Transit Mgr. & RFPs for Mgmt
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MEMORANDUM
November 29, 2005
TO:
The Honorable Mayor and City Council Members
FROM:
Michael C. Van Milligen, City Manager
SUBJECT: Transit Manager
Transit Manager Mark Munson resigned his position with the City effective
November 16, 2005, and assumed his new duties as the RTA Transit Director at ECIA.
Whenever key personnel leave the City's employment, there is an opportunity and a
responsibility to evaluate how to best meet the City's needs.
Economic Development Director Dave Heiar recommends City Council approval to
simultaneously issue an RFP to consider contracting with a private management firm,
similar to the Five Flags model, and solicit applications for a full-time City employee as
the manager, as is the current arrangement. When the applications and RFP's arrive,
staff can better compare and evaluate the options and can determine the qualifications
of the applicants for this very specialized position. It is estimated that it will take four to
five months for either option, and pursuing both options simultaneously would be the
most efficient.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
(Yd rr:;,JJJL
Michael C. Van Milligen ~
MCVM/jh
Attachment
cc: Barry Lindahl, Corporation Counsel
Cindy Steinhauser, Assistant City Manager
David J. Heiar, Economic Development Director
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MEMORANDUM
November 29, 2005
TO: Michael Van Milligen, City Manager
FROM: David J. Heiar, Economic Development DirectorGJ~'
SUBJECT: Transit Manager
BACKGROUND
Transit Manager Mark Munson resigned his position with the City effective November
16,2005. Munson assumed his new duties as the RTA Transit Director for Dubuque,
Jackson and Delaware Counties on November 21. Before his departure, Mark prepared
a transition plan outlining some of the ongoing projects or unresolved issues (copy
attached). At this time, Karen Sisler, the Transit Operations Supervisor, will be in charge
of the day to day operations. Tim Horsfield, Parking Director, has agreed to assist with
the coordination of some of the capital projects, and I will also take a more active role in
some of the capital incentive projects. Karen and I are scheduled to meet weekly to
provide an opportunity to discuss the ongoing operations and any issues or concerns
that may arise. Our initial analysis has raised concerns about staffing costs associated
with the Mini Bus services.
I should make you aware that two other key transit employees (Karen Sisler and Connie
Booth) are nearing retirement. Both have indicated a desire to retire in January 2007.
ALTERNATIVES
Whenever key personnel leave the City's employment there is an opportunity and a
responsibility to evaluate how to best meet the needs of our citizens. As I reviewed this
specific scenario, I identified four potential ways to address this management void. The
options are,
1. Contract with ECIA for transit management (combine RTAlCity Transit)
2. Combine the Parking and Transit Departments
3. Contract with a management firm
4. Advertise for a Transit Director
Each of these options has potential merit. After meeting with Kelley Deutemeyer, ECIA
Director, and Mark Munson, we are all in agreement that the timing is not right to
consider a joint venture between the City and the RTA. Mark needs to get a real handle
on the RT A before they could consider adding any more responsibilities. We are two or
three years away from seriously considering this option.
After meeting with Randy Peck and Tim Horsfield, I am not sure there is anything to be
gained by combining the Parking and Transit Departments. We would still have to hire
an additional employee to oversee the combined departments. Initially I anticipated that
this approach might save the City some money, but that probably would not happen if
we hire a new director.
Hiring a management firm would provide the City with additional transit expertise. With
this approach, the City would contract with a firm that specializes in transit issues. The
local manager would have a network of colleagues who work for the same agency who
can assist with their expertise when needed. The management firm would have broad
based transit experiences from other communities that can be helpful in dealing with
local transit concerns, including software, federal and state funding and equipment
purchases. In fact, some of these firms also provide their clients with corporate
purchase discounts and extra support staff to aid their local manager. Part of this
contract would include a monthly financial analysis of ridership and fees as they relate
to our operating budget. The City of Davenport contracts with a management firm and is
very happy with their current contract. One potential downside to this approach might be
a higher initial cost. Hopefully, some or all of this cost would be offset by efficiencies
and discounts.
The other option is that the City would advertise and hire our own transit manager. With
the right applicant, this could be a good option. My concern is that this is a very
specialized field that requires knowledge and expertise about federal regulations and
funding. There may not be a very large pool of qualified candidates. However, we won't
know that without advertising for the position.
RECOMMENDATION
Based on my discussion and observations, I am recommending a somewhat unusual
approach to filling this management void. In the essence of time, I would like to pursue
options 3 and 4 simultaneously. We could advertise for a transit director and solicit
RFP's for a management firm. When the applications and RFP's arrive we can better
compare and evaluate our options. It will take four to five months for either process. If
we pursue one option and we are not satisfied with the results, it will take another four
to five months to pursue another alternative. Due to the number of ongoing projects,
other staffing needs, and budgetary issues the City cannot afford to spend an entire
year in this process.
ACTION STEP
The action requested is that the City Manager authorize advertising for a Transit
Director, that the City Council authorize requests for Transit Management RFP's and
that both processes would occur simultaneously. A copy of the proposed RFP format
and time frame is attached.
F:\USERS\Dheiar\Memos to MVM\Councilltems\Transit Manager.doc
"
Transit Division
Transitional Plan
(Revised 11/08/2005)
Submitted by Mark Munson
Capital Improvement Proiects
Intermodal Facility - $1.1 million programmed in local budget for 20% local
match in FFY 2006. Unless something surprising comes out of appropriations,
the 80% federal match will not be approved. The remaining $11 million for the
construction of the project is being programmed in local budget for 20% in FFY
2009. The project needs to be included in the federal priorities document created
by the Iowa Public Transit Association. If ECIA is interim managing KeyLine grant
matters, they should make sure to provide IPTA with any information regarding
their FFY 2007 capital needs when requested in late November early December.
