HomeMy WebLinkAboutResolution - 2023-R0282 - Contract 17170 with Weaver and Tidwell, LLP 6.13.23Resolution No. 2023-RO282
Item No. 5.7
June 13, 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, Contract No. 17170 for the audit of the annual
financial statements, by and between the City of Lubbock and Weaver and Tidwell, LLP, of
Dallas, Texas, 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 June 13, 2023
APPROVED AS TO CONTENT:
D. u Ko ich, Chi cial Officer
APPROVED AS TO FORM:
S' , Deputy City A ey
RES.Contract- 17170 Weaver and Tidwell
5.26.23
Resolution No. 2023-R0282
Contract 17170
City of Lubbock, TX
Audit of Annual Financial Statements
THIS CONTRACT made and entered into this 13 day of June 2023, by and between the
City of Lubbock ("City"), and Weaver and Tidwell, L.L.P. (Firm).
RECITALS
WHEREAS, the City has issued a Request for Proposals 23-17170-MA Audit of Annual
Financial Statements.
WHEREAS, the proposal submitted by the Firm has been selected as the proposal which
best meets the needs of the City for this service; and
WHEREAS, Firm desires to perform as an independent Firm to provide services upon
terms and conditions maintained in this Agreement; and
NOW THEREFORE, for and in consideration of the mutual promises contained herein, the
City and Firm agree as follows:
City and Firm acknowledge the Agreement consists of the following exhibits, which are
attached hereto and incorporated herein by reference, listed in their order of priority in the event
of inconsistent or contradictory provisions:
1. This Agreement
2. Exhibit A - General Requirements
3. Exhibit B • Proposal and Best and Final Offer
4. Exhibit C Insurance Requirements
Scope of Work
Firm shall provide the services that are specified in Exhibit A. The Firm shall comply with all the
applicable requirements set forth in Exhibit B, and C attached hereto.
Article 1
1.1 Certified public accountant firm to audit the City's financial statements, perform
the Federal and State Single Audits, perform the Passenger Facility Charge (PFC)
audit, perform agreed -upon procedures for the Texas Commission of
Environmental Quality, and prepare the accompanying reports for the fiscal years
ending September 30, 2023 through 2027 with the option to extend on an annual
basis through fiscal year ending 2030.
1.2 This contract shall remain in effect until the expiration date, performance of
services ordered, or termination by either party with a thirty (30) day written notice.
Such written notice must state the reason for cancellation. The City of Lubbock
does not guarantee any specific amount of compensation, volume, minimum, or
maximum amount of services under this proposal and resulting contract.
1.3 The Firm shall not assign any interest in this Agreement and shall not transfer any
interest in the Agreement, whatsoever, without prior consent of the City.
1.4 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 goods
or 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 goods
or services covered by this Agreement is spent, whichever event occurs first. If at
any time funds are not appropriated for the continuance of this Agreement,
cancellation shall be accepted by the Firm on 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 date of termination.
Article 2 Miscellaneous.
2.1 This Agreement is made in the State of Texas and shall for all purposes be construed
in accordance with the laws of said State, without reference to choice of law
provisions.
2.2 This Agreement is performable in, and venue of any action related or pertaining to
this Agreement shall lie in, Lubbock, Texas.
2.3 This Agreement and its Exhibits contains the entire agreement between the City
and Contractor and supersedes any and all previous agreements, written or oral,
between the parties relating to the subject matter hereof. No amendment or
modification of the terms of this Agreement shall be binding upon the parties unless
reduced to writing and signed by both parties.
2.4 This Agreement may be executed in counterparts, each of which shall be deemed
an original.
2.5 In the event any provision of this Agreement is held illegal or invalid, the remaining
provisions of this Agreement shall not be affected thereby.
2.6 The waiver of a breach of any provision of this Agreement by any parties or the
failure of any parties otherwise to insist upon strict performance of any provision
hereof shall not constitute a waiver of any subsequent breach or of any subsequent
failure to perform.
2.7 This Agreement shall be binding upon and inure to the benefit of the parties and
their respective heirs, representatives and successors and may be assigned by
Contractor or the City to any successor only on the written approval of the other
party.
2.8 All claims, disputes, and other matters in question between the Parties arising out
of or relating to this Agreement or the breach thereof, shall be formally discussed
and negotiated between the Parties for resolution. In the event that the Parties are
unable to resolve the claims, disputes, or other matters in question within 30 days
of written notification from the aggrieved Party to the other Party, the aggrieved
Party shall be free to pursue all remedies available at law or in equity.
2.9 At any time during the term of the contract, or thereafter, the City, or a duly
authorized audit representative of the City or the State of Texas, at its expense and
at reasonable times, reserves the right to audit Contractor's records and books
relevant to all services provided to the City under this Contract. In the event such
an audit by the City reveals any errors or overpayments by the City, Contractor
shall refund the City the full amount of such overpayments within 30 days of such
audit findings, or the City, at its option, reserves the right to deduct such amounts
owing the City from any payments due Contractor.
2.10 The City reserves the right to exercise any right or remedy 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 do.
2.11 The contractor shall not assignor sublet the contract, or any portion of the contract,
without written consent from the Director of Purchasing and Contract Management.
Should consent be given, the Contractor shall insure the Subcontractor or shall
provide proof of insurance from the Subcontractor that complies with all contract
Insurance requirements document, this provision shall control.
2.12 Contractor acknowledges by supplying any Goods or Services that the Contractor
has read, fully understands, and will be in full compliance with all terms and
conditions and the descriptive material contained herein and any additional
associated documents and Amendments. The City disclaims any terms and
conditions provided by the Contractor unless agreed upon in writing by the parties.
