RFQ Intermodal Center Construction DocumentsMasterpiece on the Mississippi
Dubuque
bierd
All-America City
1
2007
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Dubuque Intermodal Center RFQ for Design Development, Construction
Documentation, and Construction Administration
DATE: March 12, 2012
Economic Development Director David Heiar is requesting authorization for an RFQ to
solicit consultant interest Design Development, Construction Documentation, and
Construction Administration Services for the Dubuque Intermodal Campus.
In July 2010, the City Council hired IIW Engineers partnered with Desman Associates to
complete a site selection study and environmental analysis for the Dubuque Intermodal
Center. The Historic Millwork District was selected as the preferred location of the
Center.
Neumann Monson Architects was then hired in May 2011 to provide Schematic Design
and partial Design Development for the Intermodal Campus. That work was completed
in January 2012.
In October 2011, the City was notified it is to be a recipient of a State of Good Repair
(SGR) grant from the Federal Transit Administration (FTA) for the first phase of the
Dubuque Intermodal Campus. This award for Phase I is to provide safe connections to
off road Bus transfers and replace unsafe on road bus transfers and people pickups in
conjunction to Historic Millwork District project. The first phase of the project consists of:
• First floor of the Terminal building and site improvements
• First phase of the parking facility
The FTA requires all projects to undergo a proposal process if the project is to be
assisted with federal funding. Staff is currently completing this process
Staff is still pursuing funding for the second phase of the Campus and components that
were not funded or were not eligible for the SGR grant. Those components are:
• Two -way conversion of 9th and 11th streets.
• Second phase of the parking facility
• Second floor of the Terminal building
• Passenger rail platform and canopies
• Bus storage facility
The attached RFP seeks a consultant to take the work already completed by Neumann
Monson Architects and develop Design Development documents, Construction
Documents, and provide Construction Administration for the Dubuque Intermodal
Campus's full buildout. Components of the Campus that were awarded funding through
the SGR grant will be approved through this RFP, but the proposal also seeks optional
added services relating to components of the Campus which have not been awarded
any grant funding. Should the City obtain additional grants for those components, the
City Council will then be able to amend the contract with the selected consultant without
needing to develop another RFQ.
Proposals are due April 17, 2012. A committee will review the proposals and rank them
to provide a recommendation to the City Council. It is expected that recommendation
will go to the City Council at their May 7, 2012 meeting.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM:sv
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
David Heiar, Economic Development Director
2
Masterpiece on the Mississippi
Dubuque
bierd
All-America City
1
2007
TO: Michael Van Milligen, City Manager
FROM: David J. Heiar, Economic Development Director
SUBJECT: Dubuque Intermodal Center RFQ for Design Development, Construction
Documentation, and Construction Administration
DATE: March 8, 2012
INTRODUCTION
The purpose of this memorandum is to seek City Council authorization for an RFQ to
solicit consultant interest Design Development, Construction Documentation, and
Construction Administration Services for the Dubuque Intermodal Campus.
BACKGROUND
In July 2010, the City Council hired IIW Engineers partnered with Desman Associates to
complete a site selection study and environmental analysis for the Dubuque Intermodal
Center. The Historic Millwork District was selected as the preferred location of the
Center.
Neumann Monson Architects was then hired in May 2011 to provide Schematic Design
and partial Design Development for the Intermodal Campus. That work was completed
in January 2012.
In October 2011, the City was notified it is to be a recipient of a State of Good Repair
(SGR) grant from the Federal Transit Administration (FTA) for the first phase of the
Dubuque Intermodal Campus. This award for Phase! is to provide safe connections to
off road Bus transfers and replace unsafe on road bus transfers and people pickups in
conjunction to Historic Millwork District project. The first phase of the project consists of:
• First floor of the Terminal building and site improvements
• First phase of the parking facility
The FTA requires all projects to undergo a proposal process if the project is to be
assisted with federal funding. Staff is currently completing this process
Staff is still pursuing funding for the second phase of the Campus and components that
were not funded or were not eligible for the SGR grant. Those components are:
• Two -way conversion of 9th and 11th streets.
• Second phase of the parking facility
• Second floor of the Terminal building
• Passenger rail platform and canopies
• Bus storage facility
DISCUSSION
The attached RFP seeks a consultant to take the work already completed by Neumann
Monson Architects and develop Design Development documents, Construction
Documents, and provide Construction Administration for the Dubuque Intermodal
Campus's full buildout. Components of the Campus that were awarded funding through
the SGR grant will be approved through this RFP, but the proposal also seeks optional
added services relating to components of the Campus which have not been awarded
any grant funding. Should the City obtain additional grants for those components, the
City Council will then be able to amend the contract with the selected consultant without
needing to develop another RFQ.
Proposals are due April 17, 2012. A committee will review the proposals and rank them
to provide a recommendation to the City Council. It is expected that recommendation
will go to the City Council at their May 7, 2012 meeting.
BUDGET IMPACT
The work awarded through this RFQ will be paid from the $8 million SGR Grant. No
contract will be awarded until a notice to incur costs has been provided from the FTA.
RECOMMENDATION /ACTION STEP
The action step is to have the City Council to authorize the attached RFQ seeking a
consultant for Design Development, Construction Documentation, and Construction
Administration for the Dubuque Intermodal Campus.
Attachment
F \USERS \Econ Dev \Intermodal Facility \Final Design \RFP Process \20120308 Intermodal DD and CM RFQ Memo docx
REQUEST FOR QUALIFICATIONS (RFQ)
THE CITY OF
ISSUE DATE: March 19, 2012
CONTACT: Aaron DeJong
PHONE NO: 563 - 589 -4393
FAX NO: 563- 589 -1733
EMAIL: adejong @cityofdubuque org
]IEJB �
Masterpiece on the Mississippi
SUBMIT PROPOSAL /OFFER PRIOR TO
CLOSING DATE: April 17, 2012
CLOSING TIME: 10:00 A.M. (local time)
SUBMIT TO
SEE Section 8.0
FAX/EMAIL NOT ACCEPTED
DESCRIPTION:
Schematic Design, Design Development, Construction Documents, Bidding
Services, and Construction Phase
Services for the Dubuque Intermodal Campus located in the
Historic Millwork District
RECEIPT OF PROPOSAL
❑ If you are considering a response
the left, fill in the information below
that you received this RFQ.
NO RESPONSE REPLY
If you do not want to respond to
ACKNOWLEDGEMENT
to this RFQ, please mark the box to
and return this sheet as a confirmation
this RFQ at this time, please mark the
below and return this sheet only.
box to the left, fill in the information
COMPANY NAME
DATE
MAILING ADDRESS
CITY /STATE
ZIP CODE
AUTHORIZED SIGNATURE
PRINTED NAME
TITLE OF AUTHORIZED REPRESENTATIVE
EMAIL
PHONE
CITY OF DUBUQUE
ECONOMIC DEVELOPMENT
REQUEST FOR QUALIFICATIONS
Dubuque Intermodal Campus
Historic Millwork District
City of Dubuque, Iowa
March 19, 2012
Page 2 of 52
RFQ ORGANIZATION
Dubuque Intermodal Campus
City of Dubuque, Iowa
March 19, 2012
Table of Contents
1.0 INTRODUCTION 4
2.0 PROJECT OBJECTIVES 4
3.0 COMMUNITY BACKGROUND 5
4.0 PROJECT SCOPE OF SERVICES 5
5.0 USE OF CITY RESOURCES 8
6.0 INFORMATION TO BE INCLUDED IN PROPOSAL 9
7.0 PROPOSAL QUESTIONS AND ANSWERS 11
8.0 SUBMISSION REQUIREMENTS 12
Appendix A 14
Appendix B 17
Appendix C 19
Appendix D 22
Appendix E 26
Page 3 of 52
Dubuque Intermodal Campus
City of Dubuque, Iowa
Consultant Professional Services
Request for Qualifications
March 19, 2012
1.0 INTRODUCTION
The City of Dubuque, Iowa is soliciting competitive sealed proposals from qualified
professional firms to complete a multi - phased design for the Dubuque Intermodal Campus,
located in the Historic Millwork District.
The project has several design and construction components. The components of the project
include; a Terminal Building, Parking Facility, Bus Storage Facility, and Passenger Rail
Platform and rail improvements. Each of the components are in various stages of design.
Section 4 will discuss the work needed to advance each component. Some components
currently do not have funding for design or construction, but are identified as add alternates
to this contract. Should components receive funding, then an amendment to the contract will
be negotiated for the additional work. The selected Consultant will be expected to complete
the contracted scope of work within the specified timeframe, and under the general direction
and coordination of the City's Economic Development Department, Transit Division, Parking
Division, and Engineering Department as authorized by the City Council. Construction may
also, at the direction of the City, be completed in phases.
2.0 PROJECT OBJECTIVES
The City of Dubuque is ready to move forward with the design and construction of the
Dubuque Intermodal Campus in the Historic Millwork District. Components of the project will
include construction of the following:
1) Terminal Building,
a) First phase to include offices for local public transit and intercity bus carriers, a traveler
waiting area, public and private restrooms, site improvements and canopies for bus
areas. Approximately a 10,000 square foot building.
b) Second phase to include a second floor addition for additional offices of approximately
5,300 square feet.
2) Parking Facility
a) First phase to include a 292 car parking facility and a pedestrian bridge to the Terminal
Building.
b) Second phase to include a 232 car addition, making a total capacity of 524 parking
stalls.
Page 4 of 52
3) Passenger Rail Platform
a) Second Phase - A 300 -400 foot passenger rail platform to facilitate Amtrak service to
Dubuque, including canopies to cover the platform and the walkways to the Terminal
Building.
b) Rail improvements to facilitate a passenger rail train to access the rail platform.
4) Second Phase Bus Storage Facility
a) An approximately 35,000 square foot facility to house the Jule Transit buses, bus
maintenance, and Jule Operations staff.
