Audit of Weatherization Operational and Fiscal Compliance Requirements
Request for Proposal 2010-013
DUE DATE: September 13, 2010, 10:00 a.m.**
ALAMO AREA COUNCIL OF GOVERNMENTS
Administrative Services Department
8700 Tesoro Dr., Suite 700
San Antonio, TX 78217
Request for Proposal Release Date: August 16, 2010, 10:00 a.m. **
Pre-proposal Conference for Proposers
Conference Room 7-B, Suite 700,
8700 Tesoro Drive, San Antonio, TX 78217 August 25, 2010, 10:30 a.m. **
Written Requests for Additional
Clarification & Information Due By: August 27, 2010, 4:00 p.m. **
Will Post Answers to Pre-proposal
Conference and Written Requests for
Additional Clarification & Information
on the AACOG Website By: September 1, 2010, 5:00 p.m. **
Response Due Date: September 13, 2010, 4:00 p.m. **
** All times are as observed by AACOG at its 8700 Tesoro Drive,
San Antonio, Texas 78217 location
I. General Information
A. The Alamo Area Council of Governments (AACOG) requests proposals from firms,
preferably those familiar with Federal and State weatherization guidelines, to
perform a forensic audit of approximately 900 weatherization case files for the
period March 2010 through July 2010 and the associated billings to the State of
Texas for weatherization work performed during that period. Purpose of the audit is
to test operational and fiscal compliance.
B. AACOG issues this request for proposal (RFP) in accordance with requirements of
the Uniform Grant Management Standards, Part III, Subpart C Section 36.
C. Prospective proposers may obtain the specifications at www.aacog.com (click on
“Bid Opportunities”) or from AACOG, 8700 Tesoro Drive Suite 700, San Antonio,
Texas 78217 after the date and time specified on the cover page for “Request for
Proposal Release Date”.
D. Proposers desiring additional information or clarification may submit requests, in
writing only, by fax at 210-225-5937 or email to firstname.lastname@example.org no later
than the date and time specified on the cover page for “Written Requests for
Clarifications & Additional Information Due By”. We will not honor verbal
requests for clarification other than that provided at the Pre-proposal
Conference. We will post responses to requests for clarification at www.aacog.com
(click on “Bid Opportunities”) by the date and time specified on the cover page for
“Will Post Answers to Requests for Clarifications & Additional Information on
the AACOG Website By”.
E. We encourage proposers desiring additional information or clarification to attend the
Pre-proposal Conference listed on the cover page for “Pre-proposal Conference
for Proposers”. We will post questions and responses from that conference at
www.aacog.com by the date and time specified on the cover page for “Will Post
Answers to Pre-proposal Conference Questions on the AACOG Website By”.
F. Deadline for receipt of proposals is that specified on the cover page for “Response
Due Date”. All times are as observed by AACOG at its 8700 Tesoro Drive, San
Antonio, TX 78217 location.
G. It is AACOG policy to encourage participation by small and historically underutilized
businesses (HUBS, addressed in Texas Government Code, Chapter 2161) as
contractors to AACOG.
1. A historically underutilized business is an entity with its principal place of
business in Texas that is:
a. A corporation formed for the purpose of making a profit in which 51 percent
or more of all classes of the shares of stock or other equitable securities are
owned by one or more economically disadvantaged persons who have a
proportionate interest and actively participate in the corporation's control,
operation, and management;
b. A sole proprietorship created for the purpose of making a profit that is
completely owned, operated, and controlled by an economically
c. A partnership formed for the purpose of making a profit in which 51 percent
or more of the assets and interest in the partnership are owned by one or
more economically disadvantaged persons who have a proportionate interest
and actively participate in the partnership's control, operation, and
d. A joint venture in which each entity in the venture is a historically
underutilized business, as determined under Government Code Chapter
e. A supplier contract between a historically underutilized business as
determined under Government Code, Chapter 2161, and a prime contractor
under which the historically underutilized business is directly involved in the
manufacture or distribution of the goods or otherwise warehouses and ships
2. It is AACOG’s goal to include HUBs in at least 10% of the total value of contracts
3. AACOG maintains an active program for identification and placement of small
and HUB businesses on bidder mailing lists and to provide information and other
assistance to facilitate use of such firms as contractors to the maximum extent
practical. Small and HUB businesses seeking contracting opportunities should
file a Request to be Added to Bidder/Vendor List with the AACOG Administrative
Services Office, 8700 Tesoro Dr., Suite 700, San Antonio, TX 78217.