In the event of conflict between these terms and conditions and any terms and
conditions provided by the Contractor, the terms and conditions provided herein
shall prevail. The terms and conditions provided herein are the final terms agreed
upon by the parties, and any prior conflicting terms shall be of no force or effect.
2.13 Contractor acknowledges by supplying any Goods or Services that the Contractor
has read, fully understands, and will be in full compliance with all terms and
conditions and the descriptive material contained herein and any additional
associated documents and Amendments. The City disclaims any terms and
conditions provided by the Contractor unless agreed upon in writing by the parties.
In the event of conflict between these terms and conditions and any terms and
conditions provided by the Contractor, the terms and conditions provided herein
shall prevail. The terms and conditions provided herein are the final terms agreed
upon by the parties, and any prior conflicting terms shall be of no force or effect.
2.14 Contracts with Companies Engaged in Business with Iran, Sudan, or Foreign
Terrorist Organization Prohibited. Pursuant to Section 2252.152 of the Texas
Government Code, 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.
2.15 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 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.
2.16 No Boycott of Israel. Pursuant to Section 2271.002 of the Texas 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.
2.17 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.
2.18 Confidentiality. The Contractor 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.
2.19 Indemnify. The Contractor 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 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 Contractor, its
agents, employees, and/or subcontractors, 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.
IN WITNESS WHEREOF, this Agreement is executed as of the Effective Date.
CITY OF U�CK JC:
TRAY YOR
A ST:
Co ney Paz, City Se tary
APPROVED AS TO ONTENT:
D. Blu Kost ch, Chief Fin; ial Officer
APPROVED AS TO FORM:
Amy Sim eputy City Att
FIRM:
Firm's Signa e y
-2�k�-J
Printed Name
Ar
Say Le _ ph,. khev-
Title
REQUEST FOR PROPOSAL
RFP 23-17170-MA
AUDIT OF ANNUAL FINANCIAL STATEMENTS
H. GENERAL REQUIREMENTS
1 INTENT
EXHIBIT A
a) The City of Lubbock (hereinafter called "City") is soliciting Proposals from interested auditor is
(hereinafter called "the auditor") to provide Professional Audit Services.
b) The information contained within this document is intended to provide interested auditors with the
requirements and criteria that will be used to make the selection.
2 GENERAL INFORMATION
a) The City is seeking the services of a qualified certified public accountant firm to audit the City's
financial statements, perform the Federal and State Single Audits, perform the Passenger Facility
Charge (PFC) audit, perform agreed -upon procedures for the Texas Commission of Environmental
Quality, and prepare the accompanying reports for the fiscal years ending September 30, 2023 through
2027 with the option to extend on an annual basis through fiscal year ending 2030.
b) The City is a municipal corporation governed by a Mayor -Council form of government. There is a
City Manager, Chief Financial Officer, Chief Operating Officer and four Assistant City Managers as
well as various divisional directors and department heads.
c) The City has an Audit and Investment Committee that is involved with the selected auditor. They
monitor the progress and results of the financial statement audit, ensure that control weaknesses and
legal compliance violations identified in the course of the financial statement audit are promptly and
effectively remedied, and monitor the adequacy of the City's internal control structure on an ongoing
basis.
d) The City's fiscal year begins on October 1 and ends on September 30.
e) The City provides the following services to its citizens: public safety (police and fire), public works,
parks and recreation, public health, electric, water, sewer, solid waste, stormwater utilities, airport,
and general administrative services.
f) More detailed information on the government can be found in the 2022 City of Lubbock Annual
Comprehensive Financial Report (ACFR) and in the 2023 City of Lubbock Annual Operating
Budget at httys:/lci.lbbock.tx.us'departmentsrfinance.'reports-budgets
g) Contract initiation date: Upon acceptance by the City Council, for audit of the fiscal year ending
September 30, 2023.
3 SCOPE OF SERVICES REQUESTED
The following Scope of Work is to be provided by the successful auditor:
a) The City's general purpose financial statements will be audited in accordance with generally accepted
auditing standards and Government Auditing Standards issued by the Comptroller General of the
United States, the audit requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform
Guidance). The auditor will express an opinion concerning whether the general purpose financial
statements present fairly, in all material respects, the financial position of the governmental activities,
the business -type activities, the aggregate discretely presented component units, each major fund and
the aggregate remaining fund information of the City of Lubbock, and the respective changes in
financial position and, where applicable, cash flows, for the year then ended in conformity with
generally accepted accounting principles.
b) In accordance with Government Auditing Standards, the auditor will consider the City's internal
control structure over financial reporting and assess control risk. It is recognized that the management
of the City is responsible for establishing and maintaining an internal control structure.
c) Reports to be Issued
Following the completion of the audit of the fiscal year's financial statements, the auditor shall file in
the office of the City Secretary within 120 days after the last day of the City's fiscal year:
— A report on the fair presentation of the financial statements in conformity with generally accepted
accounting principles.
— A report on the fair presentation of the stand-alone financial statements of Lubbock Power & Light,
the City's electric utility fund.
— A report on the internal control over financial reporting and on compliance and other matters based
on an audit of financial statements performed in accordance with Government Auditing Standards.
A report on compliance with requirements applicable to each major federal program and on
internal control over compliance in accordance with the Uniform Guidance and on the Schedule
of Expenditures of Federal Awards.
A report on the internal control over financial reporting and on compliance and other matters based
on an audit of financial statements performed in accordance with Government Auditing Standards
and the State of Texas Uniform Grants Management Standards.