Being located in downtown Dubuque and next to a nationally recognized historic area, the
facilities must contain architectural aspects that enhance the overall aesthetics of downtown
and further contribute to the overall vitality of the area. The design will correspond with work
already completed by the consultant team led by Neumann Monson Architects. A key
measurement for the success of the project will be the resulting smooth traffic flow in and out
of the site and surrounding area including convenient driveway connections to roadways that
access other areas.
The RFQ assumes a standard design- bid -build project delivery process. However, the
selected firm will need to convince the City that if deemed necessary due to various
grant funding obligations, they would be able to react to a significantly accelerated
design schedule that would include multiple, early -start construction bid packages.
3.0 COMMUNITY BACKGROUND
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 people. The City's annual operating and capital budget is nearly $116
million and funds a full range of services. The City's web site is www.cityofdubuque.orq.
The community has a stable and diversified manufacturing base and a growing service
sector. Dubuque is the major retail, medical, education and employment center for the tri-
state area. Tourism continues to be a major economic force in the community. City
government works in collaboration with the private sector to promote economic development.
The job creation and unemployment numbers show that Dubuque is growing steadily in the
current economic climate. Dubuque's construction numbers reveal an even more
encouraging picture. The City has formed strong relationships with the local business
community to promote continued economic growth and success.
The City and its development partners have begun the revitalization of the Historic Millwork
District, a 17 -block district in downtown that was once a major millworking center in the
United States. A major effort is underway to convert the historic buildings in this district to a
mix of housing, retail, and office uses. The Dubuque Intermodal Campus is a key component
to the success of this District's redevelopment.
4.0 PROJECT SCOPE OF SERVICES
Page 5 of 52
The following outline represents the minimum components that must be provided for this
project. Work will be authorized for each phase as funding becomes available. If at any point
in the project grant funds for construction appear to be no longer available, work will stop at
the end of the currently authorized phase. The City wants it to be clear that it desires a
robust and competent design for the facilities. Proposed budgets for each of the phases
should be based on achieving this goal and not based on the currently available funding
amount.
Sustainable design practices should be applied to all aspects of the project. In 2006 the
Mayor and City Council identified Sustainability and Green City designation as a top priority.
Since then the city has been working to implement this priority as listed on the
www.sustainabledubuque.orq website on all projects. The City will place special emphasis on
energy efficiency to reduce long term operation and maintenance costs, and the potential
incorporation of renewable energy sources. The US EPA's Energy Star design and rating
criteria shall be applied to this project in applicable areas.
An RFP for schematic design services was issued on March 10, 2011. Neumann
Monson Architects was awarded the schematic design contract. Firms who submitted
proposals to this previous RFP are welcome to resubmit those proposals with updated
costs that reflect the services being requested under this RFQ.
In preparing a response to this RFQ, the Consultant should describe the means or strategy
by which they would satisfy the scope of services. The consultant should break out separate
cost estimates for each of the tasks listed below, knowing the base expectations shall be
adhered to for all tasks.
Base Expectations
• The selected firm shall identify one person to serve as the Project Manager for this
project.
• The Project Manager shall be the leader of this effort and is expected to ensure that
the project scope, schedule and Total Project Cost (TPC) budget are being monitored
and adhered to at all times during the design and construction phases. One of the
Project Manager's prime responsibilities is to track and facilitate solutions for any
issues that may arise during the design and construction phases. Additionally, the
Project Manager shall serve as the primary point of contact for all exchange of
information between the City and the selected firm.
• The Project Manager shall maintain an updated TPC budget for the duration of the
project. The TPC budget shall be completed using the best available information at
the time of each periodic submittal in order to provide an up -to -date estimated total
cost for all components of the project. The budget shall include construction costs,
equipment /furniture costs, plus all other direct costs and reimbursable expenses for
the Consultant, sub - consultants and the City. The TPC budget shall be submitted to
the City in an electronic file format.
• During the design and construction phases of the project, the Project Manager shall
submit to the City a bulleted progress report for the project. The summary shall only
contain a list of major events that have occurred since the last report submittal along
Page 6 of 52
with a list of work that will be accomplished in the upcoming weeks, and a list of critical
items that need immediate attention.
• The Project Manager shall submit by electronic mail an updated schedule and an
electronic copy of all daily logs and documentation for the previous month's
construction activities.
• The Project Manager shall submit a project progress update report during the first and
third weeks of each month. The summary shall be submitted by electronic mail and be
less than a single page in length.
• The Project Manager (PM) shall coordinate with the General Contractor (GC) to have
weekly construction meetings. The participants of the meetings shall be determined
by the PM and GC and at such time that City of Dubuque representatives are able to
attend.
• Multiple meetings with project stakeholders will be required during the design process
to gather input, communicate project progress, and coordinate with various agencies.
• Meetings with the City Council should be included with the project. The City Council
will be kept informed of project's progress and findings throughout the project.
• Critical members of the firm's project team are expected to be present at all meetings.
Use of teleconference and videoconferencing is an acceptable alternative meeting
format as long as the objectives of the meeting agenda can be met.
• The Consultant shall have a formal written Quality Assurance /Quality Control (QA /QC)
program in place for the full duration of the project. Upon request from the City and at
anytime throughout the project, the Consultant shall provide documentation to the City
that verifies the QA /QC program is being actively utilized and followed.
• The consultant work shall conform with the FTA regulation outlined in Appendix E as
this project is utilizing federal funding.
Definitions for Schematic Design, Design Development, Construction Documents,
Bidding Services, and Construction Phase Services shall follow the definitions
outlined in AIA Document B101.
If awarded Schematic Design Services, it is expected that work will be completed in 3
months from execution of a contract or amendment.
If awarded Design Development Services, it is expected that work will be completed in
2 months from execution of a contract or amendment.
If awarded Construction Document Services, it is expected that work will be completed
in 3 months from execution of a contract or amendment.
TASK 1A — Design Development for the Terminal Building and site improvements
- The Terminal Building is to be designed for its full build -out.
Page 7 of 52
TASK 1B — Construction Documents, Bidding Services and Construction Phase Services for
the first phase of the Terminal Building
TASK 1C - Construction Documents, Bidding Services and Construction Phase Services for
the second phase of the Terminal Building. This Task is an add - alternate.
TASK 2A — Design Development for the Parking Facility, pedestrian walkway, and site
improvements
- The Parking Facility is to be designed for its full build -out of approximately 524
parking spaces.
TASK 2B — Construction Documents, Bidding Services and Construction Phase Services for
the first phase of the Parking Facility.
TASK 2C — Construction Documents and Construction Phase Services for the second phase
of the Parking Facility. This Task is an add - alternate.
TASK 3A — Design Development, Construction Documents, Bidding Services and
Construction Phase Services for the Passenger Rail Platform with canopies. This Task is an
add - alternate.
TASK 3B - Design Development, Construction Documents, Bidding Services and
Construction Phase Services for the rail improvements. This Task is an add - alternate.
TASK 4A — Schematic Design for the Bus Storage Facility. This Task is an add - alternate.
TASK 4B - Design Development, Construction Documents, Bidding Services and
Construction Phase Services for the Bus Storage Facility. This Task is an add - alternate.
5.0 USE OF CITY RESOURCES
5.1 - Use of City Resources for the RFQ Preparation
• All information requests shall be directed to the City's Project Manager as detailed in
Section 7.0 of this request for qualifications. All Consultants should note that directly
contacting other City of Dubuque staff or any of the Selection Committee members
shall be considered inappropriate and grounds for disqualification.
5.2 - Material Available for the RFQ
• Most current aerial photograph of the project area. A current aerial photograph of the
City of Dubuque is available in SID file format.
• Schematic Design materials
5.3 - City Resources Available to the Selected Consultant
• The City will make its ArcView GIS mapping and data analysis capabilities available
for this project as well as staff contact /resources persons in the Planning Services
Department and the Engineering Department. Digital aerial photos of the City of
Dubuque were taken in the spring of 2009.
Page 8 of 52
• CADD line work drawings of City Roads, CADD plans of adjacent city streetscape
available on DVD.
• Historic Millwork District Master Plan is available in PDF format.
• Schematic Design drawings from Neumann Monson Architects will be made available
in .pdf format.
6.0 INFORMATION TO BE INCLUDED IN PROPOSAL
The submitted proposal should address all of the points outlined in this RFQ excluding any
cost information which shall be included in a separate sealed envelope labeled "Project Cost
Estimate ". The Proposal should be prepared simply and economically, providing a
straightforward, concise description of the Consultant's capabilities to satisfy the
requirements of the RFQ.
To simplify the review process and to obtain the maximum degree of comparability, the
proposal shall include the following information and shall be organized in the order and
manner specified below. While additional data may be presented, the following subjects must
be included. They represent the primary criteria against which the proposal will be evaluated.
Firms who submitted proposals to the previous Intermodal RFP are welcome to
resubmit those proposals with updated costs that reflect the services being requested
under this RFQ.
Letter of Transmittal
Provide a letter of transmittal briefly outlining the Consultant's understanding of the work and
list the Project Manager's the name, address, telephone number, and e-mail address. The
name that is provided for the Project Manager will be used as the primary contact person
during the RFQ evaluation process.
Index
Each proposal shall contain a table of contents that delineates each section contained in the
proposal and the corresponding page number.
Profile of Firm
Provide general information about the Firm, along with its area of expertise and experience
as it relates to this RFQ. Describe the experience and success of the Firm in working on
similar projects. State the size of the Firm, the size of the Firm's professional staff, and the
location of the office from where the work on this project will be performed.
Discuss the Consultant's ability to integrate this project into their present workload. Include a
statement to specify if the Consultant currently has the capacity to undertake the project or
whether it intends to hire additional staff or partner with sub - consultants.
Scope of Services
Describe the means or strategy by which the Consultant would satisfy the scope of services
as listed in Section 4.
The Consultant may also choose to submit a second alternative or hybrid strategy with a
modified scope of services and revised budget that would improve the results of this project.
Page 9 of 52
Include a basic work plan for each strategy that delineates the Consultant's approach to the
completion of the project.
