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Transit Management Request for ProposalsMasterpiece on the Mississippi TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Transit Management DATE: January 25, 2010 MCVM:jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager David Heiar, Economic Development Director Michael C. Van Milligen Dubuque krittgi AlWlmmica City 11111 r 2007 On January 4, 2010, the City Council authorized preparation of a Request for Proposal to evaluate transit management options for KeyLine Transit. Economic Development Director Dave Heiar recommends City Council approval to issue the proposed Request for Proposal for a local management team to oversee the daily operation of the KeyLine system. I concur with the recommendation and respectfully request Mayor and City Council approval. Masterpiece on the Mississippi TO: Michael C. Van Milligen, City Manager FROM: David Heiar, Economic Development Director DATE: January 28, 2010 SUBJECT: Transit Management Dubuque rale 2007 BACKGROUND In 2006 the Council approved a transit management contract with First Transit. The original contract period was through June 30, 2007 and included 4 one year automatic extensions. The contract also allows either party to provide a sixty (60) day written notice prior to the expiration of each term, of the party's desire to terminate the contract. The original agreement was for services of a Transit Manager. As the City's administrative staff in the Keyline office retired, the contract has been amended (March 2007 and September 2008) to add two more positions to the original contract. Currently all administrative staff for transit is contracted with First Transit. On January 4, 2010, the City Council authorized preparation of an RFP to evaluate other transit management options. Following Council authorization of the RFP format, the document will be sent to private management firms, including First Transit and ECIA/RTA. The timing of this RFP would allow the City an opportunity to seek and review other management options. Assuming the City receives a proposal that is better suited to our current needs, the Council would have adequate time to provide a 60 day notice of termination to First Transit prior to April 30, 2010, in compliance with our current contract. DISCUSSION The proposed RFP (attached) is for a local management team to oversee the daily operation of the Keyline system. The City is also allowing interested parties to submit an alternate proposal for operating the transit system. Interested parties are encouraged to attend a Pre - proposal Conference on February 11, 2010 to discuss specifics and ask questions about the management contract. Proposals are due March 9, 2010 at 2:00 p.m. and will be reviewed by a local committee consisting of: David Heiar, Economic Development Director, Chair Cindy Steinhauser, Assistant City Manager Laura Carstens, Planning Services Director Tim Horsfield, Parking System Supervisor Molly Menster, Human Relations Specialist Russell Stecklein, Police Corporal Crenna Brumwell, Assistant City Attorney Ken TeKippe, Finance Department Aaron DeJong, Assistance Economic Development Director The committee will review the submittals, interview the applicants and check references following the March 9 submittal deadline. The intent is to have a recommendation back to the Council for the April 19 meeting. The City reserves the right to reject all proposals and to manage the transit system internally. RECOMMENDATION / ACTION STEP My recommendation is to seek City Council approval of the transit management RFP as attached to this memorandum. F: \USERS\Econ Dev \Transit\Council Memos\20100128 Council Memo Transit Management RFP.doc City of Dubuque, Iowa REQUEST FOR PROPOSALS FOR TRANSIT MANAGEMENT FOR KEYLINE TRANSIT Date RFP Due March 9, 2010 2 :00 p.m. TABLE OF CONTENTS REQUEST FOR PROPOSALS TRANSIT MANAGEMENT SECTION 1. PURPOSE AND BACKGROUND. 3 SECTION 2. INSTRUCTIONS TO APPLICANTS. 5 SECTION 3. MISCELLANEOUS. 9 SECTION 4. EVALUATION CRITERIA. 10 SECTION 5. SELECTION PROCESS 11 SECTION 6. SERVICES AND ITEMS REQUIRED FROM SUCCESSFUL APPLICANT. 11 Attachment 1 Fee Proposal Form 21 Attachment 2 Other Required Forms 22 Page 2 CITY OF DUBUQUE, IOWA REQUEST FOR PROPOSALS FOR TRANSIT MANAGEMENT FOR KEYLINE TRANSIT SECTION 1. PURPOSE AND BACKGROUND. The City of Dubuque is seeking competitive proposals from qualified firms to provide Transit Management for the transit system serving the City of Dubuque and the surrounding area. While more completely described elsewhere in this Request for Proposal, in general terms, the City of Dubuque wishes to engage a firm to provide for the day -to -day management of the transit system using a resident management team (General Manager) under the policy direction of the City of Dubuque. The management services to be provided include, but are not limited to those relating to management of the daily operations, routes, scheduling, fare structure, service standards, budgeting, accounting, purchasing, safety, insurance, claims, employee selection /training, labor negotiations /relations, equipment and facilities utilization, maintenance, transit planning, marketing, advertising, security, public relations, coordination with planning and para- transit agencies, administration of contracts for special transit services, use of home office support/supplemental services and such other management functions as are needed in the operation of an urban transit system. The City of Dubuque is looking for a company that can not only provide the typical qualifications as previously noted but also has the ability to provide innovation, originality, and creativity in examining and proposing service concepts, potential market expansions, and system efficiencies. The City of Dubuque City Council will develop overall policy, establish fare policy and structure, and provide overall goals for the transit system. The City of Dubuque is located on the Mississippi River in northeastern Iowa, adjacent to Illinois and Wisconsin. The City is approximately 30 square miles in area, with a population of approximately 60,000 persons. The City's website is www.citvofdubuque.orq. As an alternate, the City will also accept proposals from qualified applicants to operate the Keyline fixed route and para- transit systems. In recent years, the City has received many national accolades and awards including the following: • All- America City, 2007 • 100 Best Communities for Young People 2007, 2008 • "Most Livable" Small City in the United States, 2008 • Top 100 Places to Live, 2009 • Crown Communities, 2009 • Excellence in Economic Development, 2009 Page 3 Much of the City's success is based on the community's ability to develop public /private partnerships. The City will expect any company or agency contracted to manage Keyline Transit to also look for opportunities to enhance local transportation options through