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HomeMy WebLinkAboutResolution - 2023-R0150 - Contract 17201 with New Gen Strategies and Solutions, LLC 3.21.23Resolution No. 2023-R0150 Item No. 6.7 March 21, 2023 RESOLUTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: THAT the Mayor of the City of Lubbock is hereby authorized and directed to execute for and on behalf of the City of Lubbock, Professional Services Contract No. 17201 for consulting services related to reviewing, evaluating, designing and implementing water and wastewater cost of service, rates, and financial models, by and between the City of Lubbock and NewGen Strategies and Solutions, LLC, and related documents. Said Contract is attached hereto and incorporated in this resolution as if fully set forth herein and shall be included in the minutes of the City Council. Passed by the City Council on March 21, 2023 TRA E; MAYOR ATTEST: L/ Co ney Paz, Inte City Se tary APPROVED AS TO CONTENT: Erik Rejino, Assistant City Manager APPROVED AS TO FORM: ims, bepTrfy-City Attorney RESTS& NewGen 17201 Resolution No. 2023-R0150 Professional Services Agreement STATE OF TEXAS § COUNTY OF LUBBOCK § This Professional Service Agreement ("Agreement") Contract No. 17201 is entered into this 21st day of March, 2023, is by and between the City of Lubbock (the "City"), a Texas home rule municipal corporation, and NewGen Strategies and Solutions, LLC. (the "Consultant"), a corporation authorized to conduct business in Texas. WITNESSETH WHEREAS, The City desires to obtain consulting services related to reviewing, evaluating, designing and implementing water and wastewater cost of service, rates, and financial models (the "Activities"); and WHEREAS, the Consultant has a professional staff experienced and is qualified to provide professional Consulting services related to Activities, and will provide the services, as defined below, for the price provided herein, said price stipulated by the City and the Consultant to be a fair and reasonable price; and WHEREAS, the City desires to contract with the Consultant to provide professional services related to the Activities, and Consultant desires to provide the Services related to same. NOW THEREFORE, for and in consideration of the terms, covenants and conditions set forth in this Agreement, the City and the Consultant hereby agree as follows: ARTICLE I. TERM The term of this Agreement commences on the Effective Date and continues without interruption for a term of 36 months. If the Consultant determines that additional time is required to complete the Services, the Director of Water Utilities, may, but is not obligated to, in his or her discretion, execute an agreement to grant up to an additional six (6) months of time so long as the amount of the consideration does not increase. An amendment to this Agreement resulting in an increase in the amount of the consideration must be approved by the City acting through its governing body. ARTICLE II. SERVICES AND COMPENSATION A. The Consultant shall conduct all activities, and within such timeframes, as set forth on Exhibit "A", attached hereto (the "Services") B. The Consultant shall receive as consideration to be paid for the performance of the Services, in an amount not to exceed $152,586 as set forth in Exhibit "B". ARTICLE III. TERMINATION A. General. The City may terminate this Agreement, for any reason or convenience, upon thirty (30) days written notice to the Consultant. In the event this Agreement is so terminated, the City shall only pay the Consultant for services actually performed by the Consultant up to the date the Consultant is deemed to have received notice of termination, as provided herein. B. Termination and Remedies. In the event the Consultant breaches any term and/or provision of this Agreement, the City shall be entitled to exercise any right or remedy available to it by this Agreement, at law, equity, or otherwise, including without limitation, termination of this Agreement and assertion of an action for damages and/or injunctive relief. The exercise of any right or remedy shall not preclude the concurrent or subsequent exercise of any right or remedy and all rights and remedies shall be cumulative. ARTICLE IV. NON - ARBITRATION The City reserves the right to exercise any right or remedy available to it by law, contract, equity, or otherwise, including without limitation, the right to seek any and all forms of relief in a court of competent jurisdiction. Further, the City shall not be subject to any arbitration process prior to exercising its unrestricted right to seek judicial remedy. The remedies set forth herein are cumulative and not exclusive, and may be exercised concurrently. To the extent of any conflict between this provision and another provision in, or related to, this Agreement, this provision shall control. ARTICLE V. REPRESENTATIONS AND WARRANTIES A. Existence. The Consultant is a corporation duly organized, validly existing, and in