H. Proposers certify, as a condition of submitting this RFP and for purposes of any
future award, that they:
1. Have not given, offered to give, nor intend to give at any time any economic
opportunity, future employment, gift, loan, gratuity, special discount, trip, favor,
service, or other inducement to a public servant in connection with this
2. Have not engaged in collusion with other providers or anyone else in relation to
preparation and/or submittal of their response for this project.
II. Responses to the RFP
Each response to this RFP shall conform to the format guidelines presented in this section.
A. We will not accept use of the term “As Specified” or “A/S” as a suitable response.
B. Bind, seal, and address four (4) copies of your response to this proposal request
Gloria C. Arriaga
8700 Tesoro Dr., Suite 700
San Antonio, Texas 78217.
1. Place paper copies of the response in one or more opaque envelopes and
clearly mark the front and back of the envelope(s) with the following words in
large letters: “RFP 2010-013 RESPONSE for [Name of Organization]”. If
there are multiple envelopes, mark them as 1 of X, 2 of X, etc.
2. Provide one digital (CD-ROM or 3.5-inch DS/HD computer diskette) copy of all
submitted materials in one of the envelopes described at II.B.1.
3. If sending responses by express mail, priority mail, or parcel delivery (UPS,
FedEx, etc.), or if placing response envelopes in a box or other container, place
the sealed responses inside the delivery container addressed and marked as
specified above. Address and mark the delivery container in the manner
indicated at II.B.1.
C. Provide your response by the “Response Due Date” indicated on the cover of the
D. AACOG will not be liable for any costs incurred in preparing or submitting
E. Send responses by mail or hand delivery (personally, courier, parcel delivery).
1. AACOG will not accept facsimile or email responses.
2. AACOG encourages proposers to personally hand-deliver their responses.
Since parking is not always available nearby, we caution proposers to allow
ample time for delivery of your response by the established deadline. AACOG
will not consider responses received after the established deadline, which
is based upon the clock in use at the AACOG reception desk (8700 Tesoro
Dr., Suite 700).
3. AACOG accepts no responsibility for late or misdirected mail or deliveries. Take
into account mailing/delivery times and the potential for delays to ensure
responses arrive within the established deadline.
F. Responses may be withdrawn prior to the response due date.
G. AACOG will honor proposals only from parties that:
1. Are free of all obligations and interests that might conflict with the best interests
of AACOG; and
2. Have the capacity of providing services on a timely basis.
H. Submission of a proposal shall be prima facie evidence that the proposer has full
knowledge of the scope, nature, quantity, and quality of work to be performed; the
detailed requirements of the specifications; the conditions under which the work is to
be performed; and the manner in which proposals are to be submitted.
I. Proposers shall furnish AACOG such additional information as AACOG may
J. AACOG reserves the right to conduct pre-contract negotiations with any and/or all
K. AACOG reserves the right to conduct personal interviews of proposers prior to
selection. AACOG will not be liable for any costs incurred by the proposer in
connection with such interview (i.e. travel, accommodations, etc.). AACOG will
perform these interviews via telephone whenever practicable.
L. AACOG reserves the right to reject any and all proposals and accept proposals it
considers most favorable to AACOG's best interest. AACOG further reserves the
right to reject all proposals and seek new proposals when such procedure is
reasonably in the best interest of AACOG.
M. The response to the RFP is a firm offer that shall be irrevocable and open for
acceptance by AACOG for ninety (90) calendar days from the established deadline
for submission of responses. AACOG will furnish a written award of acceptance to
the successful bidder, as well as issue a purchase order, resulting in a binding
contract without further action by either party. Submission of a response shall
indicate the proposer’s agreement with this provision.