In February Harkin and Grassley's office begin requesting transit systems with
special facility earmark request submit project questionnaire forms. These forms
vary from year to year and the IPTA federal consultant usually sends out the
latest form to the individual systems with known facility earmark requests for
completion and return. In December /January Iowa DOT will be sending out their
FY 2007 consolidated grant applications (posted on the Iowa transit website). All
projects to be included in the grant application request need a public hearing.
Generally a public hearing should take place in March or April. The consolidated
grant application for FY 2007 is due April 30th,
Passenger Boarding -In 2001 KeyLine received an earmark grant of $123,044
for constructing passenger boarding structures along the trolley route and fixed
route. An architect was originally hired but later discontinued after plans for the
boarding shelter in the Port were revised by City Manager and Council. The cost
of the architect left $116,208 in federal funds in the grant. A specialty shelter was
also procured a year ago and installed reducing the available balance to
$112,556. After completing various design reviews for the Port of Dubuque and
Historic Preservation, a design spec was finalized for the specialty shelters to be
used along the trolley route. Two general design specs were created for the fixed
route and a list of 15 proposed shelter sites was created. An RFP was conducted
and awarded to Brasco in the amount of $39,670. The shelters have been
ordered but will not be delivered until sometime in February 2006. A price quote
will be necessary to get a price for installing the shelters. After the expense for
the Brasco award and installations are deducted, there remains a balance of
$69,980 in federal (80/20) funds. The balance of funds in this grant are intended
to fund the garage plumbing and could also fund the exterior window projects
that will total approximately $50,000.
. Iowa DOT suggests sending the City's new Project Manager (when they're
hired) to a training course on Third Party Contracting. The courses are put
on by the National Training Institute. The next course is in St. Louis on
1
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January 17-19, 2006. Participants can register online at
www.NTlonline.com. NTI classes are free to FTA recipients. 50% of travel
and lodging costs are also covered. If interested, someone should register
for the NTI course and send a fellowship application to Lynn Zoon at lOOT
for the 50% lOOT reimbursement. Karen has fellowship applications.
. Mark has sent memo to Iowa DOT recommending the distribution of the
passenger boarding grant funds to fund the plumbing project.
Garage Plumbing - Transit garage has (3) fire service risers that require
backflow preventers. Price quotes from (3) plumbing contractors reveals the
project costs will be around $12,000.
Transit garage also has sanitary and storm water drain issues that may run as
much as $25,000 or more. Mr. Rooter had mapped out the drain system and I
have prepared a specification document.
KeyLine has $69,980 balance of funds in a federal grant that came from a 2001
earmark IA-03-0094. Because the funding is an earmark, the DOT has allowed
us latitude in selecting projects to fund. I have drafted a letter to the DOT
summarizing the history of the grant, prior draw downs, balances and
recommendations to apply remaining funds towards the transit garage plumbing
issues. Because the projects will exceed the $25,000 threshold, an RFP will be
necessary. Under the circumstances of my departure and the lack of experience
staff and KeyLine to manage such a project, I suggest letting this project be
managed by the new City Project Manager when the person is hired. ECIA and
Connie could work with Samil Sermet at Iowa DOT regarding the federal
certifications. Otherwise a project manager with federal funding experience will
be necessary. Either way there are sufficient funds in the balance of the earmark
grant. Both projects are covered in the STIP under Transit garage plumbing for a
total project estimate of $30,000.
. Iowa DOT suggests sending the City's new Project Manager (when they're
hired) to a training course on Third Party Contracting. The courses are put
on by the National Training Institute. The next course is in St. Louis on
January 17-19, 2006. Participants can register online at
www.NTlonline.com. NTI classes are free to FTA recipients. 50% of travel
and lodging costs are also covered. If interested, someone should register
for the NTI course and send a fellowship application to Lynn Zoon at lOOT
for the 50% lOOT reimbursement. Karen has fellowship applications.
. Mark has informed Mike Breke, Water Distribution Supervisor that the
backflow meter project and floor drain projects combined will total more
than $25,000 and are subject to RFP bidding requirements and that the
project will not be completed until after an RFP is drafted, approved by
DOT, issued, awarded and work contracted. This may be early Spring
2006.
2
:
. Mark has sent memo to Iowa DOT recommending the distribution of the
passenger boarding grant funds to fund the plumbing project.
Exterior Windows - KeyLine has a FY 2004 CIP to replace the two garage
windows on the Central Avenue side of the transit garage. Project estimated to
cost was $10,000 at the time the CIP was programmed. While the project has not
received specific funding from the statewide earmark, the individual earmark IA-
03-0094 will have a fund balance to fund 80% of the project. General
specifications to install windows should be created and State Historic
Preservation will need to approve. A similar project was completed 6 years ago
with SHPO approval and the bid documents are on file at KeyLine.
. Iowa DOT suggests sending the City's new Project Manager (when they're
hired) to a training course on Third Party Contracting. The courses are put
on by the National Training Institute. The next course is in St. Louis on
January 17-19, 2006. Participants can register online at
www.NTlonline.com. NTI classes are free to FTA recipients. 50% of travel
and lodging costs are also covered. If interested, someone should register
for the NTI course and send a fellowship application to Lynn Zoon at lOOT
for the 50% lOOT reimbursement. Karen has fellowship applications.
