ESBD_549450_1786981081578_RFP FY26-03 AUDIT SERVICES.pdf

REQUEST FOR PROPOSALS

RFP: FY26-03

AUDIT SERVICES

Schedule of Major Events

RFP Release August 17, 2026

Deadline to Submit Questions & Answers (Q&A) Form August 31, 2026 (No later than 4pm Central/CT)

Responses to Q&A Posted September 4, 2026

RFP Proposals Due September 18, 2026 (No later than 4pm Central/CT)

Notice of Award September 28, 2026

Contract Begin Date October 1, 2026

Workforce Solutions Northeast Texas 1702 Hampton Rd

Texarkana, TX 75503 www.netxworks.org

North East Texas WDB RFP: FY26-03 August 17, 2026 Audit Services Page 2 of 28

PART ONE – GENERAL INFORMATION 3

1.1 Introduction 3

1.2 Activities and Services Solicited 3

1.3 Eligible Proposers 4

1.4 Length of Contract 4

1.5 Description of the Procurement Process 4

1.6 Criteria for Evaluation of Proposals 7

1.7 Proposal Conditions 8

PART TWO - INSTRUCTIONS FOR SUBMITTING A PROPOSAL 11

2.1 General Instructions 11

2.2 Required Format 11

ATTACHMENT A 13

ATTACHMENT B 14

PROPOSER IDENTIFICATION 14

ADDITIONAL REQUIREMENTS (as applicable) 14

ATTACHMENT C 15

ATTACHMENT D 16

ATTACHMENT E 17

ATTACHMENT F 18

ATTACHMENT G 20

ATTACHMENT H 24

ATTACHMENT I 26

ATTACHMENT J 27

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PART ONE – GENERAL INFORMATION

1.1 INTRODUCTION

The North East Texas Workforce Development Board (herein after referred to as “Board”), d.b.a. Workforce Solutions Northeast Texas, a 501(c)3 not-for-profit, tax-exempt organization, in compliance with Texas laws SB 642 and HB 1863, is the local policy making body for the Northeast Texas Workforce Development Area (WDA). The Board is comprised of a 27-member board approved by the Texas Workforce Commission. This regional, policy-making board is made up of a majority of business persons and also has representation from labor, education and economic development concerns to plan and oversee operation of the public workforce system, of which child care services is a part, in the 9-county local workforce area. The Board provides policy and program guidance and exercises independent oversight and evaluation of workforce development programs and services that affect area employers, residents and job seekers in Bowie, Cass, Delta, Franklin, Hopkins, Lamar, Morris, Red River, and Titus counties.

This document is intended to convey all the information necessary to enable a prospective proposer to submit a response to this Request for Proposals (RFP). Criteria in this RFP are based on anticipated outcomes that guide planned actions within a defined scope of work. The absolute parameters of the award, including, but not limited to, timeframes and price, shall be specified in the final contract.

The contract resulting from this RFP will be issued in accordance with Texas Government Code, Title 10, Subtitle D, Chapters 2151 through 2176 and rules of the General Services Commission.

1.2 ACTIVITIES AND SERVICES SOLICITED

The Board will receive proposals for the preparation of the Board’s Single Audit of federal and state grants and all other programs administered by the Board, and additionally a Workforce Innovation and Opportunity Act (WIOA) compliance audit of the Board’s service delivery contractor, for the twelve (12) month fiscal year period beginning October 1, 2025 and ending September 30, 2026. The Board will issue a twelve (12) month cost-based contract effective October 1, 2026 with an end date of September 30, 2027 as a result of this procurement. The contract may be renewed for up to four (4) additional 12-month periods beginning October 1, 2027 at the Board’s discretion based on satisfactory performance.

IRS form 990 “Return of Organization Exempt from Income Tax” will be prepared in accordance with current IRS requirements. The selected audit firm will be responsible for filing any extensions, if required, in response to the IRS Form 990. In the event that extensions or returns are not filed in a timely manner, through no fault of the Board, the selected firm will be responsible for paying any penalty and interest assessed for the late filing.

An electronic copy of the audit report and management letter will be provided to the Board for distribution and record keeping.