N. AACOG will not be liable for any costs not provided for in the proposal and
O. AACOG will award the contract to the proposer whose proposal provides the
greatest value against our needs.
P. Proposals will remain on file and available for public inspection in accordance with
the Texas Open Records Act (the “Act”). However, we will redact or remove
proprietary information prior to review in accordance with the Act.
Q. Contract period. An awarded contract shall commence upon execution by both
AACOG and the awarded party. Due date for deliverables and termination date of
the contract shall be negotiated after selection of a contractor.
R. AACOG reserves the right to cancel an awarded contract with a thirty (30) day
written notice if performance, in the exclusive judgment of AACOG, is
unsatisfactory. No penalty and/or fee may be imposed if a contract is cancelled or
III. Scope of Work
1. The Alamo Area Council of Governments (AACOG) is a voluntary association of
governmental units throughout the twelve counties of the Alamo Area Region:
Atascosa, Bandera, Bexar, Comal, Frio, Gillespie, Guadalupe, Karnes, Kendall,
Kerr, Medina, and Wilson. AACOG is both a planning agency and provider of
human and governmental services. Among those services provided is a
weatherization program whose purpose is to help low-income customers control
their energy costs through consumer education and installation of weatherization
materials designed to improve energy efficiency of the residence.
2. The following is a general overview of the weatherization process. AACOG
reserves the right to modify this process at any time with or without notice.
a. Through an outreach program, AACOG advertises program eligibility criteria
and solicits applicants. AACOG places eligible applicants (could be single-family
residences or multi-family apartments) on a waiting list and offers services to
applicants as they become available. If the applicant has been on the waiting
list in excess of 12 months, AACOG must re-verify eligibility.
b. Each applicant’s residence receives an initial assessment (performed either
by an AACOG employees or assessment subcontractor) to determine if the unit
is a viable candidate for weatherization, identify potential weatherization
measures to implement, provide the property owner education for saving energy,
and determine the target level of improvement for the unit.
c. Assuming the unit is a good candidate for weatherization, AACOG uses a
computer program (known as the EASY Audit) to evaluate the potential
weatherization measures, determine the materials and labor needed to perform
each measure, calculate costs, and identify which measures will pay for
themselves in energy savings over a defined period of time and fit the allowable
budget for each unit.
d. AACOG furnishes a prioritized list of those measures that “rank” to an
installation subcontractor who then performs the weatherization work on the
residential unit. The subcontractor may identify additional weatherization
measures for consideration by the EASY Audit and propose those to AACOG for
evaluation and addition to the project. Work proceeds under standards laid out
by Federal and State guidelines. The subcontractor performs various tests
throughout the installation process to check for improvements and again at the
conclusion of the work to verify achievement of the desired level of
e. Upon completing a given single-family unit or an entire multi-family project,
the installation subcontractor furnishes AACOG a Statement of Work (SOW) to
itemize the work performed and the associated costs. AACOG evaluates the
SOW to ensure the subcontractor performed all requested work, and no more.
The SOW triggers a final inspection of the work.
f. An AACOG employee or inspection subcontractor performs a thorough
review of the work performed and tests the unit(s) for achievement of the desired
level of improvement. If the inspector identifies deficiencies in the work, those
are noted and the installation subcontractor must make those good. Once all
work is satisfactorily completed, the inspector reviews the work with the property
owner and obtains a certification that he/she is satisfied with the work
performed. The inspector also ensures the owner is educated about how to
maintain the improvements as well as tips to further reduce energy consumption.
g. Upon acceptance by the property owner and AACOG, the installation
subcontractor furnishes AACOG an invoice of work performed. AACOG
reconciles the invoice and prepares a billing statement for submission to the
h. Upon receipt of funds from the State, AACOG pays the installation
subcontractor and closes the case file.
i. All assessments, EASY Audits, measures installation, materials, client
education, final inspection, closeouts, and associated paperwork must adhere to
well-defined guidelines established at the Federal and State levels.
