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Request for Proposals_Transit Bus Wrap AdvertisementTHE CITY OF Dubuque aiaam~ e DUB E i r Masterpiece on the Mississippi 2007 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Bus Advertisement Request for Proposal DATE: December 28, 2009 Transit Manager Jon Rodocker recommends City Council approval to issue a Request for Proposals for KeyLine Transit bus wrap advertisement. I concur with the recommendation and respectfully request Mayor and City Council approval. ------- ichael C. Van Milligen MCVM:jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Jon Rodocker, Transit Manager Dave Heiar, Economic Development Director Dubuque THE CTTY OF DuB E ~-~~~~~ ~ r Masterpiece on the Mississippi 2007 To: Michael C. Van Milligan, City Manager David Heiar, Economic Development Director From: Jon Rodocker, Transit Manager Subject: Bus Advertisement, Request for Proposal Date: December 28, 2009 INTRODUCTION The purpose of this memorandum is to request City Council approval to initiate the Request for Proposals (RFP) process for Keyline Transit bus wrap advertisement. DISCUSSION On December 7, 2009, City Council authorized Keyline staff to pursue bus wrap advertising on the Keyline buses. This RFP addresses the need for a new advertising contract for the sale of advertising on and in the buses for a period of five years. Vinyl bus wraps will be a main component of the new contract. The successful proposer will pay the City a percentage of its gross operating revenue, inclusive of a minimum annual guaranteed fee. The successful proposer will execute all aspects of the advertisement on and in the Keyline buses for the City of Dubuque. The following schedule is proposed: Mailed to Proposers ........................ January 11, 2010 Proposals due ................................. February 4, 2010 Review and selection ....................... February 26, 2010 ACTION STEP The action requested is that the City Council approve the initiation of the RFP process for bus wrap advertisement on the KeyLlne Transit fleet. See attachment: RFP#01-10 CITY OF DUBUQUE KEYLINE TRANSIT 2401 Central Ave Dubuque Iowa, 52001 RFP #01-10 Date Issued: January 3, 2010 CITY OF DUBUQUE, IOWA REQUEST FOR PROPOSALS TRANSIT ADVERTISING NOTICE TO PROPOSERS Notice is hereby given that the City of Dubuque, Iowa will receive proposals from qualified and responsible firms for the sale of transit advertising in and on City of Dubuque KeyLine buses. Proposals must be submitted in an envelope clearl~r marked "Transit Advertising Proposal" to the City Clerk, City Hall, 50 West 13 h Street, Dubuque IA 52001. Proposals will be received until 4:00 PM, February 2, 2010 according to the City Clerk's time-stamp clock. Any proposals received after that time and date will not be considered but will not be returned to the proposer. This Request for Proposals and any resulting contract will be administered in accordance with the Federal Transit Administration "Third Party Contracting Guidelines, FTA Circular 4220.1 D", and all other applicable federal, state and local laws and regulations. All proposers must certify that they are not an ineligible contractor listed on the U.S. Comptroller General's Debarred Bidders list. The successful proposer will be required to comply with all applicable Equal Employment Opportunity laws and regulations. The City of Dubuque hereby notifies all proposers that it will affirmatively ensure that Disadvantaged and Women's Business Enterprises will be afforded full opportunity to submit proposals in response to this invitation and will not be discriminated against on the grounds of gender, race, color, sexual orientation, gender identity, or national origin in consideration for an award. The City of Dubuque reserves the right to postpone, accept or reject any and all proposals and to waive any informality in the Request for Proposals process as the City deems to be in its best interest. Copies of the Request for Proposals may be obtained from Jon Rodocker, KeyLine Transit Manager, 563.589.4341 or proposers may access the Request for Proposals, amendments and addenda at http://www.cityofdubugue.org/. AdvertisementRFP2010ba1122209 REQUEST FOR PROPOSALS FOR TRANSIT ADVERTISING CONTRACT JANUARY 2010 SECTION 1. GENERAL INFORMATION 1.01. Purpose KeyLine Transit is the City of Dubuque's bus system that provides fixed route and demand response bus service within the City limits of and between Dubuque, Iowa and East Dubuque, Illinois. The City is soliciting proposals from qualified firms for the privilege to place approved advertising materials on the outside and inside of KeyLine buses. The selected contractor will pay a percentage of its gross income inclusive of a minimum guaranteed fee to the City for this privilege. 1.02. Overview This Request for Proposals (RFP) contains instructions concerning the proposal to be submitted and the material to be included. A description of the services to be provided, eligibility requirements for consideration, evaluation criteria and other requirements to be met by each proposal are enclosed. Proposers must use the revenue proposal form that is included in this bid package and submit it as part of their final proposal. 1.03. Proposal Submission One original and five copies of the proposal must be submitted in an envelope clearly marked "Transit Advertising Proposal" and addressed to: City Clerk City Hall 50 West 13th Street Dubuque IA, 52001 Proposals will be received until 4:00 PM, February 2, 2010. Proposals received after that time and date will not be considered. 1.04. Point of Contact The point of contact for any questions regarding the specifics of this RFP is: Mr. Jon Rodocker, Transit Manager 2401 Central Ave Dubuque IA, 52001 Tel. #563.589.4341 Fax. #563.589.4340 irodocke(a~cityofdubugue.org 1.05. Tax Exemption As the City is exempt from the payment of federal excise taxes, all prices quoted herein are not to include these taxes. Contractor shall be responsible for payment of any city, county, or state taxes incidental to maintaining advertising displays. 1.06. Contractor Selection and Award The basis for award and method for selection of the successful proposal will be competitive negotiation. The City reserves the right to select a contractor from among the proposals submitted, or to enter into negotiations with two (2) or more qualified proposers, or to reject any and all proposals received. This RFP does not constitute a binding offer of award for the requested services. 1.07. On-Site Visitation Proposers may wish to make an on-site visit to the City of Dubuque to inspect the vehicles and the space allocated for sign storage. Contact Jon Rodocker, Transit Manager, telephone number 563.589.4341, to make arrangements for an inspection. 1.08. Requests for Clarifications Requests for clarifications of this RFP must be made in writing and must be received by Jon Rodocker, Transit Manager, no later than 10 calendar days prior to the proposal due date. Responses to requests become a part of the RFP and all proposers requesting this RFP will be provided with any such responses no later than five days prior to the proposal due date. All changes to this RFP will be made by written addendum with notification to all proposers requesting this RFP. 1.09. Postponements in Proposal Opening The City reserves the right to postpone the proposal opening for its own convenience. 1.10. Effective Period of Proposals Proposals may be withdrawn in person or by written or faxed notice at any time prior to the deadline for receipt of the proposals. . Proposals must remain in effect for a minimum of sixty (60) days after the proposal opening. 1.11. Notification of Award 4 Notification of the contract award, to both the successful proposer and the unsuccessful proposers, will be made in writing via the U. S. Postal Service. 1.12. Contract Term The contract for transit advertising is for a five (5)-year period, March 1, 2010 to February 28, 2015. The City reserves the right to terminate the contract in the event of any default to the terms of the agreement by the contractor upon giving thirty (30) days written notice, via certified mail, of intent to do so. 1.13. Termination of Contract The City reserves the right to terminate the contract for convenience upon ninety (90) days written notice, by certified mail, to the contractor should the City elect to discontinue advertising on all or part of the KeyLine fleet. The contractor shall cease all sales efforts immediately upon receipt of the letter of termination. All advertising displays on and in the buses at the time of the contract termination will continue to remain in place through the expiration of the terms of their applicable contracts. 1.14. Contract Transition The current contract between the City and Alternate Transit Advertising requires that all advertising contracts in effect at the time of the contract expiration will be assigned and transferred to the City. The City or its assigns will pay to Alternate Transit Advertising thirty (30) percent of the gross income of such contracts that extend up to twelve (12) months beyond the advertising contract expiration date. The City will assign all contracts to the successful proposer who will then be responsible for the payment of revenues to Alternate Transit Advertising. 