The work plan, at a minimum, should include those components outlined in Section 4 of this
RFQ. The Consultant should indicate in the work plan the aspects of the project they expect
to be completed by City staff.
Highlight any parts of the work plan that will reflect the Consultant's unique philosophy or
insight regarding its approach to this project and how this approach positively impacts the
successful completion of the project.
Project Team Qualifications
Provide the names of all members of the project team associated with this project.
Specifically identify the supervisory and management staff including principals, the project
manager, and technical experts who will be assigned to this project. For each project team
member, provide a summary of their qualifications and experience. Include any training and
relevant education.
Provide a flow chart that shows the communication path between the City and Consultant.
Include all project team members on the flow chart and show the supervisory relationship
between all members of the team. Be sure to include all sub - consultants staff on the project
team flow chart.
Provide the name and location of other sub - consulting firms that would be used by the
Consultant during the project and the approximate percentage of the work that would be
performed by each firm. Summarize the qualifications and experience of all sub - consultant
staff working on the project.
In submitting the Proposal, the prospective Consultant is representing that each person listed
or referenced in the Proposal shall be available to perform the services as described. The
project manager, principals, management, and other project team staff may be changed in
accordance with the requirements described in Appendix C - Substitution of Project Team
Members ".
Describe the experience and success of the project team members proposed for the
Dubuque project who have previously worked on similar projects together. Specifically list
any successful experiences designing parking facilities, terminal buildings, bus storage and
maintenance facilities, and rail platforms for municipalities similar to Dubuque.
Include at least three (3) client references (including individual contact names and telephone
numbers) for similar projects that have been completed by the firm in the last five (5) years.
List the names of individuals on the project team proposed for the Dubuque project who have
worked on the referenced projects.
Responding firms shall state in its proposal whether or not Disadvantaged Business
Enterprise (DBE) participation is anticipated and if so, at what level (e.g. contractor,
subcontractor, supplier, etc.). If no DBE participation is anticipated, then the appropriate DBE
forms found in Appendix E (Exhibit A and Exhibit B) must be filled out and submitted with the
response.
Page 10 of 52
Quality Assurance /Quality Control
As a part of the proposal, specifically describe the quality control process that will be used
throughout the project. List the amount of hours for each phase that will be dedicated to
QA /QC and describe how those hours will be spent. The City expects that the majority of the
QA /QC process will be performed by someone who is not an active member of the design
team.
Understanding of Final Contract Terms
The Proposer should provide a statement that indicates they have read and understand
Appendix C — "City of Dubuque Contract Terms and Conditions" and Appendix E — FTA
Regulations, and agree to include the clauses that are listed in Appendices C and E in the
final signed contract. Any exceptions to the Contract Terms and Conditions by the
Consultant must be clearly stated in their submitted Proposal.
Certificate of Insurance
The Consultant should provide a statement indicating that they are able to meet the City's
insurance requirements for professional services. (See attached Insurance Schedule C —
Appendix D.) Submittal of insurance documents as part of this RFQ is not required.
Proposed Project Schedule
Provide a project schedule for each proposed strategy. Outline the time durations and
estimated completion dates for each major component of the proposed scope of work. The
schedule should list all deliverables that are required throughout the project.
7.0 PROPOSAL QUESTIONS AND ANSWERS
If you have any questions concerning this request for qualifications, please submit your
requests to the City's designated Project Manager in writing. The City has used considerable
efforts to ensure an accurate representation of information in this RFQ. Each Proposer is
urged to conduct its own investigations into the material facts provided.
No answers given in response to questions submitted shall be binding upon this RFQ unless
released in writing (letter or email) as an officially numbered and titled addendum to the RFQ
by the City of Dubuque.
Any questions concerning this proposal must be received on or before 2:00 p.m. CDT on
April 9, 2012. Any inquiries received after this date will not be answered. When submitting a
question to the Project Manager, please include the appropriate firm contact information.
From the date of issuance of the RFQ until final City action, the Proposer shall not discuss
the RFQ with or contact any other City of Dubuque staff or any of the Selection Committee
members except as expressly authorized by the City's Project Manager identified in this
section (Section 7.0). Violation of this restriction will be considered a violation of the rules
and be grounds for disqualification of the Consultant's proposal.
Project Manager contact information is as follows:
Page 11 of 52
Aaron M. DeJong
Assistant Economic Development Director
50 W. 13th Street
Dubuque, Iowa 52001
Phone: 563.589.4393
Fax: 563.589.1733
Email: adejong @cityofdubuque.org
8.0 SUBMISSION REQUIREMENTS
Before submitting a proposal, each Consultant shall make all investigations and examinations
necessary to ascertain site conditions and requirements affecting the full performance of the
contract and to verify any representations made by the City upon which the Proposer will rely.
PROPOSAL SUBMITTAL INFORMATION
• Submittal Deadline: April 17, 2012 on or before 10:00 a.m. local time
• Submittal Location:
• Submittal Contact &
Mailing Address:
City of Dubuque
City Clerk's Office
50 West 13th Street
Dubuque, Iowa 52001 -4864
Kevin S. Firnstahl, City Clerk
City of Dubuque
50 West 13th Street
Dubuque, Iowa 52001 -4864
• Submittal Copies: Ten (10) sets of the proposal shall be provided.
Submit one (1) original signed proposal, nine (9) copies and also an electronic .pdf version,
all labeled Dubuque Intermodal Campus.
Submitted proposals must be in delivered in printed format with the exclusion of the one
required .pdf version. The .pdf version shall be submitted on a compact disk along with
proposal hardcopies. No faxed or e-mail proposals will be accepted.
The proposal must be a document of not more than fifteen (15) numbered 8 -1/2 x 11 -inch
pages, with the exception of the project schedule which may be presented in 11 x 17 -inch
format, and not including the letter of transmittal, index, dividers and the front and back
covers and the separately sealed cost proposal. Proposals should not include any pre-
printed or promotional materials. Any proposals exceeding 15 numbered pages will not
be considered.
Each addendum must be acknowledged in the Letter of Transmittal by providing the
addendum number and title. Failure to acknowledge each addendum will be considered
Page 12 of 52
grounds for possible disqualification. It is solely the Consultant's responsibility to ensure that
you have received all addendums to this RFQ before submitting the proposal.
The original proposal document shall be signed in blue ink by an officer of the Firm who is
authorized to legally bind the Proposer to its provisions. Proposals are to contain a statement
indicating the period during which the proposal will remain valid. A period of not less than
ninety (90) calendar days from the proposal closing date is required. Failure to comply with
the above requirements shall be considered grounds for possible disqualification.
Each Consultant assumes full responsibility for delivery and deposit of the completed
proposal package on or before the deadline. Any proposals received after the submittal
deadline will not be considered, and shall be returned unopened to the Proposer. The City of
Dubuque is not responsible for any loss or delay with respect to delivery of the proposals.
The City of Dubuque is not liable for any costs incurred by any Consultant prior to the
execution of an agreement or contract. Nor shall the City of Dubuque be liable for any costs
incurred by Firms that are not specified in any contract. All results from this project will
remain the property of the City of Dubuque.
Upon receiving this RFQ, we request that you complete the "Receipt of Proposal
Acknowledgement — "No Response Reply" information contained on the first page of this
document and return it to the City's Project Manager by mail or email so the City can ensure
that each Consultant received this Request for qualifications.
The City of Dubuque appreciates your time and consideration of this RFQ.
Sincerely,
Aaron M. DeJong
Assistant Economic Development Director
Page 13 of 52
Dubuque Intermodal Campus
City of Dubuque, Iowa
Consultant Professional Services
Request for Qualifications
March 19, 2012
Appendix A
Consultant Evaluation and Selection Process
Page 14 of 52
INITIAL EVALUATION CRITERIA
Proposals will be screened to ensure that they meet the minimum requirements of the
proposal format. A selection committee will review qualifying proposals and select Firms for
placement on the consultant short -list for the project. The following criteria are among those
that will be used to initially evaluate submitted proposals.
1. A high level of professional competence and a proven track record in the design of
intermodal transportation centers or similar projects:
a. Qualifications and experience of the Consultant and any sub - consultants.
b. Demonstration of the project teams and technical abilities.
c. If a joint venture with sub - consultants, the track record of the Consultants
experience working together.
d. Experience of the Consultant working on municipal projects.
e. Experience of the Consultant working on municipal projects in Iowa.
f. Overall success of past projects completed for the City of Dubuque.
2. Quality and completeness of the written proposal. The proposal should clearly
demonstrate understanding of the City's overall objectives for the Dubuque Intermodal
Campus.
3. Design approach /methodology in completing scope of services such as:
a. Grasp of project requirements and level of interest in the project.
b. Creativity and problem solving ability.
c. Ability of the Consultant team to demonstrate initiative, motivation, and
knowledge as an indication of their desire to work with the City of Dubuque.
d. Ability to demonstrate knowledge of the City of Dubuque.
4. Proposed schedule required to complete project.
CONSULTANT SHORT -LIST EVALUATION CRITERIA
A selection committee may choose to interview none, one or all of the short- listed Firms.
Both the original submitted proposal and the results of any Consultant interviews will be used
to select the final Consultant for the project. The following criteria are among those that will
be used to evaluate the Consultants on the short -list.
1. A high level of professional competence and a proven track record in the design of
intermodal transportation centers:
a. Qualifications and experience of the Consultant and any sub - consultants.
b. Demonstration of the project teams and technical abilities.
c. If a joint venture with sub - consultants, the track records of the Consultants
experience working together.
d. Experience of the Consultant working on municipal projects.
e. Experience of the Consultant working on municipal projects in Iowa.
f. Overall success of past projects completed for the City of Dubuque
g. Experience of the project team working with the public and other project
stakeholders in designing and constructing intermodal transportation center
designs.
Page 15 of 52
2. Quality and completeness of the written proposal. The proposal should clearly
demonstrate understanding of the City's overall objectives for the Dubuque Intermodal
Campus.