The Board is the fiscal agent for its service delivery contractor and all funding is maintained and distributed at the board level. Therefore, in addition to the Single Audit of North East Texas Workforce Development Board, a WIOA program-specific audit report must also be issued on behalf of the service delivery contractor that addresses internal controls and compliance relating to the WIOA program. The fee for the WIOA program-specific audit should be reported as a separate cost in the budget submission for this RFP.

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The annual operating budget, including payroll, contractor, and participant cost is approximately twenty million dollars ($20,000,000). All financial and case management documents are maintained electronically; therefore, minimal travel costs are anticipated in budgets submitted for these audit services.

1.3 ELIGIBLE PROPOSERS

The Board will initially review all proposals for completeness and compliance with the terms and conditions of the RFP. Proposals clearly inconsistent with the RFP requirements will be eliminated from further consideration. Proposals that pass the completeness and compliance review will be evaluated against the criteria outlined in Section 1.6 Criteria for Evaluation of Proposals. Qualified vendors include:

Any company, firm, corporation, organization, or association that is, or can be, licensed to conduct business in the state of Texas; or

Any consortium of such companies, firm, corporations, organizations, or associations.

1.4 LENGTH OF CONTRACT

The Board along with the contractor selected as a result of this RFP will be the parties to the contract for services. This will be a cost-based contract with specific deliverables, the delivery and acceptance of which must be accomplished prior to the disbursements of funds to the contractor.

The Board will accept engagement letters from the selected firm that must include, at minimum, the conditions stipulated in this RFP. The Board shall have the opportunity to accept the terms and conditions as offered by executing the engagement letters.

The proposed contract will be for the period from October 1, 2026 through September 30, 2027 with the option to renew for up to four (4) additional one-year periods.

1.5 DESCRIPTION OF THE PROCUREMENT PROCESS

The Board along with the respondent selected as a result of this RFP will be the parties to the contract for services.

This will be a service-based contract with specific deliverables, the delivery and acceptance of which must be accomplished prior to the disbursements of funds to the contractor.

Proposals should be put forward in a clear and easy to read format that contains only the facts and data necessary to present a complete and effective proposal.

The Board emails announcements to vendors registered to receive proposal opportunities for this type of service as of the release date. The RFP is available in its entirety on the Board’s website (www.netxworkforce.org) and the Electronic State Business Daily (ESBD) for the State of Texas. The notices inform the public of the services to be purchased, proposal guidelines, and the person to contact for more detailed information. The RFP packet is a request for proposals and contains information about the contracting process, service specifications, evaluation criteria, and the format in which the proposal must be completed and returned in order to be considered for award.

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Schedule of Major Events

RFP Release August 17, 2026

Deadline to Submit Questions & Answers (Q&A) Form August 31, 2026 (No later than 4pm Central/CT)

Responses to Q&A Posted September 4, 2026

RFP Proposals Due September 18, 2026 (No later than 4pm Central/CT)

Notice of Award September 28, 2026

Contract Begin Date October 1, 2026

Designated Contact

The individual listed below may be contacted for clarification of the proposal submission process. All questions must be submitted in writing using Attachment K and emailed to:

Kaylee Price –Staff Accountant

1702 Hampton Rd Texarkana, Texas 75503

903.794.9490 ext. 521

E-mail: bids@netxworks.org

Other Communication

Communication with any Board personnel regarding this RFP other than the Board’s designated contact person(s) listed in the RFP instructions is prohibited. Solicitation of Workforce Solution Northeast Texas’s Board members by subcontractors, service providers, or proposers concerning proposals, bids, or contract awards shall be prohibited. Any solicitation of Board members may result in rejection of the proposal, bid and contract award, and future disqualification, suspension or debarment of the subcontractor, service provider or proposer from activities and programs funded by the Board.

Submission of Questions

Questions regarding the Request for Proposal must be submitted in writing by August 31, 2026 no later than 4:00 PM Central Time. The written questions must be emailed to the attention of the Designated Board Contact identified above. Answers to questions will be posted on the Board’s website on September 4, 2026.

Proposal Due Date and Delivery Method

All responses must be submitted via electronic mail to the designated contact above by September 18, 2026, no later than 4:00PM Central Time.