1.15. Operating Contract The successful proposer will be required, within ten (10) days after receiving written notice to do so, to enter into a contract with the City. The terms and conditions of a final contract between the City and the successful proposer will be subject to negotiation. 1.16. Required Insurance The contractor shall obtain and maintain throughout the contract period, at the contractor's sole cost and expense, insurance as required by the attached Insurance Schedule. The contractor shall defend, indemnify and hold harmless the City, its officers and employees, from any and all damage, loss or injury (including the resulting death of any 5 person), lawsuits, claims, demands or liens resulting from the installation, maintenance or use of any advertising display on City vehicles or property. 1.17. FTA Requirements The federal contract provisions attached to this RFP are part of this RFP and any contract between the City and the successful proposer. The proposer is required to submit with its proposal the certifications, attachments 1.1, 1.2, and 1.3. Failure to provide the attached certifications will result in the proposal being considered non-responsive. SECTION 2. SPECIFICATIONS AND CONDITIONS 2.01. Scope of Work The City is soliciting written proposals from interested firms to act as its exclusive agent for the sale of advertising in and on its fleet of buses. The successful proposer will be the City's exclusive agent for the sale of advertising on and in the buses. The successful proposer will pay the City a percentage of its gross operating revenue, inclusive of a minimum annual guaranteed fee. 2.02. Operating Requirements The successful proposer, at its own expense, will be responsible for posting advertising signs, removing outdated signs and any signs rejected by the City. Installation and ongoing maintenance of signs and other necessary activities of the successful proposer must not interfere with KeyLine's operations. Access to vehicles will be provided only at times consistent with the operational hours of the operating facilities. Vehicles will not be removed from service for the purpose of installing or removing advertising signs. 2.03. Methods of Posting Advertisements The City will consider any methods used to display signs, including standard sign frames, lighted signs, and full or partial wraps. The City operates 12 standard transit buses and 12 cutaways. These buses are equipped with advertising frames on the sides and rears of the vehicles. A fleet profile is provided in Exhibit B, including frame sizes. 6 The successful proposer will be responsible for any paint damage on buses when wraps or directly applied signs are removed and shall compensate the City for any expense incurred to repaint the damaged sections. The advertising shall be located so that it does not interfere with the view of passengers. 2.04. Advertising Frames The City will maintain and replace the current bus advertising frames, as needed. 2.05. Storage Space The City will provide reasonable space, free of charge, to the contractor for the handling and storage of advertising signs. The contractor is responsible for keeping this work area neat and clean. 2.06. Character of Advertisements All advertisements shall conform to recognized business standards, and shall not conflict with the laws of the United States, the state of Iowa and the City of Dubuque. Proposers are specifically advised and hereby notified that the graphics, artwork, and copy of the advertisements are expected to be of high quality. The City requests the proposers to submit proposed advertising standards/guidelines and how they would limit questionable advertising. The contractor shall comply with the City of Dubuque Transit Advertising Policy and Regulations, a copy of which is attached hereto, and the City may direct the removal of and the contractor shall immediately remove at contractor's expense any advertising contrary to such policy. The City shall have sole discretion in the interpretation of the City of Dubuque Transit Advertising Policy and Regulations. All advertising shall be printed and displayed in a high quality manner. The contractor shall maintain all displayed advertising so as to insure its neat appearance, and promptly remove all advertising that is worn or otherwise unsightly in appearance. The City reserves the right to require the contractor to promptly remove, at the contractor's own expense, any advertising which, in the opinion of the City, is unsightly in appearance. The contractor further agrees to remove dated advertising no later than fifteen (15) days following the final date of an advertised event or offer. 2.07. Public, Charitable, or Educational Advertisements The City reserves the right to offer unsold interior ad space to certain public, charitable or educational entities free of charge. Such clients are responsible for the production costs for said signs. 7 2.08. Advertising On/ln Buses The City reserves the right to use, without charge, unsold available advertising space for the promotion of its transit services. The contractor shall place and remove advertisements without charge. The City will be responsible for the production costs of any advertising signs. 2.09. Trade for Advertising The City must give prior approval for any trades of advertising space for media time or space (newspaper, billboard, radio or television). It must be guaranteed that any trade time negotiated will not be pre-empted by paid advertising contracted by said media. Monthly logs are required to verify the placements made of advertisements. The City may cancel the provisions of this paragraph at any time, except for previously approved contracts. 2.10. Illustrated/VVrapped Buses The advertising message of illustrated/wrapped buses shall not cover any of the destination signs on the bus: front, rear or side. The bus number shall be displayed at four locations on a covered bus: front, rear and both sides, and all emergency exits shall be operable. 2.11. Monthly Remittance and Report The successful proposer is required to remit revenues earned each month within twenty (20) calendar days after the end of the month in which they were earned. The revenue must be accompanied by a report in a form acceptable to the City that includes details of the following: A. All contracts in effect B. Billings for the month C. Collections for the month D. Past due amounts E. Total remaining balances on accounts F. Contract expiration dates The monthly payment and report is to be mailed to: The City of Dubuque, KeyLine Transit Attn: Transit Manager 2401 Central Ave Dubuque IA, 52001 The successful proposer shall maintain all required records for three (3) years after final payment by the successful proposer to the City under the terms of the operating 8 contract. However, if any audit, claim, or litigation is started before the expiration of the three (3) year period, the records shall be retained until all litigation, claims, or audit findings involving the records have been resolved. The successful proposer will permit the City to inspect/audit all records and financial data involved in the operation of the concession during the regular business hours maintained by the successful proposer, and at such other times upon one (1) day's written notice. 2.12. Contract Expiration Upon the expiration of the advertising contract, the successful proposer will assign and transfer to the City all contracts for advertising on/in the buses. Said contracts will then become the property of the City. 2.13. Contract Default or Bankruptcy If the successful proposer shall default in complying with the provisions of this agreement, and such default shall continue beyond thirty (30) days, then the City may terminate the contract upon thirty (30) days written notice, via certified mail. The contract shall terminate at the expiration of the thirty (30) day period unless the default shall be cured within the thirty (30) day period. In the event of contract termination, neither party shall have any further claim against the other, except that the successful proposer shall be obliged to pay to the City any monies due to the date of contract termination. The City may terminate the contract and advertisement materials displayed on its become bankrupt or insolvent. may remove without any liability to it, any vehicles if the successful proposer shall SECTION 3. REVENUE PROPOSAL 3.01. Revenue Proposal Bid Form A Revenue Proposal bid form is included as part of this RFP. Proposers shall submit this form as their official revenue proposal. Failure to incorporate this bid form in their proposal will result in the proposer's bid being considered non-responsive. 3.02. Share of Revenue/Minimum Guarantee Proposers shall submit on the required bid form the percentage of annual income collected for the sale of advertising space that they will share with the City. Annual income is defined as the amount collected for the advertising space less advertising agency and/or brokerage commissions (other than the successful proposer's staff), fees and production charges. 