Signed Contracts_Nothern Illinois University Board of Trustees AgreementAGREEMENT
BETWEEN
THE CITY OF DUBUQUE, IOWA
AND
THE BOARD OF TRUSTEES OF NORTHERN ILLINOIS UNIVERSITY
C � THIS AGREEMENT, dated for reference purposes the /0 'I day of
/ , 2010, is made and entered into by and between the Board of
Trust ecting on behalf of Northern Illinois University through its Center for
Governmental Studies, referred to as the "University ", and the City of Dubuque, Iowa,
referred to as "Dubuque ", witnesseth:
SECTION 1. SCOPE OF WORK. In consideration of the mutual promises hereafter
specified, the University shall provide Dubuque the services delineated in Exhibit A ( "the
Work ").
SECTION 2. TERM OF AGREEMENT. The Term of this Agreement shall be from
April 2010 through December 2010, unless the Term is extended by the mutual written
agreement of the parties.
SECTION 3. COMPENSATION. As full and complete compensation for the Work,
Dubuque shall pay the University a fee in the amount of $69,900 as a fixed -price
contract. Beginning May 1, 2010, the University will invoice Dubuque monthly on the 1
day of each month for its expenses for the previous month. Payment will be due within
thirty (30) days of submission of the complete invoice with appropriate documentation.
Appropriate documentation shall include deliverables for that month, such as reports,
meeting minutes, and summaries of work completed. In no case shall the final payment
be made until the Work is completed as determined by City in its sole discretion.
SECTION 4. NONDISCRIMINATION. The parties hereto shall abide by the
requirements of Executive Order 11246 and the Rules and Regulations of the Iowa Civil
Rights Commission, and there shall be no discrimination because of race, color,
religion, sex, sexual orientation, gender identity, national origin, ancestry, age, marital
status, physical or mental handicap unrelated to ability or an unfavorable discharge from
military service in the employment, training or promotion of personnel engaged in the
performance of this agreement.
SECTION 5. INSURANCE. The University shall provide insurance during the term of
this Agreement as set forth in the attached Insurance Schedule.
SECTION 6. INDEMNIFICATION. To the fullest extent permitted by law, the
University shall indemnify and hold harmless Dubuque, its officers, and employees from
and against all claims, damages, losses and expenses, including but not limited to
attorneys' fees, arising out of or resulting from performance of the Work, provided that
such claim, damages, loss or expense is attributable to bodily injury, sickness, disease,
or death, or injury to or destruction of property, including loss of use resulting therefrom,
NorthernlllinoisUniversityAgreement 050610
but only to the extent caused in whole or in part by negligent acts or omissions of the
University, its employees or agents regardless of whether or not such claim, damage,
loss or expense is caused in part by a party indemnified hereunder. Dubuque disclaims
any responsibility, liability, or warranty related to the Data, including but not limited to,
merchantability, fitness for a particular purpose, suitability, accuracy, or completeness.
SECTION 7. CONFIDENTIALITY.
7.1. Confidential Information will be provided under this Agreement. Data released
under this Agreement are solely for the use of NIU for the purposes of conducting the
Work. The University shall not use the shared data for other than such purposes
without the prior written consent of Dubuque.
7.2. "Confidential Information" means any and all information obtained by the
University under this Agreement except for information which is aggregated and from
which no identifying particular about any individual or unit can be ascertained, either in
isolation or when considered with other data. Confidential Information includes, but is
not limited to, information identifying persons such as names, social security numbers,
date of birth, criminal record, or any other identifying characteristic that is not part of a
public record.
7.3. The parties further agree to safeguard all Confidential Information as follows:
1 1
(1) Confidential Information will be used only as authorized by this Agreement
and as authorized by law.
(2) Access to Confidential Information will be restricted to only those
authorized persons who require the information to perform the Work.
(3) All data will be utilized in a manner which will protect the Confidential
Information, and in such a way that unauthorized persons cannot retrieve any
such Confidential Information.
(4) Confidential Information will be stored in an area that is physically safe at
all times from access by unauthorized persons.
(5) Confidential Information that is maintained in electronic format will be
stored in such a way that it is secure from access by unauthorized persons.