3. Design approach /methodology in completing scope of services such as:
a. Grasp of project requirements and level of interest in the project.
b. Creativity and problem solving ability.
c. Ability of the Consultant team to demonstrate initiative, motivation and
knowledge as an indication of their desire to work with the City of Dubuque.
d. Ability to demonstrate knowledge of the City of Dubuque.
4. Responsiveness and compatibility between the Consultant and City:
a. General attitude and ability to communicate.
b. Ability of the Consultant to maintain a high level of direct interaction and
communication with City staff.
c. Ability to listen, be flexible, and follow and /or implement direction and ideas or
concepts.
d. How the Consultant team interacts with the general public, City staff, and public
officials.
5. Proposed schedule required to complete project.
SELECTED CONSULTANT - FEE NEGOTIATION PROCESS
Upon the successful completion of the Consultant review process, the RFQ Selection
Committee will recommend to the City Manager or City Council awarding a contract to the
highest ranked Consultant. The Selection Committee will also request authority to negotiate
with the recommended Consultant a final scope of work and fee structure for the project.
If a contract satisfactory and advantageous to the City can be negotiated at a price
considered fair and reasonable, the award shall be made to that offeror. Otherwise,
negotiations with the offeror ranked first shall be formally terminated and negotiations
commenced with the Consultant ranked second, and so on until a contract can be negotiated
that is acceptable to the City.
Upon the successful completion of contract negotiations, the selection committee shall
recommend that the City Manager execute a contract with the successful Consultant. The
City Manager will in turn make a decision to execute the contract or request the Dubuque City
Council make a final determination to award and execute the contract with a Consultant.
Payment for Work: The Consultant awarded the contract shall be paid once monthly.
Page 16 of 52
Dubuque Intermodal Campus
City of Dubuque, Iowa
Consultant Professional Services
Request for Qualifications
March 19, 2012
Appendix B
RFQ Rules and Protest Procedure
MINOR IRREGULARITIES
The City reserves the right to waive minor irregularities in submitted proposals,
providing such action is in the best interest of the City. Minor irregularities are defined
as those that have no adverse effect on the City's best interests, and will not affect the
outcome of the selection process by giving the prospective Consultants an advantage or
benefit not enjoyed by other prospective Consultants.
EXCEPTIONS
Proposer exceptions to any part of the requirements stated in this request must be
clearly identified as exceptions and noted in the letter of transmittal and in the submitted
project cost estimate.
RANKING OF THE PROPOSALS
No debriefings or scoring information shall be released before the City Manager or City
Council has recommended that a contract be negotiated with the recommended Firm.
However, after authorization has been granted to negotiate a contract, all contents of
the submitted proposals shall become public information.
DEFINITIONS
The City has established for the purposes of this RFQ that the words "shall ", "must ", or
"will" are equivalent in this RFQ and indicate a mandatory requirement or condition, the
material deviation from which shall not be waived by the City. A deviation is material if,
in the City's sole discretion, the deficient response is not in substantial accord with this
RFQ's mandatory conditions requirements.
The words "should" or "may" are equivalent in this RFQ and indicate very desirable
conditions, or requirements but are permissive in nature. Deviation from, or omission
of, such a desirable condition or requirement will not in and of itself cause automatic
rejection of a proposal, but may result in being considered as not in the best interest of
the City.
DISPUTES /EXCEPTIONS
Any prospective Proposer who disputes the reasonableness or appropriateness of any
item within this RFQ document, any addendum to this RFQ document, notice of award
or notice of rejection shall set forth the specific reason and facts concerning the dispute,
in writing, within five (5) business days of the receipt of the proposal document or
notification from the City. The written dispute shall be sent via certified mail or delivered
in person to the point of contact set forth in Section 7.0, who shall review the written
dispute and work with the City Manager to render a decision which shall be considered
final.
Page 18 of 52
Dubuque Intermodal Campus
City of Dubuque, Iowa
Consultant Professional Services
Request for Qualifications
March 19, 2012
Appendix C
City of Dubuque Contract Terms and Conditions
Page 19 of 52
TERMS AND CONDITIONS
The following clauses shall be included in the final signed contract:
1. CONSULTANT'S ENDORSEMENT ON PLANS.
The Consultant shall endorse the completed computations prepared under this
Agreement, and shall affix thereto the seal of a licensed professional engineer, or
licensed professional architect, licensed to practice in the State of Iowa, in accordance
with the current Code of Iowa.
2. CHANGE IN SCOPE OF SERVICES.
No change in scope shall be permitted during this project without the prior written
agreement of both parties.
3. SUBSTITUTION OF PROJECT TEAM MEMBERS.
The Project Manager, partners, management, other supervisory staff and technical
specialists proposed for the project may be changed if those personnel leave the
Consultant. These personnel may also be changed for other reasons however, in
either case, the City retains the right to approve or reject the replacements and no
replacements shall begin working on the project without the express, prior written
permission of the City of Dubuque.
4. INSURANCE.
Consultant shall at all times during the performance of this Agreement provide
insurance as required by the attached Insurance Schedule.
5. INDEMNIFICATION.
To the fullest extent permitted by law, Consultant shall indemnify and hold harmless the
City its officers, agents, 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 Contract, provided that such claim, damages, loss or expense is
attributable to bodily injury, sickness, disease or death, or injury to or destruction of
property (other than the Project itself) including loss of use resulting therefrom, but only
to the extent caused in whole or in part by negligent acts or omissions of the
Consultant, Consultant's subcontractor, or anyone directly or indirectly employed by
Consultant or Consultant subcontractor or anyone for whose acts Consultant or
Consultant's subcontractor may be liable, regardless of whether or not such claim,
damage, loss or expense is caused in part by a party indemnified hereunder.
6. TERMINATION.
City may terminate this agreement, with or without cause, upon providing 14 days
written notice to the Consultant.
7. ERRORS & OMISSIONS.
In the event that the work product prepared by the Consultant is found to be in error
and revision or reworking the work product is necessary, the Consultant agrees that it
Page 20 of 52
shall do such revisions without expense to the City, even though final payment may
have been received. The Consultant must give immediate attention to these changes
so there will be a minimum of delay during construction. The above and foregoing is not
to be constructed as a limitation of the City's right to seek recovery of damages for
negligence on the part of the Consultant herein.
8. OWNERSHIP OF ENGINEERING DOCUMENTS.
All sketches, tracings, plans, specifications, reports on special studies and other data
prepared under this Agreement shall become the property of the City and shall be
delivered to the Project Manager upon completion of the plans or termination of the
services of the Consultant. There shall be no restriction or limitations on their future
use by the City, except any use on extensions of the project or on any other project
without written verification or adaptation by the Consultant for the specific purpose
intended will be the City's sole risk and without liability or legal exposure to the
Consultant.
The City acknowledges the Consultant's plans and specifications, including all
documents on electronic media, as instruments of professional service. Nevertheless,
the plans and specifications prepared under this Agreement shall become the property
of the City upon completion of the services and payment in full of all moneys due to the
Consultant.
The City and the Consultant agree that any electronic files prepared by either party
shall conform to the specifications listed in Attachment _ of the contract. Any change
to these specifications by either the City or the Consultant is subject to review and
acceptance by the other party. Additional efforts by the Consultant made necessary by
a change to the CADD software specifications shall be compensated for as Additional
Services.
The City is aware that significant differences may exist between the electronic files
delivered and the respective construction documents due to addenda, change orders or
other revisions. In the event of a conflict between the signed construction documents
prepared by the Consultant and electronic files, the signed construction documents
shall govern.
The City may reuse or make modifications to the plans and specifications, or electronic
files while agreeing to take responsibility for any claims arising from any modification or
unauthorized reuse of the plans and specifications.
9. SUBLETTING, ASSIGNMENT OR TRANSFER.
Subletting, assignment, or transfer of all or part of the interest of the Consultant in this
Agreement is prohibited unless written consent is obtained from the Engineer and
approved by the City.
Page 21 of 52
Dubuque Intermodal Campus
City of Dubuque, Iowa
Consultant Professional Services
Request for Qualifications
March 19, 2012
Appendix D
Insurance Requirements
Page 22 of 52
Insurance Schedule C
shall furnish a signed Certificate of Insurance to the City of Dubuque, Iowa
for the coverage required in Exhibit I prior to commencing work and at the end of the project if the
term of work is longer than 60 days Providers presenting annual certificates shall present a
Certificate at the end of each project with the final billing Each Certificate shall be prepared on
the most current ACORD form approved by the Iowa Department of Insurance or an equivalent
2. All policies of insurance required hereunder shall be with a carrier authorized to do business in
Iowa and all carriers shall have a rating of A or better in the current A M Best's Rating Guide
3. Each Certificate shall be furnished to the contracting department of the City of Dubuque
4. 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
5. Subcontractors and sub subcontractor performing work or service shall provide a Certificate of
Insurance in accord with Exhibit I
6. All required endorsements to various policies shall be attached to Certificate of insurance
7. Whenever a specific ISO form is listed, an equivalent form may be substituted subject to the
provider identifying and listing in writing all deviations and exclusions that differ from the ISO
form
8. Provider shall be required to carry the minimum coverage /limits, or greater if required by law or
other legal agreement, in Exhibit I
Page 23 of 52
Insurance Schedule C (continued)
Exhibit 1
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 $1,000,000
Fire Damage Limit (any one occurrence) $ 50,000
Medical Payments $ 5,000
a) Coverage shall be written on an occurrence, not claims made, form All deviations
from the standard ISO commercial general liability form CG 0001, or Business
owners form BP 0002, shall be clearly identified
b) Include ISO endorsement form CG 25 04 "Designated Location(s) General Aggregate
Limit" or CG 25 03 "Designated Construction Project (s) General Aggregate Limit" as
appropriate
c) Include endorsement indicating that coverage is primary and non - contributory
d) Include endorsement to preserve Governmental Immunity (Sample attached)
e) Include additional insured endorsement for
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
using ISO form CG 20 10 Ongoing operations
B) AUTOMOBILE LIABILITY $1,000,000 (Combined Single Limit)
C) WORKERS' COMPENSATION & EMPLOYERS LIABILITY
Coverage A
Coverage B
Statutory —State of Iowa
Employers Liability
Each Accident $100,000
Each Employee - Disease $100,000
Policy Limit - Disease $500,000
a) Policy shall include an endorsement providing a waiver of subrogation to the
City of Dubuque
b) Coverage B limits shall be greater if required by Umbrella Carrier
D) UMBRELLA LIABILITY $1,000,000
E) PROFESSIONAL LIABILITY $1,000,000
Page 24 of 52
Preservation of 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.