A report on compliance with requirements applicable to each major state program and on internal
control over compliance in accordance with Uniform Grants Management Standards and on the
Schedule of Expenditures of State Awards.
A report on the Federal PFC and related Federal Requirements.
-- A report to the Texas Commission on Environmental Quality pursuant to Subchapter C of Title 30
Texas Administrative Code §37.271.
A report on adherence to the City's investment policies as required by the Public Funds Investment,
Act Chapter 2256 of the Texas Government Code.
The auditor shall communicate significant deficiencies and material weaknesses in writing to
management and those charged with governance in accordance with auditing standards.
The reports on compliance shall include all material instances of noncompliance.
— Irregularities and illegal acts. Auditors shall be required to make an immediate written report of
all irregularities and illegal acts or indications of illegal acts of which they become aware to the
Chief Financial Officer and the Audit and Investment Committee.
d) Special Considerations
— The City will send its annual comprehensive financial report to the Government Finance Officers
Association of the United States and Canada (GFOA) for review in its Certificate of Achievement
for Excellence in Financial Reporting program. The auditor is required to provide special
assistance to the City to meet the requirements of that program.
— The City currently anticipates it will prepare one or more official statements in connection with
the sale of debt securities that will contain the general purpose financial statements and the
auditor's report thereon. The auditor may be asked to supply a confirmation letter as to debt service
coverages or necessary "comfort letters."
— The City may require the auditor's assistance to comply with new reporting requirements
mandated by the Government Accounting Standards Board (GASB).
— The audit will submit Form SF -SAC data collection form and a copy of the Uniform Guidance, 2
CFR 200 reporting package to the Federal Audit Clearinghouse.
— The City may periodically amend the contract for a special engagement. An example of this would
be a franchise fee audit.
Proposal for Audit of Annual Financial
Statements RFP 23-17170-MA
City of Lubbock
April 25, 2023
Jennifer Ripka, CPA I Partner, Assurance Services
Weaver and Tidwell, L.L.P. 1 2300 N. Field Street, Suite 1000 1 Dallas, TX 75201
972.448.9268 1 iennifer.rir)ka@weaver.com
weaver>p-
Assutonce
weaver
. Advisory o--
CONTENTS
CoverLetter..............................................................................................................................................1
t) Mandatory Elements...........................................................................................................................5
2) Technical Qualifications..................................................................................................................... 7
3) Price....................................................................................................................................................43
weaver>01-
Assurance-
Cover Letter
A pril 25, 2023
City of Lubbock
13 14 Avenue K, 9th Floor
Lubbock, Texas 79401
RE: REQUEST FOR PROPOSAL RFP 23-17170•MA AUDIT OF ANNUAL FINANCIAL STATEMENTS
Honorable Mayor and City Council:
In today's environment, the City of Lubbock (the City) faces increasing pressure
3�0+
from all sides: citizens, businesses and employees alike all have demands for
enhanced access and services; taxpayers are pushing for added transparency;
Government clients
annually
and oversight bodies continue to change and expand reporting requirements.
140+
Meeting all of these pressures involves a great deal of budgetary and operational
complexity, plus one nearly priceless commodity: time. Often tasked with trying to
cities& towns
do more and more with less, your financial operations staff needs a firm that can
1100+
support them year round.
Local/regional
That's why we want to continue helping you
entities
Weaver and Tidwell, L.L.P. (Weaver) has over 70 years of serving government
50+
entities, includ'ng the City of Lubbock. With this proposal, Weaver commits to
School districts
continue provid'ng the City with a financial statements audit, Federal and State
Single Audits, Passenger Facility Charge (PFC) audit, agreed -upon procedures for
�00 +
the Texas Commission of Environmental Qual'ty and preparing the accompanying
Entities receiving a
reports for the fiscal years ending September 30, 2023 through 2027, with the option
single audit
to extend on an annual basis through the fiscal year ending 2030.
50+
But our commitment to you means more than meeting the bare minimum: Our goo'
GFOA award
is to help you meet your operational challenges with ease by providing you with real
recipients
value beyond mere "check the box" compliance.
In addition to completing your audit on time and with the fewest possible demands on
your staff, we'll
also continue to work to help you navigate changes in guidance and best practices and
lay the
foundation for achieving your longer term operational and strategic objectives.
"Weaver's audit Team is professional, sensitive to our schedules, and are easy
to work with.
We enjoy working with our engagement team and feel our staff has learned
a
tremendous amount from Weaver.
Weaver Municipal Client 99
Weaver and Tidwell, L.L.P.
2300 North Field Street, Suite 1000 ) Dallas, Texas 75201
Main: 972.490.1970
CPAs AND ADVISORS I WEAVER.COM
weaver
Assuronce - Tax • Advisory
Working with Weaver
Key benefits of working with Weaver include:
EXPERIENCE WITH MUNICIPALITIES With mk6re than 300 government clients- including 12 of the
top 200 largest cities in the U.S. - Weaver professionals understand the complexities of
governmental accounting, federal and state funding requirements, and the nuances of financial
reporting. We have the insight that enables us to facilitate a more efficient audit, to more fully
understand your reporting requirements and risks, and to provide recommendations that are truly
customized to your needs, resources and constraints.