Specifically this means that:
a. Strong passwords will be required of persons accessing confidential
information. See Exhibit B (Password Guidelines).
b. Passwords will be changed at least 30 days by persons accessing
confidential information.
c. Audits are in place showing date /time and user accessing confidential
information.
2
(6) All persons with access to Confidential Information will be advised of the
confidential nature of the information. Execution of this Agreement affirms that
all persons with access to Confidential Information will adhere to the
confidentiality requirements set forth herein.
(7) In the event that any equipment or records containing Confidential
Information are transported from one location to another in furtherance of this
Agreement, all necessary steps will be taken to ensure that the information is
transferred in a way that maintains the confidentiality procedures of this
Agreement.
(8) All computers and other electronic devices and media containing
Confidential Information that is received, transmitted, gathered, stored,
maintained, and used will be encrypted and password protected. E -mail or other
data containing Confidential Information is sent only from and to addresses which
are secure. The e -mail shall include a standard disclaimer notice to outgoing e-
mail messages to notify recipients that the message, and any files transmitted
with it, are confidential and intended solely for the use of the individual or entity to
whom they are addressed; that the sender should be notified if a message is
received by mistake; and that the unintended recipient is prohibited from
disclosing, copying, or disseminating a message that is received in error.
7.4. The parties agree to the following terms of records usage, duplication, and
disclosure:
(1) Except as required by law, the parties agree to not disclose any
Confidential Information to any other agency, entity, contractor, or person without
the prior written consent of Dubuque.
(2) The parties agree that they will not allow the duplication or dissemination
of Confidential Information within their •respective organizations except as
necessary to perform the Work.
7.5. The following individuals, employed by the University, have authority to request,
access, and use Confidential Information for the purpose of this Agreement:
(1) Gregory Kuhn
(2) Desheng Xu
(3) Chia -Pao Hsu
(4) Chandrima Roy
SECTION 8. INTELLECTUAL PROPERTIES.
3
8.1. At the expiration of this Agreement, NIU agrees to make available to Dubuque,
any reporting tools, mapping projects and templates developed under this Agreement in
accordance with terms and conditions to be agreed upon by Dubuque and NIU for the
sole purpose of future analysis and validation of assumptions and data collection
conducted under this study. It is understood that the licensing of underlying software is
the responsibility of Dubuque.
SECTION 9. COMPLETE AGREEMENT. This Agreement constitutes the entire
Agreement between parties hereto. There is no part of this Agreement not set forth
herein and no changes in or additions to this Agreement shall be valid unless in writing
and signed by the parties hereto.
CITY OF DUBUQUE, IOWA CENTER FOR GOVERNMENTAL
STUDIES NIU OUTREACH
B y- By obert C ���"".
Michael Va �Iligen E. Gleeson, Director
City Manager
Client's FEIN: 42- 6004596
r
4
BOARD OF TRUSTEES FOR
NORTHERN ILLINOIS UNIVERSITY
•
A nne C. plan, vice President,
Administration and University Outreach
EXHIBIT A
64 e
Center staff would be prepared to begin work within two weeks of notice to proceed and execution of
final agreements by the City of Dubuque and the Center for Governmental Studies. It is our
understanding that the deadline outlined in the RFP requests final deliverables by June 15, 2010. CGS
also understands that, to the extent feasible, Dubuque is requesting the delivery of preliminary results
for Part I and Part II, along with any policy recommendations, by May 15, 2010. On March 11, 2010, CGS
received an email from Kelly Larson stating Dubuque will take into consideration alternate timelines
given the preliminary responses the City has received concerning the original schedule. With this in
mind, it is the Center's professional opinion that the project will take approximately twenty (20) weeks
and key tasks will take place within the proposed timeline. This timeline is subject to change depending
on the award date and the response times of Dubuque staff responsible for delivering requested data or
assisting with the project in any capacity.