good standing under the laws of the State of Texas and is qualified to carry on its business in the State of Texas. Water & Wastewater Financial Management & Rate Support Services Page 2 of 15 B. Corporate Power. The Consultant has the corporate power to enter into and perform this Agreement and all other activities contemplated hereby. C. Authorization. Execution, delivery, and performance of this Agreement and the activities contemplated hereby have been duly and validly authorized by all the requisite corporate action on the part of the Consultant. This Agreement constitutes legal, valid, and binding obligations of the Consultant and is enforceable in accordance with the terms thereof. D. Consultant. The Consultant maintains a professional staff and employs, as needed, other qualified specialists experienced in providing the Services, and is familiar with all laws, rules, and regulations, both state and federal, including, without limitation the applicable laws, regarding the Activities contemplated hereby. E. Performance. The Consultant will and shall conduct all activities contemplated by this Agreement in accordance with the standard of care, skill and diligence normally provided by a professional person in performance of similar professional services, and comply with all applicable laws, rules, and regulations, both state and federal, relating to professional services, as contemplated hereby. F. Use of Copyrighted Material. The Consultant warrants that any materials provided by the Consultant for use by City pursuant to this Agreement shall not contain any proprietary material owned by any other party that is protected under the Copyright Act or any other law, statute, rule, order, regulation, ordinance or contractual obligation relating to the use or reproduction of materials. The Consultant shall be solely responsible for ensuring that any materials provided by the Consultant pursuant to this Agreement satisfy this requirement and the Consultant agrees to indemnify and hold City harmless from all liability or loss caused to City or to which City is exposed on account of the Consultant's failure to perform this duty. ARTICLE VI. SCOPE OF WORK The Consultant shall accomplish the following: Professional Services related to the Services, as provided in Exhibit "A", attached hereto and made a part hereof. ARTICLE VII. INDEPENDENT CONTRACTOR STATUS The Consultant and the City agree that the Consultant shall perform the duties under this Agreement as an independent contractor and shall be considered as independent contractor under this Agreement and/or in its activities hereunder for all purposes. The Consultant has the sole discretion to determine the manner Water & Wastewater Financial Management & Rate Support Services Page 3 of 15 in which the Services are to be performed. During the performance of the Services under this Agreement, the Consultant and the Consultant's employees and/or sub -consultants, will not be considered, for any purpose, employees or agents of the City within the meaning or the application of any federal, state or local law or regulation, including without limitation, laws, rules or regulations regarding or related to unemployment insurance, old age benefits, workers compensation, labor, personal injury or taxes of any kind. ARTICLE VIII. INSURANCE The Consultant shall procure and carry, at its sole cost and expense through the life of this Agreement, except as otherwise provided herein, insurance protection as hereinafter specified, in form and substance satisfactory to the City, carried with an insurance company authorized to transact business in the state of Texas, covering all aspects and risks of loss of all operations in connection with this Agreement, including without limitation, the indemnity obligations set forth herein. The Consultant shall obtain and maintain in full force and effect during the term of this Agreement, and shall cause each approved subcontractor or sub -consultant of the Consultant to obtain and maintain in full force and effect during the term of this Agreement, commercial general liability, professional liability and automobile liability coverage for non -owned and hired vehicles with insurance carriers admitted to do business in the state of Texas. The insurance companies must carry a Best's Rating of A-VII or better. Except for Professional Liability, the policies will be written on an occurrence basis, subject to the following minimum limits of liability: Commercial General Liability: Per Occurrence Single Limit: $1,000,000 General Aggregate Limit: $2,000,000 Professional Liability: Per Claim and in the Aggregate Limit: $2,000,000 Automobile Liability: Combined Single Limit for any auto: $1,000,000 Per Occurrence Employer's Liability: Per Occurrence Single Limit: $1,000,000 The Consultant shall further cause any approved subcontractor or sub -consultant to procure and carry, during the term of this Agreement, the insurance coverage required of Consultant