�! IN-DEPTH KNOWLEDGE OF AUDIT STANDARDS. Our professionals understand the complexities and
mnuances of single audit requirements, Government Finance Officers Association (GFOA)
recognition standards, the impact of GASB Statements, and all the other small audit details that
are so important for your financial reporting
#, LEVERAGING INFORMATION TECHNOLOGY. Complementing our knowledge of audit standards
p and procedures is our Irr-depth understanding of the systems used by municipalities. At any point
in the engagement, we can call upon our IT Advisory Services group to assist the engagement
team with reacting to complex IT issues, closing loopholes in our understanding of IT controls, or
performing a high-level IT internal assessment to inform our audit procedures.
HIGH -QUALITY WORK AND ON -TIME DELIVERY Weaver stays on schedule and on budget -
{`p!] whatever the future holds. Our technology, including remote working capabilities, commitment
to communication and robust quality assurance and management practices give us the ability
to remain flexible, tackle challenges head-on, and complete engagements on time.
♦� COMMITMENT TO ONGOING COMMUNICATION Frequent, effective and honest communication
i is critical to a successful audit. Your partner and engagement team leadership provide much
more than oversight and accountability during the audit -- we remain highly accessible
throughout the year as questions arise.
LARGE -FIRM RESOURCES. PERSONAL SERVICE Our industry leaders hold active positions in key
•,� industry groups such as the American Institute of Certified Public Accountants (AICPA) State and
Local Government Expert Panel and the Governmental Audit Quality Center (GAQC). This
extensive bench of knowledgeable government audit professionals means we can support the
City by providing thought leadership on upcoming industry changes and complimentary
Continuing Professional Education (CPE) tailored to your needs.
At Weaver, success isn't built on engagements - it's built on relationships. We want to foster a lasting
client relationship with you, with an ongoing commitment to responsiveness, communication and
continuity. We continually look for ways to balance efficiency and innovation to bring you the best audit
experience possible, ensuring our suggestions for improving the efficiency and effectiveness of your
financial processes remain practical and relevant to your broader, long-term objectives.
Weaver and Tidwell, L.L.P.
2300 North Field Street, Suite 1000 ( Dallas, Texas 75201
Main: 972.490.1970
CPAs AND ADVISORS I WEAVER.COM
weaver>op-
Assuronce•
We Want to Work with You
Our goal is to provide you with more than just a financial audit. We want to offer the support you need
year-round to maintain your accounting operations with efficiency, accuracy and security.
On the page. that f{=]iIOW we out ne how Weaver won't just meet your deadlines, but will
exceed your expectations.
. 6W
1 confirm that I am an authorized individual that can contractually bind the Firm. If you have any
questions regarding this proposal or any other matter, please contact me at any time.
Sincerely,
r
C V
Jennifer ipka, CPA I Partner, Assurance Services
972.448.9268 1 jennifer.ripka@weaver.com
Weaver and Tidwell, L.L.P.
2300 North Field Street, Suite 1000 j Dallas, Texas 75201
Main: 972.490.1970
CPAs AND ADVISORS I WEAVER.COM
weaver>10-
Assuronce •
1) Mandatory Elements
./ a. Independence and License to Practice
Conformity with the rules of professional conduct requires that a certified public accountant be
independent, in fact and appearance, with respect to a client for whom he or she is issuing a report on
financial statements. (Texas State Board of Public Accountancy Rules of Professional Responsibility, sec.
501.111
Weaver is the incumbent for the City of Lubbock audit services. The firm and proposed audit
team members of Weaver have had no other professional relationships involving the City or
any of its component units for the past five years, and are independent with respect to the
City and its agencies and component units, including direct and indirect financial interest
and relationship of the proposed audit team to employees and directors of the City.
Additionally, the firm meets the independence standards of GAGAS.
./ License to Practice in Texas
Weaver is licensed to practice accountancy in Texas. We are
a registrant with the Texas State Board of Public
Accountancy under Section 14 of the Public Accountancy
Act of 1979, Texas Revised Civil Statutes, Article 41a-1.
The proposed engagement partner and key audit team
leadership (management level and above) are each
licensed by the Texas State Board of Public Accountancy as
Certified Public Accountants.
4/ b. No Conflict of Interest
Texas State Board of Public Accountancy
505 E Huntland Drive. Sulm 380. Austin Texas 78752
WEAVER ANO TIDWELL, L.L.P.
OFFICE
SUITE 1100
4400 POST OAK PKWY
HOUSTON TX 77027
Office License ID: W08392
Firm License ID- P04338 Expires 513112023
Weaver confirms that we have no conflict of interest with regards to any other work performed by the firm
for the City.
c. Required Timeframe
Weaver has the ability to complete the audit and submit the financial statements and auditor's reports to
the office of the City of Lubbock City Secretary within 120 days after the last day of the City's fiscal year.
Proposal for Audit of Annual Financial Statements (RFP 23-17170-MA) I City of Lubbock
Weaver and Tidwell, L.L.P. I Page 5
weaver
• 01-
d. Continuing Professional Education Program
The firm's continuing professional education (CPE) policy complies with the revised government auditing
standards requirement regarding formal education for professionals responsible for planning, conducting or
reporting on government audit engagements. All of the audit team members have met, and will continue
to meet, the generally accepted government auditing standards (GAGAS) requirement for CPE, which is 80
hours of CPE every two years, with a minimum of 20 hours of CPE in each year of that period and at least 24
hours relating to governmental audit environment.
Weaver provides extensive customized, in-house training on government audit standards and firm audit
methodologies every year. Representative annual CPE courses offered to the proposed audit staff include:
P. State and Local Government Audit Planning Considerations
► Single Audit (includes financial statement and Uniform Guidance internal control requirements)
► Ethics: An Overview for Texas CPAs
► Sampling and Revenue Testing Training
► Governmental Accounting and Financial Reporting
This internal training is supplemented by external classes, workshops, seminars and conferences as needed
to meet CPE requirements and specific client needs.