9 Proposers shall also submit on the required bid form the minimum amount of revenue that it will annually guarantee to pay to the City. The successful proposer shall report the annual income at the end of each contract year. In the event payments of a percentage of revenues are less than the minimum guarantee for the contract year, the difference shall be paid to the City within 20 days of the end of the contract year. SECTION 4. QUALIFICATIONS AND SELECTION CRITERIA 4.01. Proposer Qualifications Each proposal must contain the following information: 1. The proposer must demonstrate it has the ability to fulfill the obligations of the contract. 2. The proposer must provide the resumes of the company principals involved with the contract. 3. The proposer must provide a list of other transit agencies that are current clients, and the name and phone number of a contact person at each agency. 4. The proposer must provide a copy of its most recent audited financial statement along with relevant information about the company. 5. The proposer must demonstrate it has the ability to successfully acquire national and local advertising contracts and to operate a sales program designed to produce maximum advertising income for the City. 4.02. Proposal Content The City desires concise proposals and suggests the following format: 1. Firm Name 2. Business Address 3. Telephone Number 4. Year business established 5. Type of Organization -Individual, Partnership, or Corporation and whether firm is a Disadvantaged Business Enterprise (DBE) 10 6. Statement of Qualifications - Statement of qualifications and relevant experience in the transit advertising business for the past five years. 7. Professional Qualifications -Resumes of key personnel to be assigned to this contract. 8. Work Plan - Provide a brief work plan describing how your firm will provide the required services. 9. Revenue Proposal -Complete the enclosed Revenue Proposal Bid Form. 10. References -Provide references with financial results from other transit agencies. 11.Audited Financial Statement -Audited statement for most recent business year. 4.03. Selection Criteria An Evaluation Review Committee will review each proposal. The proposals will be evaluated in accordance with the following: 1. Experience and Capabilities of Proposer 30 points The experience and capability of the proposer to undertake this contract with the maximum financial return to the City. Client references and proposer's financial capacity will also be considered. 2. Experience and Qualifications of staff assigned to contract 30 points The sales experience of the assigned staff, especially with transit ad sales, will be strongly considered. 3. Revenue Proposal 40 points The revenue bid proposal will be reviewed to determine the bid that is in the best financial interest of the City. 4.04. Oral Interviews Upon review of the proposals, one or more proposers may be invited to participate in oral interviews. The City reserves the right to award the contract without conducting interviews. The City also reserves the right to reject any or all proposals and to waive any informality or irregularity if it is in the best interest of the City to do so. 11 REVENUE PROPOSAL FOR TRANSIT ADVERTISING FOR THE CITY OF DUBUQUE Proposers must present their Revenue Bid Proposal in the following format: EXTERIOR/INTERIOR BUS ADVERTISING Share of Revenue: of Annual Income payable to the City in 2010 (March thru December) of Annual Income payable to the City in 2011 (January thru December) of Annual Income payable to the City in 2012 (January thru December) of Annual Income payable to the City in 2013 (January thru December) of Annual Income payable to the City in 2014 (January thru December) Minimum Guarantee: Minimum Annual Revenue Guarantee in 2010 $ Minimum Annual Revenue Guarantee in 2011 $ Minimum Annual Revenue Guarantee in 2012 $ Minimum Annual Revenue Guarantee in 2013 $ Minimum Annual Revenue Guarantee in 2014 $ Proposer must complete this Revenue Proposal form in compliance with Section 3, Revenue Proposal, of the RFP. Company Name Date Name of Authorized Official Signature of Authorized Official Title 12 EXHIBIT A KEYLINE TRANSIT/CITY OF DUBUQUE SYSTEM PROFILE Overview KeyLine is the fixed route and demand-response bus service operator that provides public transit service to the City of Dubuque Iowa. Transit Bus Fleet ~ Year Length GMC 2 1976 35' RTS 2 1979 35' RTS 2 1980 35' International 1 2000 27' Nova 6 2002 30' Paratransit Fleet (currently - no advertisement Ford 1 1995 22' Ford 1 1996 20' Ford 2 2000 24' Ford 3 2002 24' Ford 5 2005 22' Ad Frames on Buses -Current Height & Width Size 6 30" x 144" Custom 2 30" x 88" Custom 10 30" x 72" Custom 6 30" x 70" Custom 12 21" x 36" Taillight 12 14" x 33" Headlight Service Characteristics Days of Service - Weekdays - Saturdays - No Sunday Service - No Service on Six Major Holidays Approximate Hours - 6:00 AM - 5:30 PM Monday thru Friday - 8:00 AM - 5:00 PM Saturday 13 Peak Buses: Weekday - 9 Saturday - 7 Base Buses Weekday - 7 Saturday - 7 Annual Miles Operated Annual Hours Operated Annual Ridership Fleet Replacement Schedule 548,122 40,820 335,763 The City anticipates replacing two 1980 RTS buses with two 35 foot low-floor transit buses in 2012. 14 FEDERAL TRANSIT ADMINISTRATION REQUIREMENTS 15 KEYLINE TRANSIT/CITY OF DUBUQUE BID SECTION NUMBER 01-10 SOLICITATION PROVISIONS/REQUIRED CONTRACT CLAUSES 1.1. Contract Subject to Federal Financial Assistance/Application of Provisions and Clauses. Operation of KeyLine Transit by the City of Dubuque is funded in part by grants from the Federal Transit Administration (FTA) of the United States Department of Transportation. The award of any contract is subject to the requirements of financial assistance contracts between the City of Dubuque (hereinafter referred to as the City) and the U.S. Department of Transportation requiring compliance with purchasing procedures and standards as set forth in various federal statutes and regulations including OMB Circular A-102, 49 CFR Part 18, and FTA Circular 4220.1 B. The contractor is required to comply with all terms and conditions prescribed for third-party contracts by the U.S. Department of Transportation, Federal Transit Administration (FTA). The following provisions and required contract clauses will be incorporated by reference in any contract resulting from this RFP issued by the City. These provisions and required contract clauses are in addition to other requirements and forms set forth in other sections of this RFP which may also be incorporated by reference in any resulting contract. Some provisions and clauses require the proposer to execute and submit certain required certifications with the proposal, which are included herein. Failure to execute and submit required certifications with the proposal documents may render a proposal non-responsive. ELIGIBILITY, PROHIBITED INTERESTS, NON-COLLUSION, ETHICS 1.2. Non-Collusion: Affidavits The proposer guarantees that the proposal submitted is not a product of collusion with any other proposer and that is has not been communicated by the proposer to anyone not an employee or agent or surety of the proposer. Proposers are required to furnish a federal Non-collusion Affidavit (Attachment 1.1). Failure to submit the signed affidavit at the time of proposal opening shall be grounds for disqualification of the proposal. 1.3. Ineligible Bidders; Certification The proposer certifies that it is not included in the U.S. Comptroller General's List of Ineligible Contractors Debarred for Violations of Labor Standards Provisions. Proposers are required to furnish a signed Ineligible Contractors Certificate (Attachment 1.2). Failure to submit the certificate at the time of proposal opening shall be grounds for the disqualification of the proposal. 16 1.4. Certification Regarding Debarment, Suspension, and Other Responsibility Matters Lower Tier Covered Transactions. (Third Party Contracts Over $100,000) Instructions for Certification (a) By signing and submitting this proposal, the prospective lower tier participant is providing the signed certification set out below. (b) The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the federal government, the City may pursue available remedies, including suspension and/or debarment. (c) The prospective lower tier participant shall provide immediate written notice to the City if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. (d) The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction,":"participant," "persons," "lower tier covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549 [49 CFR Part 29]. You may contact the City for assistance in obtaining a copy of those regulations. (e) The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized in writing by the City. (f) The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction", without modification,, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. (g) A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each 17 participant may, but is not required to, check the Nonprocurement List issued by U.S. General Service Administration. (h) Nothing contained in the foregoing shall be construed to require establishment of system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to all remedies available to the Federal Government, the City may pursue available remedies including suspension and/or debarment. Q) The certification language is as follows: "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction." The prospective lower tier participant certifies, by submission of this bid or proposal, that neither it nor its "principals" [as defined at 49 C.F.R. § 29.105(p)] is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. When the prospective lower tier participant is unable to certify to the statements in this certification, such prospective participant shall attach an explanation to this proposal." 