Provide a copy of your firm’s most recent audited financial statements.

• Provide a copy of your firm’s FINRA FOCUS reports for the previous six months.

REFERENCES: Hays County requires respondent to supply with the proposal, a list of at least three (3) references from governmental entities, particularly municipalities, including the entity’s name, address, telephone number, email, and name of representative.

RESPONSIBILTY: A prospective respondent must affirmatively demonstrate respondent’s responsibility.

A prospective respondent must meet the following requirements:

• Have adequate financial resources, or the above ability to obtain such resources as required

• Be able to comply with required or proposed delivery schedule

• Have a satisfactory record of performance

• Be otherwise qualified and eligible to receive an award

TIME OF PERFORMANCE: It is imperative that the prospective respondent respond to County requests in a timely manner and comply with required or proposed delivery schedules. Please describe how you intend to respond to and track County requests.

SYSTEM FOR AWARD MANAGEMENT: Respondent and its Principals may not be debarred or suspended nor otherwise have an exclusion record created in the System for Award Management (SAM) website.

Include verification that the company as well as the company's principals are not listed (are not debarred) through the System for Award Management (www.SAM.gov). Enclose a printout of the Entity Registration page that shows your firm is in active status and is not expired.

E. Proposal Requirements Proposals shall be prepared simply and economically, providing a straightforward, concise description of the respondent’s ability to meet the requirements of this RFP. Emphasis shall be on the quality, completeness, clarity of content, responsiveness to the requirements, and the understanding of the County’s Needs.

Proposals shall not exceed thirty (30) pages (15 sheets front and back) in length, but not including:

• Front and Rear Covers

• Letter of Transmittal: RFP Subject Line, name of Vendor, address, telephone number, name of contact person, and signed by the individual authorized to negotiate for and contractually bind the company.

• Table of Contents

• Appendix materials (any required forms per the Submittal Checklist, addenda from Hays

County, and staff resumes)

Items that count towards the 30-page limit

• Profile/Experience of the Company

Company information shall include: Company legal name of the Bidder, principal place of business, number of years in business, and description of company organization including identification of number of staff dedicated to the project.

Describe the firm's experience in providing investment advisory services to similar organizations, with emphasis on municipalities of the same size and scope as Hays County.

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Identify the types of and number of investment accounts handled by the firm and explain how the addition of the County's account would impact the firm's resources.

Describe any professional relationships involving the County and explain why such relationships would not constitute a conflict of interest.

Provide a list of any contracts that have been terminated unfavorably or that have been unsuccessful within the past five (5) years. Explain the reason for termination and include contact names, titles and phone numbers/email addresses.

Describe any investigation, censure, arbitration, litigation, or conflicts of interest involving the investment advisory services of the firm or any individual that may work on the County's account, including the circumstances, details, and outcome related to any alleged improper, fraudulent, unfair or unethical activities related to the sale of securities, management of public funds, etc.

Describe the firm's commitment to the public sector and how the firm's investment professionals stay abreast of developments relevant to the investment of public funds, specifically as it relates to Texas and the Public Funds Investment Act.

Describe the firm's expectation and/or requirements of County staff.

Provide a copy of the firm's ADV Part 2, as on file with the SEC, and proof of registration with the State of Texas.

Key Personnel o Provide all proposed staffing (administrative and field). Include personnel by title and quantities generally provided per each DMS, in the field, etc. The Proposer must provide reasonable assurance that the identified personnel will be available to work on future projects.

o Subcontractors: Provide list of subcontractors and the percentage of work to be performed by each one. Indicate participation by local subcontractors.

o Provide an estimate of the current workload and future commitments to other emergency response contracts both in man-hours per years and a percentage of total workload for all key project personnel.

• Capacity to Perform (Methodology/Technical Approach) The firm's philosophy and approach to investment management, including what steps would be taken to ensure the County’s principal investment objectives are met (e.g., safety, liquidity, and yield).

The firm's primary strategy or strategies to add value to an investment portfolio, including a suggested approach, plan, and/or timeline to transition from the County's current investments in its depository bank and investment pools.

The firm's procedures and methods of portfolio review and client contact.

The firm's procedures related to settlement, safekeeping, and custodial procedures.

The firm's selection process for broker/dealers and financial institutions, including a description of due diligence procedures. Please indicate if the firm would or would not be amenable to working with the broker/dealers currently approved in the County's Investment Policy.

Please describe the methods used to calculate yield and to evaluate the performance of various investments, broker/dealers, etc.