Fixed Route Bus Replacements - KeyLine has programmed 17% local match
for the replacement of (4) fixed route buses in FY 2004 & 2005. A total of
$179,034 has been budged as local match. Because the vehicles being replaced
were remanufactured in 1998 and because the DOT has tightened it's policy of
replacement funding for remanufactured buses in FY 2005, the (4)
remanufactured buses involved will not likely see replacement funding in the near
future (5 years of more). I am drafting a memo to Dawn Lang suggesting the city
change the project and use a small portion of the $179,034 local match to install
power steering and repaint units 2504 & 2510 and to purchase (2) replacement
engines for 2 of the remanufactured buses and to return the balance
(approximately $100,000) to the general fund or transit fund (whichever is
applicable). When the remanufactured buses begin to climb closer to the top of
the statewide list of buses competing for federal funds, I would suggest the City
reprogram the buses in the CIP's and budget the 17% local match at that time.
The transit mechanic Greg Merfeld has been closely working with me on getting
price and parts availability information to implement these improvements in the
existing fleet.
. Mark will report back to Dave Heiar the results of the allocation meeting in
Des Moines December 1, 2005 that will likely confirm that no federal funds
are available for the 4 fixed route bus replacements programmed in two
CIP's, and that no funding is available in the foreseeable future and that
the options above should be implemented to support the maintenance of
the current fleet and to extend the useful life of the 4 un-funded fixed route
bus replacements.
3
'.
Associated Capital Maintenance - A portion of our discretionary capital funds
for FFY 2005 was programmed for associated capital maintenance to offset
unusually high maintenance expenses on the older fixed route buses and some
of the older minibuses before they were replaced last summer. Connie has drawn
down some of the funds and is waiting for more supporting documentation to
draw down the remaining balance. I have created an excel spreadsheet that
identifies the minimum threshold for each buses allowable expense. Connie with
the help of Kathy Masterpol or Maxine at O&M need to work together to locate
any additional receipts needed to reach the maximum total project expense that
would allow Connie to draw down the 80% federal funding.
. Kathy Masterpol has provided Connie and Karen with printouts of all
maintenance expenses in FY 2005 that should provide them with
necessary documentation for the ACM grant.
Grants
Job Access Reverse Commute - KeyLine has $71,969 in JARC funds (50/50)
from an earmark grant IA-37-X006 in FY 2000. The state has been very patient in
allowing the City to retain these funds as the projects funded under them
develop. Currently the funds are used towards a portion of the Area Residential
Care contract service providing employment transportation to persons with
disabilities to McGraw Hill and to the Vocation Services Center. Approximately
$14,000 per year is being obligated towards this service. The City Manager has
approved of an initiative involving Area Residential Care and the A-OK Cab
Company whereby the agency and the cab company will match the JARC funds
to fund evening and weekend employment transportation for persons with
disabilities using the cab service. The city's role would be that of a pass through
for the JARC funds as well as filing necessary annual reports. ECIA has
facilitated much of the discussion leading up to this service initiative and could be
resource in finalizing the agreement between the City and the cab company if I
cannot complete same prior to my last day at KeyLine. The City is also
programmed to receive an additional $41,000 in JARC funding via formula in
FFY 2006.
. A draft agreement has been sent to Jim Pullen to review and comment as
well as Barry Lindahl. Once the agreement is finalized, arrangements
need to be made with finance to code payments to A-OK Yellow Cab.-
FFY 2006 Federal Operating & Discretionary Capital - With appropriations still
pending, it is unclear as to just exactly how much federal funding KeyLine will
receive in FFY 2006. Tentative estimates place federal operating for Dubuque
and East Dubuque combined at $607,109. Because the figures for Dubuque and
East Dubuque are combined, it is unclear as to how much in discretionary capital
will be available to KeyLine. It usually runs around $150,000. These funds are for
capital projects not funded through the statewide earmark.. Because Dubuque
does not have full funding for an intermodal facility study, the $150,000
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discretionary funding could be used towards the study pending securment of
additional funds. Other than fixed route bus replacements, Dubuque really
doesn't have any other pending capital projects awaiting federal funding. KeyLine
will also be eligible for an additional $41,368 in JARC funds being distributed via
formula in FY 06. There is also another new program call New Freedoms that
targets transportation to persons with disabilities. There are no rules on how
these funds may be used but Dubuque and East Dubuque have $31,070.
In late November the transit systems gather in Des Moines to prioritize projects
and divide up FFY 2006 known funding. I would be pleased to represent
Dubuque's interest at this meeting.
. IPT A allocation meeting scheduled November 29-Dec.1 at Sheraton Hotel
in West Des Moines.
Grant Financial Administration and Reporting - Once the Transit office is set
up on the network, Connie will need to update the various grants check lists I
created and submitted to Finance.
. Copies of all updated grant forms have been sent to Jean Natchman in
Finance.
Service Issues
Kennedy Mall - By April 1, 2005 the city bus service needs to convert the
Kennedy Mall into a bus stop from a transfer point. The change is to reduce the
need for buses to sit and idle in front of the mall. The mall believes this idling
damages the asphalt. Area Residential Care has expressed a desire to see a
transfer be located near their Kennedy Group Home at the end of Kennedy Circle
next to Econo Foods. Econo Foods has informally expressed an interest in
becoming a transfer location as well. Meetings with Drivers and Econo Foods
need to take place to see if the transfer could be shifted further north from the
Mall to Econo Foods. The frequency of service to the Mall also needs to be
determined.
. Karen is soliciting suggestions from drivers regarding the relocation of the
Kennedy Mall transfer.
Trolley Service - Before next season, the trolley service should be reviewed for
possible expansion in service area to accommodate the Dubuque Yacht Basin's
request for service. The Yacht Basin, the Greyhound Park and the Port of
Dubuque are what should be reviewed. The Orange Line appears to be
underutilized and it currently serves the DGP. I have suggested to Cindy
Steinhauser that we review the actual ridership levels on the Orange Line to
determine if a reduction in service is appropriate to fund an expansion in the
trolley service. Trolley guides should be updated to include any revised routes in
addition to the addition of the old Jail museum that was added late 2005. Jan
Powers with the Powers of Communication is the contact person for the trolley
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brochure updates. Randy Gehl could be very helpful in marketing initiatives with
the trolley.