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Withdrawal of Proposal

A proposal may be withdrawn at any time prior to the selection announcement by writing to the Board Designated Contact listed above.

Amendment of Proposal

A proposal may be amended at any time after submission but prior to the due date by writing to the Board Designated Contact listed above. After the due date, proposals may be amended only at the direction of the Board.

Changes and Amendments

The Board reserves the right to amend or withdraw this RFP at any time by notifying each potential proposer of record.

Selection, Negotiation, and Contract Execution

The Board reserves the right to have the proposal(s) evaluation process conducted by an external/independent evaluation review team, or have the proposal evaluation process conducted by an evaluation team, consisting of staff, to be designated by the Executive Director. The Board evaluates responses received, makes a tentative selection decision, and negotiates with the top-ranking applicant(s). When negotiations are complete, a contract is executed and the award is announced.

Award and Finalization

When a selection decision is made, the Board will notify all responsive proposers of the decision by email.

After selection and notification, the Board and the successful proposer will negotiate and finalize a contract. No contract is effective until signed by the Board’s Executive Director.

Grievance and Protest Procedures

Workforce Solutions Northeast Texas is the responsible authority for handling complaints or protests regarding the procurement and proposal selection process. No protest shall be accepted by the State Grantor Agency (Texas Workforce Commission) until all administrative remedies at the grantee (Board) level have been exhausted. This includes, but is not limited to, disputes, claims, and protests of award, source evaluation, or other matters of a contractual nature. Any matters concerning violation of law(s) shall be referred to the proper authority, as they may have proper jurisdiction.

The following administrative remedies shall be followed when submitting complaints or protests:

Workforce Solutions Northeast Texas shall have the opportunity to respond to any inquiry or resolve any dispute prior to the filing of an official compliant by the protester. The protester should contact Mr. Bart Spivey, Workforce Solutions Northeast Texas Executive Director via e-mail at bart.spivey@netxworks.org.

When Workforce Solutions Northeast Texas has agreed upon a selection, all proposers will be notified in writing of the results. Any protest regarding this process must be filed in writing with the Executive Director within ten (10) business days of notification of the selection of contract award.

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The communication should contain a thorough explanation of the protest and designate the official representative of the organization for purposes of resolving the dispute. Upon receipt of the written protest, the Executive Director will contact the organization’s representative to arrange a meeting to resolve the protest. Following the meeting, the Executive Director will provide a written disposition of the protest via certified mail to the organization representative.

Protest of the Executive Director’s disposition of the initial protest must be filed in writing within ten (10) business days of receipt of the Executive Director’s resolution to the initial protest. This communication should contain a thorough explanation of the protest of the Executive Director’s decision. Upon receipt of the protest, the Executive Director will contact the organization’s representative to schedule a meeting with a committee of the Workforce Solutions Northeast Texas Board. The committee will review the protest and formulate a recommendation, which will be forwarded to Workforce Solutions Northeast Texas Board Members at its next regularly scheduled Board meeting, at which time the protester will have the opportunity to address the Board prior to the Board taking action at the meeting. The Workforce Solutions Northeast Texas Board disposition of the protest will be provided to the organization representative in writing via certified mail, and will be final.

Contractors must use the grievance system provided by Workforce Solutions Northeast Texas for resolving complaints that arise under any Workforce Solutions Northeast Texas contracted program.

1.6 CRITERIA FOR EVALUATION OF PROPOSALS

A proposal must meet the following minimum standards to be reviewed. Proposals not meeting these minimum standards are considered non-responsive and will not be reviewed or scored. The proposal must:

Have been submitted by the deadline of September 18, 2026, no later than 4:00 PM Central Time;

Be complete with all required attachments and contain original signatures;

Be for specific services requested and described in the RFP packet;

Contain no evidence of real or apparent conflict of interest.

All proposals will be screened for inclusion of all required information prior to release to the evaluation team. The Board may exclude from further consideration for contract award any non-responsive proposal or portion of a proposal.