Please include any sample reports that would be available to the County, including frequency of distribution.

• Proposed Fee Schedule Provide compensation schedule on Attachment A: 2026-P17 Fee Schedule. Provide the compensation for services as a flat annual rate, per trade fee with an annual cap, and an hourly rate/per visit charge. The Respondent will also provide all additional costs that could be billed to Hays County under this contract. The County will pick which fee structure is the best for the County.

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Sheet size is limited to 8½” x 11” sheets only, using 12-point font. The organizational chart is permissible to use an 11” x “17” sheet (one-sided) and a font smaller than 12-point for the organizational chart, provided text is clearly legible. It is permissible to use a font smaller than 12-point for graphics, provided text is clearly legible.

The proposal must be submitted with a continuous binding (e.g. – spiral, GBC, etc.) along the left edge;

no other binding will be accepted and should not exceed thirty (30) pages, fifteen (15) pages front and back, not including the appendix materials.

F. Evaluation Criteria The Proposals received in response to this RFP will be evaluated and ranked, by the Proposal Evaluation Committee in accordance with the process and evaluation criteria contained below. Responses will be evaluated using the material and substantiating evidence presented in the response, and not based on what is inferred.

After thoroughly reading and reviewing this RFP, each Evaluation Committee member shall conduct his or her independent evaluation of the proposals received and grade the responses on their merit in accordance with the evaluation criteria set forth in the following table. Point assignments for each evaluation criterion will be at the discretion of each Evaluation Committee member. Total Point assignments from each Committee member will be added together for a total overall score. This total score for each Proposer will determine the order of the Proposer’s ranking. (Maximum Point Total 100)

Evaluation Criteria Maximum Score Points

Select a whole number from the list provided for each question (decimal or unlisted rating score are not permitted)

Experience and Qualifications of the Company

40 40 = Significantly Exceeds Requirements 32 = Exceeds Requirements 24 = Meets ALL Requirements 16 = Marginally Meets Requirements 8 = Does not meet Requirements

Proposed Cost (will be assessed by Purchasing)

35 35 = Significantly Exceeds Requirements 28 = Exceeds Requirements 21 = Meets ALL Requirements 14 = Marginally Meets Requirements 7 = Does not meet Requirements

Capacity to Perform, Methodology, Approach to perform services

25 25 = Significantly Exceeds Requirements 20 = Exceeds Requirements 15 = Meets ALL Requirements 10 = Marginally Meets Requirements 5 = Does not meet Requirements

Total Evaluation Points 100

Interview (optional) Ranking At the County’s discretion, submitting entities may be requested by the Evaluating Committee to conduct interviews as part of the evaluation process, prior to making recommendations to Commissioners Court regarding award.

It is the practice of Hays County to encourage local participation and to promote and encourage contracting and subcontracting opportunities for locally owned businesses and labor in all contracts.

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The County of Hays does not discriminate on the basis of race, color, national origin, sex, religion, age and disability in employment or the provision of services. Hays County is an Affirmative Action/Equal Opportunity Employer and strives to attain goals for Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u), as amended. Section 3 Residents and Business Concerns, Minority Business Enterprises, Small Business Enterprises and Women Business Enterprises are encouraged to submit proposals.

Hays County reserves the right to award to multiple contractors and to designate contractors in terms of primary service providers and standby service providers.

G. Submittal Requirements The Company must deliver their proposal to the Hays County Purchasing Department by one of the following methods by the specified deadline:

Mailed or Dropped off Proposals:

• One (1) original proposal with required forms manually signed by the respondent with original signatures

• One (1) digital copy of the full proposal with all required forms on a thumb drive

Electronic Proposals:

• Upload proposal with required forms manually signed by the respondent. (through BidNet

Direct)

• One (1) original proposal with required forms manually signed by the respondent, delivered to the Hays County Purchasing Office. Either the original or Electronic Proposal (through BidNet Direct) MUST be received by the due date and time to be considered responsive. Physical copy must be received in the Hays County Purchasing Office within 24 hours of proposal due date.

LATE SUBMITTALS WILL NOT BE ACCEPTED.

ALTERING PROPOSALS: Any interlineations, alteration, or erasure made before receiving time must be initialed by the signer of the proposal, guaranteeing authenticity.

WITHDRAWING OF PROPOSAL: A proposal may be withdrawn at any time prior to the official opening.

After the official opening, proposals may not be amended, altered or withdrawn without the recommendation of the County Purchasing Agent and the approval of Commissioners Court.