Marketing - KeyLine has funds remaining in promotions from an estate that
have been funding various improvements in the transit website, the trolley
brochure and advertising. Jan Powers and I have been working with Radio
Dubuque to promote the transit service the day after Thanksgiving by allowing all
passengers to ride free that November 25th. Radio spots prior to the ride free day
have been quoted and Jan has strongly suggested the spots be purchased.
Goodie bags can be distributed to all passengers who ride the 25th. Any fares not
collected that day could be recouped from the promotions budget. Approximately
750 rides per day occur on the fixed route. Most are half fare so $375 could be
paid into passenger fares from promotions. I think Randy Gehl could assist in this
initiative.
. Jan Powers has agreed to assist in the creation of ad spots and
purchasing bags for give-aways. Give aways are already at KeyLine
(pens, IDOT stuff etc.) and just need to be placed into bags and boxed up
for drivers. Approximately 500-700 bags should be created. The Minibus
should be excluded from this promotion as the goal is to promote the
underutilized fixed route service.
Delhi Transfer - The City Manager has expressed a desire to Gus in
Engineering to have transit design a bus shelter at Delhi that is similar in design
to the new diabetes center being constructed. I have not heard anything further in
this regard from Engineering. The transfer is being shifted further north and will
be indented 4' per the City Manager, Engineering and the developer. Funds from
the 2001 earmark IA-03-0094 Passenger Boarding Grant will fund 80% of the
project.
. Sally Kahle has offered the use of the Plaza 20 Shopping Center for a
transfer location. Due to the close proximity of this shopping center to the
Delhi Transfer, it may not be necessary to have both the Delhi transfer
and another transfer at Plaza 20. The feasibility of re-routing all buses
from Delhi to Plaza 20 needs to be investigated and ascertained quickly to
avoid any unnecessary expenditures for street construction or shelter
construction at Delhi if the transfer is to move to Plaza 20.
Dispatch Software - The computerized dispatch software purchased from
RouteMatch by KeyLine 3 years ago remains on hold pending resolution of
problems with the software. In the interim, the State of Iowa has awarded
RouteMatch a statewide procurement to install their software on all regional
systems. That deployment has also experienced the same troubles KeyLine has
experienced. A state user group has been formed to address deployment and
software issues. Ellen is involved with this group. Hopefully the collective effort of
multiple systems will bring about success with this software.
6
City of Dubuque, Iowa
REQUEST FOR PROPOSAL
FOR
TRANSIT MANAGEMENT
FOR
KEYLlNE TRANSIT
Date RFP Due
January 17,2006
2:00 p.m.
TABLE OF CONTENTS
REQUEST FOR PROPOSAL
TRANSIT MANAGEMENT
SECTION 1. PURPOSE AND BACKGROUND. ........................................................3
SECTION 2. INSTRUCTIONS TO OFFERORS........................................................4
SECTION 3. MISCELLANEOUS. ..............................................................................8
SECTION 4. EVALUATION CRITERIA. ....................................................................9
SECTION 5. SELECTION PROCESS.....................................................................10
SECTION 6. SERVICES AND ITEMS REQUIRED FROM SUCCESSFUL
OFFEROR........... ......................................... .................... ........... ..... 1 0
Attachment 1 Fee Proposal Form.............................................................................20
Attachment 2 Other Required Forms........................................................................21
Page 2
CITY OF DUBUQUE, IOWA
REQUEST FOR PROPOSAL
FOR
TRANSIT MANAGEMENT
FOR
KEYLlNE TRANSIT
SECTION 1. PURPOSE AND BACKGROUND.
The City of Dubuque is seeking competitive proposals from qualified firms to provide Transit
Management for the transit system serving the City of Dubuque and the surrounding area.
While more completely described elsewhere in this Request for Proposal, in general terms,
the City of Dubuque wishes to engage a firm to provide for the day-to-day management of
the transit system using a resident management team (General Manager) under the policy
direction of the City of Dubuque. The management services to be provided include, but are
not limited to those relating to management of the daily operations, routes, scheduling, fare
structure, service standards, budgeting, accounting, purchasing, safety, insurance, claims,
employee selection/training, labor negotiations/relations, equipment and facilities utilization,
maintenance, transit planning, marketing, advertising, security, public relations, coordination
with planning and paratransit agencies, administration of contracts for special transit
services, use of home office support/supplemental services and such other management
functions as are needed in the operation of an urban transit system. The City of Dubuque
City Council will develop overall policy, establish fare policy and structure, and provide
overall goals for the transit system.
With an annual operating budget of approximately $2,500,000 Keyline Transit provides
approximately 203,000 passenger trips per year on the fixed route transit service
approximately 96,000 passenger trips on the complementary paratransit service, and
approximately 12,000 passenger trips on the trolley. The City of Dubuque owns all of the
facilities, equipment, and rolling stock needed to carry out operations. The operations and
maintenance staff will be employed by the City of Dubuque. The rolling stock consists of 12
transit coaches, 13 paratransit vans and 2 trolleys.
Pre-Proposal Conference: A non-mandatory Pre-Proposal Conference will be at 10:00
A.M. on December 15,2005 at City Hall, 50 W. 13th St. Dubuque, IA 52001. The purpose
of this conference is to allow potential Offerors an opportunity to present questions and
obtain clarification relative to any facet of this solicitation.
Due to the importance of all Offerors having a clear understanding of the scope of work and
requirements of this solicitation, attendance at this conference is recommended.