public /private partnerships. With an annual operating budget of approximately $2,700,000 Keyline Transit provides approximately 276,000 passenger trips per year on the fixed route transit service approximately 60,000 passenger trips on the complementary para- transit service, and approximately 12,000 passenger trips on the trolley. The City of Dubuque owns all of the facilities, equipment, and rolling stock needed to carry out operations. The operations and maintenance staff will be employed by the City of Dubuque. The rolling stock consists of 13 transit coaches, 13 para- transit vans and 2 trolleys. In January 2010, the City Council approved a Comprehensive Operational Analysis of the Keyline Transit system, completed by LSC Transportation Consultants, Inc. The study provided the City with much information on the current transit system and proposed many options for improving transit service levels. This analysis, along with creative and innovative options from a transit management firm, will be utilized as the bases to create a new transit model for the City of Dubuque. The Comprehensive Operational Analysis is posted on http:// www. cityofdubuque .orq /index.aspx ?NID =1212. Pre - Proposal Conference: A non - mandatory Pre - Proposal Conference will be at 10:00 A.M. on February 11, 2010 in Conference Room B at City Hall, 50 W. 13 St. Dubuque, IA 52001. The purpose of this conference is to allow potential Applicants an opportunity to present questions and obtain clarification relative to any facet of this solicitation. Due to the importance of all Applicants having a clear understanding of the scope of work and requirements of this solicitation, attendance at this conference is recommended. The successful Applicant must have and be able to demonstrate it has experience in day -to -day management of transit systems of similar size as the City of Dubuque Keyline Transit System. This Request for Proposals and specifications or additional copies may be obtained during normal business hours from the Economic Development Department, at the address listed below. Proposals, to be considered and evaluated, must be received before 2:00 p.m. on March 9, 2010 at City Hall, Second Floor, Economic Development Department, 50 W. 13 St., Dubuque, IA 52001. Proposals appropriately received will, at this time, be opened. Proposals received after the above scheduled opening time and date will not be considered. One (1) original, one (1) electronic and nine (9) copies of a proposal, appropriately signed by an authorized representative of the Applicant, must be submitted in a sealed envelope or package. The notation "TRANSIT MANAGEMENT FOR KEYLINE TRANSIT" and the above specified opening time and date must be clearly marked on the front of that sealed envelope or package. Keyline Transit, the City of Dubuque, and their officers, employees or agents will not assume or accept any responsibility for the opening of a proposal envelope or package prior to the scheduled opening if that envelope or package is not appropriately sealed and marked as specified. Page 4 The City of Dubuque reserves the right to submit an internal proposal for management and operation of the Keyline Transit System. Such proposal would not be restricted to the timelines and guidelines of this RFP. Sometimes this refers to RFP and others to Request for Proposals. The City of Dubuque reserves the right to reject any or all proposals, to waive any informalities in any proposal, to award any whole or part of a proposal, and to award to the Applicant whose proposal is, at the sole discretion of the City of Dubuque, determined to be in the best interest of the City of Dubuque . Evaluation and award will be accomplished in accordance with this Request for Proposal and including the price (proposed management fee) and /or value of any benefits offered to the City of Dubuque in the proposal. Notification of such award will be posted for public review. No proposal may be withdrawn for a period of sixty (60) days after the opening of the proposal. Inquires regarding this RFP or information regarding procurement procedures and /or proposal submission shall be directed to David J. Heiar, Economic Development Director, Economic Development Department, 50 W. 13 St, Dubuque, IA 52001, (563)589 -4393, or email dheiar(d citvofdubuque.orq. This RFP consists of this Purpose and Background section and the following sections and the documents and attachments hereto. SECTION 2. INSTRUCTIONS TO APPLICANTS. Proposals must be submitted in accordance with the instructions and requirements given in this RFP. All information requested must be submitted. Failure to do so may result in the proposal being considered non - responsive and it may be rejected. Prospective Applicants also referred to as providers, operators, Applicants, or vendors, are to address the criteria below at a minimum as part of their submitted proposal. Each proposal should include a transmittal letter. Proposals are to include and may be evaluated on the following factors: A. Organizational structure of Applicant and qualifications of management personnel. Provide general information about the firm and the firm's area of expertise, including the qualifications of the general manager and other key personnel who would be assigned to Dubuque. State the size of the firm, the size of the firm's professional staff, the location of the office from which the work on this project is to be monitored, and the number and nature of professional staff to be employed. Indicate other information that will reflect the philosophy of the firm regarding its management approach and how this approach will result in the successful management of Keyline. During the term of a contract, the General Manager and other supervisory staff may be changed if those personnel leave the firm. These personnel may also be changed for other reasons with express written permission of the City of Dubuque; however, in either case, the City retains the right to approve or reject replacements. The successful Applicant will provide a qualified and experienced General Manager who will reside in the City of Dubuque, for the term of the contract which will be for a period of three (3) years with the option of the City of Dubuque to renew for up to two (2) additional Page 5 one (1) year periods with negotiated contract extensions thereafter. The Proposal should specifically include the names, qualifications, and detailed resume of the person proposed as the General Manager and other members of the local management team. The General Manager must have experience and be knowledgeable of federal and state rules and regulations. Such General Manager should also have the ability to develop and execute a strategic plan for a transit system and in working with local and state governments and in expanding and marketing such systems. Such General Manager should also have a history of industry involvement on a local, state, and national level. Specific responsibilities of the successful Applicant will include, but are not be limited to the following: 1. Establish or assume control of daily operations, maintenance and employment purposes in order to operate the transit system as applicable. 