All staff assigned to your engagement comply with requirements for professionals
who plan, conduct or report on government audit engagements F*/j
Proposal for Audit of Annual Financial Statements (RFP 23.17170-MA) I City of Lubbock
Weaver and Tidwell, L.L.P. I Page 6
weaver
Assurance Tax -Advisory
2) Technical Qualifications
a) Experience and Expertise
Qualifications
About Weaver
Founded in 1950, Weaver has been provid ng assurance and ad i -ory services to
government entities, includ'ng the city of Lubbock for more than seven decades.
With 15 offices from coast to coast, and more than 1,000 professionals, we're committed to helping our
government clients meet regulatory requirements, but we also bring a long-term perspective to help them improve
their operations and services. By helping clients build mature, strategic processes and governance, we position
them to more effectively address problems, flag potential issues such as fraud or loss, and achieve compliance.
At Weaver there are no "one -size -fits -all' solutions We combine leading technical knowledge with specific
Industry experience to provide highly customized services tailored to each client's needs
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► Financial Services
► Banking
► Manufacturing
P. Dislr button & Logistics
► Oil & Gas
► Energy Trans lion & Renewab es
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► Risk Advisory Services
► IT Advisory Services
P. Digital Transformation & Automation
P. Government Consult ng Services
P. Asset Management Consulting
► Accounting Advisory Services
► Transaction Advisory Services
► Valuation Services
► Forensic & Litigation Services
► Family Office Services
Assurance Services
► Audit. Review & Compilation
P. Agreed -Upon Procedures
► Employee Benefit Plan Audit
► SOC Reporting
► Attestation Services
► IFRS Assessment & Conversion
Tax Services
► Federal Tax
► State & Local Tax
► International Tax
► Personal Client Services
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nationwide
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each individual, team and our firm, and every person plays a part. Our core values drive virtually everything
we do here at Weaver — the way we work, the way we operate and the way we serve our clients.
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Proposal for Audit of Annual Financial
Statements (Ri-r zs' I i I iu-MA) I City of Lubbock
weaver (ar:d Tidwel L.l P. I rage 7
weaver>10-
Assuronce
In Focus: Municipal Experience
With more than 70 years of experience meet'ng the assurance and advisory needs of
government entities including some of the nation's largest cities and their utilities, school
districts and state -funded entities, Weaver understands the complexities of your financial
operations, the challenges and risks specific to municipalities, and the nuanced compliance
requirements y:.)u must meet.
Weaver's dedicated government, higher education and not -for -profit aud't practice is one of the largest
industry practices in the firm, with more than 170 professionals are focused on the specific needs of these
clients.
300+
Government
clients
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• External audit
• Risk assessment
Internal Audit
Business process Improvement
IT audit and security
Valuation
Forensic accounting
• Fraud investigation
• Agency restructuring and reorganizatior
• Strategic planning
• Organizational development
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Weaver leaders participate in key standard -setting bodies, including the American Institute of Certified
Public Accountants' (AICPA's) Council, State & Local Government Expert Panel and Government Audit
Quality Center (GAQC), and the Government Finance Officers Association (GFOA) Special Review
Committee.
Proposal for Audit of Annual Financial Statements (RFP 23-17170-MA) I City of Lubbock
weaver and Tidwell, L.L.P. I Page 8
weaver
. Advisory 01-
High Standards of Service: Focus on local Government
We regularly send out client satisfaction and feedback surveys to all our
clients to evaluate the delivery of our services. In an effort to constantly
improve, we're always ready to integrate changes to our processes
based on the feedback we receive. Our local government clients have
rated us highly in two key surveys.
Involvement in Professional Organizations
Working with Weaver means not just confidence in the result of your
annual financial audit, but also year-round access to well-informed
industry leaders who are literally just a phone call away.
NET PROMOTER SCORE
9.5
If a client rates us a 9 or 10 they're
strongly likely to recommend Weaver
CLIENT SATISFACTION
With our years of experience serving government entities and
involvement in standard -setting bodies, our professionals will work with your engagement team to make sure you have access to98%
industry insights, often even alerting you before major changes ha
ppen, and using this head start to efficiently and accurately coach
'data Iron) )he lost three years
you through potential issues.
98% of our local government
f\v$
clients are satisfied with our services
Specific memberships and positions held by firm leaders include:
to. Member, GFOA and its Special Review Committee
No. Member, Government Finance Officers Association of Texas (GFOAT) and its Financial Reporting and
Regulatory Response Committee
to. Member, AICPA, its GAQC and its State 8, Local Government Expert Panel
► Member, Texas Society of Public Accountants (TXCPA) and its Professional Standards Committee
Government Subgroup, TXCPA
to. Member, Texas Association of School Business Officials (TASBO)
Education Offered to Our Clients
Weaver's most immediate and ongoing professional development and technical assistance offered to
clients occurs in the course of our work with you, during the audit and throughout the year. Our partners
and managers will inform you of pending regulations and requirements, evolving industry standards and
new best practices as we become aware of them. Additionally, we are available for technica accounting
questions as needed at any time.
Weaver routinely offers half -day to full -day continuing professional education (CPE) classes to targeted
sectors of our client base. These classes are led by dedicated, industry -specific, professionals within our firm.
We offer them at no cost to you: these opportunities are part of our commitment to add value to our
clients. Weaver is a registered provider of CPE to the Texas Society of CPAs.