Page 25 of 52
Dubuque Intermodal Campus
City of Dubuque, Iowa
Consultant Professional Services
Request for Qualifications
March 19, 2012
Appendix E
FTA Regulations
Page 26 of 52
DEFINITIONS
• FTA means Federal Transit Administration
• RFQ means Request for Qualifications
• Recipient or Purchaser means the City of Dubuque d.b.a. The Jule
• Proposer or Contractor means firm responding to the RFQ
• FTA Master Agreement refers to the Federal Transit Administration Master Agreement that
contains the standard terms and conditions governing the administration of a Project supported
with Federal assistance awarded by the Federal Transit Administration (FTA) through a Grant
Agreement or Cooperative Agreement with the Recipient, or supported by FTA through at
Transportation Infrastructure Loan, Loan Guarantee, or Line of Credit with the Recipient. The
full text of the agreement can be found at http: / /ftateamweb.fta.dot.gov /statix /Agreements /2010-
16-MASTER.pdf
1. OVERALL FEDERAL REGULATION COMPLIANCE
FTA Circular 4220.1F
FTA Master Agreement §15.a
All contractual provisions requested by USDOT, as set forth in the FTA Circular 4200.1F, 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 Contractor shall not perform any act, fail to perform any act, or
refuse to comply with any Recipient requests which would cause the Recipient to be in violation
of the FTA and Iowa Department of Transportation (IA DOT) grant terms and conditions.
2. FLY AMERICA REQUIREMENTS
49 U.S.C. §40118
41 CFR Part 301.10
FTA Master Agreement §14.c
The Contractor agrees to comply with 49 U.S.C. 40118 (the "Fly America" Act) in accordance
with the General Services Administration's regulations at 41 CFR Part 301.10, which provide
that recipients and subrecipients of Federal funds and their contractors are required to use U.S.
Flag air carriers for U.S. Government - financed international air travel and transportation of their
personal effects or property, to the extent such service is available, unless travel by foreign air
carrier is a matter of necessity, as defined by the Fly America Act. The Contractor shall submit,
if a foreign air carrier was used, an appropriate certification of memorandum adequately
Page 27 of 52
explaining why service by a U.S. air carrier was not available or why it was necessary to use a
foreign air carrier and shall. in any event. provide a certification of compliance with the Fly
America requirements. The Contractor agrees to include the requirements of this section in all
subcontracts that may involve international air transportation.
3. ENERGY CONSERVATION REQUIREnMENTS
42 U.S.C. 6321 et seq.
49 CFR Part 18
FTA Master Agreement §26
The Contractor agrees to comply with applicable mandatory energy efficiency standards and
policies of applicable State energy conservation plans issued in accordance with the Energy
Policy and Conservation Act. as amended. 42 U.S.C. §§6321 et seq., except to the extent that the
Federal Government determines otherwise in writing. To the extent applicable. the Recipient
agrees to perform an energy assessment for any building constructed. reconstructed. or modified
with FTA assistance. as provided in FTA regulations. "Requirements for Energy Assessments."
49 C.F.R. Part 622. Subpart C.
The Contractor agrees to comply with mandatory standards and policies relating to energy
efficiency which are contained in the state energy conservation plan issued to compliance with
the Energy Policy and Conservation Act.
-4. CLEAN WATER REQUIREnMENTS
33 U.S.C. 1251
FTA Master Agreement §25.c
Except to the extent of Federal Government determines otherwise in writing. the Contractor
agrees to comply with all applicable Federal laws and regulations. and follow applicable Federal
directives implementing the Clean Water Act. as amended. 33 U.S.C. §§ 1251 through 1377.
Specifically:
(1) The Contractor agrees to protect underground sources of drinking water in compliance with
the Safe Drinking Water Act of 1974. as amended. 42 U.S.C. §§ 300fthough 300j -6.
(2) The Contractor agrees to comply with the notice of violating facility provisions of section
508 of the Clean Water Act. as amended. 33 U.S.C. §1368, and facilitate compliance with
Executive Order No. 11738. "Administration of the Clean Water Act and the Federal Water
Pollution Control Act with Respect to Federal Contracts. Grants. or Loans." 42 U.S.C. § 7606
note.
Page 28 of 52
5. LOBBYING
31 U.S.C. 1352
49 CFR Part 19
49 CFR Part 20
FTA Master Agreement §3.d
Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act
of 1995. 104 -65 [to be codified at 2 U.S.C. §1 1601, et seq.] — Contractors who apply or bid for
an award of $100.000 or more shall file the certification required by 49 CFR Part 20. New
Restrictions on Lobbying." 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 recipient.
The undersigned [Contractor] certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
an agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connections with the awarding of any Federal contract, the making of
any Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriate 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 LL. "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 (1/16/96). 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
Page 29 of 52
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 that $10.000 and not more than $100.000 for each such failure.
[Note: Pursuant to 31 U.S.C. § 1352 *(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 that $10.000 and not more than $100.000 for each such expenditure or
failure.]
6. ACCESS TO RECORDS AND REPORTS
49 U.S.C. 5325
18 CFR 18.36 (i)
49 CFR 633.17
FTA Master Agreement §15.t
The following access to records requirements apply to this Contract:
1. Where the Purchaser is not a State but a local government and is the FTA recipient or a
subgrantee of the FTA recipient in accordance with 49 C.F.R. 18.36(1), the Contractor agrees to
provide the Purchaser, the FTA Administrator, the Comptroller General of the United States or
any of their authorized representatives access to any books, documents, papers and records of the
Contractor which are directly pertinent to this contract for the purposes of making audits,
examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 CFR 633.17 to
provide the FTA Administrator or his /her authorized representatives including any PMO
Contractor access to Contractor's records and construction sites pertaining to a major capital
project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the
programs described at 49 U.S.C. 5307. 5309 or 5311.
2. Where the Purchaser is a State and is the FTA Recipient or a subgrantee of the FTA
Recipient in accordance with 49 C.F.R. 633.17. Contractor agrees to provide the Purchaser, the
FTA Administrator or his /her authorized representatives, including any PMO Contractor, access
to the Contractor's records and construction sites pertaining to a major capital project, defined at
49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs
described at 49 U.S.C. 5307. 5309 or 5311. By definition, a major capital project excludes
contracts of less than the simplified acquisition threshold currently set at $100.000.
3. Where the Purchaser enters into a negotiated contract for other than a small purchase or
under the simplified acquisition threshold and is an institution of higher education, a hospital or
other non- profit organization and is the FTA Recipient or a subgrantee of the FTA Recipient in
accordance with 49 U.S.C. 19.48. Contractor agrees to provide the Purchaser. FTA
Administrator, the Comptroller General of the United States or any of their duly authorized
representatives with access to any books, documents, papers and record of the Contractor which
are directly pertinent to this contract for the purposes of making audits, examinations, excerpts
and transcriptions.
Page 30 of 52
4. Where the Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in
accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement
(defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall
make available records related to the contract to the Purchaser, the Secretary of Transportation
and the Comptroller General or any authorized officer or employee or any of them for them
purposes of conduction an audit and inspection.
5. The Contractor agrees to permit any of the foregoing parties to reproduce by any means
whatsoever or to copy excerpts and transcriptions as reasonably needed.
6. The Contractor agrees to maintain all books, records, accounts and reports required under
this contract for a period of not less than three years after the date of termination or expiration of
this contract, except in the vent of litigation of settlement of claims arising from the performance
of this contract, in which case Contractor agrees to maintain same until the Purchaser, the FTA
Administrator, the Comptroller General, or any of their duly authorized representatives, have
disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR
18.39(i)(11).
7. FTA does not require the inclusion of these requirements in subcontracts.
7. FEDERAL CHANGES
49 CFR Part 18
FTA Master Agreement §2.c(1)
Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and
directives, including without limitation those listed directly or by reference in the Master
Agreement between Purchaser and FTA, as they may be amended or promulgated from time to
time during the term of this contract. Contractor's failure to so comply shall constitute a material
breach of this contract.
8. CLEAN AIR
42 U.S.C. 7401 et seq.
40 CFR 15.61
49 CFR Part 18
FTA Master Agreement §25.b
(1) The Contractor agrees to comply with all applicable standards, orders or regulations issued
pursuant to the Clean Air Act, as amended. 42 U.S.C. §§ 7401 et seq. The Contractor agrees to
report each violation to the Purchaser and understands and agrees that the Purchaser will, in turn,
report each violation as required to assure notification to FTA and the appropriate EPA Regional
Office.
Page 31 of 52
(2) The Contractor also agrees to include these requirements in each subcontract exceeding
$100.000 financed in whole or in part with Federal assistance provided by FTA.
9. NO GOVERNMENT OBLIGATIONS TO THIRD PARTIES
FTA Master Agreement §2.f
(1) The Purchaser and Contractor acknowledge and agree that, notwithstanding any
concurrence by the Federal Government in or approval of the solicitation or award of the
underlying contact, absent the express written consent by the Federal Government, the Federal
Government is not a party to this contract and shall not be subject to any obligations or liabilities
to the Purchaser. Contractor, or any other party (whether or not a party to the contract) pertaining
to any matter resulting from the underlying contract.
(2) The Contractor agrees to include the above clause in each subcontract financed in whole or
in part with Federal assistance provided by FTA. It is further agrees that the clause shall not be
modified, except to identify the subcontractor who will be subject to its provisions.
10. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND
RELATED ACTS
31 U.S.C. 3801 et seq.
49 CFR Part 31
18 U.S.C. 1001
49 U.S.C. 5307
FTA Master Agreement §3.f
THESE REQUIREMENTS ARE APPLICABLE TO ALL CONTRACTS.
(1) The Contractor 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 Contractor certifies or affirms the truthfulness and accuracy of any
statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying
contract or the FTA assisted project for which this contract work is being performed. In
additional to other penalties that may be applicable, the Contractor further acknowledges that if it
makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or
certification, the Federal Government reserves the right to impose the penalties of the Program
Fraud Civil Remedies Act of 1986 on the Contractor to the extent of the Federal Government
deems appropriate.
(2) The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious,
or fraudulent claim, statement, submission, or certification to the Federal Government under a
contract connected with a project that is financed whole or in part with Federal assistance
Page 32 of 52
originally awarded by FTA under the authority of 49 U.S.C. §5307, the Government reserves the
right to impose the penalties of 18 U.S.C. §1001 and 49 U.S.C. §5307(n)(1) on the Contractor, to
the extent the Federal Government deems appropriate.
(3) The Contractor agrees to include the above two clauses in each subcontract financed in
whole or in part with Federal assistance provided by FTA. It is further agreed to that the clauses
shall not be modified, except to identify the subcontractor who will be subject to the provisions.
11. TERn1INATION
49 U.S.C. Part 18
FTA Circular 4220.1E
FTA Master Agreement §11
a. Termination for Convenience: The Recipient may terminate this contract, in whole or in
part, at any time by written notice to the Contractor when it is in the Government's best interest.
The Contractor shall be paid its costs, including contract close -out costs, and profit on work
performed up to the time of termination. The Contractor shall promptly submit its termination
claim to Recipient to be paid the Contractor. If the Contractor has any property in its possession
belonging to the Recipient, the Contractor will account for the same, and dispose of it in the
manner the Recipient directs.
b. Termination for Default [Breach or Cause]: If the Contractor fails to perform in the manner
called from in the contract, or if the Contractor fails to comply with any other provisions of the
contract, the Recipient may terminate this contract for default. Termination shall be effected by
serving a notice of termination on the Contractor setting forth the manner in which the
Contractor is in default. The Contractor will only be paid the contract price for services
performed in accordance with the manner of performance set forth in the contract.
If it is later determined by the Recipient that the Contractor had an excusable reason for not
performing, such as a strike, fire, or flood, events which are not the fault of or are beyond the
control of the Contractor, the Recipient, after setting up a new delivery of performance schedule,
may allow the Contractor to continue work, or treat the termination as a termination for
convenience.
c. Opportunity to Cure: The Recipient in its sole discretion may, in the case of a termination
for breach or default, allow the Contractor ten (10) in which to cure the defect. In such case, the
notice of termination will state the time period in which cure is permitted and other appropriate
conditions.
If Contractor fails to remedy to the Recipient's satisfaction the breach or default of any of the
terms, covenants, or conditions of this Contract within ten (10) days after receipt by Contractor
of written notice from Recipient setting forth the nature of said breach or default. Recipient shall
have the right to terminate the contract without any further obligation to Contractor. Any such
Page 33 of 52
termination for default shall not in any way operate to preclude (Recipient) from also pursuing
all available remedies against Contractor and its sureties for said breach or default.
d. Waiver of Remedies for any Breach: In the event that the Recipient elects to waive its
remedies for any breach by Contractor of any covenant, term or condition of this contract, such
waiver by the Recipient shall not limit the Recipient's remedies for any succeeding breach of
that or of any other tern, covenant, or condition of this contract.
e. Termination for Convenience: The Recipient, by written notice, may terminate this
contract, in whole or in part, when it is in the Government's interest. If this contract is
terminated, the Recipient shall be liable only for payment under the payment provisions of this
contract for services rendered before the effective date of termination.
f. Termination for Default: If the Contractor fails to perform the services within the time
specified in this contract or any extension or if the Contractor fails to comply with any other
provisions of this contract, the Recipient may terminate this contract for default. The Recipient
shall terminate by delivering to the Contractor a Notice of Termination specifying the nature of
the default.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor
was not in default, the rights and obligations of the parties shall be the same as if the termination
had been issued for the convenience of the Recipient.
i. Termination for Convenience or Default (Architect and Engineering): The Recipient may
terminate this contract in whole or in part, for the Recipient's convenience or because of the
failure of the Contractor to fulfill the contract obligations. The Recipient shall terminate by
delivering to the Contractor a Notice of Termination specifying the nature, extent, and effective
date of the termination. Upon receipt of the notice, the Contractor shall (1) immediately
discontinue all services affected (unless the notice directs otherwise), and (2) deliver to the
Contracting Officer all data, drawings, specifications, reports, estimates, sunmmaries, and other
information and materials accumulated in the performing this contract, whether completed or in
process.
If the termination is for the convenience of the Recipient, the Contracting Officer shall make an
equitable adjustment in the contract price but shall allow no anticipated profit on unperformed
services.
If the termination is for failure of the Contractor to fulfill the contract obligations, the Recipient
may complete the work by contract or otherwise and the Contractor shall be liable for any
additional cost incurred by the Recipient.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor
was not in default, the rights and obligations of the parties shall be the same as if the termination
had been issued for the convenience of the Recipient.
Page 34 of 52
12. GOVERNMIENT -WIDE DEBARMENT AND SUSPENSION
(NONPROCUREn1ENT)
49 CFR Part 29
Executive Order 12549
Suspension and Debarment
This contract is a covered transaction for purposes of 49 CFR Part 29. As such, the proposer is
required to verify that none of the Contractor, its principles, as defined in 49 CFR 29.995, or
affiliates, as defined in 49 CFR 29.905, are excluded or disqualified as defined in 49 CFR 29.490
and 29.945.
The Contractor is required to comply with 49 CFR 29, Subpart C and must include the
requirement to comply with 49 CFR 29, Subpart C in any lower tier covered transaction it enters
into.
By signing and submitting its bid or proposal, the proposer certifies as follows:
The cert ification in this clause is a material representation of fact relied upon by the Recipient. If
it is later determined that the proposer knowingly rendered an erroneous certification, in addition
to remedies available to the Recipient, the Federal Government may pursuer available remedies,
including but not limited to suspension and /or debarment. The proposer agrees to comply with
the requirements of 49 CFR 29, Subpart C while this offer is valid and throughout the period of
any contract that may arise from this offer. The proposer further agrees to include a provision
requiring such compliance in its lower tier covered transactions.
13. CIVIVL RIGHT REOUIRn1ENTS
29 U.S.C. §§ 623. 42 U.S.C. § 2000
42 U.S.C. § 6102. 42 U.S.C. § 12112
42 U.S.C. § 12132. 49 U.S.C. § 5332
29 CCR Part 1630, 41 CFR Parts 60 et seq.
FTA blaster Agreement § 12
Nondiscrimination
(1) In accordance with Title VI of the Civil Rights Act, as amended. 42 U.S.C. § 2000d.
section 3030 of the Age Discrimination Act of 1975, as amended. 42 U.S.C. § 6102, section 202
of the Americans with Disabilities Act of 1990. 42 U.S.C. § 12132, and Federal transit law at 49
U.S.C. § 5332, the Contractor agrees that it will not discriminate against any employee or
applicant for employment because of race, color, creed, national origin, sex. Age, or disability. In
addition, the Contractor agrees to comply with applicable Federal implementing regulations and
other implementing requirements FTA may issue.
Page 35 of 52
(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 Contractor
agrees to comply with all applicable equal employment opportunity requirements of U.S.
Department of Labor (U.S. DOL) regulations. "Office of Federal Contract Compliance
Programs, Equal Employment Opportunity. Department of Labor." 41 CFR Parts 60 et seq..
(which implement Executive Order No. 11246. "Equal Employment Opportunity." as amended
by Executive Order No. 11375. "_mending Executive Order No. 11246 Relating to Equal
Employment Opportunity." 42 U.S.C. § 2000w note), and with any applicable Federal statutes,
executive orders, regulations, and Federal policies that may in the future affect construction
activities undertaken in the course of the Project. The Contractor agrees to take affirmative
action to ensure that applicants are employed, and that employees are treated during
employment, without regard to their race, color, creed, national origin, sex, or age. Such action
shall include, but not be limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination: rates of pay or other forms of
compensation: and selection for training, including apprenticeship. In addition, the Contractor
agrees to comply with any implementing requirements FTA may issue.
(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 Contractor agrees
to refrain from discrimination against present and prospective employees for reason of age. In
addition, the Contractor agrees to comply with any implementing requirements FTA may issue.
(c ) Disabilities — In accordance with section 102 of the Americans with Disabilities Act, as
amended. 42 U.S.C. § 12112, the Contractor agrees that it will comply with the requirements of
U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal
Employment Provisions of the Americans with Disabilities Act." 29 CFR Part 1630, pertaining
to employment of persons with disabilities. In addition, the Contractor agrees to comply with any
implementing requirements FTA may issue.
(3) The Contractor also agrees to include these requirements in each subcontract financed in
whole and in part with Federal assistance provided by FTA, modified only if necessary to
identify the affected parties.
1-4. BREACHES AND DISPUTE RESOLUTION
49 CFR Part 18
FTA Circular 4220.1E
FTA Mast Agreement § 52
Dispute — Disputes arising in the performance of this Contract with are not resolved by
agreement of the parties shall be decided in writing by the authorized representative of the
Recipient. This decision shall be final and conclusive unless within ten (10) days from the date
of receipt of its copy. the Contractor mails or otherwise furnishes a written appeal to the
Page 36 of 52
Recipient. In connection with any such appeal, the Contractor shall be afforded an opportunity to
be heard and to offer evidence in support of its position. The decision of the Recipient shall be
binding upon the Contractor and the Contractor shall abide the decision.
Performance During Dispute — Unless otherwise directed by the Recipient. Contractor shall
continue performance under this Contract while matters in dispute are being resolved.