2. Operate the transit system in compliance with all applicable federal, state and local regulations. 3. Develop public /private partnerships that enhance local transit options. 4. Select, and properly train all employees needed to operate the transit system. 5. Ensure safety of employees and prevent losses. 6. Ensure compliance with any existing labor agreement(s). 7. Maintain positive employee relations. 8. Ensure compliance with applicable environmental and occupational safety and health laws and regulations. 9. Seek state, federal and local operating and capital grants to benefit Dubuque Keyline Transit and the City of Dubuque and properly complete all necessary documents for such grants. 10. Perform all budgeting, accounting and financial functions as required by the City's Finance Department. 11. Prepare and administer all federal, state or local grants. 12. Establish and maintain the accounting controls necessary to ensure protection of all funds and assets and compliance with Dubuque Keyline Transit and City of Dubuque audit requirements. 13. Develop and execute marketing plans to increase ridership. 14. Monitor and evaluate all current operations and institute internal procedures to improve operations and create economies to reduce costs. 15. Develop and implement management techniques and operational improvements to ensure an environmentally sound transit system. 16. Prepare and execute a strategic plan for the transit system and to work with the City of Dubuque to help implement specific goals identified in the City of Dubuque Comprehensive Operational Analysis approved by the Council in January 2010. 17. Perform marketing and promotional functions for all operations including advertising. 18. Prepare and administer the budget for Dubuque Keyline Transit. 19. Participate on local and or state transportation committees as needed. 20. Provide management personnel development, training continuity and recruitments as necessary. 21. Provide overall management and policy recommendations. 22. Maintain all facilities, equipment and rolling stock and make recommendations for Page 6 future purchases of each category as may be required by the transit system. 23. Serve as administrator of contracts for special transit services. 24. Coordinate regular meetings with key stakeholders (i.e. businesses, health, residential facilities, colleges, schools, etc.) to identify problems and look for ways to improve service deliver. 25. Work with City staff, in particular, parking to address unique needs of downtown commercial district. B. Financial condition of the firm and ability to perform all obligations of the contract. Prospective Applicants should submit the most recently audited financial statements of the firm. C. Experience in managing and operating similar types of transit systems. 1. Applicants should submit operational references and two (2) financial or banking references from who you have worked with within the past 5 years. Each reference shall include organizational name, official address, contact person, title of contact and phone number. A synopsis regarding its experience in managing and operating similar types of transit systems should include the names of the facilities; the length of time it has managed and operated the systems, the types of systems being managed, and rolling stock being operated. 2. Applicants should provide information on their experience in implementing organizational wide changes within a transit authority. 3. Applicants should submit examples of what they have developed or implemented as their best management practice. 4. Applicants should possess strong verbal and written communication skills and provide samples of correspondence to contractor. D. The availability and plan for the technical support to be provided. In addition to the management team, the successful Applicant will have a central staff that is available to assist the management team on an as needed basis. The central staff must be sufficient and have sufficient experience so as to be able to offer any such assistance in a timely manner. 1. Please list the names of all full -time staff that will be available to support this engagement. Identify their particular expertise and if possible provide a resume, which details their work for similar transit systems. 2. Identify any part-time or independent staff who are available from your firm to support this engagement. Please specify their expertise and relevant experience. 3. Please describe the plan for the use of technical support staff, which your firm will implement if chosen for this assignment. Provide a timeline, the employees assigned and the product of the work they will perform. 4. Please describe experience with seeking additional public or private grant dollars. E. Describe training resources that are available. 1. What training will be available to system employees? Describe the professional development to be provided to the managers assigned to this engagement. Page 7 2. What training has been provided or would be provided to the managers assigned to this engagement as it relates to sustainability? F. Describe availability of network of customers and corporation. 1. If the firm uses its network of managed systems to advance its understanding of transit management please share the extent of that network, how it is used, and examples of how it has benefited your customers. Of specific interest would be areas where best practices and cost savings programs have been shared from one operation to another. 2. Please describe how this network, if one exists, will be used to further the goals and effectiveness this engagement. Please provide a plan for how it will be used. G. Transition plan. Applicants must provide a detailed description of how they would take over the operation and management of transit system and related facilities from the current operator if applicable. The narrative should start at contract award and proceed through the entire transition period until the new operation is established. Time frames should be included. H. Price and Term of Contract. Applicants must submit the monthly proposed management fee for each year of the term of the contract, which term will be for three (3) years with up to two (2) additional one (1) year renewals upon mutual agreement of both parties with negotiated contract extensions thereafter. This fee must include all charges for the provision of the residential management team and all of the services enumerated in this RFP. Each proposal shall contain a completed and properly signed Fee Proposal Form, contained in Attachment 1 of this RFP. Applicants shall also include any items that it would provide that would benefit the City of Dubuque and the cost, if any, of such items. A sample contract should be attached. I. Compliance with Laws and Regulations. Applicants should also provide information on previous and existing compliance by the Applicant with applicable laws and ordinances related to the Applicants current and prior contracts in operating transit systems. Applicants must comply with all applicable federal, state, and local laws and regulations and include the forms attached as Attachment 2. 