herein, including Water & Wastewater Financial Management & Rate Support Services Page 4 of 15 without limitation, Professional Liability coverage, protecting the City against losses caused by the professional negligence of the approved subcontractor or sub -consultant. The City shall be listed as a primary and noncontributory additional insured with respect to the Automobile Liability and Commercial General Liability and shall be granted a waiver of subrogation under those policies. The Consultant shall provide a Certificate of Insurance to the City as evidence of coverage. The Certificate shall provide 30 days' notice of cancellation. A copy of the additional insured endorsement and waiver of subrogation attached to the policy shall be included in the Certificate. The Consultant shall elect to obtain worker's compensation coverage pursuant to Section 406.002 of the Texas Labor Code. Further, the Consultant shall maintain said coverage throughout the term of this Agreement and shall comply with all provisions of Title 5 of the Texas Labor Code to ensure that the Consultant maintains said coverage. The Consultant may maintain Occupational Accident and Disability Insurance in lieu of Worker's Compensation. In either event, the policy must be endorsed to include a waiver of subrogation in favor of the City. If at any time during the life of the Agreement or any extension hereof, the Consultant fails to maintain the required insurance in full force and effect, the Consultant shall be in breach hereof and all work under the Agreement shall be discontinued immediately. Notwithstanding anything contained herein to the contrary, the professional liability policy shall be maintained at the Consultant's sole cost and expense. The retroactive date shall be no later than the commencement of the performance of this Agreement and the discovery period (possibly through tail coverage) shall be no less than 10 years after the completion of the Services provided for in this Agreement. The provisions of this Article VIII shall survive the termination or expiration of this Agreement. ARTICLE IX. EMPLOYMENT OF AGENTS/RETAINING OF CONSULTANTS The Consultant may employ or retain consultants, contractors, or third parties (any of which are referred to herein as "Sub -consultant"), to perform certain duties of Consultant, as set forth on Exhibit A, attached hereto, under this Agreement, provided that the City approves the retaining of Sub -consultants. The Consultant is at all times responsible to the City to perform the Services as provided in this Agreement and the Consultant is in no event relieved of any obligation under this Agreement upon retainage of any approved Sub -consultant. Any agent and/or Sub -consultant retained and/or employed by the Consultant shall be required by the Consultant to carry, for the protection and benefit of the City and the Consultant and naming said third parties as additional insureds, insurance as described above required to be carried by the Consultant in this Agreement. Water & Wastewater Financial Management & Rate Support Services Page 5 of 15 The Consultant represents that such services are either under applicable value thresholds or are otherwise exempt from notice and/or bid requirements under Texas Law. ARTICLE X. CONFIDENTIALITY The Consultant shall retain all information received from or concerning the City and the City's business in strictest confidence and shall not reveal such information to third parties without prior written consent of the City, unless otherwise required by law. ARTICLE XI. INDEMNITY THE CONSULTANT SHALL INDEMNIFY AND SAVE HARMLESS THE CITY OF LUBBOCK AND ITS ELECTED OFFICIALS, OFFICERS, AGENTS, AND EMPLOYEES FROM ALL SUITS, ACTIONS, LOSSES, DAMAGES, CLAIMS, OR LIABILITY OF ANY KIND, CHARACTER, TYPE, OR DESCRIPTION, INCLUDING WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, ALL EXPENSES OF LITIGATION, COURT COSTS, AND REASONABLE ATTORNEY'S FEES, FOR INJURY OR DEATH TO ANY PERSON, OR INJURY TO ANY PROPERTY, RECEIVED OR SUSTAINED BY ANY PERSON OR PERSONS OR PROPERTY, TO THE EXTENT ARISING OUT OF, RELATED TO OR OCCASIONED BY, THE NEGLIGENT ACTS OF THE CONSULTANT, ITS AGENTS, EMPLOYEES, AND/OR SUBCONSULTANTS, RELATED TO THE PERFORMANCE, OPERATIONS OR OMISSIONS UNDER THIS AGREEMENT AND/OR THE USE OR OCCUPATION OF CITY OWNED PROPERTY. THE INDEMNITY OBLIGATION PROVIDED HEREIN SHALL SURVIVE THE EXPIRATION OR TERMINATION OF THIS AGREEMENT. ARTICLE XII. COMPLIANCE WITH APPLICABLE LAWS The Consultant shall comply with all applicable federal, state and local laws, statutes, ordinances, rules and regulations relating, in any way, manner or form, to the activities under this Agreement, and any amendments thereto. ARTICLE XIII. NOTICE A. General. Whenever notice from the Consultant to the City or the City to the Consultant is required or permitted by this Agreement and no other method of notice is provided, such notice shall be given by (1) actual delivery of the written notice