Week 1— Week 5
> Conduct initial meeting with key stakeholder (project kick -off) and submit requests for information
> Begin data collection for Quantitative Analysis & design statistical models for analysis
> Develop & conduct phone survey instrument
➢ Conduct Literature Review
Week 6 — Week 12
> Begin summarizing survey responses received
> Complete analysis of survey responses & analysis of criminal activity records /indicators
➢ Synthesize survey data (perceptions) with criminal activity data (real crime)
> Meet with key stakeholder to check in on the project's progress
Week 13 — Week 16
➢ Prepare and deliver preliminary results of quantitative findings Part I and Part II
> Prepare and deliver recommended new (and /or changes to existing) policies and strategies
> Deliver final report to Dubuque
Week 17 — Week 19
> Meet with key stakeholders to address any comments or questions regarding the study's
preliminary results
> Formalize key findings into a set of final deliverables
Week 20
Please note: All project dates are estimates, and are contingent on the receipt of required data and
documentation from Dubuque, including staff member availability, access to electronic records and
schedules of study specialists, as well as the receipt of information from citizens. Amendments to the
project schedule will result if critical data or decision elements are not available to CGS staff within
projected timelines or within a generally accepted electronic format.
The Center for Governmental Studies will be pleased to refine the proposed schedule to a mutually
agreeable project timeline with City Staff upon Initiation of the study. The proposed schedule is
dependent on the availability of information, the cooperation and assistance of staff and the timely
response of survey data from participating agencies. Shortcomings in these areas or extended
decision /review points on policy questions and alternatives will affect the project schedule to varying
degrees.
EXHIBIT A
THE WORK
5
S OPEU ESYI S
This section of the proposal, the scope, provides for a comprehensive framework of CGS'
understanding of Dubuque's needs from a study of this nature. It is our understanding that the
primary focus of the project is centered around a quantitative analysis of local crime and the
community's perceptions of crime.
Dubuque summarized the project's scope into the following three general research questions:
• Does the perception of criminal activity and its causes in Dubuque match what is actually
happening?
• Within categories of crime with significant increases in arrests, what policies or strategies can
effectively decrease crime?
r If there are cases where there are community perceptions of increased criminal activity but
no evidence to support the perception, what policies or strategies can effectively address the
concerns?
In accordance with the City's scope of services discussions to evaluate perceptions of increased
criminal activity against actual incidents of crime reported and recommend related strategies where
necessary, the study's primary aim will be to investigate, assess and recommend revisions to
strategies and policies, where necessary supported by evidence -based rationales. Evidenced -based
rationales will derive from the quantitative analysis as well as the qualitative analysis described in the
following section labeled "Organization of Key Components of the Project." In addition to increasing
the effectiveness, efficiency and equity of Dubuque's policy setting and management of crime, this
study will establish a mechanism for obtaining and providing information on crime and
poverty to and from the citizens of Dubuque to corroborate or dispell perceptions of crime. It is the
hope of this study team that the end result of this project will serve to educate, engage and
empower the community, as a whole, to actively combat crime in order to achieve or maintain (if
already in place) the ultimate outcome — a real and perceived safe community.
It is important to note here that while the Study encompasses elements of poverty, particularly the
utilzation of Section 8 Vouchers, the core focus of the study centers around crime in Dubuque.
Hence, it is not the intent of this study to analyze causes of poverty or any other aspects of poverty
other than how poverty may relate to crime.
Project Proposal for Dubuque Page 16
N IU Center for
Govemmental Studies
6
sjiMTs ;
tooter for
Project Proposal forDubuque Page 17 GovemmeMN Studies
wnna.n
The work plan for the Study is presented in this section of the proposal and is organized around the
three general areas within the "Scope" section of the City's Request for Proposal.
Literature Review
In conjunction with completing the tasks associated with Scope Elements A through C discussed in
the Quantitative Analysis section of this proposal, a thorough review of scholarly literature pertaining
to crime and poverty will be conducted to identify relevant discoveries, theories and concepts that
would be pertinent to to the development and analysis of results of this study. The literature review
will also increase the legitimacy of any recommended changes to Dubuque's crime management
policies and /or strategies.
• The relationship between the mobility of Section 8 housing vouchers and crime displacement
• Effective strategies /policies for preventing crime displacement from one community to
another
• General relationships between Section 8 housing and crime
• Effective strategies /policies for preventing crime related to Section 8 housing in general
• Contributing factors to perception of increased crime
•:• Effective strategies /policies to alleviate perception of crime
General causes of crime in midsized communities
• General effective strategies /policies for preventing crime in midsized communities
While the City is requesting a review of the items listed above, CGS acknowledges here that some
items within this list may not receive as much attention as others and in some cases may be lacking
depending on the availability and quality of the literature. Furthermore, some of the items on the list
above can be quite involved and are sometimes found as a thesis in and of themselves.