1. Certification Regarding Lobbying Pursuant to 49 CFR Part 20 2. Certification of Primary Participant Regarding Debarment, Suspension, and other Responsibility Matters J. Conflict of Interest. Describe any potential conflict of interest between the Applicant and the City of Dubuque. K. Supplemental Information. Applicant may include additional information such as promotional brochures, letters of recommendation, newspaper articles, etc. to support the submission requirements of this RFP. Applicant may also include any major achievements and recognition in the transit industry. Page 8 SECTION 3. MISCELLANEOUS. A. Ownership of Material - Ownership of all data, materials, and documentation originated and prepared for the City of Dubuque pursuant to this RFP shall belong exclusively to the City of Dubuque and be subject to public inspection in accordance with the Iowa Public Records Act. Trade secrets or proprietary information submitted by the Applicant shall not be subject to public disclosure under the Iowa Public Records Act, unless otherwise required by law or a court. The written notice must SPECIFICALLY identify the data or materials to be protected and state the reason why protection is necessary. The proprietary or trade secret material submitted must be identified by some distinct method such as highlighting or underlining and must indicate only the specific words, figures, or paragraphs that constitute trade secretor proprietary information. The classification of an entire proposal document, line item prices, and /or total proposal prices as proprietary, or trade secrets, is NOT ACCEPTABLE and may result in REJECTION of the proposal. B. As this is a Request for Proposals, no information regarding the proposal records or their contents will be released except in accordance applicable law. Once an award has been made, all proposals will be open to public inspection, subject to the provisions set forth above. C. An Applicant must promptly notify the City of Dubuque Economic Development Department of any ambiguity, inconsistency, or error, which may be discovered upon examination of the RFP. An Applicant requiring clarification or interpretation of this RFP should contact David J. Heiar, Economic Development Director, (563) 589 -4393 or e- mail at dheiar @cityofdubuque.org. D. Any interpretation, correction, or change of the RFP will be made by an addendum. Interpretations, corrections or changes of this RFP made in any other manner will not be binding and Applicants must not rely upon such interpretations, corrections, or changes. The City of Dubuque Economic Development Director will issue Addenda. Addenda will be faxed or mailed to all who are listed as having received the RFP package. E. No Applicant shall confer with any public employee having official responsibility for a purchasing transaction any payment, loan, subscription, advance, deposit or money, service, or anything of value, present or promised. F. The City of Dubuque may make investigations to determine the ability of the Applicant to perform the services and items as described in this RFP. The City of Dubuque reserves the right to reject any or all proposals and /or to waive any informality in any proposals. G. Employment Discrimination by Applicant Prohibited. a. During the performance of the contract, the Applicant must agree as follows: 1. The Applicant will not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, sexual orientation, gender identify, age, disability, or any other basis prohibited by federal, state or local law relating to discrimination in employment except where such basis is a bona fide occupational qualification reasonably necessary to the normal operation of the contract. The Applicant agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this Page 9 nondiscrimination clause. 2. The Applicant, in solicitations or advertisements for employees placed by or on behalf of the Applicant, will state that such Applicant is an equal opportunity employer. 3. Notices, advertisements and solicitations placed in accordance with federal law, rule or regulation shall be deemed sufficient for the purpose of meeting the requirements of this section. b. The Applicant will include the provisions of the foregoing subparagraphs (a) 1, 2 and 3 in every subcontract or purchase order of over $10,000 so that the provisions will be binding upon each subcontractor or vendor. H. Drug -Free Workplace. Drug -free workplace to be maintained by Applicant; required contract provisions. During the performance of the contract, the Applicant must agree to (i) provide a drug - free workplace for the Applicants employees; (ii) post in conspicuous places, available to employees and applicants for employment, a statement notifying employees that the unlawful manufacture, sale, distribution, dispensation, possession, or use of a controlled substance or marijuana is prohibited in the Applicant's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (iii) state in all solicitations or advertisements for employees placed by or on behalf of the Applicant that the Applicant maintains a drug -free workplace; and (iv) include the provisions of the foregoing clauses in every subcontract or purchase order of over $10,000, so that the provisions will be binding upon each subcontractor or vendor. For the purposes of this section, "drug -free workplace" means a site for the performance of work done in connection with a specific contract awarded to a Applicant, the employees of whom are prohibited from engaging in the unlawful manufacture, sale, distribution, dispensation, possession or use of any controlled substance or marijuana during the performance of the contract. I. It is the policy of the City of Dubuque to maximize minority and women -owned business enterprises participating in all aspects of its contracting opportunities. SECTION 4. EVALUATION CRITERIA. Applicants will be evaluated for selection on the basis of those most qualified to meet the requirements of this RFP, as amended. Major criteria to be considered in evaluation include the following: A. The experience of the Applicant in providing similar service elsewhere, including the level of experience in working with municipalities and the quality of services performed, together with the Applicants demonstrated operational competency and established history to provide the services requested