Claims for Damages — Should either party to the Contract suffer injury or damage to person or
property because of any act or omission of the party or of any of his /her employees, agents or
others for whose acts he /she is legally liable, a claim for damages therefore shall be made in
writing to such other party within a reasonable time after the first observance of such injury or
damage.
Remedies — Unless this contract provides otherwise, all claims, counterclaims, disputes and other
matters in question between the Recipient and the Contractor arising out of or relating to this
agreement or its breach will be decided by arbitration if the parties mutually agree, or in a court
of competent jurisdiction within the State in which the Recipient is located.
Rights and Remedies — The duties and obligations imposed by the Contract Documents and the
rights and remedies available thereunder shall be in additional to and not a limitation of any
duties, obligations, rights and remedies otherwise imposed or available by law. No action or
failure to act by the Recipient or Architect /Engineer shall constitute a waiver of any right or duty
afforded any of them under the Contract, nor shall any such action or failure to act constitute an
approval of or acquiescence in any breach thereunder, except as may be specifically agreed in
writing.
15. DISADVANTAGED BUSINESS ENTERPRISE (DBE)
49 CFR Part 26
FTA Master Agreement § 12.d
a. This Contract is subject to the requirements of Title 49. Code of Federal Regulations, Part
26. Participation by Dnsachuntagecl Business Enterprises in Department ofTransportation
Financial Assistance Programs. The goal for participation of Disadvantaged Business
Enterprises (DBE) for this procurement is 6.6 °0
b. The Contractor shall not discriminate on the basis of race, color, creed, national origin or
sex in the performance of this Contract. The Contractor shall carry out applicable requirements
of 49 CFR Part 26 in the award and administration of this DOT - assisted contract. Failure by the
Contractor to carry out these requirements is a material breach of this contract, which may result
in the termination of this contract or such other remedy as the Recipient deems appropriate. Each
subcontract the Contractor signs with a subcontractor must include the assurance in this
paragraph (see 49 CFR 26.13(b)).
Page 37 of 52
c. Proposers are required to document sufficient DBE participation to meet these goals or.
alternatively. document adequate good faith efforts to do so. as provided for in 49 CFR 26.53.
Award of this contract is conditioned on submission of the following prior to contract award:
1. The names and addresses of DBE firms that will participated in this contract
2. A description of the work each DBE will perform:
3. The dollar amount of the part icipation of each DBE firm participating:
4. Written documentation of the proposer's commitment to use a DBE subcontractor whose
participation it submits to meet the contract goal:
5. Written confirmation from the DBE that it is participating in the contract as provided in the
prince contractor's commitment: or
6. If the contract goal is not met. evidence of good faith efforts to do so.
7. Recipient is authorized to make the determination that Contractor has made a good faith
effort (GFE) to achieve the required DBE participation. The Contractor can demonstrate that it
has made a good faith effort in meeting the assigned 6.6° o.
a. Show evidence that it has met the DBE participation by submitting in writing all
requirements in Section c (1 -5) above.
b. Documents that it made good faith efforts to meet the DBE participation goal. even
though it did not succeed in achieving it. In this case. the Contractor must submit the
Certificate of Good Faith Efforts (GFE) (Exhibit A) and all relevant documentation to
the Recipient for a GFE determination with its bid submittal.
8. The efforts employed by the contractor should be those that one could reasonable expect a
contractor to take if the contractor were actively and aggressively trying to obtain DBE
participation sufficient to meet the DBE concession goal. Mere pro forma efforts are not good
faith efforts to meet the DBE contract requirements. (49 CFR § 26.53 and Appendix A to 49
CFR Part 26 provides guidance regarding GFE).
9. In the event that the Recipient determines that the contractor has failed to meet the DBE
requirements. contractor is entitled to appeal this determination by submitting a written request
(Exhibit B). The provisions of 49 CFR § 26.53(d) apply to such an appeal. A request for
administrative reconsideration must be sent within three (3) calendar days of receiving written
notice from the Recipient of the failure to meet the GFE requirement. The request should be sent
to:
Aaron DeJong, Project Manager
City of Dubuque
50 West 13th Street
Dubuque. IA 52001 -4864
Page 38 of 52
with a copy to:
Barbara Morck, DBE Liaison Officer
The Jule. City of Dubuque
2401 Central Avenue
Dubuque, IA 52001
The Recipient and the DBE Liaison Officer will work jointly to reconsider the DBE waiver
determination.
10. Proposers must present the information required above prior to contract award (see 49 CFR
26.53(3)).
d. The successful proposer will be required to report its DBE participation obtained through
race - neutral means throughout the period of performance.
e. The Contractor is required to pay its subcontractors performing work related to this contract
for satisfactory performance of that work no later than ten (10) days after the Contractor's receipt
of payment for that work from the Recipient. In addition, the Contractor is required to return any
retainage payments to those subcontractors within thirty (30) days after the subcontractor's work
related to this contract is satisfactorily completed.
f. The Contractor must promptly notify the Recipient whenever a DBE subcontractor
performing work related to this contract is terminated or fails to complete its work, and must
make good faith efforts to engage another DBE subcontractor to perform at least the same
amount of work. The Contractor may not terminate any DBE subcontractor and perform that
work through its own forces or those of an affiliate without prior written consent of the
Recipient.
16. AnMERICANS WITH DISABILITIES ACT OF 1990 REQUIREMENTS
FTA Master Agreement § 12.g
The Contractor agrees to comply with 49 U.S.C. § 5301(d), which states the Federal policy that
elderly individuals and individuals with disabilities have the same right as other individuals to
use public transportation services and facilities, and that special efforts shall be made in planning
and designing those services and facilities to implement transportation accessibility rights for
elderly individuals and individuals with disabilities. The Contractor also agrees to comply with
all applicable provisions of section 504 of the Rehabilitation Act of 1973, as amended. 29 U.S.C.
§ 794, which prohibits discrimination on the basis of disability in the administration of programs
of activities receiving Federal financial assistance: with the American with Disabilities Act of
1990 (ADA), as amended. 42 U.S.C. §§ 12101 et seq., which requires that accessible facilities
and services be made available to individuals with disabilities: with the Architectural Barriers
Act of 1968, as amended. 42 U.S.C. §§ 4151 et seq., which requires that buildings and public
accommodations be accessible to individuals with disabilities: and with other laws and
amendments thereto pertaining to access for individuals with disabilities that may be applicable.
Page 39 of 52
In addition, the Recipient agrees to comply with applicable implementing Federal regulations
and any later amendments thereto, and agrees to follow applicable Federal implementing
directives, except to the extent FTA approves otherwise in writing. Among those regulations and
directives are:
(1) U.S. DOT regulations. "Transportation Services for Individuals with Disabilities (ADA). 49
CFR 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 CFR Part 27:
(3) Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB /U.S.
DOT regulations. "Americans with Disabilities (ADA) Accessibility Specifications for
Transportation Vehicles." 36 CFR Part 1192 and 49 CFR Part 38:
(4) U.S. DOJ regulations. "Nondiscrimination on the Basis of Disability in State and Local
Government Services." 28 CFR Part 35:
(5) U.S. DOJ regulations. "Nondiscrimination on the Basis of Disability by Public
Accommodations and in Commercial Facilities." 28 CFR Part 36:
(6) U.S. General Services Administration (U.S. GSA) regulations. "Accommodations for the
Physically Handicapped." 41 CFR Subpart 101 -19:
(7) U.S. EEOC. "Regulations to Implement the Equal Employment Provisions of the
Americans with Disabilities Act." 29 CFR Part 1630:
(8) U.S. Federal Communications Commission regulations. "Telecommunications Relay
Services and Related Customer Premises Equipment for the Hearing and Speech Disabled." 47
CFR Part 64, Subpart F:
(9) U.S. ATBCB regulations. "Electronic and Information Technology Accessibility
Standards." 26 CFR Part 1194:
(10) FTA regulations. "Transportation for Elderly and Handicapped Persons." 49 CFR Part 609:
and
(11) Federal civil rights and nondiscrimination directives implementing the foregoing Federal
laws and regulations, except to the extent the Federal Government determines otherwise in
writing.
17. SEISnMIC SAFETY REQUIREnMENTS
42 U.S.C. 7701 et seq.
49 CFR Part 41
FTA Master Agreement § 23.e
Page 40 of 52
The Contractor agrees that any new building or addition to an existing building will be designed
and constructed in accordance with the standards for Seismic Safety required in Department of
Transportation Seismic Safety Regulations 49 CFR Part 41 and will certify to compliance to the
extent required by the regulation. The Contractor also agrees to ensure that all work performed
under this contract including work performed by a subcontractor is in compliance with the
standards required by the Seismic Safety Regulations and the certification of compliance issued
on the project.
18. ACCESS REQUIREnMENTS FOR PERSONS WITH DISABILITES
The Contractor agrees to comply with the following requirements:
a) 49 U.S.C. 5301(d), which states the federal policy that elderly persons and persons
with disabilities have the same right as other persons to use mass transportation
service and facilities, and that special efforts shall be made in planning and designing
those services and facilities to implement that policy.
b) Section 504 of the Rehabilitation Act of 1973, as amended. 29 U.S.C. 794, which
prohibits discrimination on the basis of handicaps, with the Americans with
Disabilities Act of 1990 (ADA), as amended. 42 U.S.C. 12101 which requires that
accessible facilities and services be made available to persons with disabilities,
including any subsequent amendments to that Act, and with the Architectural Barriers
Act of 1968, as amended. 42 U.S.C. 4151 which requires that buildings and public
accommodations be accessible to persons with disabilities, including any subsequent
amendments to that Act.
c) And any subsequent amendments thereto:
I. U.S. DOT regulations. "Transportation Services for Individuals with
Disabilities (ADA)." 49 CFR Part 37:
IL U.S. DOT regulations. "Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefiting from Federal Financial
Assistance." 49 CFR Part 27:
III. Joint U.S. Architectural and Transportation Barriers Compliance Board
(U.S. ATBCB) /U.S. DOT regulations. "_americans with Disabilities (ADA)
Accessibility Specifications for Transportation Vehicles." 36 CFR Part 1192
and 49 CCR Part 38:
IV. U.S. DOJ regulations. "Nondiscrimination on the Basis of Disability in State
and Local Government Services." 28 CFR Part 35:
Page 41 of 52
V. U.S. DOJ regulations. "Nondiscrimination on the Basis of Disability by
Public Accommodations and in Commercial Facilities." 28 CFR 36:
VI. U.S. General Services Administration (U.S. GSA) regulations.
"Accommodations for the Physically Handicapped." 41 CFR Subpart 101-
19:
VII. U.S. Equal Employment Opportunity Commission, 'Regulations to
Implement the Equal Employment Provisions of the Americans with
Disabilities Act." 29 CFR 1630:
VIII. U.S. Federal Communications Commission regulations.
"Telecommunications Relay Services and Related Customer Premises
Equipment for the Hearing and Speech Disabled." 47 CFR Part 64, Subpart
F: and
IN. U.S. ATBCB regulations. "Electronic and Information Technology
Accessibility Standards." 36 CFR Part 1194: and
N. FTA regulations. "Transportation for Elderly and Handicapped Persons." 49
CFR Part 609: Any implementing requirements FTA may issues.