1.5. Lobbying Contractors who apply or bid for an award of $100,000 or more shall file the certification required by 49 CFR part 20, "New Restrictions on Lobbying," included herein as Bid Attachment 1.3. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-Federal funds with respect to that Federal contract, grant or award covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the KeyLine. 1.6. Interest of Members of, or Delegates to, Congress 18 No member of, or delegate to, the Congress of the United States shall be admitted to any share or part of this contract or to any benefit arising there from (41 U.S.C. 22). 1.7. Prohibited Interest No member, officer, or employee of the City or local public official during such person's tenure or one year thereafter shall have any interest, direct or indirect, in this contract or the proceeds thereof. 1.8. Covenant Against Gratuities The Contractor shall not offer or provide gifts, favors, entertainment or any other gratuities of monetary value to any official, employee, or agent of the City during the period of this contract or for a period of one year thereafter. 1.9. Program Fraud and False or Fraudulent Statements and Related Acts The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § § 3801 et sew .and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this Project. Upon execution of the underlying contract, the Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying contract or the FTA assisted project for which this contract work is being performed. In addition to other penalties that may be applicable, the Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the federal government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal Government deems appropriate. The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a project that is financed in whole or in part with federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the federal government deems appropriate. The Contractor agrees to include the above two clauses in each subcontract financed in whole or in part with federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions. 1.10. Federal Chances 19 Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, including without limitation those listed directly or by reference in the Agreement (Form FTA MA (2) dated October, 1995) between Purchaser and FTA, as they may be amended or promulgated from time to time during the term of this contract. Contractor's failure to so comply shall constitute a material breach of this contract. EEO, CIVIL RIGHTS, DISADVANTAGED BUSINESS ENTERPRISE 1.11. Title VI, Civil Rights Act of 1964, Compliance During the performance of this contract, the Contractor, for itself, its assignees and successors in interest (hereinafter referred to as the "Contractor"), agrees as follows: (a) Compliance with Regulations: The Contractor shall comply with the regulations relative to non-discrimination in federal programs of the Department of Transportation (hereinafter referred to as "Regulations"), which are incorporated by reference and made a part of this contract. (b) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, national origin, sex, age, or disability. In addition, the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue. (c) Equal Employment Opportunity - The following equal employment opportunity requirements apply to the underlying contract: Race, Color, Creed, National Origin, Sex - In accordance with Title VII of the Civil Rights Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332, the Contractor agrees to comply with all applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 et sew, (which implement Executive Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e note), and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may in the future affect construction activities undertaken in the course of the Project. The Contractor agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, creed, national origin, sex, or 20 age. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue. 1. Age - In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as amended, 29 U.S.C. § § 623 and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue. 2. Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as amended, 42 U.S.C. § 12112, the Contractor agrees that it will comply with the requirements of U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining to employment of persons with disabilities. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue. (d) The Contractor also agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties. 1.12. Disadvantaged Business Enterprise, 49 CFR Part 23 The Federal Fiscal Year goal has been set by the KeyLine in an attempt to match projected procurements with available qualified disadvantaged businesses. The KeyLine's goals for budgeted service contracts, bus parts, and other material and supplies for Disadvantaged Business Enterprises have been established by the KeyLine as set forth by the Department of Transportation Regulations 49 C.F.R. Part 23, March 31, 1980, and amended by Section 106(c) of the Surface Transportation Assistance Act of 1987, and is considered pertinent to any contract resulting from this request for proposal. If a specific DBE goal is assigned to this contract, it will be clearly stated in the Special Specifications, and if the contractor is found to have failed to exert sufficient, reasonable, and good faith efforts to involve DBE's in the work provided, the KeyLine may declare the Contractor noncompliant and in breach of contract. If a goal is not stated in the Special Specifications, it will be understood that no specific goal is assigned to this contract. (a) Policy - It is the policy of the Department of Transportation and the City that Disadvantaged Business Enterprises, as defined in 49 CFR Part 23, and as amended in Section 106(c) of the Surface Transportation and Uniform Relocation Assistance Act of 1987, shall have the maximum opportunity to participate in the 21 performance of Contract financed in whole or in part with federal funds under this Agreement. Consequently, the DBE requirements of 49 CFR Part 23 and Section 106(c) of the STURAA of 1987, apply to this Contract. The Contractor agrees to ensure that DBEs as defined in 49 CFR Part 23 and Section 106(c) of the STURAA of 1987, have the maximum opportunity to participate in the whole or in part with federal funds provided under this Agreement. In this regard, the Contractor shall take all necessary and reasonable steps in accordance with the regulations to ensure that DBEs have the maximum opportunity to compete for and perform subcontracts. The Contractor shall not discriminate on the basis of race, color, national origin, religion, sex, age or physical handicap in the award and performance of subcontracts. It is further the policy of the City to promote the development and increase the participation of businesses owned and controlled by disadvantaged. DBE involvement in all phases of the KeyLine's procurement activities is encouraged. (b) DBE obligation -The Contractor and its subcontractors agree to ensure that disadvantaged businesses have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with federal funds provided under the Agreement. In that regard, all Contractors and subcontractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 23 as amended, to ensure that minority business enterprises have the maximum opportunity to compete for and perform contracts. (c) Where the Contractor is found to have failed to exert sufficient reasonable and good faith efforts to involve DBE's in the work provided, the KeyLine may declare the contractor noncompliant and in breach of contract. (d) The Contractor will keep records and documents for a reasonable time following performance of this contract to indicate compliance with the KeyLine's DBE program. These records and documents will be made available at reasonable times and places for inspection by any authorized representative of the City and will be submitted to the City upon request. (e) The City will provide affirmative assistance as may be reasonable and necessary to assist the prime contractor in implementing their programs for DBE participation. The assistance may include the following upon request: Identification of qualified DBE Available listing of Minority Assistance Agencies Holding bid conferences to emphasize requirements DBE Program Definitions, as used in the contract: (a) Disadvantaged business "means a small business concern": 22 i. Which is at least 51 percent owned by one or more socially and economically disadvantaged individuals, or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged individuals; and ii. Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. or iii. Which is at least 51 percent owned by one or more women individuals, or in the case of any publicly owned business, at least 51 % of the stock of which is owned by one or more women individuals; and iv. Whose management and daily business operations are controlled by one or more women individuals who own it. (b) "Small business concern" means a small business as defined by Section 3 of the Small Business Act and Appendix B - (Section 106(c)) Determinations of Business Size. (c) "Socially and economically disadvantaged individuals" means those individuals who are citizens of the United States (or lawfully admitted permanent residents) and States (or lawfully admitted permanent residents) and who are black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Asian-Indian Americans, or women, and any other minorities or individuals found to be disadvantaged by the Small Business Administration pursuant to section 8(a) of the Small Business Act. i. "Black Americans", which includes persons having origins in any of the Black racial groups of Africa; ii. "Hispanic Americans", which includes persons of Mexican, Puerto Rican, Cuba, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race; iii. "Native Americans', which includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians; iv. "Asian-Pacific Americans", which includes persons whose origins are from Japan, China, Taiwan, Korea, Vietnam, Laos, Cambodia, the Philippines, Samoa, Guam, the U.S. Trust Territories of Pacific, and the Northern Marianas; v. "Asian-Indian Americans", which includes persons whose origins are from India, Pakistan, and Bangladesh. 1.13. Access Requirements for Individuals with Disabilities 23 The City agrees to comply with the requirements of 49 U.S.C. § 5301(d) which states the Federal policy that the elderly and persons with disabilities have the same right as other persons to use mass transportation service and facilities, and that special efforts shall be made in planning and designing those services and facilities to implement that policy. The City also agrees to comply with all applicable requirements of section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, which prohibits discrimination on the basis of handicaps, and with the Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. §§ 12101 et seq., which requires that accessible facilities and services be made available to persons with disabilities, including any subsequent amendments thereto. In addition, the KeyLine agrees to comply with all applicable requirements of the following regulations and any subsequent amendments thereto: (1) U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," 49 C.F.R. Part 37; (2) U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance," 49 C.F.R. Part 27; (3) Joint U.S. Architectural and Transportation Barriers Compliance Board/U.S. DOT regulations, "Americans With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles," 36 C.F.R. Part 1192 and 49 C.F.R. Part 38; (4) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and Local Government Services," 28 C.F.R. Part 35; (5) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities," 28 C.F.R. Part 36; (6) U.S. General Services Administration (U.S. GSA) regulations, "Accommodations for the Physically Handicapped," 41 C.F.R. Subpart 101-19; (7) U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630; (8) U.S. Federal Communications Commission regulations, "Telecommunications Relay Services and Related Customer Premises Equipment for the Hearing and Speech Disabled," 47 C.F.R. Part 64, Subpart F; and (9) FTA regulations, "Transportation for Elderly and Handicapped Persons," 49 C.F.R. Part 609; and (10) Any implementing requirements FTA may issue. ENVIRONMENTAL, RESOURCE, ENERGY PROTECTION, CONSERVATION, AND SAFETY REQUIREMENTS 1.14. Energy Conservation The contractor agrees to comply with mandatory standards and policies relating to energy efficiency, which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act. 24 1.15. Clean Air The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et sue. The Contractor agrees to report each violation to the Purchaser and understands and agrees that the Purchaser will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. The Contractor also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA. 1.16. Clean Water The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et sew. The Contractor agrees to report each violation to the Purchaser and understands and agrees that the Purchaser will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. The Contractor also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA. 1.17. Recycled Products The contractor agrees to comply with all the requirements of Section 6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the procurement of the items designated in Subpart B of 40 CFR Part 247. OTHER STATUTORY REQUIREMENTS 1.18. Access to Records and Reports 1. Where the Purchaser is not a State but a local government and is the FTA Recipient or a sub grantee of the FTA Recipient in accordance with 49 C. F. R. 18.36(1), the Contractor agrees to provide the Purchaser, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 C. F. R. 633.17 to provide the FTA Administrator or his authorized representatives including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 25 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. Where the Purchaser is a State and is the FTA Recipient or a sub grantee of the FTA Recipient in accordance with 49 C.F.R. 633.17, Contractor agrees to provide the Purchaser, the FTA Administrator or his authorized representatives, including any PMO Contractor, access to the Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. By definition, a major capital project excludes contracts of less than the simplified acquisition threshold currently set at $100,000. 3. Where the Purchaser enters into a negotiated contract for other than a small purchase or under the simplified acquisition threshold and is an institution of higher education, a hospital or other non-profit organization and is the FTA Recipient or a sub grantee of the FTA Recipient in accordance with 49 C.F.R. 19.48, Contractor agrees to provide the Purchaser, FTA Administrator, the Comptroller General of the United States or any of their duly authorized representatives with access to any books, documents, papers and record of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. 4. Where any Purchaser which is the FTA Recipient or a sub grantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall make available records related to the contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 5. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 6. The Contractor agrees to maintain all books, records, accounts and reports required under this contract for a period of not less than three years after the date of termination or expiration of this contract, except in the event of litigation or settlement of claims arising from the performance of this contract, in which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(1)(11). 1.19. Indemnity 26 The Contractor agrees to indemnify, defend, and hold the City harmless from any and all claims and lawsuits by third parties (including, but not limited to, employees and agents of the City and the Contractor), including the payment of all damages, expenses, penalties, fines, costs, royalties, charges and attorney's fees incurred by the City, whether these claims or lawsuits are based upon breach of warranty, strict liability in tort, any failure by the Contractor to comply with any laws pertaining to the contract documents, the use of patent appliances, products or processes or any breach by the Contractor of any of its other duties, representations, covenants, or other agreements in the contract documents. The Contractor will defend all suits brought upon all such claims and lawsuits and shall pay all reasonable costs and expenses incidental thereto, but the City shall have the right, at its option, to participate at its own expense in the defense of any suit, without relieving the contractor of any of its obligations hereunder. 1.20. Notice of Federal Changes Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, including without limitation those listed directly or by reference in the Agreement (Form FTA MA (2) dated October, 1995) between Purchaser and FTA, as they may be amended or promulgated from time to time during the term of this contract. Contractor's failure to so comply shall constitute a material breach of this contract. 1.21. Compliance with Laws/Permits and Licenses Contractor will give all notices and comply with all federal, state, county, and local laws, ordinances, rules, regulations, standards, and order of any public authority bearing on the performance of the contract, or concerning the production of goods there under, including, but not limited to, the laws referred to in these provisions of the contract and the other contract documents. If the contract documents are at variance therewith in any respect, any necessary changes shall be adjusted by appropriate modification. Omission of any applicable laws, ordinances, rules, regulations, standards, or orders by the City in the contract documents shall be construed as an oversight and shall not relieve the Contractor from his obligations to meet such fully and completely. Upon request, the Contractor shall furnish to the City certificates of compliance with all such laws, orders and regulations. The Contractor shall be responsible for obtaining all necessary permits and licenses required for performance under the contract. Applicable provisions of all federal, state, county, and local laws, and of all ordinances, rules, and regulations shall govern any and all claims and disputes which may arise between person(s) submitting a bid response hereto and the City by and through its officers, employees, and authorized representatives, or any other persons, natural and otherwise, and lack of knowledge by any Contractor shall not constitute a cognizable defense against the legal effect thereof. 