Proposal for Audit of Annual Financial Statements (RFP 23.17170•MA) I City of Lubbock
Weaver and Tidwell, L.L.P. I Page 9
weaver>p
Assuronce•
Resources for Your Success
Weaver wants to furnish you with the information and support you need to master many different
operational challenges. That is why we provide a constant stream of webinars, podcasts, toolkits and
research on issues facing cities.
Pr 2023
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SUCCESS STARTS > HERE
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Proposal for Audit of Annual financial Statements (RFP 23.17170•MA) I City of Lubbock
Weaver and Tidwell, L.L P. I Page 10
weaver
Assurance . Tax • Advisory
Location of Office Performing the Work
This engagement will be managed and staffed with resources from our Dallas
office, located at: 2300 N Field Street, Suite 1000. Dallas TX 75201.
In addition, all of Weaver's professionals work collaboratively across locations, so
if engagement needs dictate we are able to draw upon additional resources
and in-house subject matter advisors.
With this leveraged model, Weaver is able to offer you a customized team that
can adjust dynamically and quickly to meet your needs throughout all stages of
the audit season. It also enables us to provide an efficient, effective audit with
added innovation, thought leadership and insight.
Number and Nature of Engagement Staff
Part-time leadership resources include:
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Jennifer Ripka, the engagement partner, leads the overall engagement. Jennifer will be respons'ble for
Weaver's relationship with the City, including approval and execution of the audit plan, and is the person
to turn to when you have questions or a request.
Jennifer provides guidance to the rest of the team, who will consult with her on complex technical
matters. She reviews audit documentation to ensure that required elements are complete and to identify
any risks or significant issues that call for further discussion. She will discuss preliminary reports and
recommendations with you before the reports are finalized, and then she and the manager will present
those reports to the audit committee and city council.
Sara Dempsey will ensure excellent quality in our audits. Weaver assigns a technical reveew partner to
review audit documentation and reports to be issued. The technical review partner is the one with the
skills and experience to provide a second opinion, if needed, or advise on unusual or difficult situations.
Bryant Sanchez, the manager, is responsible for monitoring the progress of an engagement against client
expectations. Meredith will lead staff in the field, provide you with regular status updates, manage team
responsibilities, and monitor hours expended relative to the budget.
As an experienced audit leader, Bryant will research technical matters and advise engagement staff and
City management on the best resolution of complex or non -routine questions. Bryant will also review the
work of staff auditors to ensure coverage, completeness, accuracy and technical proficiency. Final y, if
issues arise, Bryant will work closely with both you and the Weaver team to resolve them.
As needed, Brittany George will act as an advisor on the engagement when questions arise surrounding
the City's IT environment and system controls, and Ellsa Gilbertson will provide data analytics services.
Full-time resources for the City's audit will include:
Senior Associate Chris Walker and 1-2 Weaver associates, as needed. As the leader of Weaver's
engagement team while they are working in the client offices, Chris will request documents needed
for testing, perform substantive testing and data analysis, and keep the manager informed of the
audit's progress and status and provide additional supervision to the rest of the Weaver team in the
field during the performance of the engagement.
We utilize our function -specific staffing approach, whereby we deploy right -sized teams based on specific
audit tasks and the timing of those tasks. With this leveraged model, we are able to provide the City
access to professionals at all staff levels to meet audit timing and subject matter needs without budget
surprises.
Proposal for Audit of Annual Financial Statements (RFP 23-17170-MA) I City of Lubbock
Weaver and Tidwell, L.LP I Page I'
weaver>o-
Amrance•
GFOA and ACFR Experience
Nine Weaver staff members currently serve on the GFOA's Special Review Committee, which evaluates
ACFRs for eligibility with Certificate of Achievement Program requirements.
Weaver has 50+ clients that submit and receive the GFOA Certification of
Achievement.
mno�
For our clients who submit the Annual Comprehensive Financial Report of the GFOA, one of our GFOA
Special Review Committee members reviews the financial statements to ensure that they meet the
standards to be recognized.
Please see Knowledge of Full -Service Municipal
Corporations for more information regarding
specific clients who have successfully received
the GFOA Cerffication of Achievement.
External Quality Control and Peer
Review
External peer review is designed to g've the public
additional confidence in the quality of our audit
and accounting practice. As such. every three
years, the firm engages an independent
accounting firm to determine whether our quality
control policies and procedures are suitably
designed, and whether our techniques for
implementing these policies and procedures
comply with professional standards.
Each peer review has a so included a review of
governmental audit engagements, as mandated
by AICPA Peer Review standards and GAQC
requirements.
Weaver has received unmodified reports
on every peer review to date.
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--
Disciplinary Action
Weaver has no disciplinary action from the past three years to report, and no field or desk reviews.
Proposal for Audit of Annual Financial Statements (RFP 23-17170-MA) I City of Lubbock
weaver and Tidwell, L.L.P. I Page 12
weaver>p--
Assurance
Partner, Supervisory and Staff Qualifications and Experience
Team Organization
Weaver takes a funct'on-specific approach to engagement staffing: we focus on leveraging the right
resources at the right times, ensuring that teams are assigned based on the specific tasks required during
each of the audit phases, as well as the timing of those tasks.
The people depicted in the organization chart below have all been chosen specifically for their
understanding of municipal operat;onal structures and financial reporting requirements.
Qualifications for key team members, including information regarding educational background and
professional licenses held, are provided on the following pages.
"I'm pleased with our team of auditors. They're pleasant to work with efficient. courteous
and professional. When I have a question, they take time to explain the answer. If they don t
know the answer, they research and get back to me.