The successful Offeror, or its predecessor, must have and be able to demonstrate it has a
minimum of five (5) years experience in day-to-day management of transit systems of similar
size as the City of Dubuque Transit System.
Page 3
This Request for Proposal and specifications or additional copies may be obtained during
normal business hours from the Economic Development Department, at the address listed
below.
Proposals, to be considered and evaluated, must be received before 2:00 p.m. on January
17,2006 at City Hall, Second Floor, Economic Development Department, 50 W. 13th St.,
Dubuque,IA 52001. Proposals appropriately received will, at this time, be opened.
Proposals received after the above scheduled opening time and date will not be considered.
Faxed or e-mailed proposals are not acceptable.
One (1) original and seven (7) copies of a proposal, appropriately signed by an authorized
representative of the Offeror, must be submitted in a sealed envelope or package. The
notation "TRANSIT MANAGEMENT FOR KEYLlNE TRANSIT and the above specified
opening time and date must be clearly marked on the front of that sealed envelope or
package.
Keyline Transit, the City of Dubuque, and their officers, employees or agents will not assume
or accept any responsibility for the opening of a proposal envelope or package prior to the
scheduled opening if that envelope or package is not appropriately sealed and marked as
specified.
The City of Dubuque reserves the right to reject any or all proposals, to waive any
informalities in any proposal, to award any whole or part of a proposal, and to award to the
Offeror whose proposal is, at the sole discretion of the City of Dubuque, determined to be in
the best interest of the City of Dubuque.
Evaluation and award will be accomplished in accordance with this Request for Proposal
and including the price (proposed management fee) and/or value of any benefits offered to
the City of Dubuque in the proposal. Notification of such award will be posted for public
review.
No proposal may be withdrawn for a period of sixty (60) days after the opening of the
proposal.
Inquires regarding this RFP or information regarding procurement procedures and/or
proposal submission shall be directed to David J. Heiar, Economic Development Director,
Economic Development Department, 50 W. 13th St., Dubuque, IA 52001, (563)589-
4393, or email dheiarCWcitvofdubuQue.orQ.
This RFP consists of this Purpose and Background section and the following sections and
the documents and attachments hereto.
SECTION 2. INSTRUCTIONS TO OFFERORS.
Proposals must be submitted in accordance with the instructions and requirements given in
this RFP. All information requested must be submitted. Failure to do so may result in the
proposal being considered non-responsive and it may be rejected.
Prospective Offerors also referred to as providers, operators, Offeror, or vendors, are to
address the criteria below at a minimum as part of their submitted proposal. Each proposal
should include a transmittal letter. Proposals are to include and may be evaluated on the
following factors:
Page 4
A. Organizational structure of Offeror and qualifications of management
personnel.
Offerors should submit at a minimum a description of the organizational structure of
the firm. This description of the Offerors organizational structure should cover the
corporate, regional and contract levels of management. The successful Offeror will
provide a qualified and experienced management General Manager who will reside in
the City of Dubuque, for the term of the contract which will be for a period of three (3)
years with the option of the City of Dubuque to renew for up to two (2) additional one
(1) year periods with negotiated contract extensions thereafter. The Proposal should
specifically include the names, qualifications, and detailed resume of the person
proposed as the General Manager.
The General Manager of the successful Offeror shall have at least five (5) years
experience in the transit industry and a minimum 4-year degree from an accredited
college or University. Such General Manager must have experience and be
knowledgeable of federal and state rules and regulations. Such General Manager
should also have the ability to develop and execute a strategic plan for a transit
system and in working with local and state governments and in expanding and
marketing such systems. Such General Manager should also have a history of
industry involvement on a local, state, and national level.
Specific responsibilities of the successful Offeror will include, but may not be limited
to the following:
1. Establish or assume control of a subsidiary corporation for daily operations,
maintenance and employment purposes in order to operate the transit system as
applicable.
2. Operate the transit system in compliance with all applicable federal, state and
local regulations.
3. Select, and properly train all employees needed to operate the transit system.
4. Ensure safety of employees and prevent losses.
5. Ensure compliance with any existing labor agreement(s).
6. Maintain positive employee relations.
7. Ensure compliance with applicable environmental and occupational safety and
health laws and regulations.
8. Seek state, federal and local operating and capital grants to benefit Dubuque
Transit and the City of Dubuque and properly complete all necessary documents
for such grants.
9. Perform all budgeting, accounting and financial functions as required by the City's
Finance Department.
10. Prepare and administer all federal, state or local grants.
11. Establish and maintain the accounting controls necessary to ensure protection of
all funds and assets and compliance with Dubuque Transit and City of Dubuque
audit requirements.
12. Develop and execute marketing analysis and plans to increase ridership.
13. Monitor and evaluate all current operations and institute internal procedures to
improve operations and create economies to reduce costs.
14. Develop and implement management techniques and operational improvements
Page 5
to ensure an environmentally sound transit system.
15. Prepare and execute a strategic plan for the transit system and to work with
Dubuque Transit and the City of Dubuque to help implement specific goals
identified in the City of Dubuque comprehensive plan and vision.
16. Perform all marketing and promotional functions for all operations including
advertising.
17. Prepare and administer the budget for Dubuque Transit.
18. Participate on local and or state transportation committees as needed.
19. Provide management personnel development, training continuity and recruitments
as necessary.
20. Provide overall management and policy recommendations.
21. Maintain all facilities, equipment and rolling stock and make recommendations for
future purchases of each category as may be required by the transit system.
22. Administrator of contracts for special transit services.
B. Financial condition of the firm and ability to perform all obligations of the
contract.
Prospective Offerors should submit the most recently audited financial statements of
the firm.