1.22. Records Retention/Audit and Inspection of Records 27 (a) The Contractor shall permit the authorized representatives of the City, the U.S. Department of Transportation and the Comptroller General of the United States to inspect and audit all data and records of the Contractor relating to its performance under the contract until the expiration of three years after final payment under this contract. (b) The Contractor further agrees to include in all subcontracts hereunder a provision to the effect that the subcontractor agrees that the City, the U.S. Department of Transportation and the Comptroller General of the United States or any of their duly authorized representatives shall, until the expiration of three years after final payment under the subcontract, have access to and the right to examine any books, documents, papers, and records of the subcontractor directly pertinent to this contract. The term "subcontract" as used in this clause excludes (1) purchase orders not exceeding $10,000 and (2) subcontracts or purchase orders for public utility services at rates established for uniform applicability to the general public. (c) The periods of access and examination described above, for records which relate to (1) appeals under the dispute clause of this contract, (2) litigation or the settlement of claims arising out of the performance of this contract, or (3) costs and expenses of this contract to which an exception has been taken by the U.S. Comptroller General or any of his duly authorized representatives, shall continue until such appeals, litigation, claims or exceptions have been disposed of. 28 KEYLINE TRANSIT/CITY OF DUBUQUE RFP NO.01-10 BID ATTACHMENT 1.1. AFFIDAVIT AND INFORMATION REQUIRED OF BIDDERS AFFIDAVIT OF NON-COLLUSION I hereby swear (or affirm) under the penalty for perjury: 1. That I am the bidder (if the bidder is an individual, a partner in the bid (of the bidder is a partnership), or an officer or employee of the bidding corporation having authority to sign on its behalf (if the bidder is a corporation); 2. That the attached bid or bids has been arrived at by the bidder independently and have submitted without collusion and without any agreement, understanding, or planned common course of action with any other vendor of materials, supplies, equipment, or service described in the invitation to bid, designed to limit independent bids or competition; 3. That the contents of the bid or bids has not been communicated by the bidder or its employees or agents to any person not an employee or agent of the bidder or its surety on any bond furnished with the bid or bids, and will not be communicated to any such person prior to the official opening of the bid or bids; and 4. That I have fully informed myself regarding the accuracy of the statements made in the affidavit. SIGNED FIRM NAME Subscribed and sworn to before me this day of ,20 Notary Public My commission expires 20 Proposer's E.I. Number (Number used on employer's Quarterly Federal Tax Return) 29 KEYLINE TRANSIT/CITY OF DUBUQUE RFP NO.01-10 BID ATTACHMENT 1.2 INELIGIBLE CONTRACTORS CERTIFICATE "The contractor) hereby certifies that it IS / IS NOT Comptroller General's Consolidated List of Persor Violations for Various Public Contracts Incorporating NAME: COMPANY AUTHORIZED OFFICIAL: TITLE: SIGNATURE: DATE: (name of the third party (circle one) included on the U.S. is or Firms Currently Debarred for Labor Standard Provisions. 30 KEYLINE TRANSIT/CITY OF DUBUQUE RFP N0.01-10 BID ATTACHMENT 1.3 CERTIFICATION REGARDING LOBBYING PURSUANT TO 49 CFR PART 20 The undersigned [Contractor] certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form--LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions [as amended by "Government wide Guidance for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104-65, to be codified at 2 U.S.C. 1601, etseq.)] (3) The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including subcontracts, sub grants, and contracts under grants, loans, and cooperative agreements) and that all sub recipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. [Note: Pursuant to 31 U.S.C. § 1352(c)(1)-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or failure.] 31 The Contractor, accuracy of each statement of its Contractor understands and agree apply to this certification and disclos Signature of Contractor's Authorized Official Name and Title of Contractor's Authorized Official Date certification s that the p ure, if any. _, certifies or affirms the truthfulness and disclosure, if any. In addition, rovisions of 31 U.S.C. A 3801, et 32 and the seq., INSURANCE SCHEDULE B INSURANCE REQUIREMENTS FOR ARTISAN CONTRACTORS OR GENERAL CONTRACTORS TO THE CITY OF DUBUQUE 1. A!I policies of insurance required hereunder shall be with an insurer authorized to do business in Iowa. All insurers shall have a rating of A or better in the current A.M. Best Rating Guide. 2. All Certificates of Insurance required hereunder shall provide a thirty (30) day notice of cancellation to the City of Dubuque, except for a ten (10} day notice for non- payment, if cancellation is prior to the expiration date. 3. Contractor shall furnish a signed Certificate of Insurance to the City of Dubuque, Iowa for the coverage required in Exhibit I. Such Certificates shall include copies of the following endorsements: a) Commercial General Liability policy is primary and non-contributing b) Commercial General Liability additional insured endorsement-See Exhibit I c) Governmental Immunities Endorsement shall upon request, provide Certificates of Insurance for all subcontractors and sub-sub contractors who perform work or services pursuant to the provisions of this contract. Said certificates shall meet the insurance requirements as required of 4. Each certificate shall be submitted to the City of Dubuque. 5. Failure to provide minimum coverage shall not be deemed a waiver of these requirements by the City of Dubuque. Failure to obtain or maintain the required insurance shall be considered a material breach of this agreement. 6. Contractor shall be required to carry the following minimum coverage/limits or greater if required by law or other legal agreement; as per Exhibit I. This coverage shall be written on an occurrence, not claims made form. Form CG 25 03 03 97 "Designated Construction Project (s) General Aggregate Limit" shall be included. All deviations or exclusions from the standard ISO commercial general liability form CG 001 shall be clearly identified. Governmental Immunity endorsement identical or equivalent to form attached. 1 of 3 January 2008 34 INSURANCE SCHEDULE B (Continued) INSURANCE REQUIREMENTS FOR ARTISAN CONTRACTORS OR GENERAL CONTRACTORS TO THE CITY OF DUBUQUE Additional Insured Requirement -See Exhibit I. The City of Dubuque, including all its elected and appointed officials, all its employees and volunteers, all its boards, commissions and/or authorities and their board members, employees and volunteers shall be named as an additional insured on General Liability Policies for all classes of contractors. Class A, B, and C Contractors shall include coverage for The City of Dubuque as an additional insured including on oin and completed operations coverage equivalent to:ISO CG 20 10 07 04 *and CG 20 37 07 04.** *ISO CG 20 10 0704 "Additional Insured-Owners, Lessees or Contractors - Scheduled Person or Organization" **ISO CG 20 37 0704 "Additional Insured -Owners, Lessees or Contractors - Completed Operations" ompletion Checklist Certificate of Liability Insurance (2 pages) Designated Construction Project{s) General Aggregate Limit CG 25 03 03 97 (2 pages) Additional Insured CG 20 10 07 04 Additional Insured CG 20 37 07 04 Governmental Immunities Endorsement 2 of 3 January 2008 35 INSURANCE SCHEDULE B (Continued) EXHIBIT I -Contractors Insurance Requirements CLASS C: General Contractors, Contractors, Trade Contractors, Subcontractors, Sub Sub Contractors who perform the following work: Acoustical Non Vehicular Snow 8~ Ice Removal Carpet 8i Resilient Flooring Office Furnishings Caulking 8~ Sealants Power Washing General Cleaning Tile 8 Terrazzo Flooring Grass Cutting Window Cleaning Janitorial General Liability (Occurrence Form Only) Commercial General Liability General Aggregate $2,000,000 Products-Completed Operations Aggregate Limit $1,000,000 Personal and Advertising Injury Limit $1,000,000 Each Occurrence Limit $1,000,000 Fire Damage Limit (any one occurrence) $ 50,000 Medical Payments $ 5,000 Additional Insured -The City of Dubuque, including all its elected and appointed officials, all its employees and volunteers, all its boards, commissions and/or authorities and their board members, employees and volunteers shall be named as additional insured, including ongoing