FORMS: All proposals must be submitted on the forms provided in this solicitation document. Changes to solicitation forms made by bidders shall disqualify the proposal.

REPONDENT’S ACCEPTANCE: by submitting a response to this RFP, the respondent certifies that is has fully read and understands the terms, conditions and statements of this Request for Qualifications and has knowledge of the scope of the quality of services to be furnished and intends to adhere to the provisions described herein.

H. Award of Contract BASIS OF AWARD: The County reserves the right to award a contract for named project to an organization on the basis of “best value”. Best value will be determined based on cost, experience, qualifications, references, proposed methodology/technical proposal, and overall responsiveness, clarity, and organization of the solicitation response.

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COMPANY AGREES, if this proposal is accepted, to furnish any and all services upon which prices are offered, at the price(s) and upon the terms and conditions contained in the specifications. The period for acceptance of the proposal will be one hundred twenty (120) calendar days.

The awarded company expressly warrants that all services specified in the RFP will be performed with care and diligence and in accordance with all specifications of the RFP. The awarded company agrees to correct any deficiencies in its performance of services upon notification by the County and without additional expense to the County.

ACCEPT OR REJECT: It is understood that Hays County reserves the right to accept or reject any and all submittals as it shall deem to be in the best interest of Hays County. The prospective entities are fully responsible for all costs incurred in the preparation and/or presentation of the RFP submittals. All received RFP submittals will become the property of the County. The RFP does not commit the County to award a contract, issue a purchase order, or pay any costs incurred in the preparation of a submission in response to this RFP. Proposals may be held for one hundred twenty (120) calendar days after opening without taking action.

COMMISSIONERS COURT APPROVAL REQUIRED: The Hays County Commissioners Court must approve the contractors selected to provide the services requested in this RFP. The County reserves the right to authorize contract negotiations to begin without further discussion with contractors submitting a response. Therefore, each proposal should be submitted as completely and accurately as possible. The County reserves the right to request additional data, oral discussions, or presentations in support of the written proposal. If the proposal is accepted and approved by Commissioners Court, this document shall be made part of the contract.

Respondent’s Obligation Regarding Evaluation

a. SUBMISSION OF INFORMATION. Submitters are cautioned that it is each contractor and or individual’s sole responsibility to submit information related to the evaluation categories, and the County is under no obligation to solicit such information if it is not included with the proposal. Failure of a contractor or individual to submit such information may cause an adverse impact on the evaluation of the specific proposal.

b. SUBMITTER REVIEW OF RFP. Submitters are responsible for examining and being familiar with all specifications, terms, conditions, provisions, and instructions of the RFP and their responses.

Failure to do so will be at the contractor and/or individual’s risk and will not be a determinative factor when awarding the contract for services.

ORAL NON-BINDING: Any non-written representations, explanations, or instructions given by County staff or County agents are not binding and do not form a part of, or alter in any way, the RFP, a written agreement pertinent to the RFP, or the awarding of the contract.

RESERVATIONS BY COUNTY: The Commissioners Court has the right to accept, reject, or cancel any and all submissions. In addition, the County expressly reserves the following:

1. waive any defect, irregularity, or informality in any submission or RFP procedure;

2. extend the RFP closing time and date;

3. reissue this RFP in a different form or context;

4. procure any item by other allowable means;

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5. revise and modify, at any time before the RFP submittal due date, the factors and/or weights of factors the County will consider in evaluating RFP submittals and to otherwise revise or expand its evaluation methodology as set forth herein;

6. investigate the qualifications of any contractor under consideration and require confirmation of information furnished by a contractor;

7. require additional information from a contractor concerning contents of its RFP submittal and/or require additional evidence of qualifications;

8. waive minor deviations from specifications, conditions, terms, or provisions of the RFP, if it is determined that waiver of the minor deviations improves or enhances the County’s business interests under the RFP;

9. extend any contract when most advantageous to the County, as set forth in this RFP.

10. appoint an evaluation committee to review RFP submittals or responses, make recommendations and seek the assistance of outside technical experts in RFP submittal evaluation;

11. hold interviews and conduct discussions and correspondence with one or more of the contractors responding to this RFP to seek an improved understanding and evaluation of the responses to this RFP.

12. disclose information contained in an RFP submittal to the public as required under the Texas Public Information Act; AND/OR

13. exercise any other right reserved or afforded to Hays County under this RFP. The County reserves the right to modify the process, in its sole discretion, to address applicable law and/or the best interest of the County.