An evaluation team will select the proposer based on a total review of the proposer’s qualifications, work plan, and proposed cost. Specifically, the evaluation team will base their recommendation on the following elements in the review process:

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Depth of the firm’s understanding of and experience with Single Audits and requirements under Uniform Guidance (2 CFR Part 200, Subpart F)

40 points

Staff Qualifications 20 points

Audit Approach & Planned Timeline 30 points

Fees 10 points

A minimum of seventy (70) points is required for a proposer to be considered for contract award.

1.7 PROPOSAL CONDITIONS

General Conditions

The following general conditions should be considered by proposers in preparing responses:

The main purpose of the RFP is to ensure uniform information in the solicitation of a Single Audit conducted by a CPA firm experienced in audits of nonprofits receiving federal and state funds. This RFP is not to be construed as a purchase agreement or contract, or as a commitment of any kind.

The Board reserves the right to correct any error(s) and/or make changes to this solicitation, as it deems necessary. It will provide notifications of such changes to all proposers recorded in the official record as having received or requested an RFP.

The Board reserves the right to accept or reject any or all proposals received as a result of this request, to negotiate with all qualified proposers, or to cancel in part or in its entirety this RFP if it is in the best interest of the Board to do so.

The Board shall not be liable to the selected proposer(s) for any costs incurred for services rendered by proposer before the commencement of a resultant contact or after termination of the contract.

The Board reserves the right to request additional information, clarification of, or explanation for any aspect of a response to this RFP.

All costs directly or indirectly related to preparation of a response to the RFP or any oral presentation required to supplement and/or clarify a proposal which may be required by the Board shall be the sole responsibility of and borne by the proposer.

Proposals must conform to all relevant federal, state and local regulations and policies.

The Board specifically reserves the right to vary the provisions set forth herein at any time prior to execution of a contract where such variance is deemed to be in the best interest of the Board, and to act otherwise as is deemed necessary at their sole discretion.

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The Board is not under any legal requirement to execute a resulting contract, if any, on the basis of this procurement, and intends that the material provided herein serves only as a means of identifying the various contract alternatives and the general cost of services desired.

All proposals and their accompanying attachments become the property of the Board upon submission.

Materials submitted will not be returned. All proposals are subject to the Texas Public Information Act.

Procurement information shall be a public record to the extent provided by the Texas Public Information Act and shall be available to the public as provided therein. If a proposal contains information that the bidder considers proprietary and does not want disclosed to the public, or used for any purpose other than the evaluation of the offer, all such information must be indicated with the following suggested language:

The information contained on pages________ shall not be duplicated, used in whole or in part, for any purpose other than to evaluate the proposal; provided that if a Contract is awarded to this office as a result of or in connection with the submission of such information, the Board has the right to duplicate, use or disclose this information to the extent provided in the contract. This restriction does not limit the

Board’s right to use information contained therein if obtained from another source.

This is a negotiated procurement utilizing the Request for Proposal method. As such, an award does not have to be made to the proposer submitting the lowest priced proposal, but rather the proposer, as determined by the RFP evaluation process, having the most responsive proposal satisfying the Board’s requirements.

The proposed contract will be for the period from the date of execution until September 30, 2027 with the option to renew for up to four (4) additional one-year periods.

The parties to the proposed contract will be the Board and the entity selected as a result of this solicitation, to be executed by an official of the entity duly authorized to legally bind the firm to contractual terms and conditions. The Board shall not be a party to any subcontract or third-party contract that the contractor requires to perform under the proposed contract. The contractor shall be solely responsible for satisfying the deliverables and performance standards.

The Board reserves the rights to de-obligate, reduce, or cancel contract funding if the Board does not receive adequate funding from TWC or other funding sources or due to legislative changes. The contract resulting from this RFP will be made and entered into contingent of funds being available to cover the full term indicated herein. This contract is subject to cancellation, at any time, without prior notice, without penalty, either in whole or in part, if sufficient funds are not appropriated.

The proposed contract will be governed by and construed in accordance with the laws of the State of Texas within the jurisdiction of Bowie County.