to the other party by hand (in which case such notice shall Water & Wastewater Financial Management & Rate Support Services Page 6 of 15 be effective upon delivery); (2) facsimile (in which case such notice shall be effective upon delivery); or (3) by depositing the written notice in the United States mail, properly addressed to the other party at the address provided in this article, registered or certified mail, return receipt requested, in which case such notice shall be effective on the third business day after such notice is so deposited. B. Consultant's Address. The Consultant's address and numbers for the purposes of notice are: NewGen Strategies and Solutions, LLC Chris Ekrut, Director 1300 E. Lookout Drive, Suite 100 Richardson, Texas 75082 Telephone: (972) 232-2234 Email: cekrut -,nenenstrategies.net C. City's Address. The City's address and numbers for the purposes of notice are: City of Lubbock Aubrey A. Spear, P.E., Director of Water Utilities 406 Municipal Drive Lubbock, Texas 79457 Telephone: 806-775-2585 Email: as M&mylubbock.us D. Change of Address. Either party may change its address or numbers for purposes of notice by giving written notice to the other party as provided herein, referring specifically to this Agreement, and setting forth such new address or numbers. The address or numbers shall become effective on the 15th day after such notice is effective. ARTICLE XIV. CITY -PROVIDED DATA AND RESPONSIBILITIES Provision of Data. The City shall furnish the Consultant non -confidential studies, reports and other available data in the possession of the City pertinent to the Consultant's Services, and as the Consultant is entitled to rely on such studies, reports and other data for the performance of the Consultant's Services under this Agreement (the "Provided Data"). The Consultant shall be entitled to use and rely, so long as such reliance is reasonable, upon all such Provided Data. Water & Wastewater Financial Management & Rate Support Services Page 7 of 15 ARTICLE XV. MISCELLANEOUS A. Captions. The captions for the articles and sections in this Agreement are inserted in this Agreement strictly for the parties' convenience in identifying the provisions to this Agreement and shall not be given any effect in construing this Agreement. B. Audit. The Consultant shall provide access to its corporate books and records to the City. The City may audit, at its expense and during normal business hours, the Consultant's books and records with respect to this Agreement between the Consultant and the City. C. Records. The Consultant shall maintain records that are necessary to substantiate the services provided by the Consultant. D. Assignability. The Consultant may not assign this Agreement without the prior written approval of the City. E. Successor and Assigns. This Agreement binds and inures to the benefit of the City and the Consultant, and in the case of the City, its respective successors, legal representatives, and assigns, and in the case of the Consultant, its permitted successors and assigns. F. Construction and Venue. THIS AGREEMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF TEXAS. THIS AGREEMENT IS PERFORMABLE IN LUBBOCK COUNTY, TEXAS. THE PARTIES HERETO HEREBY IRREVOCABLY CONSENT TO THE SOLE AND EXCLUSIVE JURISDICTION AND VENUE OF THE COURTS OF COMPETENT JURISDICTION OF THE STATE OF TEXAS, COUNTY OF LUBBOCK, FOR THE PURPOSES OF ALL LEGAL PROCEEDINGS ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE ACTIONS THAT ARE CONTEMPLATED HEREBY. G. Severability. If any provision of this Agreement is ever held to be invalid or ineffective by any court of competent jurisdiction with respect to any person or circumstance, the remainder of this Agreement and the application of such provision to persons and/or circumstances other than those with respect to which it is held invalid or ineffective shall not be affected thereby. Water & Wastewater Financial Management & Rate Support Services Page 8 of 15 H. Amendment. No amendment, modification, or alteration of the terms of this Agreement shall be binding unless such amendment, modification, or alteration is in writing, dated subsequent to this Agreement, and duly authorized and executed by the Consultant and the City. I. Entire Agreement. This Agreement, including Exhibits "A" through "B" attached hereto, contains the entire agreement between the City and the Consultant, and there are no other written or oral promises, conditions, warranties, or representations relating to or affecting the matters contemplated herein. J. No Joint Enterprise. Nothing contained herein shall be construed to imply a joint venture, joint enterprise, partnership or principal — agent relationship between the Consultant and the City. K. Documents Owned by City. Any and all documents, drawings and specifications prepared by Consultant as part of the Services hereunder, shall become the property of the City when the Consultant has been compensated as set forth in Article