The County shall not, under any circumstances, be bound by or be liable for any obligations with respect to any construction project until such time (if at all) a contract has been awarded and all approvals obtained in form and substance satisfactory to the County have been executed and authorized by the County, and then only to the extent of such agreements.

I. Warranty of Performance The successful respondent expressly warrants that all services specified in the RFP will be performed with care and diligence and in accordance with all specifications of the RFP. The successful bidder agrees to correct any deficiencies in performance of services upon notification by the County and without additional expense to the County.

CONTINUING NON-PERFORMANCE of the bidder, in terms of specifications, shall be basis for the termination of the contract by the County. The County shall not pay for merchandise/services that are unsatisfactory. Failure to perform any provision will constitute a default of contract, in which case, corrective action shall take place within ten (10) days from the date of written notice citing the nature of breach. Failure to take corrective action or to provide a satisfactory written reply excusing such failure within the prescribed ten (10) days will authorize the County to terminate this agreement by written notice.

COMPLIANCE WITH LAWS: The successful Respondents shall comply with all applicable federal, state and local laws and regulations pertaining to the practice of the profession and the execution of the duties under the solicitation. Any contract executed as a result of this RFP shall be governed by the laws of the State of Texas.

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IV. General Terms and Conditions for Solicitations Applicable To: Request for Proposals (RFP)

1. GENERAL DEFINITIONS:

a. “Auditor” means the Hays County Auditor or his/her designee.

b. “Commissioners Court” means Hays County Commissioners Court.

c. “Contract” means the contract awarded pursuant to the RFP.

d. “Contractor” means a person or firm receiving an award of contract from Commissioners Court.

e. “County” means Hays County, Texas, a political subdivision of the State of Texas.

f. “County Building” means any County owned buildings and does not include buildings leased by County.

g. “Is doing business” and “has done business” mean:

i. Paying or receiving in any calendar year any money or other valuable thing which is worth more than $250 in the aggregate in exchange for personal services or for purchase of any property or property interest, either real or personal, either legal or equitable; or

ii. Loaning or receiving a loan of money; or goods or otherwise creating or having in existence any legal obligation or debt with a value of more than $250 in the aggregate in a calendar year;

iii. But does not include any retail transaction for goods or services sold to a Key Contracting Person at a posted, published, or marked price available to the general public.

h. “Key Contracting Person” means any person or business listed in Exhibit A to Affidavit.

i. “Purchasing Agent” means the Hays County Purchasing Agent.

j. “Sub-contractor” means a person or firm doing business with a Contractor.

2. FUNDING: Funds for payment on this Contract have been provided through the County budget approved by Commissioners Court for this fiscal year only. State of Texas statutes prohibit the obligations and expenditure of public funds beyond the fiscal year for which a budget has been approved. However, the cost of items or services covered by this Contract is considered a recurring requirement and is included as a standard and routine expense of Hays County to be included in each proposed budget within the foreseeable future. County Commissioners expect this to be an integral part of future budgets to be approved during the period of this Contract except for unanticipated needs or events which may prevent such payments against this Contract.

However, County cannot guarantee the availability of funds, and enters into this Contract only to the extent such funds are made available. The Fiscal Year for County extends from October 1st of each calendar year to September 30th of the next calendar year.

3. FUNDING OUT: Despite anything to the contrary in this Contract, if, during budget planning and adoption, Commissioners Court fails to provide funding for this Contract for the following fiscal year of County, County may terminate this Contract after giving Contractor thirty (30) calendar days written notice that this Contract is terminated due to the failure to fund it.

4. INVOICING/PAYMENTS:

a. Contractor shall provide County with an Internal Revenue Form W-9, Request for Taxpayer Identification

Number and Certification, that is completed in compliance with the Internal Revenue Code and its rules and regulations before any Contract funds are payable.

b. As a minimum, invoices shall include: (i) name, address, and telephone number of Contractor and similar information in the event payment is to be made to a different address; (ii) County Contract or Purchase Order number; (iii) identification of products or services as outlined in this Contract; (iv) quantity or quantities, applicable unit prices, total prices, and total amount; and (v) any additional payment information called for by this Contract. County will not pay invoices that are in excess of the amount authorized by the purchase order.

c. Payment shall be made by check or warrant by County upon satisfactory delivery and acceptance of products and services and submission of an invoice to the address below:

County Auditor

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712 S Stagecoach Trail, Suite 1094 San Marcos, Texas 78666

d. Payment shall be deemed to have been made on the date of mailing of the check or warrant. For purposes of payment discounts, time will begin upon satisfactory delivery of products and services and/or submission of acceptable invoice, whichever is last. Partial payments will not be made unless specifically requested and approved by County prior to Contract award.

e. Accrual and payment of interest on overdue payments shall be governed by Tex. Gov’t Code Ann., ch.