B. Project Description.
1. AACOG desires to have an outside party evaluate AACOG’s Weatherization
Program’s compliance with established Federal and State guidelines. The
selected contractor will perform a 100% review of critical elements of all
weatherization cases completed between March 2010 and July 2010 to assess
compliance with the issues presented below. Concurrently, the selected
contractor will evaluate the billings to the State of Texas associated with those
case files for completeness, accuracy, and compliance. Given the level of detail
involved, AACOG prefers the selected contractor have a working knowledge of
the weatherization program and how it functions in the State of Texas; however,
such knowledge is not mandatory.
2. AACOG will make all guidelines, policies, and procedures available for review.
AACOG will also make its staff available to explain operational and management
processes, case documentation, billing processes, and other issues pertinent to
this evaluation. The selected contractor will schedule interviews in a manner
that minimizes the effect on production.
3. For each case presented, AACOG desires the selected contractor to evaluate
the following operational aspects of the program for compliance with Federal
and State guidelines. For any item with a double asterisk, place special
emphasis on checking specifically for potential evidence indicating the actual
dates may not be as documented. All items will be reviewed for potential
a. AACOG inspectors or contractor staff properly documented an initial
assessment of each unit served.
i. ** Verify assessors completed all required assessment documents and
did so prior to assignment of the case to an installation subcontractor.
ii. ** Verify assessors documented an initial blower door test.
iii. ** If the assessment recommended replacement of appliances, verify
assessors documented proper evaluation of existing appliances.
b. AACOG staff properly executed and documented an EASY Audit for each
i. Verify documentation of the EASY Audit.
ii. Verify AACOG staff performs EASY Audits prior to start of work.
iii. Verify EASY Audit calculations are consistent with information
provided from the assessment.
iv. Verify inspectors properly factored utility bills and consumption
history into the calculations.
v. Verify support documentation for any health and safety measures
c. ** Work started on each unit while the client was eligible. The State defines
“work started” as the date AACOG turns the case over to the installation
subcontractor for installation of measures. Eligibility exists if the information
making the client eligible is current within the 12 months preceding the date work
d. Proper closeout procedures for each unit served.
i. ** Verify the installation subcontractor completed and signed-off a
concluding blower door test prior to final inspection.
ii. ** Verify the installation subcontractor submitted its Statement of Work
(SOW) only after installing all measures.
iii. Verify the SOW submitted by the installation subcontractor is
consistent with the ranked measures authorized on the EASY Audit
and any subsequent update. If not, is there documentation justifying
iv. ** Verify an inspector documented a final blower door test and it was
done on or before the date of client acceptance.
v. ** Verify installation subcontractors corrected discrepancies identified
during final inspection and an inspector cleared all work performed
prior to client certification of completed work.
vi. ** Verify an inspector completed final inspection and the client certified
acceptance of the work prior to submission of the subcontractor’s
vii. Verify the Building Weatherization Report (BWR) is consistent with the
Statement of Work.
viii. Verify the final Invoice is consistent with the approved Statement of
e. Amounts spent are within the per-unit limits authorized.
4. Perform a sampling of completed homes sufficient to provide a statistically
significant assurance all work paid for was completed. While performing these
samples, interview the property owners and tenants, as applicable, to:
a. Determine if there are any concerns with the weatherization process and the
work done to their properties.
b. Determine if the property owner or tenant freely signed the certification that
she/he was satisfied with the work performed and that the certification was made
only after all work had been completed.
5. AACOG desires the selected contractor to evaluate the following fiscal aspects
of billings to the State for the months of March through July 2010. Specifically,
AACOG wishes to evaluate the following issues for each billing package:
a. Did the Weatherization Program submit billings for processing only after
completing all work for all units identified on that billing?
b. Is there any indication that any billing requested payment for work
unsubstantiated by case file documentation?
c. Are there adequate controls (policies, procedures, practices – formal and
informal) to ensure the billings reflect work actually completed and approved
upon final inspection?
C. Deliverables are:
1. Summary of findings from review of case files.
2. Summary of findings from review of billings and fiscal process.
D. Work Timeline. AACOG would like to complete the project within one month after
providing the awardee adequate orientation to our processes.