II, above. The Consultant shall make copies of any and all work products for its files. L. Notice of Waiver. A waiver by either the City or the Consultant of a breach of this Agreement must be in writing and duly authorized to be effective. In the event either party shall execute and deliver such waiver, such waiver shall not affect the waiving party's rights with respect to any other or subsequent breach. M. Third Party Activities. Nothing in this Agreement shall be construed to provide any rights or benefits whatsoever to any party other than the City and the Consultant. N. Non -Appropriation. All funds for payment by the City under this Agreement are subject to the availability of an annual appropriation for this purpose by the City. In the event of non -appropriation of funds by the City Council of the City of Lubbock for the services provided under the Agreement, the City will terminate the Agreement, without termination charge or other liability, on the last day of the then - current fiscal year or when the appropriation made for the then -current year for the services covered by this Agreement is spent, whichever event occurs first (the "Non -Appropriation Date"). If at any time funds are not appropriated for the continuance of this Agreement, cancellation shall be accepted by the Consultant on thirty (30) days prior written notice, but failure to give such notice shall be of no effect and the City shall not be obligated under this Agreement beyond the Non -Appropriation Date. Water & Wastewater Financial Management & Rate Support Services Page 9 of 15 O. SB 252. SB 252 prohibits the City from entering into a contract with a vendor that is identified by The Comptroller as a company known to have contracts with or provide supplies or service with Iran, Sudan or a foreign terrorist organization. P. No Boycott of Israel. Section 2270.002, Government Code, (a) This section applies only to a contract that: (1) Is between a governmental entity and a company with 10 or more full-time employees; and (2) has a value of $100,000 or more that is to be paid wholly or partly from public funds of the governmental entity. (b) A governmental entity may not enter into a contract with a company for goods or services unless the contract contains a written verification from the company that it: (1) does not boycott Israel; and (2) will not boycott Israel during the term of the contract. Q. Texas Government Code 2274. By entering into this Agreement, Contractor verifies that: (1) it does not, and will not for the duration of the contract, have a practice, policy, guidance, or directive that discriminates against a firearm entity or firearm trade association or (2) the verification required by Section 2274.002 of the Texas Government Code does not apply to the contract. If Contractor is a company with 10 or more full-time employees and if this Agreement has a value of at least $100,000 or more, Contractor verifies that, pursuant to Texas Government Code Chapter 2274, it does not have a practice, policy, guidance, or directive that discriminates against a firearm entity or firearm trade association; and will not discriminate during the term of the contract against a firearm entity or firearm trade association. R. Contractor represents and warrants that: (1) it does not, and will not for the duration of the contract, boycott energy companies or (2) the verification required by Section 2274.002 of the Texas Government Code does not apply to the contract. If Contractor is a company with 10 or more full-time employees and if this Agreement has a value of at least $100,000 or more, Contractor verifies that, pursuant to Texas Government Code Chapter 2274, it does not boycott energy companies; and will not boycott energy companies during the term of the Agreement. This verification is not required for an agreement where a governmental entity determines that these requirements are inconsistent with the governmental entity's constitutional or statutory duties related to the issuance, incurrence, or management of debt obligations or the deposit, custody, management, borrowing, or investment of funds. S. Texas Public Information Act. The requirements of Subchapter J, Chapter 552, Government Code, may apply to this contract and the contractor or vendor agrees that the contract can be terminated if the contractor or vendor knowingly or intentionally fails to comply with a requirement of that subchapter. To the extent Subchapter J, Chapter 552, Government Code applies to this agreement, Contractor agrees to: (1) preserve all contracting information related to the contract as provided by the records retention Water & Wastewater Financial Management & Rate Support Services Page 10 of 15 requirements applicable to the governmental body for the duration of the contract; (2) promptly provide to the governmental body any contracting information related to the contract that is in the custody or possession of the entity on request of the governmental