2251.

5. COUNTY TAXES: If the Contractor subsequently becomes delinquent in the payment of County taxes, it will be grounds for cancellation of the contract. Despite anything to the contrary, if the contractor is delinquent in payment of County property taxes at the time of invoicing, Contractor assigns any payments to be made for performance under this contract to the County Tax Assessor-Collector for the payment of delinquent taxes.

6. PROMPT PAYMENT ACT: TEX. GOV’T CODE ANN., ch 2251 (Vernon Supp. 1995) requires that payments be made within 30 calendar days. If County fails to pay within 30 days, interest on overdue amounts is subject to Chapter 2251, Texas Government Code. The law does not apply if the terms of a federal grant, contract, regulation, or statute prevent local governments from making timely payments with federal funds. Contractors and subcontractors must pay their suppliers interest if the supplier is not paid within 10 calendar days after the contractor or subcontractor receives payment. Contractors must apply for interest payments within 6 months of submitting a proper invoice if they believe such interest was due but not paid. Interest begins accruing 30 days after either of the following, whichever is later; (i) satisfactory delivery or performance has been completed, or, (ii) a correct invoice is received at the designated place.

7. FOB POINT: Delivery of all products under this contract, if any, shall be made Free on Board to final destination, at the address shown in this contract or as indicated on each Purchase Order placed against this contract. The title and risk of loss of the goods shall not pass to County until acceptance takes place at the F.O.B. point.

8. INSPECTION AND ACCEPTANCE: The County office or department receiving items pursuant to this contract shall inspect and accept only those items that are satisfactory to them, and reject those items which are damaged or which do not conform to specifications. Contractor shall be responsible for the proper labeling, packing, and delivery to final destination, including replacement of rejected deliveries.

9. VARIATION IN QUANTITY: No variation in the quantity of any item called for by this contract will be accepted unless such variation has been caused by conditions of loading, shipping, or packing, or allowances in manufacturing processes, and then only to the extent, if any, specified elsewhere in this contract.

10. OFFICIALS NOT TO BENEFIT: If a member of Commissioners Court belongs to a cooperative association, the County may purchase equipment or supplies from the association only if no member of the Commissioners Court will receive a pecuniary benefit from the purchase, other than as reflected in an increase in dividends distributed generally to members of the association.

11. NONDISCRIMINATION; CIVIL RIGHTS/ADA COMPLIANCE:

a. Contractor shall not engage in employment practices that have the effect of discriminating against employees or prospective employees because of age, race, color, sex, creed, national origin or handicapped condition.

b. Contractor shall provide all services and activities required in a manner that would comply with the Civil Rights Act of 1964, as amended, the Rehabilitation Act of 1973, Public Law 93-1122, Section 504, and with the provisions of the Americans with Disabilities Act of 1990, Public Law 101-336 [S.933] if Contractor were an entity bound to comply with these laws.

12. CHANGES:

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a. This Contract may be amended only by written instrument signed by both County and Contractor. It is acknowledged by Contractor that NO OFFICIAL, EMPLOYEE, AGENT OR REPRESENTATIVE OF COUNTY HAS ANY AUTHORITY, EITHER EXPRESS OR IMPLIED, TO CHANGE THE SCOPE OF THIS CONTRACT OR OTHERWISE AMEND THIS CONTRACT, OR ANY ATTACHMENTS HERETO, UNLESS EXPRESSLY GRANTED

THAT AUTHORITY BY THE COMMISSIONERS COURT.

b. Contractor shall submit all requests for changes to this Contract or any attachment(s) to it to the Purchasing Agent. The Purchasing Agent shall present Contractor’s requests to Commissioners Court for consideration.