Nevertheless, the study team will undertake an informed academic review as thoroughly as possible,
within the constraints of a study of this scope. Our review will center on key findings that address as
many of the interests contained in the list as feasible.
7
Findings & Selected
Recommendations for
Policies & Strategies
8
Quantitative :dialysis
Scope Element A.
"Does the perception of criminal activity and its causes in Dubuque match what is actually
happening ?"
PART I: Measure Dubuque's records of actual criminal activity and compare to crime data of like -sized
communities in Iowa.
i TASK 1: Develop Cohort. A cohort will serve as a mechanism for comparing Dubuque crimes
against crimes reported by other Tike -sized communities in Iowa. Note — CGS strongly
recommends integrating Option 1 found in the Optional Study Components section of this
proposal as the method of choice for selecting the cohort for comparison purposes.
> TASK 2: Collect Cohort FBI Crime Data and Compare to Dubuque. Using electronic data from
the FBI Uniform Crime Reports for years 2002 through 2008', develop tables, charts, graphs, etc.
to compare the cohort identified in TASK 1 to Dubuque.
i TASK 3: Apply A Statistical Methodology To Collect And Analyze Criminal Data. Using the FBI
Uniform Crime Reports or Dubuque's data submitted to this system for years 2002 through 2008
(and data received directly from the City for 2009 analyze the data by types of crimes to
determine whether there have been significant increases and, if so, which types have
experienced the greatest statistically significant increases.
i TASK 4: Summarize Findings. Incorporate findings from this part into the the analysis of the
other parts of this project and synthesize into the Final Report (discussed at the end of this
section).
Part II: For those types of crimes experiencing significant increases, analyze these types of criminal
activity in conjuction with the associated demographic data obtained from Dubuque's Arrest
Reports.
> TASK 1: Analyze Dubuque's Crimes That Are Experiencing Statistically Significant Increase s in
Reported Rates In Conjunction With Demographic Data Using Dubuque's Arrest Reports.
o Obtain and sort Arrest Report data (for years 2005 to current /accessible) pertaining to
those types of crimes, identified in Part I , experiencing significant increases.
o Obtain and sort housing data from the Housing Department's computerized data
tracking system (for years 2005 to current/accessible).
o Conduct a conventional analysis of the arrest data and housing data given the
distribution of the victim's and perpetrator's (when known) addresses, primarily focusing
an whether either was in a Section 8 housing development. Other socio- demographic
variables will also be included in the model. The suggested method for conducting this
portion of the analysis is linear modeling, likely Poisson regression techniques - a best
practice approach to modeling event count data.
r 2009 data is not available.
2 2009 per Dubuque Police Department records; use of electronic records is assumed.
Project Proposal for Dubuque Pare 19
clorvam mon Itudlts
9
> TASK 2: Incorprate GIS Modeling To Investigate Potential Relationships Of Criminal Activity
And Demographics Analyzed In The Previous Task . To include a study of addresses in order to
explore geographical relationships between location of crime with Section 8 housing and other
demographic factors obtained from the arrest report, the Center will use Geographic information
System (GIS) for analysis_ A geographic information system (GIS) integrates hardware, software,
and data for capturing, managing, analyzing, and displaying all forms of geographically
referenced information.
In 1995, CGS conducted a study of the Chicago Heat Related Deaths for IDPH. The addresses
where the mortality occurred were geocoded and then aggregated to the Census Tract level to
see if there were any correlation between the deaths and soda- economic factors. Very simple
bivariate reaps were produced to show the relation between heat related mortality and socio-
economic factors.
Crime mapping using GIS analysis techniques has helped track crime incidents and produce
density and cluster maps showing crime patterns. With Improvements in the availability and
quality of crime data in digital format and more robust GIS software that do Hot Spot Analysis,
Mean Center, Linear Directional Mean, and Standard Deviationai Ellipse tools allow for
sophisticated crime analysis.