body; and (3) on completion of the contract, either: (A) provide at no cost to the governmental body all contracting information related to the contract that is in the custody or possession of the entity; or (B) preserve the contracting information related to the contract as provided by the records retention requirements applicable to the governmental body. T. Professional Responsibility. All architectural or Consulting services to be performed shall be done with the professional skill and care ordinarily provided by competent architects or Consultants practicing under the same or similar circumstances and professional license. Water & Wastewater Financial Management & Rate Support Services Page 11 of 15 EXECUTED as of the Effective Date hereof. ATTEST: Co ney Paz, InterikVit,1Sec-r-/tajry APPROVED AS TO CONTENT: Aubrey A. Sp r, P.E., Director of Water Utilities APPROVED AS TO 'Attorney CITY OF L TRAY PA Firm NewGen Strategies & Solutions, LLC Chri, Director Water & Wastewater Financial Management & Rate Support Services Page 12 of 15 Exhibit A Scope of Services Water & Wastewater Financial Management and Rate Support Services Task 1— Update of Financial Plan and Identification of Revenue Requirements In Task 1, the Project Team will provide continued updating and monitoring of the prior Water and Sewer Financial Plans prepared for the City's Water and Wastewater Utilities. As part of these updates, the Project Team will work with the City to incorporate updated Master Plans, including the Water Supply Master Plan, and estimates of upcoming capital projects reflective of anticipated funding source (e.g., cash -funded, debt -funded, grants, etc.). This Task will also include annual unit cost projections which may be used by the City to monitor and assess its competitive position relative to ongoing economic development activity. Task 1 Deliverables: ■ Workpapers and schedules supporting updated revenue requirement projection. ■ As -needed teleconferences with City staff to discuss results and requested revisions. ■ In -person work sessions with Water Advisory Commission, as needed. Task 2 — Financial Forecasting and Rate Model Enhancement and Support As requested by City Staff and reflective of other potential policy changes enacted by the City Council, the Project Team will continue to provide ongoing support to City staff in the regular update and maintenance of the City's water and wastewater financial forecasting and rate models. As may be requested, our Team will make necessary changes to the financial forecasting and rate models to incorporate cost and rate structure amendments and enhance the Model's reporting capabilities specific to financial metrics. The Project Team will make requested changes at the direction of Staff and then meet, as necessary, to demonstrate the revised models. In the interest of project cost, the Project Team anticipates meetings to demonstrate model revisions will be conducted via teleconference or webinar, but will happily conduct these meetings on -site if the project budget will allow. Additionally, when requested, the Project Team will provide support to the City in preparation of required infographics or ad -hoc analysis in support of the management of the City's water and wastewater utilities. Task 2 Deliverables: As needed meetings with City staff to discuss changes to the Financial Forecasting and Rate Models. ■ Revised Financial Forecasting and Rate Models incorporating requested staff changes. ■ Teleconference/Webinar(s) to illustrate revised models, as needed. Water & Wastewater Financial Management & Rate Support Services Page 13 of 15 Task 3 — Wholesale and Industrial Customer Support On an as -needed basis, the Project Team will assist City staff in the review and analysis of the impact new wholesale or industrial customers will have on the City's water and wastewater system. This analysis will include, but not be limited to, an analysis of revenues under existing rates and appropriate pricing structures reflective of the cost of providing service based on defined demand levels, as well as pricing required to encourage economic development. When requested, the Project Team will also help in preparing briefing materials for City Management and the City Council on rates or the financial/operational impact of these customers. Work will be performed at the direction of City staff, and costs incurred by NewGen under this Task will not exceed the proposed budget without prior written authorization of the City. Additional services requested above these levels will be provided at a mutually negotiated price with the City. Task 3 Deliverables: ■ As -needed meetings with City staff to discuss potential changes or additions of Wholesale or Industrial customers. ■ Workpapers demonstrating financial and cost analysis in support of negotiations with Wholesale or Industrial customers. ■ Teleconference or In -person meetings as needed with City staff, the Water Advisory