The Contractor shall indemnify and hold harmless Workforce Solutions Northeast Texas, the Texas Workforce Commission (TWC), Bowie, Cass, Delta, Franklin, Hopkins, Lamar, Morris, Red River and Titus Counties, their officers, employees, agents, attorneys, representatives, successors and assigns from any and all claims, demands, costs, expenses (including attorney’s fees and expert witness fees), liabilities and losses of whatsoever kind or character arising out of or in connection with any act or omission of the Contractor or its officers, employees, or agents, during the term of this contract. Contractor shall assume on behalf of Workforce Solutions Northeast Texas and the indemnified parties described above, and conduct with due diligence and in good faith, the defense of any and all such claims whether or not the Workforce Solutions Northeast Texas is joined therein, even if such claims are groundless, false, or fraudulent. Contractor shall

Audit Services Page 10 of 28 only be liable to the Board for non-insured risks if the conduct of the Contractor resulting in the loss is negligent, intentional or reckless.

The successful contractor shall agree in the event of any dispute, claim, question, or disagreement arising from or relating to this contract or the breach thereof, the parties hereto shall use their best efforts to settle the dispute, claim, question, or disagreement. To this effect, they shall consult and negotiate with each other in good faith and, recognizing their mutual interests, attempt to reach a just and equitable solution satisfactory to both parties. If they do not reach such solution within a period of 60 calendar days, then, upon notice by either party to the other, all disputes, claims, questions, or differences shall be finally settled by arbitration administered in accordance with the Texas Alternative Disputes Resolution (ADR) Procedures Act.

The Board will not consider a proposal from a vendor for which the Board has had to cancel a similar contract at any Board or Workforce Center location statewide during the previous 36-month period for failure to perform in accordance with contract specifications.

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PART TWO - INSTRUCTIONS FOR SUBMITTING A PROPOSAL

2.1 GENERAL INSTRUCTIONS

Emphasis must be placed on addressing all the requirements of this RFP in a clear and concise manner.

All applicable attachments must be submitted as part of the proposal.

Any proprietary information should be clearly marked as confidential.

2.2 REQUIRED FORMAT

The proposal submitted in response to the RFP must be submitted to the Designated Contact via email in PDF format using 12-point font and must contain original or electronic signatures.

Proposal responses should all contain page numbers. Page numbers should be consecutive from beginning to end, including attachments. Proposals are not to be paginated by sections.

DO NOT submit materials that have not been specifically requested as they will not be reviewed.

It will be the responsibility of the proposer to obtain verification of receipt of the proposal. No proposal will be accepted after the deadline listed in this RFP packet.

The Proposal Packet should be in the following order:

1. Attachment A - Title Page

2. Attachment B – Proposer Identification and Additional Requirements

3. Attachment C – Cost Summary

4. Attachment D – Proposal Narrative

5. Attachment E – References

6. Attachment F – Texas Corporate Franchise Tax Certification

7. Attachment G – Certifications

8. Attachment H – Texas Certification of Public Subsidy Restriction

9. Attachment I – Proposer Agreement

2.3 Additional Information Available

The following information will be made available to respondents that submit a written request for information to the Designated Contact:

Organization chart for Workforce Solutions Northeast Texas

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Chart of Accounts

Financial information about Workforce Solutions Northeast Texas

Copy of prior year reports

Other information considered appropriate

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ATTACHMENT A

A Proposal Submitted in Response to

RFP FY26-03: AUDIT SERVICES

Submitted By:

(Full Legal Name of Proposer)

On:

(Date of Proposal Submission)

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ATTACHMENT B

PROPOSER IDENTIFICATION

Please provide all requested information below:

Name and contact information of the individual and organization submitting the quote.

Indicate the type of organization that will be legally responsible for conducting the project. (i.e. corporation, sole proprietorship, partnership, etc.)

Address, phone number, fax number, website and email address.

Contact Person

Federal Employment Identification Number (FEIN#) and Ownership information, if applicable*

Background of individual(s) or organization (i.e. history, years in operation, etc.)

Area(s) of specialization

Prior experience in related field

Prior experience with the Texas Workforce System or other state or federally funded organizations or public entities.

List educational attainment including degrees earned of the individual(s) who will be responsible for service or product delivery.

*Ownership: Bid must include name of each individual with at least 10% ownership of the business entity submitting the bid.

ADDITIONAL REQUIREMENTS (AS APPLICABLE)

Insert any required attachments to support the information provided in the Proposer Identification narrative above.