by the City of Dubuque through this RFP. B. The capabilities and experience of the proposed management team. • Creativity and problem solving ability of local management team • Ability of local team to demonstrate initiative, motivation and knowledge of the City of Dubuque • Responsiveness and compatibility between consultants and City • General attitude and ability to communicate Page 10 • Ability to listen, be flexible, and follow and /or implement direction and /or ideas or concepts. • Ability of the local management team to interact with the general public, City staff, and public officials. • Ability of the consultant to maintain a high level of direct interaction and communication with City officials. C. Reasonableness /competitiveness of proposed fee and /or benefits to the City of Dubuque, although the City of Dubuque is not bound to select the Applicant who proposes the lowest fees or most benefits for services. The City of Dubuque reserves the right to negotiate fees with the selected Applicant(s). D. Availability and plan for the use of technical staff. E. Availability and usefulness of a corporate network. F. Financial condition of the Applicant, including ability to perform all obligations of the resulting contract and those contained in this RFP. G. Determination that the selected Applicant has no contractual relationships, which would result in a conflict of interest to the City of Dubuque's contract. The Applicant's responsiveness and compliance with the RFP requirements and conditions. H. The Applicant's responsiveness and compliance with the RFP requirements and conditions. SECTION 5. SELECTION PROCESS. A. All proposals submitted in response to this RFP will be reviewed for responsiveness prior to referral to the selection committee. A committee consisting of City of Dubuque representatives and /or others will then evaluate all responsive proposals, and make recommendations to the City of Dubuque City Council. The award of a contract, if made, will be made to the Applicant whose proposal in the sole discretion of the City Council, best furthers the interest of the City of Dubuque. The City of Dubuque reserves the right to reject any and all proposals, to waive any informality or irregularity in the proposals received, and to make the award to the Applicant whose proposal is deemed to be in the best interest of the City of Dubuque. B. Applicants who submit a proposal in response to this RFP may be required to give an oral presentation of the proposal to the selection committee. This provides an opportunity for the Applicant to clarify or elaborate on the proposal. This is a fact finding and explanation session only and does not include negotiation. Oral Presentations are strictly at the option of the City of Dubuque and may or may not be conducted. SECTION 6. SERVICES AND ITEMS REQUIRED FROM SUCCESSFUL APPLICANT. A. The successful Applicant will be required to enter into a contract with the City of Dubuque which will be for a period of three (3) years, anticipated to start on July 1, 2010, with an option by the City of Dubuque to renew thereafter for up to two (2) one (1) year extensions with negotiated contract extensions thereafter. Provided, however, that the City of Dubuque may terminate the contract without cause at any time upon 60 days written notice. Services are being requested for the management and operation of Dubuque Keyline Transit. Furthermore, additional transit facilities may be added to the Page 11 contract upon mutual agreement of the parties to an increase in the management fee. B. The successful Applicant will be responsible to provide the services listed in Section 2 (A) of this RFP. C. The successful Applicant will be required to comply with all applicable federal, state and local laws and regulations, however should there be a conflict between federal and state or local laws and regulations, the successful Applicant shall comply with the federal laws and regulations and notify the City of Dubuque of such conflict. D. FEDERAL REGULATIONS: The successful Applicant shall be required, and hereby agrees, to comply with all applicable federal laws and regulations, including, but not limited to the following (note: attached forms or certifications must be completed): 1. ENERGY CONSERVATION REQUIREMENTS. The Applicant 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. 2. CLEAN WATER REQUIREMENTS. The Applicant 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 seq. The Applicant agrees to report each violation to the City of Dubuque and understands and agrees that the City of Dubuque will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. The Applicant also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with federal assistance provided by the Federal Transit Administration (FTA). 3. LOBBYING. Applicants 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." 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 City of Dubuque. 4. ACCESS TO RECORDS AND REPORTS. The Applicant agrees to maintain all books, records, accounts and reports required under any awarded contract for a period of not less than three years after the date of termination or expiration of any awarded contract, except in the event of litigation or settlement of claims arising from the performance of the contract, in which case Applicant agrees to maintain same until the City of Page 12 Dubuque, the FTA, 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(i) (11). 5. CLEAN AIR. The Applicant 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 seq. The Applicant 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. a. The Applicant also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with federal assistance provided by FTA. 6. NO GOVERNMENT OBLIGATION TO THIRD PARTIES. The City of Dubuque and Applicant acknowledge and agree that, notwithstanding any concurrence by the federal government in or approval of the solicitation or award of the underlying contract, absent the express written consent by the federal government, the federal government is not a party to any awarded contract and shall not be subject to any obligations or liabilities to the City of Dubuque, Applicant, or any other party (whether or not a party to that contract) pertaining to any matter resulting from such contracts. The Applicant agrees to include the above clause in each subcontract financed in whole or in part with federal assistance provided by FTA. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions. 7. FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND RELATED ACTS. The Applicant acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et seq. 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 Applicant 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 such contract work is being performed. In addition to other penalties that may be applicable, the Applicant 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 Applicant to the extent the federal government deems appropriate. The Applicant 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 Applicant, to the extent the federal government deems appropriate. Page 13 The Applicant 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. 