Commission, City Management, and/or the City Council to discuss Wholesale or Industrial customer matters. Proposed Project Schedule Services outlined above will be provided as needed and under the direction of City staff. Water & Wastewater Financial Management & Rate Support Services Page 14 of 15 Exhibit B Payment of Fees Water and Wastewater Financial Management and Rate Support Services CITY and Consultant have established a not -to -exceed fee of $152,586 to complete all services under this Contract on a percent complete basis, as shown below by task. This amount will not be exceeded without a contract amendment. The Consultant will invoice the City monthly based on estimated percent complete of each task. Fees for each task are estimates only and CITY and Consultant agree to allow redistribution of funds between Tasks as appropriate to allow flexibility in providing the needed services within the not -to -exceed fee. If a change in Scope of Services or Time of Performance becomes necessary, an amendment to this contract shall be negotiated at that time. The following table summarizes the fee estimated to be required to complete the above scope of schedule below. Task Description Task Budget Update of Financial Plan and Identification of Revenue Requirements $ 51,392 2 Financial Forecasting and Rate Model Enhancement and Support 55,697 3 Wholesale/Industrial Customer Support Total Amount 45,498 $152,586 Water & Wastewater Financial Management & Rate Support Services Page 15 of 15 DocuSign Envelope ID: 5A2BC82E-EC64-4051-8250-A412551A512B CERTIFICATE OF INTERESTED PARTIES FORM 1295 1 of 1 Complete Nos. 1- 4 and 6 if there are interested parties. 7-7 OFFICE USE ONLY Complete Nos. 1, 2, 3, 5, and 6 if there are no interested parties. CERTIFICATION OF FILING Certificate Number: 1 Name of business entity filing form, and the city, state and country of the business entity's place of business. 2023-1000189 NewGen Strategies and Solutions, LLC Richardson, TX United States Date Filed: 03/29/2023 2 Name of governmental entity or state agency that is a party to the contract for which the form is being filed. City of Lubbock, Texas Date Acknowledged: 3 Provide the identification number used by the governmental entity or state agency to track or identify the contract, and provide a description of the services, goods, or other property to be provided under the contract. 17201 Water and wastewater cost of service and rate study 4 Name of Interested Party City, State, Country (place of business) Nature of interest (check applicable) Controlling Intermediary Georgis, Tony Lakewood, CO United States X Lane, Mike Nashville, TN United States X Ekrut, Chris Richardson, TX United States X Yanke, Dave Austin, TX United States X 5 Check only if there is NO Interested Party. ❑ 6 UNSWORN DECLARATION My name is Chris D. Ekrut and my date of birth is My address is 275 W. Campbell Rd., Ste. 440 Richardson TX 75080 US (street) (city) (state) (zip code) (country) I declare under penalty of perjury that the foregoing is true and correct. Executed in Dallas County, State of Texas on the 24 day of AprII 2023 (month) (year) o�ccuSignby: -(�YLIteed� (p �D� l �S Signature of authorized agent of contracting business entity (Declarant) Forms provided by Texas Ethics Commission www.ethics.state.tx.us Version V3.5.1.3ac88bc0 CERTIFICATE OF INTERESTED PARTIES FORM 1295 1 of 1 Complete Nos. 1 - 4 and 6 if there are interested parties. OFFICE USE ONLY Complete Nos. 1, 2, 3, 5, and 6 if there are no interested parties. CERTIFICATION OF FILING Certificate Number: 1 Name of business entity filing form, and the city, state and country of the business entity's place of business. 2023-1000189 NewGen Strategies and Solutions, LLC Richardson, TX United States Date Filed: 03/29/2023 2 Name of governmental entity or state agency that is a party to the contract for which the form is being filed. City of Lubbock, Texas Date Acknowledged: 06/01/2023 g Provide the identification number used by the governmental entity or state agency to track or identify the contract, and provide a description of the services, goods, or other property to be provided under the contract. 17201 Water and wastewater cost of service and rate study 4 Name of Interested Party City, State, Country (place of business) Nature of interest (check applicable) Controlling Intermediary Georgis, Tony Lakewood, CO United States X Lane, Mike Nashville, TN United States X Ekrut, Chris Richardson, TX United States X Yanke, Dave Austin, TX United States X 5 Check only if there is NO Interested Party. ❑ 6 UNSWORN DECLARATION My name is and my date of birth is My address is (street) (city) (state) (zip code) (country) I declare under penalty of perjury that the foregoing is true and correct. Executed in County, State of on the day of , 20 (month) (year) Signature of authorized agent of contracting business entity (Declarant) Forms provided by Texas Ethics Commission www.ethics.state.tx.us Version V3.5.1.3ac88bc0