- Weaver Municipal Client 919
Proposal for Audit of Annual Financial Statements (RFP 23.17170-MA) I City of Lubbock
Weaver and Tidwell, L.L.P. I Page 13
weaver>pl-
Assurance
b) Audit Approach
Communication Approach
Throughout each engagement, and our entire relationship with you, Weaver will communicate openly and
often. Your Weaver team will hold the following meetings with management and, when appropriate, with
those charged with governance:
► A planning meeting to discuss prior services and learn your expectations for the upcoming engagement
► Entrance and exit conferences at the beginning and conclusion of fieldwork
► Progress conferences during fieldwork to discuss work in progress and open items
► A conference where the draft copy of reporting and deliverables are reviewed
I. Presentations of the final report for key stakeholders, as needed
We'll use these communications to:
► Provide technical updates and discuss the impact on your organization
P. Learn about changes in your forward -looking strategies as we look to the next season
► Understand your overall satisfaction to date
We'll continue to keep you informed of any significant events that arise during the course of the engagement.
Whenever there's a question or a potential issue, we'll bring it to your attention, seek your confirmation of the
data and ask about any relevant circumstances - and we encourage you to do the same.
r4kThrough open communication, our objective is to elim note surprises while providing an
efficient. effective engagement.
Mid -Year Consultations
Calling us with questions at the beginning of an engagement can save significant time at the end. At Weaver,
we consider ourselves your aud'tor all year round, not just during the audit season. We do more than accept
questions throughout the year — we encourage you to reach out to us whenever you need to.
Year-round consultations with your engagement partner and manager will be provided to you at no
additional cost, a benefit of which we encourage you to take advantage.
Every October, Weaver hosts "Weaver Wednesdays," a series of virtual Government CPE Tra*Wng that includes
a range of hot topics for financial and accounting leaders. 2022's sessions covered the catest compliance
requirements and GASB updates as well as timely topics impacting government operations such as
cybersecurity, fraud prevention and digital transformation. Weaver's 2022 series is available for ongoing
viewing on the Weaver events page, under the Government industry information.
In addition to timely thought leadership via blogs and webinars, Weaver also publishes a
podcast, Weaver: Beyond the Numbers -- The Business of Government aimed at government
eader .
Proposal for Audit of Annual Financial Statements (RFP 23-17170-MA) I City of Lubbock
weaver and Tidwell, L.L.P. I Page 32
weave r
Assurance • Tax . Advisory
Protecting Your Information
Weaver is always mindful of our responsibility to manage confidential personal and financial data, so we've
created a comprehensive array of procedures rooted in industry -standard best practices and systems to
protect client and firm information.
To start, physical security measures include secured doors on our offices and workstations that lock
automatically. Printed documents are kept in secured areas, and unneeded documents are collected in
locked containers for shredding.
We diligently require data security reports from third -party vendors, monitoring how these third parties protect
our data, and making sure we know where our data is stored. In-house cybersecurity measures include two -
factor authentication and encrypted laptops, hard drives and email. Weaver also enforces mandatory
encryption of all removable media (such as USB drives).
These are just some examples of the exhaustive procedures we follow to make sure client data remains
secure. Additional details regarding our IT and security policies are available upon request.
Weaver's industry -leading data safeguards — such as two -factor authentication O
exceed state government requirements for protecting information managed by state rO
agencies.
Proposal for Audit of Annual Financial Statements (RFP 23.17170-MA) I City of Lubbock
Waver and Tidwell, I.I.P. I Page 33
weaver>10-
Assurance
Proposed Segmentation, Level of Staff and Number of Hours
An overview of the key segments of our methodology and estimated timeline is provided below; as part of our
planning stage, we will meet with management to develop a final, mutually agreed -up timeline.
Additional non -audit resources, such as IT Advisory Services, will be consulted as needed: however, such hours
are not expected to be a significant proportion of the total and are therefore not represented below.
PHASE KEY PURPOSE AND ACTIVITIES
We will understand your priorities and risks,
finalize the audit plan, and compile
document requests.
We will document and test, as applicable.
internal controls, determine compliance
for major programs (as applicable) and
identify key risks.
STAFF TIMING
Partner,
Manager, Upon award
Supervisor
Partner, July/
Manager, August
Supervisor
We will perform substantive testing and Partner,
data analysis, prepare work papers and Manager, December
communicate any identified issues. Supervisor
We will compile our draft report, perform
technical reviews, confirm findings with Partner.
management and incorporate feedback, Manager, January
as applicable; draft ACFR provided for Supervisor
review.
We will deliver final reports and other Partner,
deliverables to management, and present Manager. January
results, as applicable. Final ACFR Supervisor
presented.
"The Weaver team is professional and diligent in meeting our audit timelines. I appreciate their
willingness to have discussions throughout the year on any new requirements which is helpfu .
and their response time on questions is always prompt."
— Weaver Government Client
Proposal for Audit of Annual Financial Statements (RFP 23-17170-MA) I City of Lubbock
Weaver and Tidwell, L.L.P. I Page 34
EXHIBIT B
weave r
Assuronce • Tax • Advisory
May 19, 2023
Marta Alvarez
Purchasing Department & Contract Management
City of Lubbock
1314 Avenue K, 91h Floor
Lubbock, TX 79401
Re. Best and Final Offer (BAFO) I RFP 23-17170-MA Audit of Annual Financial Statements $O4+
Deaf Marta:
Governmentcl'enh
annually
Weaver and Tidwell, L.L.P. (Weaver) has over 70 years of serving government entities,
40+
and with this BAFO, Weaver commits to providing the City of Lubbock (the City) with
Cities& towns
auditing services described in the RFP.