The Center will use Arc GIS9 (ESRI) for the GIS Analysis. The Center will use the addresses from
the Police Arrest Report to geocode the addresses. Geocoding is a process where an address is
assigned a XY flat ion) coordinate by the software and mapped as a point
Also available is the GIS Crime statistics tool, CrimeStat v3.2a.
" CrimeStat III is a spatial statistics program for the analysis of crime incident locations, developed
by Ned Levine & Associates under the direction of Ned Levine, PhD, that was funded by grants
from the National Institute of Justice (grants 1997 -U-CX 0040, 1999 -11-CX {1044, 2002 -U-CX -0007,
and 2005- I1- CX- K037)_ The program is Windows -based and interfaces with most desktop GIS
programs. The purpose is to provide supplemental statistical tools to aid law enforcement
agencies and criminal justice researchers in their crime mapping efforts. CrimeStat is being used
by many police departments around the country as well as by criminal Justice and other
researchers. The latest version fs 3.2a. and can be found accessing the following link:
http:// www. icpsr. umich_ edu /icpsrweb /CRIMESTAT /about.jsp (Accessed Mar. 11, 2010)
This program implements spatial distribution statistics, spatial autocorrelatlon, distance analysis
such as nearest neighbor analysis, and hot spot analysis along with spatial regression models.
This program is available at N.I.U. and supported through Prof. Cappell's Sociology Quantitative
Research Laboratory.
Once an address Is geocoded, it can be aggregated to any level of geography (police beat, census
block, census tract, ZIP Cade, etc) and the total number of incidence of crime (can be reported
by type) is calculated for that geography. Several spatial analyses techniques can then be applied.
The Section 8 housing will be located on the map using the geocoding routine and crime
incidence will be analyzed in relation to the housing units.
Project Proposal for Dubuque Page 20
111 G Stud.
w ar
1 0
Several mapping options are available (see Appendix for a few examples):
1. Display spatial patterns of crime incidence by way of dot maps representing any of the
variables.
2. Integrate community characteristics: In addition to analyzing crime incidence in relation to
the demographic variables contained in the Police Report, Community characteristics (for
e.g., low income housing, colleges, parks, alcohol permit locations, etc.) can be routinely
displayed on maps while analyzing crime patterns to interpret relationship between these
characterisstics and the crime.
3. Produce thematic maps at any level of geography (police beat, Census Tract, Blocks, etc).
4. Spatial Analysis by way of Radius, Hot Spot, Temporal, Bivariate and Multivariate Analysis.
• TASK 3: Summarize Findings. Incorporate findings from this part Into the the analysis of the
other parts of this project and synthesize into the Final Report (discussed at the end of this
section).
Part 111: Capture The Communfy's Perceptions Of Dubuque's Crime_
The specifications for a City of Dubuque R Survey, using a statistically valid random, are
outlined below —as prepared by NIU's Public Opinion Laboratory senior staff:
"r TASK 1: Develop Questionnaire. We have assumed utilization of a 10- minute questionnaire
consisting of the following:
:• Perceptions of changes in crime rate;
• Perceptions of rates of specific types of crimes;
• Perceptions of causes of crime;
:• Perceptions of the relationship between crime & income and between crime & Section 8
housing
• Demographics
• Individual and household victimization experiences
The initial questionnaire will be developed based on Information from the City, with the final
version to be approved by the City staff. We have assumed one open -ended question.
Examples of possible questions are attached.
i TASK 2: Develop Sample. To ensure that the results will be representative, we will select a
random-digit-dialed telephone sample of City of Dubuque residents. An adult age 18 or older will
be interviewed in 500 households. With "25,000 households in the City, the margin of error for
these results will be ± 4.3 percentage points.
TASK 3: Advance Letters. To introduce the study, the POL will mall advance letters to the
sampled telephone numbers where we are able to obtain a matching name and address. The
advance letter will be printed on Northern Illinois University letterhead and mailed in a Northem
Illinois University envelope.
ProjvrrProposal far Dubuque Page 21
IVI goyerninitniciStucihn
11
TASK 4: Data Collection. Following mailing of the advance letter, interviewers will contact the
sampled telephone numbers. The interviewing will be completed using our computer- assisted
telephone interviewing system. Calls will be placed at varying times and days of the week in an
effort to maximize response.