8. GOVERNMENT -WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT). Certification Regarding Debarment, Suspension, and Other Responsibility Matters Lower Tier Covered Transactions (Third Party Contracts over $100,000). Instructions for Certification 1. By signing and submitting a proposal, the Applicant is providing the signed certification set out below. 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 Applicant knowingly rendered an erroneous certification, in addition to other remedies available to the federal government, the City of Dubuque may pursue available remedies, including suspension and /or debarment. 2. The Applicant shall provide immediate written notice to the City of Dubuque if at any time the Applicant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 3. 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 of Dubuque for assistance in obtaining a copy of those regulations. 4. The Applicant 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 of Dubuque. 5. The Applicant 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 Applicant transactions. A participant in a covered transaction may rely upon a certification of an Applicant 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 Page 14 frequency by which it determines the eligibility of its principals. Each Applicant may, but is not required to, check the Nonprocurement List issued by U.S. General Service Administration. 6. 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 an Applicant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 7. Except for transactions authorized under Paragraph 5 of these instructions, if an Applicant 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 of Dubuque may pursue available remedies including suspension and /or debarment. "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction" a) The Applicant 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. b) When the Applicant is unable to certify to the statements in this certification, such Applicant shall attach an explanation to this proposal. 9. PRIVACY ACT. The following requirements apply to the Applicant and its employees that administer any system of records on behalf of the federal government under any contract: (1) The Applicant agrees to comply with, and assures the compliance of its employees with, the information restrictions and other applicable requirements of the Privacy Act of 1974, 5 U.S.C. § 552a. Among other things, the Applicant agrees to obtain the express consent of the federal government before the Applicant or its employees operate a system of records on behalf of the federal government. The Applicant understands that the requirements of the Privacy Act, including the civil and criminal penalties for violation of that Act, apply to those individuals involved, and that failure to comply with the terms of the Privacy Act may result in termination of the underlying contract. (2) The Applicant also agrees to include these requirements in each subcontract to administer any system of records on behalf of the federal government financed in whole or in part with federal assistance provided by FTA. 12. CIVIL RIGHTS REQUIREMENTS. The following requirements apply to the contract: Page 15 (1) 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 Applicant 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 Applicant agrees to comply with applicable federal implementing regulations and other implementing requirements FTA may issue. (2) Equal Employment Opportunity - The following equal employment opportunity requirements apply to the underlying contract: (a) 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 Applicant 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 seq., (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 Applicant 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 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 Applicant agrees to comply with any implementing requirements FTA may issue. (b) 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 Applicant agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Applicant agrees to comply with any implementing requirements FTA may issue. (c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as amended, 42 U.S.C. § 12112, the Applicant 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 Applicant agrees to comply with any implementing requirements FTA may issue. Page i6 (3) The Applicant 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. 13. DISADVANTAGED BUSINESS ENTERPRISE (DBE). 1. The federal fiscal year goal has been set by the City of Dubuque in an attempt to match projected procurements with available qualified disadvantaged businesses. The City of Dubuque's goals for budgeted service contracts, bus parts, and other material and supplies for Disadvantaged Business Enterprises (DBE) have been established by the City of Dubuque 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 Applicant is found to have failed to exert sufficient, reasonable, and good faith efforts to involve DBE's in the work provided, the City of Dubuque may declare the Applicant non - complaint 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 of Dubuque 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 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 Applicant 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 Applicant 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 Applicant 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 of Dubuque to promote the development and increase the participation of businesses owned and controlled by disadvantaged. DBE involvement in all phases of the City of Dubuque's procurement activities is encouraged. Page 17 (b) DBE obligation - The Applicant 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 Applicant is found to have failed to exert sufficient reasonable and good faith efforts to involve DBE's in the work provided, the City of Dubuque may declare the Applicant to be in noncompliance and in breach of contract. (d) The Applicant will keep records and documents for a reasonable time following performance of this contract to indicate compliance with the City of Dubuque'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 of Dubuque and will be submitted to the state upon request. (e) The City of Dubuque will provide affirmative assistance as may be reasonable and necessary to assist the prime Applicant 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 2. DBE Program Definitions, as used in the contract: (a) Disadvantaged business "means a small business concern ": 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. Page 18 (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. 14. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS. The preceding provisions include, in part, certain Standard Terms and Conditions required by the United States Department of Transportation, whether or not expressly set forth in the preceding contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular 4220.1 D, dated April 15, 1996, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Agreement. The Applicant shall not perform any act, fail to perform any act, or refuse to comply with any City of Dubuque requests which would cause the City of Dubuque to be in violation of the FTA terms and conditions. 15. ENVIRONMENTAL PROTECTION. The Applicant agrees to comply with all applicable requirements of the National Environmental Policy Act of 1969, as amended, 42 U.S.C. §§ 4321 et seq. consistent with Executive Order No. 11514, as amended, "Protection and Enhancement of Environmental Quality," 42 U.S.C. § 4321 note; FTA statutory requirements on environmental matters at 49 U.S.C. § 5324(b); Council on Environmental Quality regulations on compliance with the National Environmental Policy Act of 1969, as amended, 40 C.F.R. Part 1500 et seq.; and joint FHWA/FTA regulations, "Environmental Impact and Related Procedures," 23 C.F.R. Part 771 and 49 C.F.R. Part 622. Page 19 16. ACCESS REQUIREMENTS FOR PERSONS WITH DISABILITIES (ADA). The Applicant agrees to comply with the requirements of 49 U.S.C. § 5301(d) which expresses 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 those policies. The Applicant 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 etseq., which requires the provision of accessible facilities and services, and with the following federal regulations, including any 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. 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 Page 20 Attachment 1 Fee Proposal Form For the Management of KEYLINE TRANSIT In accordance with the specifications, terms and conditions of the Request for Proposal and related addenda, if any receipt of, which is hereby acknowledged, the following fees are submitted on the behalf of: Printed Legal Name and Address of Applicant 7/1/2010 to 6/30/2011 7/1/2011 to 6/30/2012 7/1/2012 to 6/30/2013 Total Initial Term 7/1/2013 to 6/30/2014 7/1/2014 to 6/30/2015 Monthly Yearly Management Fees Management Fees $ x 12 months =$ $ x 12 months =$ $ x 12 months =$ Management Fee: $ Total Optional Term Management Fee: x 12 months =$ x 12 months =$ $ Signature of Authorized Representative Printed Name and Title Date: Page 21 Attachment 2 Other Required Forms CERTIFICATION REGARDING LOBBYING PURSUANT TO 49 CFR PART 20 Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned 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 fFederal 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, et seq •)] (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients 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.] The undersigned certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the undersigned understands and agrees that the provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any. Signature of Authorized Official Name and Title of Authorized Official Date Page 22 CERTIFICATION OF PRIMARY PARTICIPANT REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS The Applicant, certifies to the best of its knowledge and belief, that it and its principals: 1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency, - 2. Have not within a three -year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction,- violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; 3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (2) of this certification; and 4. Have not within a three -year period preceding this application /proposal had one or more public transactions (federal, state or local) terminated for cause or default. (If the primary participant (applicant for an FTA grant, or cooperative agreement, or potential third party Applicant) is unable to certify to any of the statements in this certification, the participant shall attach an explanation to this certification.) THE APPLICANT CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF 31 U.S.C. SECTIONS 3801 ET. SEQ. ARE APPLICABLE THERETO. Signature of Applicant's Authorized Official Date Typed Name and Title of Applicant's Authorized Official The undersigned chief counsel for the hereby certifies that the has authority under State and local law to comply with the subject assurances and that the certification above has been legally made. Signature of Applicant's Attorney Date Typed Name of Applicant's Attorney F: \USERS \Econ Dev \Transit \Transit RFP 2010\20100128 Dubuque RFP_1.doc Page 23 INSURANCE SCHEDULE C INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES TO THE CITY OF DUBUQUE 1. All policies of insurance required hereunder shall be with an insurer authorized to do business in Iowa. All insurers shall have a rating of A 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. shall furnish a signed Certificate of Insurance to the City of Dubuque, Iowa for the coverage required in Paragraph 6 below. 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. 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 contracting department of 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: a) COMMERCIAL GENERAL LIABILITY General Aggregate Limit $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 1 of 2 January 2008 INSURANCE SCHEDULE C (Continued) INSURANCE REQUIREMENTS FOR PROFESSIONAL SERVICES TO THE CITY OF DUBUQUE This coverage shall be written on an occurrence form, not claims made form. All deviations or exclusions from the standard ISO commercial general liability form CG 0001 or Business owners BP 0002 shall be clearly identified. Form CG 25 04 03 97 `Designated Location (s) General Aggregate Limit' shall be included. Governmental Immunity endorsement identical or equivalent to form attached. Additional Insured Requirement: 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 including "ongoing operations" coverage equivalent to ISO CG 20 10 07 04. b) Automobile $1,000,000 combined single limit. c) WORKERS COMPENSATION & EMPLOYERS LIABILITY Statutory for Coverage A Employers Liability: Each Accident $ 100,000 Each Employee Disease $ 100,000 Policy Limit Disease $ 500,000 d) PROFESSIONAL LIABILITY $1,000,000 e) UMBRELLA/EXCESS LIABILITY * *Coverage and /or limit of liability to be determined on a case -by -case basis by Finance Director. Completion Checklist ❑ Certificate of Liability Insurance (2 pages) ❑ Designated Location(s) General Aggregate Limit CG 25 04 03 97 (2 pages) ❑ Additional Insured CG 20 10 07 04 ❑ Governmental Immunities Endorsement 2 of 2 January 2008 THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR 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 ADM INSRO TYPE OF INSURANCE POUCY NUMBER POUCY TE (MMIDD/YY) POUCY AATE (MIDD Y