NI. Federal civil rights and nondiscrimination directives implementing the
foregoing Federal laws and regulations, except to the extent the Federal
Government determines otherwise in writing.
THESE CERTIFICATIONS MUST BE SIGNED AND INCLUDED IN YOUR
PROPOSAL.
Page 42 of 52
FEDERAL TRANSIT ADMINSTRATION REQUIRED
CERTIFICATIONS AND ASSURANCES
Instructions
Step # 1; Read through each of the Certifications and Assurances required for capital projects.
Step # 2: Initial each of the Certifications and Assurances in the table below indicating you have
read and understand each one.
Step # 3: Submit the initialed Certifications and Assurances included with the RFQ with your
completed proposal packet.
IT IS CRITICAL THAT THE PROPOSOR PROPERLY INITIAL EACH
CERTIFICATION AND SIGN THE SIGNATURE PAGE ON THE NEXT PAGE.
FAILURE TO DO SO WILL DISQUALIFY THE PROPOSER.
Certification/
Assurance
Title
Please initial
each
Certification
1
OVERALL FEDERAL REGULATION COMPLIANCE
2
FLY AMERICA REQUIREMENTS
3
ENERGY CONSERVATION REQUIREMENTS
4
CLEAN WATER REQUIREMENTS
5
LOBBYING
6
ACCESS TO RECORDS AND REPORTS
7
FEDERAL CHANGES
8
CLEAN AIR
9
NO GOVERNMENT OBLIGATIONS TO THIRD
PARTIES
10
PROGRAM FRAUD AND FALSE OR FRAUDULENT
STATEMENTS AND RELATED ACT
11
TERMINATION
12
GOVERNMENT -WIDE DEBARMENT AND
SUSPENSION (NONPROCUREMENT)
13
CIVIL RIGHTS REQUIREMENTS
14
BREACHES AND DISPUTE RESOLUTION
15
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
16
AMERICANS WITH DISABILITIES ACT OF 1990
REQUIREMENTS
17
SEISMIC SAFETY REQUIREMENT
18
ACCESS REQUIREMENTS FOR PERSONS WITH
DISABILITIES
Page 43 of 52
Chief Executive or Administrative Officer Statement
The undersigned chief executive or administrative officer hereby certifies that the proposer has
read and understands the Certifications and Assurances initialed in the table above and further
assures that. as a condition to submitting this proposal. the proposer will comply with the
requirements as specified in the applicable attached Certifications and Assurances in
implementing and managing the contract.
The person whose signature appears below is authorized to sign this assurance on behalf of the
proposer or recipient.
Proposer:
Signature of Chief or Administrative Officer:
Printed Name:
Date:
Page 44 of 52
DISADVANTANGED BUSINESS ENTERPRISE - EXHIBT A
This form will be filled out in the event that the project's assigned DBE goal of 6.6% cannot be
met by the most qualified firm as selected through the evaluation process.
Page 45 of 52
Exhibit A
CERTIFICATE OF GOOD -FAITH EFFORTS (GFE)
The intent of this certification is to document the good faith efforts implemented by the apparent
successful concessionaire in soliciting and utilizing DBE firths to meet DBE participation
requirements. This certification will assist the Recipient in determining whether the apparent
successful consultant has implemented comprehensive good faith efforts. Failure to implement
"good faith- efforts to the satisfaction of the Recipient could result in the rejection of the
proposal.
I.
representative of
do hereby acknowledge that I am the authorized
and am submitting this good
faith effort certificate to document efforts undertaken by our firm to meet the assigned DBE goal.
RFQ No
RFQ Title
Total Contract Amount
DBE Percentage-
Goal
DBE Percentage -
Pledged
I. Provide a brief summary on why you believe your firm is unable to meet the DBE
participation goals on this project (attach additional pages if necessary):
II. I hereby certify that I have utilized comprehensive "good faith' efforts to solicit and utilize
DBE firms to meet the DBE participation requirements of this contract proposal, as demonstrated
by my responses to the following questions:
A. Identify Work Items for DBE Participation:
Consultants are encouraged to select portions of work to be performed by DBEs in a manner
which will increase the likelihood of meeting the DBE goals. In selecting work to be performed,
consultant will consider, where appropriate, direct opportunities for participation by DBEs.
Consultant can also meet the goal by purchasing goods and supplies from suppliers of goods and
certified as DBE firms.
Page 46 of 52
1. Which portion(s) or section(s) of the contract proposal, in terms of the nature of the work,
were selected for direct participation by DBEs.
2. What efforts were undertaken to purchase goods and services from certified DBE firms?
Were any efforts made to break down the purchasing contract into economically feasible units to
facilitate DBE participation?
Page 47 of 52
B. Notifying DBE Firms of Contracting Opportunities
1. In the table below, indicate all firms (DBEs and non DBEs) which received written
notification of the participation opportunities on the contract. In the appropriate
space, also indicate when fines received subsequent telephone solicitations. Please
attach additional page(s) so that all companies contacted are listed. (Attach
photocopies of all written solicitations to DBE fines to this certificate.)
Company Contacted
Date of Written
Notification
DBE (Yes/No)
Date of Follow -up
Telephone Call
2. Identify publications in which announcements or notifications were placed and published, if
any. (Attach copies of proof of each announcement or notification.)
Published Announcement/ Name of Publication
Date
Page 48 of 52
3. Identify DBE associations or organizations that received written notifications. including
dates of all notifications. Provide name of person and date of follow -up call. If no follow -up calls
made. explain why not. (Attach copies of letter sent as proof of notification.)
DBE
Assoc canons /Organizations
Contacted
Date of Notification
Contact Person
Date of Follow -up
Telephone Call
4. Was the Recipient contracted to assist in the recruitment of DBE fines?
Yes No
Contact was made by: telephone
Date contacted:
C. Providing Assistance to DBE fines:
written correspondence
Person contacted:
1. Explain any efforts undertaken to provide DBE fines with adequate information
about the contracting opportunities and contractual requirements:
2. Describe any efforts undertaken to assist interested DBE firms in obtaining lines of
credit or insurance required by the Recipient or Consultant:
3. Describe any other efforts initiated to provide special assistance to DBE firms
interested in participating on the contract:
Page 49 of 52
D. Soliciting Proposals from Interested DBE Firms
Consultants must solicit proposals in good faith with interested DBE firms. Proposals from
interested DBE firms must not be rejected by consultant without sound justification.
1. Indicate in the table below which DBE firms submitted proposals. Also. provide a brief
explanation of why any of these DBE proposals were rejected. Please attach additional page(s) if
necessary.
Name /Address /Contact Person of DBE Firm
Opportunity Offered and Reason for Rejection
E. Other evidence and documentation you want the Recipient to consider:
NOTE: The information requested as set forth above is the minimum information required by the
Recipient. Consultant may be asked to submit additional information on certain other actions
taken to secure DBE participation in an effort to meet the goals.
Page 50 of 52
DISADVANTAGED BUSINESS ENTERPRISE - EXHIBIT B
This form will be filled out if the Good Faith Efforts (GFE) Waiver included in Exhibit B is
denied and there is an appeal to that denial.
Page 51 of 52
Exhibit B
GOOD -FAITH EFFORTS WAIVER DENIAL
Request for Administrative Hearing
Your request for a good -faith efforts' waiver has been denied, and you are entitled to request an
administrative hearing to appeal that denial. If you wish to have such a hearing, please sign this
form and return it to the office of the City's Program Manager by 2:00 PM on Monday April 30,
2012.
A faxed request may be sent to 563 - 589 -1733.
At the administrative review, a hearing officer(s) will hear your argument why the waiver should
be granted. The evidence he or she reviews will be the entire DBE participation file you
submitted to the contracting officer. The hearing officer(s), at his or her discretion, may receive
additional evidence, but any such evidence not previously submitted with your bid and
participation forms, must be submitted to the Recipient at the same time you file your request for
hearing. No further evidence will be received or considered if it was not submitted with this
hearing request. Documents already submitted in connection with the original good -faith waiver
request need not be submitted.
A hearing will be held within three (3) working days following the receipt of your hearing
request. You will be notified promptly of the time and place of the hearing and the identity of the
hearing officer(s), who may be an individual(s) not directly involved in the original good -faith
waiver denial. Because of the need to promptly resolve this matter and proceed with the award of
the contract, the hearing will be granted only upon a showing of substantial cause. Your failure
to appear at the hearing constitutes a withdrawal of your request.
THE UDNERSIGNED, AN AUTHORIZED REPRESENTATIVE OF
, HEREWITH REQUESTS AN ADMINSTRATIVE
HEARING TO APPEAL THE DENIAL OF THE COMPANY'S GOOD -FAITH
EFFORTS WAIVER REQUEST.
SIGNATURE:
TITLE:
DATE:
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