City of Dubuque staff are invited to attend the interviewer training. Following the training, we
will pretest the interview with a small sample prior to beginning full -scale data collection.
> TASK 5: Analysis. The survey results will be analyzed by key demographic variables (Le.,
geographic region of the City, years lived In City, income).
> TASK 6: Deliverables. POL will produce a report that will include a description of the survey
methodology and highlights of the results_
> TASK 7: Synthesize Perception Findings in Part 111 With Findings from Part I and Part 11. We will
construct a beta version of Crime Activity Index (CAI) from the index crime reported (in FBI '
Uniform Crime Reports or Dubuque Police Department Records). Similarly, we will work to
construct a beta version of a Crime Perception Index (CPI) from the perception expressed in the
survey questionnaires. The study team will then endeavor to develop a multi -level model to
study the fink between the CAI and the CPI.
> TASK 8: Summarize Findings. Incorporate findings from this part of the analysis with other
parts of this investigation and synthesize into the final Report (discussed at the end of this
section).
Project Proposal far Dtuqur Page 22
MUa 1aJ$1udM.
..e
12
Examples of Possible Community Survey Questions
s Would you say that crime in the City of Dubuque is a very serious problem, a somewhat serious
problem, not a very serious problem, or not a problem at all?
3 In your opinion, is crime increasing, staying the same or decreasing in the City of Dubuque?
+ How much of a problem is each of the following types of crimes for the City of Dubuque? Would
you say that [insert type of crime], Is a very serious problem, a somewhat serious problem, not a
very serious problem, or not a problem at all?
+ Would you say that crime in the neighborhood where you live is a very serious problem, a
somewhat serious problem, not a very serious problem, or not a problem at all?
• In your opinion, is crime increasing, staying the same or decreasing In the neighborhood where
you live?
• How much of a problem Is each of the following types of crimes are In the neighborhood where
you live? Would you say that [insert type of crime] Is a very serious problem, a somewhat serious
problem, not a very serious problem, or not a problem at all?
• How safe or unsafe do you feel in downtown Dubuque during the day?
+ How safe or unsafe do you feel in downtown Dubuque during the night?
+ Do you strongly agree, agree, disagree or strongly disagree that most crimes in the City of
Dubuque are committed by [insert type of individual] (i.e., low- income individuals, adolescents)?
+ Please rank what you think are the most important causes of crime in the City of Dubuque with 1
being least likely to cause crime and 5 being most likely to cause crime.
Project Proposal Dubuque Page 23
U ler $ludi+s
13
Scope Element B.
"Within categories of crime with significant increases in arrests, what policies or strategies can
effectively decrease crime ?"
i TASK 1: Develop Recommended Strategies And Policies. Based on the findings from the
literature review and the analytical results from Scope Element A, CGS will recommend a select
number of key strategies to be considered for implementation to contribute decrease crime
where applicable.
i TASK 2: Deliver Results & Obtain Dubuque's Feedback. The recommended strategies proposed
in Task 1 of Element a will be covered with the City's leaders for reasonableness and alignment
with the City's overall list of crime prevention strategies.
i TASK 3: Summarize Findings. Incorporate recommendations and the City's feedback from
Tasks 1 and 2 of Eleiirent B into the Frnal Report (discussed at the end of this section).
Scope Element C.
"if there are cases where there are community perceptions of increased criminal activity but no
evidence to support the perception, what policies or strategies can effectively address the
concerns?"
> TASK 1: Comparison of Perceptions Results to Actual Criminal Activity. Identify cases from
Scope Element A, Part IIi, Task 7 where perceptions do not match actual criminal activity and
look for themes that may be contributing to these perceptions.
> TASK 2: Develop Recommended Select Strategies & Policies. Where the study team Identifies
gaps in perception compared to actual criminal activity (where documented reports of crime do
not support the perceptions), we will recommend policies and strategies suitable for minimizing
perceptions of crime.
i TASK 3: Deliver Preliminary Results & Obtain Dubuque's Feedback. The recommended
strategies proposed in Task 2 of Element C will also be covered with the City's leaders for
reasonableness and alignment with the City's overall list of crime prevention strategies.