This could include transcripts, certifications, resumes, or any other information necessary to support the proposal submission.

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ATTACHMENT C

COST SUMMARY

Include a detailed budget including a list of costs for services to be performed and fully explain the nature of these charges i.e., how costs are broken down (i.e., per day, hour, service, associated fees, etc.)

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ATTACHMENT D

PROPOSAL NARRATIVE

Describe the organizational size and structure of the firm.

Describe the background of the firm.

Location of business headquarters, office where work will be completed and number of professional staff at that office.

Range of services performed by the firm (such as auditing not-for-profit agencies, auditing governmental agencies, tax services, etc.)

Confirm that proposers are certified public accountants (CPA’s) presently engaged in the practice of public accountancy, either as a partnership or corporation and licensed to conduct business in the State of Texas.

Has the proposer undergone peer reviews? If so, please submit the most recent external peer review report and any letter of comment.

Are all staff current with the continuing education requirements contained in the Government Auditing Standards?

Identify the personnel who will work on the audit. A resume for each person to be assigned to the audit must be attached. Resumes should contain, at a minimum, the person’s name, educational background and audit experience through the present.

Include specific information which attests to the proposer’s capability to perform auditing services in accordance with the Single Audit Act and any amendments thereto. Discuss prior experience of the firm and staff in the auditing of state and federal funds and programs in accordance with Uniform Guidance (codified at 2 CFR Part 200, Subpart F).

Elaborate on the extent the Board staff would be expected to contribute to the work effort for this engagement.

Indicate the frequency of progress reports or progress meetings which the Board can anticipate during the engagement.

Submit a detailed work plan for accomplishing the audit requirements, target dates, techniques to be applied, identifying estimated hours by partners, managers and staff, by activity.

Since the preceding sections contain only data that is specially requested, give any additional information considered essential to this proposal. If there is no additional information, state in this section, “There is no additional information we wish to present.”

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ATTACHMENT E

REFERENCES

List of former clients for whom services similar to those in this solicitation have been performed in the last five (5) years. Failure to provide the following information at the time and date this RFP closes could affect proposer’s evaluation score under the qualifications evaluation criteria.

REFERENCE 1.

Name of the firm and point of contact to which the service was provided

Street address of the firm to which the service was provided

City State Zip Code

Fax Number Telephone Number _____________

REFERENCE 2.

REFERENCE 3.

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ATTACHMENT F

TEXAS CORPORATE FRANCHISE TAX CERTIFICATION

Pursuant to Article 2.45, Texas Business Corporation Act, state agencies may not contract with for-profit corporations that are delinquent in making state franchise tax payments. The following certification that the corporation entering into this contract is current in its franchise taxes must be signed by the individual authorized on Form 2031, Corporate Board of Directors Resolution to sign the contract for the corporation.

The contractor executing this contract herein certifies that the following indicated statement is true and correct and that the contractor understands that the undersigned understands making a false statement is a material breach of contract and is grounds for contract cancellation.

Not applicable. Contractor is not a corporation.

Indicate the certification that applies to your corporation:

The Corporation is a for-profit corporation and certifies that it is not delinquent in its franchise tax payments to the State of Texas.

The Corporation is a non-profit corporation or is otherwise not subject to payment of franchise tax payments to the State of Texas.

STATE ASSESSMENT CERTIFICATION

The authorized representative of the corporation contracting herein by executing this contract certifies that the following indicated statement is true and correct and that the undersigned understands making a false statement is a material breach of contract and is grounds for contract cancellation.

The corporation certifies that:

The corporation is current in Unemployment Insurance Taxes, Payday and Child Labor Law monetary obligations, and Proprietary School fees and assessments payable to the State of Texas.

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The Corporation has no outstanding Unemployment Insurance overpayment balance payable to the State of Texas.

Name of Organization

Printed Name and Title of Authorized Representative

Signature of Authorized Representative Date

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ATTACHMENT G

CERTIFICATIONS

Lobbying; Debarment, Suspension and Other Responsibility Matters;

Drug Free Workplace; Conflict of Interest; Non-Collusion and Non-Inducement

SECTION 1 - Lobbying

This certification is required by the Federal Regulations, implementing Section 1352 of the Program Fraud and Civil Remedies Act, Title 31 U.S. Code, for the Department of Agriculture (7 CFR Part 3018), Department of Labor (29 CFR Part 93), Department of Education (34 CFR Part 82), Department of Health and Human Services (45 CFR Part 93).