IV. Information Requested from the Proposer
To achieve a uniform review process and obtain the maximum degree of comparability,
proposers shall organize their proposals into the following sections (in the order presented
below) and providing the information requested. Format of each section shall be at the
A. Title Page
List the RFP subject, the name of the proposer's firm, local address, telephone
number, fax number, email address, name of contact person, and date.
B. Table of Contents
Clearly identify the material by section and page number.
C. Letter of Transmittal
Limit to one or two pages.
1. Briefly state your understanding of the service(s) or product(s) requested and
make a positive commitment to perform the service(s) or provide the product(s)
in a timely, quality manner.
2. Give the name(s) of the person(s) authorized to make representations and
commitments for your organization relative to this RFP, their titles, addresses,
fax numbers, email addresses (if applicable), and telephone numbers.
D. Proposer Profile
a. Whether your organization is national, regional, or local.
b. Your headquarters location, primary telephone number, and web address (if
c. The size of your organization and its location(s).
a. The address of the office that will oversee fulfillment of the response if your
organization receives the contract.
b. The address of the office(s) that will perform the work if your organization
receives the contract.
3. Describe your organization’s experience with evaluations/audits of operational
and fiscal management issues.
4. Describe your organization’s experience with weatherization programs. If there
is little or no experience with weatherization, describe other experience the firm
has with work similar in nature to the work proposed and describe how your
organization can transfer that experience to the project described.
5. Provide a list of public sector clients to whom you have provided evaluative/audit
services during the last five years, indicating the type(s) of service(s) performed,
year(s) of engagement, and contact information for your clients’ coordinator for
each project. For those cases involving weatherization expertise, identify the
nature of the weatherization issues involved.
6. Describe professional/technical experience and applicable certifications of each
person you will ask to work on this project. Where there is specific experience
with weatherization, identify the extent of that experience in terms of time and
7. Indicate which agencies and/or organizations with which you hold licenses
8. Certify that your organization is in good standing with your licensing/certification
organizations and that your organization is currently free from legal or criminal
action and that you have been for at least the last ten years. If you cannot make
any part of this certification, describe the circumstances and current status of
those situations that work against full and honest certification.
E. Proprietary and Copyrighted Information
1. Clearly identify submitted information your organization considers to be
proprietary and should be exempt from public disclosure under the Texas Open
2. Ensure all copyrighted material is clearly marked as such.
3. Proposers, by responding to this RFP, certify they understand non-proprietary
information is subject to public review under the Texas Open Records Act.
Provide the following information.
1. Proposed plan of action. Describe in whatever manner makes sense to
communicate your proposal:
a. The sequence of events and time required for each.
b. What you propose to do within each step.
c. How you will approach each task.
d. Your likely approach to providing the deliverables requested.
2. Number of persons you intend to assign to the project.
3. Whether you find the two-month window for completion of the project to be
4. If you believe the stated timeline to be infeasible, indicate the time you believe to
be realistic for completing this project.
5. Provide fee structure and proposed cost of project. Item 5 should be on a
G. Certification Sheet
Complete the attached Certification Sheet. Include as Attachment A.
H. Acknowledgement Form
Complete the attached Acknowledgement form. Include as Attachment B.
I. Conflict of Interest Questionnaire
Complete the attached Conflict of Interest Questionnaire. Include as Attachment C.
J. Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion for Contracts and Grants
Complete attached Certification Regarding Debarment. Include as Attachment D.
K. Request to be Added to Bidder’s/Vendor’s List
Complete the attached Request to be Added to Bidder’s/Vendor’s List. Include as
Complete the attached W-9. Include as Attachment F.
V. Evaluation of Proposals
A. AACOG will evaluate and score responses using the weighted point system
presented in the table below to ascertain which response is most advantageous for
B. AACOG will randomly select at least five clients from the list of engagements
provided to query them regarding the work performed for them.
C. AACOG will factor pricing against the qualitative portion of the proposal to arrive at a
determination as to which response provides the greatest VALUE and whether it
can meet our budget constraints.