C. Experience in managing and operating similar types of transit systems.
Offerors should submit operational references and two (2) financial or banking
references. Each reference shall include organizational name, official address,
contact person, title of contact and phone number. A synopsis regarding its
experience in managing and operating similar types of transit systems should include
the names of the facilities; the length of time it has managed and operated the
systems, the types of systems being managed, and rolling stock being operated.
D. The availability and plan for the technical support to be provided.
In addition to the management team, the successful Offeror will have a central staff
that is available to assist the management team on an as needed basis. The central
staff must be sufficient and have sufficient experience so as to be able to offer any
such assistance in a timely manner.
1. Please list the names of all full-time non-resident staff that will be available to
support this engagement. Identify their particular expertise and if possible
provide a resume, which details their work for similar transit systems.
2. Identify any part-time or independent Offerors who are available from your finm
to support this engagement. Please specify their expertise and relevant
experience.
3. Please describe the plan for the use of technical support staff, which your firm
will implement if chosen for this assignment. Provide a timeline, the
employees assigned and the product of the work they will perform.
E. Describe training resources that are available.
1. What training will be available to system employees? Describe the
professional development to be provided to the managers assigned to this
engagement.
Page 6
F. Describe availability of network of customers and corporation.
1. If the firm uses its network of managed systems to advance its understanding
of transit management please share the extent of that network, how it is used,
and examples of how it has benefited your customers. Of specific interest
would be areas where best practices and cost savings programs have been
shared from one operation to another.
2. Please describe how this network, if one exists, will be used to further the
goals and effectiveness this engagement. Please provide a plan for how it will
be used
G. Transition plan.
Offerors must provide a detailed description of how they would take over the
operation and management of transit system and related facilities from the current
operator if applicable. The narrative should start at contract award and proceed
through the entire transition period until the new operation is established. Time
frames should be included.
H. Price and Term of Contract.
Offerors must submit the monthly proposed management fee for each year of the
term of the contract, which term will be for three (3) years with up to two (2) additional
one (1) year renewals upon mutual agreement of both parties with negotiated
contract extensions thereafter. This fee must include all charges for the provision of
the residential management team and all of the services enumerated in this RFP.
Each proposal shall contain a completed and properly signed Fee Proposal Form,
contained in Attachment 1 of this RFP. Offerors shall also include any items that it
would provide that would benefit the City of Dubuque and the cost, if any, of such
items. A sample contract should be attached.
I. Compliance with Laws and Regulations.
The Offerors should also provide information on previous and existing compliance by
the Offeror with applicable laws and ordinances related to the Offerors current and
prior contracts in operating transit systems.
Offeror must comply with all applicable federal, state, and local laws and regulations
and include the forms attached as Attachment 2.
1. Certification Regarding Lobbying Pursuant to 49 CFR Part 20
2. Certification of Primary Participant Regarding Debarment, Suspension, and
other Responsibility Matters
J. Conflict of Interest.
Describe any potential conflict of interest between the Offeror and the City of
Dubuque.
K. Supplemental Information.
Offeror may include additional information such as promotional brochures, letters of
recommendation, newspaper articles, etc. to support the submission requirements of
this RFP. Offeror may also include any major achievements and recognition in the
Page 7
transit industry.
SECTION 3. MISCELLANEOUS.
A. Ownership of Material - Ownership of all data, materials, and documentation originated
and prepared for the City of Dubuque pursuant to this RFP shall belong exclusively to
the City of Dubuque and be subject to public inspection in accordance with the Iowa
Public Records Act. Trade secrets or proprietary information submitted by the Offeror
shall not be subject to public disclosure under the Iowa Public Records Act, unless
otherwise required by law or a court. The written notice must SPECIFICALLY identify the
data or materials to be protected and state the reason why protection is necessary. The
proprietary or trade secret material submitted must be identified by some distinct method
such as highlighting or underlining and must indicate only the specific words, figures, or
paragraphs that constitute trade secret or proprietary information. The classification of an
entire proposal document, line item prices, and/or total proposal prices as proprietary, or
trade secrets, is NOT ACCEPTABLE and may result in REJECTION of the proposal.
B. As this is a Request for Proposal, no information regarding the proposal records or their
contents will be released except in accordance applicable law. Once an award has been
made, all proposals will be open to public inspection, subject to the provisions set forth
above.
C. An Offeror must promptly notify the City of Dubuque Purchasing Division of any
ambiguity, inconsistency, or error, which may be discovered upon examination of the
RFP. An Offeror requiring clarification or interpretation of this RFP should contact David
J. Heiar, Economic Development Director, (563) 589-4393.
D. Any interpretation, correction, or change of the RFP will be made by an addendum.
Interpretations, corrections or changes of this RFP made in any other manner will not be
binding and Offerors must not rely upon such interpretations, corrections, or changes.
The City of Dubuque Economic Development Coordinator will issue Addenda. Addenda
will be faxed or mailed to all who are listed as having received the RFP package.
E. No Offeror shall confer on any public employee having official responsibility for a
purchasing transaction any payment, loan, subscription, advance, deposit or money,
service, or anything of value, present or promised.
F. The City of Dubuque may make investigations to determine the ability of the Offeror to
perform the services and items as described in this RFP. The City of Dubuque reserves
the right to reject any or all proposals and/or to waive any informality in any proposals.
G. Employment Discrimination by Offeror Prohibited.
a. During the performance of the contract, the Offeror must agree as
follows:
1. The Offeror will not discriminate against any employee or
applicant for employment because of race, religion, color, sex,
national origin, age, disability, or any other basis prohibited by
state law relating to discrimination in employment except where
religion, sex, or national origin is a bona fide occupational
qualification reasonably necessary to the normal operation of
the contract. The Offeror agrees to post in conspicuous places,
Page 8
available to employees and applicants for employment, notices
setting forth the provisions of this nondiscrimination clause.