Our Best and Final Offer
O
Local/regional
aOgoal
Please see the attached Price Proposal. It represents our best and final offer to the City
entities
for RFP 23-17170•MA Audit of Annual Financial Statements.
I confirm that I am an authorized individual that can contractually bind the Firm. If you
j School districts
have any questions regarding this proposal or any other matter, please contact me at
'100+
any time.
Entities receiving a
Sincerely,
single audit
so+
f
GFOA award
recipients
l-
Jennifer Ripka, CPA I Partner, Assurance Services
972.448.9268 j jennifer.ripka@weaver.com
Weaver and Tidwell, L.L.P.
2300 North Field Street, Suite 1000 j Dallas, Texas 75201
Main: 972.490.1970
CPAs AND ADVISORS I WEAVER.COM
Best and Final Offer
N—Ic
Fee for each of the audit year.
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Exhibit C
INSURANCE REQUIREMENTS
Prior to the approval of this contract by the City, the Contractor shall furnish a completed Insurance Certificate
to the City, which shall be completed by an agent authorized to bind the named underwriter(s) to the
coverages, limits, and termination provisions shown thereon, and which shall furnish and contain all required
information referenced or indicated thereon. THE CITY SHALL HAVE NO DUTY TO PAY OR PERFORM
UNDER THIS CONTRACT UNTIL SUCH CERTIFICATE SHALL HAVE BEEN DELIVERED TO THE
CITY.
The City reserves the right to review the insurance requirements of this section during the effective period of
the contract and to require adjustment of insurance coverages and their limits when deemed necessary and
prudent by the City based upon changes in statutory law, court decisions, or the claims history of the industry
as well as the Contractor.
Subject to the Contractor's right to maintain reasonable deductibles in such amounts as are approved by the
City, the Contractor shall obtain and maintain in full force and effect for the duration of this contract, and any
extension hereof, at Contractor's sole expense, insurance coverage written by companies approved by the State
of Texas and acceptable to the City, in the following type(s) and amount(s):
Auto Liability Requirements: $1 M/occurrence is needed
Commercial General Liability Requirements: $1 M occurrence / $2M aggregate (can be combined
with an Excess Liability to meet requirement). Commercial General Liability to include Products -
Completion/OP, Personal and Advertising Injury, Contractual Liability, Fire Damage (any one fire),
and Medical Expenses (any one person).
Commercial General Liability Heavy Equipment Endorsement: NOT APPLICABLE
Commercial General Liability Digging Endorsement: NOT APPLICABLE
Professional Liability Requirements: $1 M occurrence 1$2M aggregate
Workers Compensation Requirements: Statutory. If the vendor is an independent contractor with no
employees are exempt from providing, Workers' Compensation coverage, they must sign a waiver
(obtained from COL Purchasing) and include a copy of their driver's license. Employer Liability
($1) is required with Workers Compensation.
Special Insurances
Crime Protection Coverage Requirements: NOT APPLICABLE
* The City of Lubbock (including its officials, employees and volunteers) shall be afforded
additional insured status on a primary and non-contributory basis on all liability policies except
professional liabilities and workers' comp.
* Waivers of Subrogation are required for CGL, AL, and WC.
* To Include Products of Completed Operations endorsement.
* Carrier will provide a 30-day written notice of cancellation, 10-day written notice for non-
payment.
* Carriers must meet a A.M. Best rating of A- or better.
* Subcontractors must carry same limits as listed above.
IMPORTANT: POLICY ENDORSEMENTS
The Contractor will provide copies of the policies without expense, to the City and all endorsements thereto and
may make any reasonable request for deletion, revision, or modification of particular policy terms, conditions,
limitations, or exclusions (except where policy provisions are established by law or regulation binding upon either
of the parties hereto or the underwriter of any of such policies). Upon such request by the City, the Contractor
shall exercise reasonable efforts to accomplish such changes in policy coverages, and shall pay the cost thereof.
Any costs will be paid by the Contractor.
REQUIRED PROVISIONS
The Contractor agrees that with respect to the above required insurance, all insurance contracts and certificate(s)
of insurance will contain and state, in writing, on the certificate or its attachment, the following required
provisions:
a. Name the City of Lubbock and its officers, employees, and elected representatives as additional insureds,
(as the interest of each insured may appear) as to all applicable coverage;
b. Provide for 30 days' notice to the City for cancellation, nonrenewal, or material change;
c. Provide for notice to the City at the address shown below by registered mail;
d. The Contractor agrees to waive subrogation against the City of Lubbock, its officers, employees, and
elected representatives for injuries, including death, property damage, or any other loss to the extent same
may be covered by the proceeds of insurance;
e. Provide that all provisions of this contract concerning liability, duty, and standard of care together with
the indemnification provision, shall be underwritten by contractual liability coverage sufficient to include
such obligations within applicable policies.
NOTICES
The Contractor shall notify the City in the event of any change in coverage and shall give such notices not less
than 30 days prior the change, which notice must be accompanied by a replacement CERTIFICATE OF
INSURANCE.
All notices shall be given to the City at the following address:
Marta Alvarez, Director of Purchasing & Contract Management
City of Lubbock
1314 Avenue K, 91h Floor
Lubbock, Texas 79401
Approval, disapproval, or failure to act by the City regarding any insurance supplied by the Contractor shall not
relieve the Contractor of full responsibility or liability for damages and accidents as set forth in the contract
documents. Neither shall the bankruptcy, insolvency, or denial of liability by the insurance company exonerate
the Contractor from liability.