PART 1 EVALUATION – QUALITY OF PROPOSAL
Proposed Work Plan/Approach 35 Points Available
Soundness 20 points possible
Ability to meet the preferred time constraint 15 points possible
Proposer’s Qualifications 35 Points Available
Depth and breadth of experience evaluating operational and 15 points possible
Familiarity with weatherization programs 15 points possible
Reference satisfaction 15 points possible
PART 2 EVALUATION -- FEE
Fee structure 20 Points Available
Total 100 Points Available
All specifications, terms, and conditions of the RFP have been read.
Our Company accepts the specifications and conditions unless we otherwise have stated
an exception in writing within this response.
City: State Zip Code
Name of Representative authorized to sign for bidder:
(Print name) (Signature)
(a) Does your "residence state" (the state in which the principal place of business is
located) require bidders whose principal place of business is in Texas to underbid
bidders whose residence state is the same as yours by a prescribed amount or
percentage to receive a comparable contract?
(b) What is that amount or percentage?
I certify that the above information is correct:
Having carefully examined the terms, conditions, and specifications within this RFP, the
undersigned Proposer's Agent hereby proposes and agrees to furnish the proposed
product(s)/service(s) in strict compliance with the specifications as quoted.
The Proposer affirms that, to the best of his/her knowledge, the response has been
arrived at independently and is submitted without collusion with anyone to obtain
information or gain any favoritism that would in any way limit competition or give
them an unfair advantage over other Proposers in award of this RFP.
The Proposer affirms he/she has not participated in any act of favoritism, gratuity, or
inside dealings with any member of the AACOG staff or its Board of Directors.
CONFLICT OF INTEREST QUESTIONNAIRE -- FORM CIQ
For vendor or other person doing business with local governmental entity
This questionnaire reflects changes made to the law by H.B. 1491, 80 Leg., Regular OFFICE
Session. USE ONLY
This questionnaire is being filed in accordance with chapter 176, Local Government Code by a Received
person who has a business relationship as defined by Section 176.001 (1-a) with a local
governmental entity and the person meets requirements under Section 176.006(a).
By law this questionnaire must be filed with the records administrator of the local government
entity not later than the 7 business day after the date the person becomes aware of facts that
require the statement to be filed. See Section 176.006, Local Government Code.
A person commits an offense if the person violates Section 176.006, Local Government Code.
An offense under this section is a Class C misdemeanor.
1. Name of person who has a business relationship with local governmental entity.
2. Check this box if you are filing an update to a previously filed questionnaire.
(The law requires that you file an updated completed questionnaire with the appropriate filing
authority not later than the 7 business day after the date the originally filed questionnaire becomes
incomplete or inaccurate.)
3. Name of local government office with whom filer has employment or business relationship.
This section (item 3 including subparts A, B, C & D) must be completed for each officer with whom the filer has
an employment or other business relationship as defined by Section 176.001 (1-a), Local Government Code.
Attach additional pages to this Form CIQ as necessary.
A. Is the local government officer named in this section receiving or likely to receive taxable income, other
than investment income, from the filer of the questionnaire?
B. Is the filer of the questionnaire receiving or likely to receive taxable income, other than investment income,
from or at the direction of the local government officer named in this section AND the taxable income is not
from the local government entity?
C. Is the filer of this questionnaire employed by a corporation or other business entity with respect to which the
local government officer serves as an officer or director, or holds an ownership of 10 percent or more?
D. Describe each employment or business relationship with the local government office named in this section.
Signature of person authorized to contract Date
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY, AND
VOLUNTARY EXCLUSION FOR CONTRACTS AND GRANTS
NAME OF INDIVIDUAL, AGENCY, BUSINESS OR Doing business as (DBA), if
ADDRESS: Applicable Procurement or Federal Employer Tax
Solicitation #, if any: Identification #:
READ CAREFULLY BEFORE SIGNING THIS CERTIFICATION. Federal regulations require contractors,
bidders, and subgrantees to sign and abide by the terms of this certification, without modification, to
participate in certain transactions directly or indirectly involving Federal funds.
1. By signing and submitting this certification, the prospective vendor/subgrantee attests to and
acknowledges the representations set out below.