'r TASK 4: Summarize Findings. Incorporate recommendations and the City's feedback from
Tasks 1 through 3 of Element C into the Final Report (discussed at the end of this section).
Project Propomf far Dubuque Para. 24
V e mid Studio.
utlgeax+
14
Final Report
TASK 1: Synthesize all findings found in the literature review and the quantitative analysis to develop
a cohesive prellminory document outlining the results and recommended changes to the City's crime
prevention related strategic, and policies. The Final Report will include items such as an executive
summary, a literature review section, description of the methodology, key findings (including
relevant charts, graphs, tables, etc.) and a discussion of those findings, limitations of the study and a
poCcy & strategy recommendations section.
TASK 2: Submit the preliminary report to the City for review and feedback
TASK 3: Incorporate the City's feedback to the extent possible. Errors and signficant omissions or
misrepresentation of the data will be corrected, while requests for alternate forms of analyses
outside of the project's scope wlll be considered for Incorporation Into the Final Report and may
result in additional fees as mutually agreed upon by the City and CGS.
Prgjcct?rape al far Dubuque Page 25
111 U G msnlnt stidrat.
15
User Passwords
Applicability:
This standard applies to all passwords that are used on computer systems, terminals,
data entry devices, and personal digital assistants (PDAs) that are maintained by the
corporation, carry corporate information, or that connect to corporate networks or
computer systems. This includes end user, shared, system and administrative,
passwords.
Purpose:
To reduce risks posed by simple, obvious, or easy to guess passwords.
Standard:
Passwords are often the first line of defense in maintaining appropriate access controls
for access to corporate networks or computing resources. An easy to guess password
can undermine the protection provided by user credentials, allowing an unauthorized
user to view or modify information to which he or she would not normally have access.
Most IT computers and applications will enforce the following criteria when
updating your password: -
Password History - end users must change their password 12 times before an old
password can be reused
Password Length — The password must be between 7 and 16 characters long
Password Complexity - The password contains characters from at least 3 of the
following 5 categories:
• English uppercase characters (A - Z)
• English lowercase characters (a - z)
• A number (0 - 9)
• Non - alphanumeric (for example: !, $, #, or %)
• Unicode Characters
Does not contain the user account name
Maximum password age Users must update their passwords every 60 days
1. Choose a good password. A good password shall be easy to remember so you
don't have to write it down, but difficult for someone else to guess or "crack ". Here are
some guidelines to assist
• Password should not be a key sequence (e.g., 1234567, abcdefg, qwertyu)
• Don't use repeated keys (e.g., aaa, 111, $$$).
• Don't use dictionary words (e.g., password, Iowa or Madison).
• Use a Pass - Phrase (e.g., PasswordsAreFun!)
• Substitute letters with special characters or numbers (e.g., a =@ e=31=1 0 =0 u =4
s =5) 'boating' made strong would be B0 @t1 ng
17
System and Administrative Passwords:
Access to administrative passwords is restricted to network or system administrators
who require access to resources to perform job duties. Administrative passwords must
meet at least the end user password standard with the following additions:
1. Administrative passwords will not be hard -coded in files or tables to create a
login shortcut
2. System ID passwords may be hard -coded in files or tables to create a login
shortcut
3. Storage and transmission of passwords must be encrypted.
4. Delivered systems will be secured by placing controls (administrative
accounts that cannot be deleted or disabled will be secured, with a strong
password and, where possible, renamed) upon all default accounts (i.e.,
admin, root, super user, anonymous, guest).
5. Access to administrative or system accounts will be limited to a specific use
and accounts with the lowest level of access will be utilized to apply changes
6. Systems must mask display of the password when entered by the user.
7. Invalid authentication attempts will not result in an account lockout for
administrative or system accounts.
18
INSURANCE SCHEDULE
19
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 - subcontractors 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
1 of t January 2008
5
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.
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 S1.000.000 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
447098140110-
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)
C Additional Insured CG 20 10 07 04
E. Governmental Immunities Endorsement
- 2 of 2 January 2008
6
CITY OF DUBUQUE, IOWA
GOVERNMENTAL IMMUNITIES ENDORSEMENT
SPECIMEN
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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.
1 of 1 January 2008