The undersigned certifies that:

1.1 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 employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal grant award, grant, loan or cooperative agreement.

1.2 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, and officer or employee of Congress, or an employee of a Member of Congress in connection with this federal grant award, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

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

SECTION 2 - Debarment, Suspension, and Other Responsibility Matters

This certification is required by the Federal Regulations, implementing Executive Order 12549, Government-wide Debarment and Suspension, for the Department of Agriculture (7 CFR Part 3017), Department of Labor (29 CFR Part 98), Department of Education (34 CFR Part 85), Department of Health and Human Services (45 CFR Part 76).

The undersigned certifies that neither it nor its principals:

2.1 Are presently debarred, suspended, proposed for debarment, and declared ineligible or voluntarily excluded

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2.2 Have not within a three-year period preceding this grant award been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or grant award under a public transaction, violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

2.3 Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity with commission of any of the offenses enumerated in Paragraph (2) of this certification; and

2.4 Have not within a three-year period preceding this grant award had one or more public transactions terminated for cause or default.

SECTION 3 - Drug-Free Workplace:

This certification is required by the Federal Regulations, implementing Sections 5151-5160 of the Drug-Free Workplace Act, 41 U.S.C. 701; for the Department of Agriculture (7 CFR Part 3017), Department of Labor (29 CFR Part 98), Department of Education (34 CFR Part 85), and Department of Health and Human Services (45 CFR Part 76).

The undersigned certifies that it shall provide a drug-free workplace by:

3.1 Publishing a policy statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the workplace and specifying the consequences of any such action by an employee;

3.2 Establishing an ongoing drug-free awareness program to inform employees of the dangers of drug abuse in the workplace, the Board’s policy of maintaining a drug-free workplace, the availability of counseling, rehabilitation and employee assistance programs, and the penalties that may be imposed on employees for drug abuse violations in the workplace;

3.3 Providing each employee with a copy of the policy statement;

3.4 Notifying the employees in the policy statement that as a condition of employment under this grant award, employees shall abide by the terms of the policy statement and notifying the employer in writing within five days after any conviction for a violation by the employee of a criminal drug statute in the workplace;

3.5 Notifying the Agency within ten days of receipt of a notice of a conviction of an employee; and

3.6 Taking appropriate personnel action against an employee convicted of violating a criminal drug statute or requiring such employee to participate in a drug abuse assistance or rehabilitation program.

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SECTION 4 – Conflict of Interest

4.1 Proposer affirms that no manager, employee or paid consultant of the Proposer is a member of the Policy Board, the Chair, or a manager of the Board;

4.2 Proposer affirms that no manager or paid consultant of the Proposer is a spouse to a member of the Policy Board, the Chair, or a manager of the Board;

4.3 Proposer affirms that no member of the Policy Board, the President or an employee of the Board owns or controls more than a 10 percent in the Proposer;

4.4 Proposer affirms that no spouse of a member of the Policy Board, Chair or employee of the Board is a manager, manager or paid consultant of the Proposer;

4.5 Proposer affirms that no member of the Policy Board, Chair, or employee of the Board receives compensation from Proposer for lobbying activities as defined in federal laws or Chapter 305 of the Texas Government Code;

4.6 Proposer has disclosed within the Proposal any interest, fact or circumstance which does or may present a potential conflict of interest;

4.7 Should proposer fail to abide by the foregoing covenants and affirmations regarding conflict of interest, Proposer shall not be entitled to the recovery of any costs or expenses incurred in relation to any contract with the Board and shall immediately refund to the Board any fees or expenses that may have been paid under the contract and shall further be liable for any other costs incurred or damages sustained by the Board relating to that contract.

SECTION 5 – Non-Collusion

The undersigned respondent hereby certifies that he/she has made this proposal independently, without consultation, communication, or agreement for the purpose of restricting competition as to any matter relating to this proposal, with any other respondent or with any other competitor.