2. This certification is a material representation of fact upon which the Alamo Area Council of Governments
(AACOG) will rely when it enters into a transaction with the prospective vendor/subgrantee. If AACOG
later determines that the prospective vendor/subgrantee knowingly rendered an erroneous certification, in
addition to other remedies available to Federal or State departments or funding agency(s), AACOG may
pursue available remedies on its own, including contract termination, suspension, and debarment.
3. The prospective vendor/subgrantee shall provide immediate, written notice to AACOG, Director of
Administrative Services, 8700 Tesoro Drive, Suite 700, San Antonio, TX 78217, if at any time it
learns that submitted an erroneous certification or the certification has become erroneous by
reason of changed circumstances.
4. The terms “covered contract”, “debarred”, “suspended”, “ineligible”, “participant”, “person”, “principal”,
“proposal”, and “voluntarily excluded”, as used in this certification, have meanings based upon materials in
the Definitions and Coverage sections of Federal rules implementing Executive Order 12549. You may
contact the person to which this proposal or contract is submitted for assistance in obtaining a copy of this
5. The prospective vendor/subgrantee agrees, by submitting this certification, that should the proposed
contract/subgrant be entered into, it shall not knowingly enter into any lower-tier-covered transaction or
subcontract with a person or entity that is proposed for debarment, debarred, suspended, declared
ineligible, or voluntarily excluded from participation in this transaction, unless pre-authorized by the
appropriate Federal or State department or agency, or by AACOG.
Do you have or do you anticipate having sub-vendors/sub-grantees under this proposed
6. The prospective vendor/subgrantee further agrees by submitting this certification, that it will include this
certification titled “Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion
for Contracts and Grants,” without modification, in all lower-tier-covered transactions and subcontracts
and all solicitations for lower-tier-covered transactions and sub-contracts.
7. A vendor/subgrantee may rely upon a certification of a prospective participant that it is not proposed for
debarment, debarred, suspended, ineligible, or voluntarily excluded from the transaction, unless it knows
that the certification is erroneous. Each vendor/subgrantee is required to check the list of parties
excluded from Federal and State Procurement and Non-procurement Programs. AACOG checks this
list for all parties to which it provides funds derived directly or indirectly from the Federal
8. Nothing contained in the foregoing shall be construed to require the establishment of a system of records
in order to render in good faith the certification required by this certification document. Participants are not
required to have knowledge and information exceeding that normally possessed by a prudent person in
the ordinary course of business activity.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a transaction
knowingly enters into a lower-tier transaction or contract with a person who is proposed for debarment,
debarred, suspended, ineligible, or voluntarily excluded from participation, in addition to other remedies
available to the Federal Government, AACOG or its applicable funding agency(s) may pursue available
remedies, including contract termination, suspension, and/or debarment.
Check the statement that applies to the potential vendor/subgrantee:
1. The prospective vendor/grantee certifies by submission of this certification, that neither it
nor its principals:
(a) Is presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded by any Federal or State department or agency; and
(b) Have, within a three-year period preceding this certification, been convicted of or had
a civil judgment rendered against them for fraud; committed a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract; violated Federal or State antitrust statutes;
committed embezzlement, theft, forgery, bribery, falsification or inappropriate
destruction of records; or received stolen property; and
(c) Is presently indicted for or otherwise charged by a government entity (Federal, State,
or local) with the commission of any of the offenses enumerated in the preceding
paragraph (b) of this certification; and
(d) Have, within a three-year period preceding this certification, had one or more
contracts or transactions (Federal, State, or local) terminated for cause or default.
2. The potential vendor/subgrantee is unable to certify to one or more of the terms in this
certification. In this instance, the potential vendor/grantee must attach a signed and dated
explanation for each of the above terms, 1(a) through 1(d), to which it cannot certify.
NAME OF POTENTIAL VENDOR/SUBGRANTEE:
Printed/Typed Name & Title of Authorized
Signature of Authorized Representative
REQUEST TO BE ADDED TO VENDOR/BIDDER LIST – Part 1
All vendors interested in conducting business with AACOG must complete a “Request to
be Added to Bidder/Vendor List” packet prior to become eligible to bid for AACOG projects.