EXPIRATION Y) UNITS A X GENERAL UABIUTY COMMERCIAL GENERAL LIABILITY Zip Code INSURER A: Insurance Company EACH OCCURRENCE f 1, 000 , 000 X PREMISES (E RENTED $ 50 , 000 I CLAMS MADE X OCCUR MED EXP (Any one person) S 5,000 PERSONAL 8 ADV INJURY S 1,000,000 GENERAL AGGREGATE S 2 , 000 , 000 _-. GEML AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP /OP AGG $ 1,000,000 7 POLICY 17C I i n" 7 LOC A AUTOMOBILE LLABIUTY ANY AUTO ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON -OWNED AUTOS COMBINED SINGLE LIMIT (Ea accident) S 1,000,000 X — BODILY INJURY (Per person) S — BODILY INJURY (Per accident) S _ PROPERTY DAMAGE (Per accident) S GARAGE UABIUTY ANY AUTO AUTO ONLY • EA ACCIDENT $ OTHER THAN EA ACC S AUTO ONLY: AGG S A EXCESS/UMBRELLA UABIUTY OCCUR CLAMS MADE e/ EACH OCCURRENCE S 1,000,000 AGGREGATE S 1,000,000 DEDUCTMLE RETENTION S 0 S S _ ` X f A WORKERS COMPENSATION AND EMPLOYERS' LIABILITY ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/MEMBER EXCLUDED? If yes, describe under SPECIAL PROVISIONS below �e C `/ `J A O t t e e Si C$1 V \ y� T� X I T LIMBS J , OER E.L. EACH ACCIDENT S 100, 000 E L DISEASE • EMPLOYEES FA 100 , 000 E.L DISEASE - POLICY LIMIT f 500 , 000 A OTHER Professional Liability $1,000,000 DESCRIPTION OF OPERATIONS /LOCATIONSNEHICLESIEXCLUS ONS ADDED BY ENDORSEMENT /SPECIAL PROVISIONS The City of Dubuque is an additional insured on general liability policies including ongoing i completed operations coverage equivalent to ISO CG 2010 0704 i CG 2037 0704. General Liability policy is primary i non - contributing. Form CG 2504 0397 "Designated Locations" general liability aggregate limit is included. Governmental immunities endorsement is included. ACORD CERTIFICATE TM OF LIABILITY INSURANCE DATE(MMUDDIYYYY) 12/7/2007 INFORMATION CERTIFICATE EXTEND OR BELOW. PRODUCER (563)123 -4567 Insurance Agency Street Address City ST FAX (563) 987 -6543 Zip Code THIS CERTIFICATE IS ISSUED AS A MATTER OF ONLY AND CONFERS NO RIGHTS UPON THE HOLDER. THIS CERTIFICATE DOES NOT AMEND, ALTER THE COVERAGE AFFORDED BY THE POLICIES INSURERS AFFORDING COVERAGE NAIC 0 INSURED Company Street City St Zip Code INSURER A: Insurance Company INSURER EL INSURER C: INSURER 0. INSURER E: CERTIFICATE HOLDER City of Dubuque 50 West 13th Street Dubuque, IA 52001 SHOULD ANY OF THE ABOVE DESCRIBED POLICES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 30 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLIGATION OR UABIUTY OF ANY KIND UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES. AUTHORIZED REPRESENTATIVE ACORD 25 (2001108) (NS025 (01o8).06 AMS CANCELLATION VMP Mortgage Soluions, Inc. (800)327-0545 ® ACORD CORPORATION 1988 Pape 1 of 2 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. ACORD 25 (2001!08) INS025 (0108)06 AMS Page 2 02 POLICY NUMBER: COMMERCIAL GENERAL LIABILITY CG 25 04 03 97 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. DESIGNATED LOCATION(S) GENERAL AGGREGATE LIMIT This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Designated Location(s): ANY AND ALL COVERED LOCATIONS (If no entry appears above, information required to complete this endorsement will be shown in the Declarations as applicable to this endorsement.) A. For all sums which the insured becomes legally obligated to pay as damages caused by "occur- rences" under COVERAGE A (SECTION I), and for all medical expenses caused by accidents under COVERAGE C (SECTION I), which can be attributed only to operations at a single desig- nated "location" shown in the Schedule above: 1. A separate Designated Location General Aggregate Limit applies to each designated 'location ", and that limit is equal to the amount of the General Aggregate Limit shown in the Declarations. 2. The Designated Location General Aggregate Limit is the most we will pay for the sum of all damages under COVERAGE A, except dam- ages because of "bodily injury" or "property damage" included in the "products - completed operations hazard ", and for medical expenses under COVERAGE C regardless of the num- ber 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 Designated Loca- tion General Aggregate Limit for that desig- nated "location °. Such payments shall not re- duce the General Aggregate Limit shown in the Declarations nor shall they reduce any other Designated Location General Aggre- gate Limit for any other designated "location" 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 Location General Aggregate Limit. B. For all sums which the insured becomes legally obligated to pay as damages caused by "occur- rences" under COVERAGE A (SECTION I), and for all medical expenses caused by accidents under COVERAGE C (SECTION I), which can- not be attributed only to operations at a single designated "location" 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 Location General Aggregate Limit. CG 25 04 03 97 Page 1 of 2 CG 25 04 03 97 C. When coverage for liability arising out of the "products - completed operations hazard' is pro- vided, any payments for damages because of "bodily injury" or "property damage" included in the "products - completed operations hazard" will reduce the Products- Completed Operations Ag- gregate Limit, and not reduce the General Ag- gregate Limit nor the Designated Location Gen- eral Aggregate Limit. D. For the purposes of this endorsement, the Defi- nitions Section is amended by the addition of the following definition: Copyright, Insurance Services Office, Inc., 1996 "Location" means premises involving the same or connecting lots, or premises whose connection is interrupted only by a street, roadway, waterway or right -of -way of a railroad. E. The provisions of Limits Of Insurance (SECTION III) not otherwise modified by this endorsement shall continue to apply as stipulated. Page2of2 CG25040397 Name Of Additional Insured Person(s) Or Organization(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 Information required to complete this Schedule, if not shown above, will be shown in the Declarations. POLICY NUMBER: COMMERCIAL GENERAL LIABILITY CG 20 10 07 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 A. Section 1I — 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 those acting on your behalf; CG 20 10 07 04 B. in the performance of your ongoing operations for the additional insured(s) at the location(s) desig- nated above. 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 "pr6party ddriage" occurring after: Page 1 of 2 1. 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(s) at the location of the covered operations has been completed; or Page 2 of 2 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 performing operations for a princi- pal as a part of the same project. All terms and conditions of this policy apply unless modified by this endorsement. © ISO Properties, Inc., 2004 CG 20 10 07 04 CITY OF DUBUQUE, IOWA GOVERNMENTAL IMMUNITIES ENDORSEMENT 1. 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 2008