SECTION 6 – Non- Inducements

The undersigned respondent hereby certifies that neither he/she nor any employee, representative, or agent of the firm responding has offered or given gratuities (in the form of entertainment, gifts, or otherwise) to any Board Member, official, or employee of the Workforce Solutions Northeast Texas with intent to secure favorable treatment in the awarding, amending, or making of any determination with respect to the performance of this contract.

SECTION 7 - Certification

These certifications are a material representation of fact upon which reliance is placed when entering into this transaction. Signature by an authorized representative of the awardee and return of this document to the Agency are prerequisites for finalizing the award.

Where the undersigned awardee is unable to certify to any of the statements above, an explanation shall be attached.

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The undersigned certifies that the indicated statements are true and correct and understands that making a false statement is a material breach of the contract and is grounds for contract cancellation.

The person signing this contract on behalf of the awardee hereby warrants that he/she has been fully authorized to execute this contract on behalf of the awardee and to legally bind the awardee to all the terms, performances and provisions herein set forth.

Signature Date

Typed Name and Title of Authorized Representative

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ATTACHMENT H

TEXAS CERTIFICATION OF PUBLIC SUBSIDY RESTRICTION

“Pursuant to Texas Government Code §2264.051, a business that applies to receive a public subsidy from a state agency shall certify that the business, or a branch, division, or department of the business does not and will not knowingly employ an undocumented worker2 as defined in Texas Government Code, §2264.001(4).”

“The undersigned authorized representative of the entity making the offer or application herein understands and certifies that:

the following indicated statement is true and correct;

making a false statement is a material breach of contract and grounds for contract cancellation; and if, after receiving a public subsidy, the entity is convicted of a violation under 8 United States Code §1324a (f) (relating to the unlawful employment of undocumented workers) the entity shall repay the amount of the public subsidy with interest, at the rate provided under the contract issued pursuant to this offer or application, within 120 days of receiving the notice of violation.)

Signature of the person authorized to make this agreement Date signed

Printed Name Title/Position

Be aware that, in the event that a business grantee is found in violation of 8 U.S.C. §1324a(f), consistent with the requirements of Texas Government Code §2264, Boards are permitted to bring a civil action to recover any amounts owed, as well as court costs and reasonable attorney’s fees.

REFERENCE:

United States Code, Chapter 8, §1324

Texas Finance Code §304

Texas Government Code §2251

Texas Government Code §2264 (House Bill 1196, 80th Legislature, Regular Session (2007))

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Public subsidy is broadly defined Texas Government Code §2264.001(3)) as a public program or public benefit or assistance of any type that is designed to stimulate the economic development of a corporation, industry, or sector of the state’s economy or to create or retain jobs in Texas. The term includes, among other things, bonds, grants, loans, loan guarantees, benefits relating to an enterprise or empowerment zone, infrastructure development and improvements designed to principally benefit a single business or defined group of businesses, and matching funds. The Commission’s Office of General Counsel has found that HB 1196 does not apply to the acquisition of goods and services.

Undocumented worker is defined as an individual who, at the time of employment, is not lawfully admitted for permanent residence in the United States, or is not authorized under law to be employed in that manner in the United States.

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ATTACHMENT I

PROPOSER AGREEMENT

The proposer must sign this offering. By signing below, the proposer’s firm agrees to provide the items and services described above and agrees to abide by all the terms and conditions as specified in this document and in any contract resulting from an award based on this Request for Proposal (RFP). Any exceptions taken to the terms and conditions as set forth in this document must be identified in detail and accompany this offering. Any exceptions not identified in detail at the time this proposal is presented will not be considered.

Signature of the person authorized to make this agreement Date signed

Printed name of the person signing above

Name of Firm

Telephone Number Fax Number

Email Address

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ATTACHMENT J

Questions Regarding this Request for Proposal*

Question 1: ______________________________________________________________________

Question 2: ______________________________________________________________________

Question 3: ______________________________________________________________________

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Question 4: ______________________________________________________________________

Submitted By: ____________________________________________________________________

Date: ____________________________________________________________________

*May attach additional sheets if necessary.