In addition, AACOG has a centralized purchasing function and requires authorization and
issuance of a purchase order number before processing any order. The contact for
Purchase Order numbers is Cindy Krueger, Administrative Services Director,
NOTE: AACOG programs operate on a cost-reimbursement basis with their funding
sources. AACOG will bill the funding source for purchases subsequent to receipt of goods
or services and their respective invoices. AACOG requires an invoice for all purchases.
We will forward payment to the provider upon reimbursement from the funding source.
Providers should note that this process may require sixty (60) to ninety (90) days for
payment processing. Contact for status of payments is Accounts Payable at
RETURN THIS FORM TO: Alamo Area Council of Governments
8700 Tesoro Drive, Suite 700
San Antonio, TX 78217
ATTN: Administrative Services
Phone: 210.362.5200 Fax: 210.225.5937
I, _________________________, hereby attest that I have read and understand
the above terms for conducting business with the Alamo Area Council of
Send Payment(s) to:
City / State / Zip Code:
Send Purchase Orders to (fill in information for preferred method of receipt):
City / State / Zip Code:
Refer Billing Inquiries to:
REQUEST TO BE ADDED TO VENDOR/BIDDER LIST – PART 2
PLEASE LIST THE TYPE OF PRODUCTS/SERVICES YOU PROVIDE.
Attach any catalogs/brochures/samples – description of products/services
Office Supplies General Contractor
Office Furniture Weatherization Contractor
Copier Paper/Specialty Paper Aging Contractor
Computers Psychological Services
Computer Supplies Outreach Items
Computer Software Printing Services
Copier Machines (and supplies) Security Detail
Audio/Visual Duplication Criminal Justice Supplies
Audio/Visual Equipment Consultant
( ________________) Data & Phone Cabling
Please assist us by completing the following:
1. Type of Request:
New Vendor Change of Contact Updated Information
Sole Proprietorship Partnership Corporation
3. Tax Identification Number: ____________
Attach completed W-9 form unless tax exempt. http://www.irs.gov/pub/irs-
4. Have you done business with AACOG in the past?
REQUEST TO BE ADDED TO VENDOR/BIDDER LIST – PART 2
5. Is your business currently certified with the State of Texas’ Centralized
Master Bidder’s List?
**Please provide confirmation of your CMBL certification with this vendor
6. Is your business currently certified as a HUB with the State of Texas?
Yes No N/A
7. Is your business currently certified as a HUB outside the State of Texas?
Yes No Name of State
8. If YES to either question 6 or 7, enter Historically Underutilized Business
(HUB) Ethnicity and Gender status, if applicable:
Asian Pacific American
Hispanic Americans (HI) American Woman (WO)
Black American (BL) Native American (AI) Male (M) /Female(F)
*Non-profit organizations are not eligible for HUB certification
**Provide a copy of your HUB certification to be included as a HUB.
9. If applicable, please note if your Texas-based Small, Minority, and/or Women-
Owned Business Enterprise (SMWBE) is certified with any of the
organizations listed below:
City of Austin
City of Houston
Dallas/Fort Worth Minority Supplier Development Council
El Paso Hispanic Chamber of Commerce
South Central Texas Regional Certification Agency (SCTRCA)
Southwest Minority Supplier Development Council
Texas Department of Transportation (TXDOT)
Women’s Business Council – Southwest
Women’s Business Enterprise Alliance
**Please provide confirmation of this certification with this vendor application.
*If you hold certification with any of the entities noted above, you may qualify
to automatically receive HUB Certification with the State of Texas. Please
contact TPASS’s Statewide HUB Program at 888-863-5881 for further
10. Is your principal place of business in the State of Texas?
11. Is your organization current on State of Texas Franchise taxes?
12. Are you or anyone in your organization related to an AACOG employee or a
member of AACOG’s governing board?
If YES, list each AACOG employee or Board member’s name and
13. Are you or anyone in your organization a former Workforce Solutions- Alamo
employee and/or board member?