13. REPRESENTATIONS:

a. Contractor represents that he has thoroughly examined the drawings, specifications, schedule, instructions and all other contract documents. Contractor has made all investigations necessary to be thoroughly informed regarding plant and facilities for delivery of material, equipment and/or services as required by the proposal conditions.

b. The Contractor’s delivery time includes weekends and holidays.

c. Contractor certifies that he is a qualified, bondable business entity that he is not in receivership or contemplates it, and has not filed for bankruptcy. He further certifies that the Company, Corporation, Partnership, or Sole Proprietorship is not delinquent with respect to payment of County property taxes.

d. Contractor warrants that all applicable patents and copyrights which may exist on items that will be supplied under the contract have been adhered to and further warrants that County shall not be liable for any infringement of those rights. Warranties granted County shall apply for the duration of this contract or for the life of equipment or supplies purchased, whichever is longer. County must not extend use of the granted exclusive rights to any other than County employees or those with whom County has established a relationship aimed at furthering the public interest, and then only for official public uses. County will not knowingly or intentionally violate any applicable patent, license, or copyright. Contractor must indemnify County, its officers, agents, and employees against all claims, suits, and liability of every kind, including all expenses of litigation, court costs, and attorney’s fees arising in connection with any alleged or actual infringement of existing patents, licenses or copyrights applicable to items sold.

e. The Contractor warrants that upon execution of a contract with the County, he will not engage in employment practices which have the effect of discriminating against employees or prospective employees because of age, religion, race, color, sex, creed, handicap, or national origin and will submit reports as the County may require to assure compliance.

f. Contractor warrants to County that all items delivered and all services rendered will conform to the specifications, drawings, or other descriptions furnished or incorporated by reference, and will be of merchantable quality, good workmanship, and free from defects. Contractor further agrees to provide copies of applicable warranties or guarantees to the Purchasing Agent. Copies will be provided within 10 days after the Notice of Award is issued. Return of merchandise under warranty shall be at Contractor’s expense.

14. SUBCONTRACTS:

a. Contractor shall not enter into any subcontracts for any service or activity relating to the performance of this Contract without the prior written approval or the prior written waiver of this right of approval from County. IT IS ACKNOWLEDGED BY CONTRACTOR THAT NO OFFICER, AGENT, EMPLOYEE OR REPRESENTATIVE OF COUNTY HAS THE AUTHORITY TO GRANT SUCH APPROVAL OR WAIVER UNLESS

EXPRESSLY GRANTED THAT SPECIFIC AUTHORITY BY THE COMMISSIONERS COURT.

b. If a subcontract is approved, Contractor must make a “good faith” effort to take all necessary and reasonable steps to insure HUBs maximum opportunity to be subcontractors under this Contract.

Contractor must obtain County approval of all proposed HUB subcontractors through the Purchasing Agent. Failure by Contractor to make a good faith effort to employ HUBs as subcontractors constitutes a breach of this Contract and may result in termination of this Contract.

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15. ASSIGNMENT:

a. The parties to this Contract shall not assign any of the rights or obligation hereunder without the prior written consent of the other party. No official, employee, representative or agent of County has the authority to approve any assignment under this Contract unless that specific authority is expressly granted by Commissioners Court.

b. The terms, provisions, covenants, obligations and conditions of this Contract are binding upon and inure to the benefit of the successors in interest and the assigns of the parties to this Contract if the assignment or transfer is made in compliance with the provisions of this Contract.

c. Contractor remains responsible for the performance of this Contract when there is a change of name or change of ownership. If a change of name is required, the Purchasing Agent shall be notified immediately. No change in the obligation of or to Contractor will be recognized until it is approved by Commissioners Court.

16. DISPUTES AND APPEALS (PROTEST): The Purchasing Agent acts as the County representative in the issuance and administration of this contract in relation to disputes. Any document, notice, or correspondence not issued by or to the Purchasing Agent or other authorized County person, in relation to disputes is void unless otherwise stated in this contract. If the Contractor does not agree with any document, notice, or correspondence issued by the Purchasing Agent, or other authorized County person, the Contractor must submit a written notice to the Purchasing Agent within ten (10) calendar days after receipt of the document, notice, or correspondence, outlining the exact point of disagreement in detail. If the matter is not resolved to the Contractor’s satisfaction, Contractor may submit a written Notice of Appeal to the Commissioners Court, through the Purchasing Agent, if the Notice is submitted within ten (10) calendar days after receipt of the unsatisfactory reply. Contractor then has the right to be heard by Commissioners Court.

17. MEDIATION: When mediation is acceptable to both parties in resolving a dispute arising under this Agreement, the parties agree to use a mutually agreed upon mediator, or a person appointed by a court of competent jurisdiction, for mediation as described in Section 154.023 of the Texas Civil Practice and Remedies Code.