2. The Offeror, in solicitations or advertisements for employees
placed by or on behalf of the Offeror, will state that such Offeror
is an equal opportunity employer.
3. Notices, advertisements and solicitations placed in
accordance with federal law, rule or regulation shall be deemed
sufficient for the purpose of meeting the requirements of this
section.
b. The Offeror will include the provisions of the foregoing subparagraphs
(a) 1,2 and 3 in every subcontract or purchase order of over $10,000
so that the provisions will be binding upon each subcontractor or
vendor.
H. Drug-Free Workplace.
Drug-free workplace to be maintained by Offeror; required contract provisions.
During the performance of this contract, the Offeror must agree to (i) provide a drug-free
workplace for the Offerors employees; (ii) post in conspicuous places, available to
employees and applicants for employment, a statement notifying employees that the
unlawful manufacture, sale, distribution, dispensation, possession, or use of a controlled
substance or marijuana is prohibited in the Offerors workplace and specifying the actions
that will be taken against employees for violations of such prohibition; (iii) state in all
solicitations or advertisements for employees placed by or on behalf of the Offeror that
the Offeror maintains a drug-free workplace; and (iv) include the provisions of the
foregoing clauses in every subcontract or purchase order of over $10,000, so that the
provisions will be binding upon each subcontractor or vendor. For the purposes of this
section, "drug-free workplace" means a site for the performance of work done in
connection with a specific contract awarded to a Offeror, the employees of whom are
prohibited from engaging in the unlawful manufacture, sale, distribution, dispensation,
possession or use of any controlled substance or marijuana during the performance of
the contract.
I. It is the policy of the City of Dubuque to maximize minority and women owned business
enterprises participating in all aspects of its contracting opportunities.
SECTION 4. EVALUATION CRITERIA.
Offerors will be evaluated for selection on the basis of those most qualified to meet the
requirements of this RFP, as amended. Major criteria to be considered in evaluation include
the following:
A. The experience ofthe Offeror in providing similar service elsewhere, including the level
of experience in working with municipalities and the quality of services performed,
together with the Offerors demonstrated operational competency and established history
to provide the services requested by the City of Dubuque through this RFP.
B. The capabilities and experience of the proposed management team.
C. Reasonableness/competitiveness of proposed fee and/or benefits to the City of
Dubuque, although the City of Dubuque is not bound to select the Offeror who proposes
Page 9
the lowest fees or most benefits for services. The City of Dubuque reserves the right to
negotiate fees with the selected Offeror(s).
D. Availability and plan for the use of technical staff.
E. Availability and usefulness of a corporate network.
F. Financial condition of the Offeror, including ability to perform all obligations of the
resulting contract and those contained in this RFP.
G. Determination that the selected Offeror has no contractual relationships, which would
result in a conflict of interest to the City of Dubuque's contract. The Offeror's
responsiveness and compliance with the RFP requirements and conditions.
H. The Offeror's responsiveness and compliance with the RFP requirements and
conditions.
SECTION 5. SELECTION PROCESS.
A. All proposals submitted in response to this RFP will be reviewed for responsiveness
prior to referral to the selection committee. A committee consisting of City of Dubuque
representatives and/or others will then evaluate all responsive proposals, and make
recommendations to the City of Dubuque City Council. The award of a contract, if
made, will be made to the Offeror whose proposal in the sole discretion of the City
Council, best furthers the interest of the City of Dubuque. The City of Dubuque
reserves the right to reject any and all proposals, to waive any informality or
irregularity in the proposals received, and to make the award to the Offeror whose
proposal is deemed to be in the best interest of the City of Dubuque.
B. Offerors who submit a proposal in response to this RFP may be required to give an
oral presentation of the proposal to the selection committee. This provides an
opportunity for the Offeror to clarify or elaborate on the proposal. This is a fact finding
and explanation session only and does not include negotiation. Oral Presentations
are strictly at the option of the City of Dubuque and mayor may not be conducted.
SECTION 6. SERVICES AND ITEMS REQUIRED FROM SUCCESSFUL OFFEROR.
A. The successful Offeror will be required to enter into a contract with the City of
Dubuque which will be for a period of three (3) years, anticipated to start on May 1,
2006, with an option by the City of Dubuque to renew thereafter for up to two (2) one
(1) year extensions with negotiated contract extensions thereafter. Provided,
however, that the City of Dubuque may terminate the Contract without cause at any
time upon 60 days written notice. Services are being requested for the management
and operation of Dubuque Transit. Furthermore, additional transit facilities may be
added to the contract upon mutual agreement of the parties to an increase in the
management fee.
S. The successful Offeror will be responsible to provide the services listed in Section 2
(A) of this RFP.
C. The successful Offeror will be required to comply with all applicable federal, state and
local laws and regulations, however should there be a conflict between federal and
state or local laws and regulations, the successful Offeror shall comply with the
federal laws and regulations and notify the City of Dubuque of such conflict.
Page 10
D. FEDERAL REGUAL TIONS: The successful Offeror shall be required, and hereby
agrees, to comply with all applicable federal laws and regulations, including, but not
limited to the following (note: attached forms or certifications must be completed):
1. ENERGY CONSERVATION REQUIREMENTS.
The Offeror agrees to comply with mandatory standards and policies relating
to energy efficiency which are contained in the state energy conservation plan
issued in compliance with the Energy Policy and Conservation Act.
2. CLEAN WATER REQUIREMENTS.
The Offeror agrees to comply with all applicable standards, orders or
regulations issued pursuant to the Federal Water Pollution Control Act, as
amended, 33 U.S.C. 1251 et seQ. The Offeror agrees to report each violation
to the City of Dubuque and understands and agrees that the City of Dubuque
will, in turn, report each violation as required to assure notification to FTA and
the appropriate EPA Regional Office.