operations CG 2010 07 04 or equivalent, and completed operations CG 2037 07 04 or equivalent. See Specimens Automobile $1,000,000 (Combined Single Limit) Standard Workers Compensation-with a Dubuque Statutory far Coverage A Employers Liability: Each Accident Each Employee-Disease Policy Limit-Disease waiver of subrogation to The City of $ 100,000 $ 100,000 $ 500,000 3 of 3 January 2008 36 ACORD CERTIFICATE OF LIABILITY INSURANCE ~ oo ' 12i~ ,~ 2 PRODUCER (563) 123-4567 FAX (563) 987-6543 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE Insurance A en 9 cY HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR Street Address ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. Ci ST Zi Code INSURERS AFFORDING COVERAGE NAIC # INSURED INSURER A: Insurance COm an Company INSURER B: Street INSVRER C INSURER D C3.t St Zit Code INSURER E: COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDINGAHY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR ADD' POLICY EFFECTIVE POLICY EXPIRATON TR INSR TYPE OF INSURANCE POLICY NUMBER GATE MMIDDIYY) DATE MMIDD/YY LIMITS GENERAL LIABILITY EACH OCCURRENCE S 1 r 000 r 000 X COMMERCIAL GENERAL LIABILITY PDRA MIGSES Ea£ence S SO r 000 A X CLAIMS MADE ^]C OCCUR M£0 EXP one son S $ r 000 PERSONAL 8 ADV INJURY S Z r 000 r 000 GENERAL AGGREGATE S 2 r 000 r 000 G£N'L AGGREGATE LIMB APPLIES PER PRODUCTS -COMP/0P AGG S 1 r 000 r OOO POLK;Y X JECT LOC AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT S 1 r 000 r 000 X ANY AUTO (Ea accident) A ALL OWNED AUTOS BODILY INJURY SCHEDULED AUTOS (Per ~~~ S HIRED AUTOS BODILY INJURY S NON-OWNED AUTOS (pgr acGdenQ PROPERTY DAMAGE S (Per accident) GARAGE LIABILITY AUTO ONLY - EA ACCIDENT S ANY AUTO OTHER THAN EA ACC S AUTO ONLY: qGG S EXCESSlUMBRELLA LIABILITY EA H C URRENCE $ OCCUR ~ CLAAdS MADE AGGREGATE S 5 DEDUCTIBLE ' ~/ ~e/ - s RETENTfON S ~, S A WORKERS COMPENSATION AND STATU- OTH- MP YERS' A TY X T YLIMRS ER E LO U &LI ANY PROPR~70R/PARTNERA=XECUTNE S 1 s~ E.L. EACH ACCIDENT S 100 , 000 OFFICERIMEMBEREXCLUOED? ~ U / ,1 V E.L. DISEASE - EA EMPLOYEE 3 100 r 000 ~~ ~~ yss SPECIAL PROVISIONS bebw E.L. DISEASE -POLICY LIMIT f 500 r 000 OTHER DESCRIPTON OF OPERATK)NSROCATIONSNEHICLESIEXCLUSIONS ADDED BY ENDORSEMENTAiI'ECIAL PROVISIONS The City of Dubuque is an additional insured on general liability policies including ongoing d completed operations coverage equivalent to ISO CG 2010 0704 b CG 2037 0704. General Liability policy is primary anon-contributing. Form CG 2503 0397 "Designated Projects" general liability aggregate limik is iacludad. Governmental immunities endorsement is included. waiver of subrogation in favor of City of Dubuque on porkers compensation is included. CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE Clty of Dubuque EXPIRATK)N DATE THEREOF, THE ISSUING INSURER HALL ENDEAVOR TO MAIL 5O W@St 13th $trAAt SO AY Dubuque r IA 52001 D S WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED 70 THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLKiATION OR LIABILITY OF ANY KIND UPON THE INSURER ITS AGENTS OR REPRESENTATIYES. AUTHORIZED REPRESENTATNE Awecv sa {zvvvv+tl ®ACORD CORPORATION 1988 INS02S (oll~sl.os AMS vMP Mortgage Solutions, Inc. (eoo>3v.osas Peg, ~ or 2 37 IMPORTANT If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). DISCLAIMER The Certificate of Insurance on the reverse side of this form does not constitute a contract between the issuing insurer(s), authorized representative or producer, and the certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon. C$ p ~~e S S~Gi~ss G ACORD 25 (2001!08) INS025lo~oa>.a5 ALNS vaae2a2 38 CG 25 03 03 97 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. DESIGNATED CONSTRUCTION PROJECT{S) GENERAL AGGREGATE LIMIT This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Designated Construction Projects: (It no entry appears above, information required to CC as applicable to this endorsement.) A. For at! sums which the insured becomes legally obligated to pay as damages caused by "occur- rences" under COVERAGE A (SECTION 1), and for all medical expenses caused by accidents under COVERAGE C (SECTION I), which can be attributed only to ongoing operations at a single designated construction project shown in the Schedule above: 1. A separate Designated Construction Project General Aggregate Limit applies to each des- ignated construction project, and that limit is equal to the amount of the General Aggregate Limit shown in the Declarations. 2. The Designated Construction Project General Aggregate Limit is the most we will pay for the sum of all damages under COVERAGE A, except damages because of "bodily injury" or "property damage" included in the "products- completed operations hazard", and for medi- cal expenses under COVERAGE C regard- less of the number of: a. Insureds; b. Claims made or "suits" brought; or c. Persons or organizations making claims or bringing "suits". 3. Any payments made under COVERAGE A for damages or under COVERAGE C for medical expenses shall reduce the Desig- nated Construction Project General Aggre- gate Limit for that designated construction project. Such payments shall not reduce the General Aggregate Limit shown in the Decla- rations nor shall they reduce any other this Designated Construction Project General Aggregate Limit for any other designated construction project shown in the Schedule above. 4. The limits shown in the Declarations for Each Occurrence, Fire Damage and Medical Ex- pense continue to apply. However, instead of being subject to the General Aggregate Limit shown in the Declarations, such limits will be subject to the applicable Designated Con- struction Project General Aggregate Limit. For all sums which the insured becomes legally obligated to pay as damages caused by "occur- rences" under COVERAGE A (SECTION 1), and for all medical expenses caused by accidents under COVERAGE C (SECTION 1), which cannot be attributed only to ongoing operations at a sin- gle designated construction project shown in the Schedule above: 1. Any payments made under COVERAGE A for damages or under COVERAGE C for medical expenses shall reduce the amount available under the General Aggregate Limit or the Products-Completed Operations Aggregate Limit, whichever is applicable; and 2. Such payments shall not reduce any Desig- nated Construction Project General Aggre- gate Limit. CG 25 03 03 97 Page 1 of 2 39 CG 25 03 C. When coverage for liability arising out of the D. If the applicable designated construction project "products-compieted operations hazard" is pro- has been abandoned, delayed, or abandoned vided, any payments for damages because of and then restarted, or if the authorized contract- "bodily injury" or "property damage" included in ing parties deviate from plans, blueprints, de- the "products-completed operations hazard" will signs, specifications or timetables, the project will reduce the Products-Completed Operations Ag- still be deemed to be the same construction pro- gregate Limit, and not reduce the General Ag- ject. gregate Limit nor the Designated Construction E. The provisions of Limits Of Insurance (SECTION Project General Aggregate Limit. III) not otherwise modified by this endorsement shall continue to apply as stipulated. Copyright, Insurance Services Office, Inc., 1996 Page 2 of 2 CG 25 03 03 97 40 POLICY NUMBER: COMMERCIAL GENERAL LIABILITY CG 20 10 O7 04 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -OWNERS, LESSEES OR CONTRACTORS -SCHEDULED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Person(s) Or Or anization s The City of Dubuque, including all its elected and appointed officials, all its employees and volunteers, all its boards, commissions and/or authorities and their board members, employees and volunteers. Location(s) Of Covered Operations Infom-ation re wired to com lete this Schedule, if not shown above, will be shown in the Declarations. A. Section II -Who Is An Insured is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part, by: 1. Your acts or omissions; or 2. The acts or omissions of tnose acting on your behalf; in the performance of your ongoing operations for the additional insureds) at the location(s) desig- nated above. B. With respect to the insurance afforded to these additional insureds, the following additional exclu- sions apply: This insurance does not apply to "bodily injury" or 'property Jamey;:" occurring after. CG 20 10 OT 04 Page 1 of 2 41 All work, including materials, parts or equip- ment furnished in connection with such work, on the project (other than service, maintenance or repairs) to be performed by or on behalf of the additional insured(sj at the location of the covered operations has been completed; or 2. That portion of "your work" out of which the injury or damage arises has been put to its in- tended use by any person or organization other than another contractor or subcontractor engaged in pertorming operations fora princi- pal as a part of the same project All terms and conditions of this policy apply unless modified by this endorsement. Page 2 of 2 ©ISO Properties, 1nc., 2004 CG 20 10 07 04 42 POLICY NUMBER: THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -OWNERS, LESSEES OR CONTRACTORS -COMPLETED OPERATIONS This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART Name Of Additional Insured Person(s) Or Or anization s The City of Dubuque, including all its elected and appointed officials, all its employees and volunteers, all its boards, commissions and/or authorities and their board members, employees and volunteers. Location And Description Of Completed Operations Information re wired to com lete this Schedule, if not shown above, will be shown in the Declarations. Section II -Who Is An Insured is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury" or "orooerty damage" caused, in whole or in part, by "your work" at SCHEDULE the location designated and described in the schedule of this endorsement performed for that additional in- sured and included in the "products-completed opera- tions hazard" COMMERCIAL GENERAL LIABILITY CG 20 37 07 04 All terms and conditions of this policy apply unless modified by this endorsement. CG 20 37 OT 04 ©ISO Properties, Inc., 2004 Page 1 of 1 43 CITY OF DUBUQUE, IOWA GOVERNMENTAL IMMUNITIES ENDORSEMENT Nonwaiver of Governmental Immunity. The insurance carrier expressly agrees and states that the purchase of this policy and the including of the City of Dubuque, Iowa as an Additional Insured does not waive any of the defenses of governmental immunity available to the City of Dubuque, Iowa under Code of Iowa Section 670.4 as it is now exists and as it may be amended from time to time. 2. Claims Coverage. The insurance carrier further agrees that this policy of insurance shall cover only those claims not subject to the defense of governmental immunity under the Code of Iowa Section 670.4 as it now exists and as it may be amended from time to time. Those claims not subject to Code of Iowa Section 670.4 shall be covered by the terms and conditions of this insurance policy. 3. Assertion of Government Immunity. The City of Dubuque, Iowa shall be responsible for asserting any defense of governmental immunity, and may do so at any time and shall do so upon the timely written request of the insurance carrier. 4. Non-Denial of Coverage. The insurance carrier shall not deny coverage under this policy and the insurance carrier shall not deny any of the rights and benefits accruing to the City of Dubuque, Iowa under this policy for reasons of governmental immunity unless and until a court of competent jurisdiction has ruled in favor of the defense(s) of governmental immunity asserted by the City of Dubuque, Iowa. No Other Change in Policy. The above preservation of governmental immunities shall not otherwise change or alter the coverage available under the policy. SPECIMEN 1 of 1 January 20081 44 CITY OF DUBUQUE TRANSIT ADVERTISING POLICY AND REGULATIONS 45 CITY OF DUBUQUE TRANSIT ADVERTISING POLICY AND REGULATIONS L POLICY. The City of Dubuque (hereinafter "the City") is engaged in the sale of advertising in and upon its transit vehicles. This policy shall apply to the sale of all farms of advertising undertaken. The sole purpose of the advertising programs is to raise revenues, supplementary to those from fares and from tax proceeds, to be used to finance transit operations. The sale and display of advertising is not intended to provide a general public forum far purposes of communication, but rather to make use of property held in a proprietary capacity in order to generate revenue. In order to realize the maximum benefit from the sale of advertising space, the program must be managed in a manner that will procure as much revenue as practicable, while ensuring that the advertising does not discourage the use of the transit system, does not diminish the transit system's reputation in the community it serves ar the good will of its patrons, and is consistent with the principal purpose of providing safe and efficient public transportation. To attain these objectives, the City has established the following policies regulating the advertising displayed in and upon its vehicles. II. APPLICABILITY. This policy is applicable to all City employees or agents and all independent contractors who contract with the City for the placement of advertisements in and upon the interior and exterior of transit vehicles. III. ADVERTISING STANDARDS. A. All advertising displayed in or upon the interior ar exterior of the City's transit vehicles shall be paid advertising in the following categories: 1. Commercial Advertising: advertising the sole purpose of which is to sell ar rent real estate or personal property for profit or a fee, or to sell services for profit or a fee. It does not include advertising that both offers to sell property or services and also conveys information about political issues, religious, moral, or environmental matters or issues, or other public matters or issues, ar expresses or advocates opinions or positions upon any of the foregoing. All advertising in this category shall be paid advertising to support the goal of maximizing alternative sources of revenue. 2. Unused Advertising Space: The City reserves the right to use any unsold advertising space for City announcements and information until such space is sold to paid advertisers. 46 B. The City's transit system, in order to serve the purpose for which it has been established, must of necessity accommodate all persons without distinction of age. It is therefore necessary to exclude advertising unsuitable for exposure to persons of young age and immature judgment. The following kinds of advertising therefore will not be displayed in or upon transit vehicles: 1. Advertising far products or services related to human reproduction or sexuality, including but not limited to contraceptive products or services, other products or services related to sexual hygiene, and counseling with regard to pregnancy, abortion, or other sexual matters. 2. Advertising for products, services, or entertainment directed to sexual stimulation. 3. Advertising that is obscene material as defined by Iowa Code ~ 728.1(5}. 4. Advertising for products or services related primarily to sale or consumption of alcoholic beverages, tobacco products, or sale or use of firearms and other weapons. C. The City requires all advertising copy to be truthful. Advertising copy and illustra#ions should not be exaggerated, distorted, libelous or deceptive. D. No advertising shall include language, pictures, or other graphic representations that are unsuitable for exposure to persons of young age and immature judgment, or shall be derogatory of any person or group because of race, national origin, ethnic background, religion, sexual orientation, or gender. E. No advertising shall be displayed in or upon transit vehicles if the display #hereof would violate any federal or State !aw or regulation, or any law, regulation, or ordinance of the county or municipality in which the transit facility is located. No advertising shall be displayed if the display thereof would violate any federal or State law or regulation, or any law, regulation, or ordinance of any county or municipality in or through which. such transit vehicles are or may be operated. No advertising shall be displayed for illegal goods, services or activities. F. No political advertising shall be displayed in or upon City transit vehicles. For this purpose, political advertising is defined as any of the following: 1. Any advertising that supports or opposes the election of any candidate or group of candidates far election to any federal, State, or local government office; 47 2. Any advertising that supports or opposes any referendum conducted by the federal or State government, or by any local government, such as referenda on constitutional amendments, on bond issues, or an local legislation; or 3. Any advertising that features any person whose prominence is based wholly or in part upon his or her past or present activity in pa!'rtical affairs, or that represents or implies any such person's approval or endorsement of the subject matter of the advertising. IV. USE OF THE CITY'S NAME. Use of the City's name, logo, slogans, or other graphic representations is subject to advance approval by the Cityr. The City does not endorse or imply endorsement of any product or service. Na advertisement shall imply or declare an endorsement by the City of any product, service or activity. The City may place i'ts name, logo, slogans, or other graphic representations on its transit vehicles. V. ADMINISTRATION OF ADVERTISING POLICY AND REGULATIONS. Advertising is or will be sold through one or more independent contractors selected in accordance with the City`s competitive procurement procedures. Said contractors shall comply with the foregoing policies and review all advertising with reference to them. They shall refer all such advertising that falls or may fall into any of the categories defined above to the City Manager who shall determine within 10 days whether the proposed advertising will be accepted. The City will cooperate with the party or parties proposing the advertising, and with the independent contractor through whom it has been proposed, in a reasonable effort to revise it in order to produce advertising that can be accepted and displayed consistently with the foregoing. policies.. If the proposed advertising is rejected, the party or parties proposing it may appeal the decision of the City Manager within 10 days to an Administrative Hearing Officer, which appeal shall be heard within 15 days of receipt of the notice of appeal by the City. 48