The Offeror also agrees to include these requirements in each subcontract
exceeding $100,000 financed in whole or in part with Federal assistance
provided by the Federal Transit Administration (FT A).\
3. LOBBYING.
Offerors who apply or bid for an award of $1 00,000 or more shall file the
certification required by 49 CFR part 20, "New Restrictions on Lobbying."
Each tier certifies to the tier above that it will not and has not used Federal
appropriated funds to pay any person or organization for influencing or
attempting to influence an officer or employee of any agency, a member of
Congress, officer or employee of Congress, or an employee of a member of
Congress in connection with obtaining any Federal contract, grant or any other
award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of
any registrant under the Lobbying Disclosure Act of 1995 who has made
lobbying contacts on its behalf with non-Federal funds with respect to that
Federal contract, grant or award covered by 31 U.S.C. 1352. Such
disclosures are forwarded from tier to tier up to the City of Dubuque.
4. ACCESS TO RECORDS AND REPORTS.
The Offeror agrees to maintain all books, records, accounts and reports
required under any awarded contract for a period of not less than three years
after the date of termination or expiration of any awarded contract, except in
the event of litigation or settlement of claims arising from the performance of
the contract, in which case Offeror agrees to maintain same until the City of
Dubuque, the FT A, the Comptroller General, or any of their duly authorized
representatives, have disposed of all such litigation, appeals, claims or
exceptions related thereto. Reference 49 CFR 18.39(i) (11).
5. CLEAN AIR.
The Offeror 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 Offeror agrees to report each violation to the Purchaser
and understands and agrees that the Purchaser will, in turn, report each
Page 11
violation as required to assure notification to FTA and the appropriate EPA
Regional Office.
a. The Offeror also agrees to include these requirements in each
subcontract exceeding $100,000 financed in whole or in part with Federal
assistance provided by FTA.
6. NO GOVERNMENT OBLIGATION TO THIRD PARTIES.
The City of Dubuque and Offeror acknowledge and agree that,
notwithstanding any concurrence by the Federal Government in or approval of
the solicitation or award of the underlying contract, absent the express written
consent by the Federal Government, the Federal Government is not a party to
any awarded contract and shall not be subject to any obligations or liabilities
to the City of Dubuque, Offeror, or any other party (whether or not a party to
that contract) pertaining to any matter resulting from such contracts.
The Offeror agrees to include the above clause in each subcontract financed
in whole or in part with Federal assistance provided by FT A. It is further
agreed that the clause shall not be modified, except to identify the
subcontractor who will be subject to its provisions.
7. FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND RELATED
ACTS.
The Offeror acknowledges that the provisions of the Program Fraud Civil
Remedies Act of 1986, as amended, 31 U.S.C. S 3801 et sea. 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 Offeror 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 FT A assisted project for which such contract work is
being performed. In addition to other penalties that may be applicable, the
Offeror 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 Offeror to the extent the Federal
Government deems appropriate.
The Offeror also acknowledges that if it makes, or causes to be made, a false,
fictitious, or fraudulent claim, statement, submission, or certification to the
Federal Government under a contract connected with a project that is
financed in whole or in part with Federal assistance originally awarded by FTA
under the authority of 49 U.S.C. S 5307, the Government reserves the right to
impose the penalties of 18 U.S.C. S 1001 and 49 U.S.C. S 5307(n)(1) on the
Offeror, to the extent the Federal Government deems appropriate.
The Offeror agrees to include the above two clauses in each subcontract
financed in whole or in part with Federal assistance provided by FT A. It is
further agreed that the clauses shall not be modified, except to identify the
subcontractor who will be subject to the provisions.
Page 12
8. GOVERNMENT-WIDE DEBARMENT AND SUSPENSION
(NONPROCUREMENT).
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters Lower Tier Covered Transactions (Third Party Contracts over
$100,000).
Instructions for Certification
1. By signing and submitting a proposal, the Offeror is providing the
signed certification set out below.
The certification in this clause is a material representation of fact upon
which reliance was placed when this transaction was entered into. If it
is later determined that the Offeror knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal
Government, the City of Dubuque may pursue available remedies,
including suspension and/or debarment.
2. The Offeror shall provide immediate written notice to the City of
Dubuque if at any time the Offeror learns that its certification was
erroneous when submitted or has become erroneous by reason of
changed circumstances.
3. The terms "covered transaction," "debarred," "suspended," "ineligible,"
"lower tier covered transaction," :"participant," "persons," "lower tier
covered transaction," "principal," "proposal," and "voluntarily excluded,"
as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549 [49
CFR Part 29]. You may contact the City of Dubuque for assistance in
obtaining a copy of those regulations.
4. The Offeror agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly
enter into any lower tier covered transaction with a person who is
debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized in writing by
the City of Dubuque.
5. The Offeror further agrees by submitting this proposal that it will include
the clause titled "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction",
without modification, in all lower tier covered transactions and in all
solicitations for Offeror transactions.
A participant in a covered transaction may rely upon a certification of
an Offeror that it is not debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each
Offeror may, but is not required to, check the Nonprocurement List
issued by U.S. General Service Administration.
Page 13
6. Nothing contained in the foregoing shall be construed to require
establishment of system of records in order to render in good faith the
certification required by this clause. The knowledge and information of
an Offeror is not required to exceed that which is normally possessed
by a prudent person in the ordinary course of business dealings.
7. Except for transactions authorized under Paragraph 5 of these
instructions, if an Offeror knowingly enters into a lower tier covered
transaction with a person who is suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction, in addition to
all remedies available to the Federal Government, the City of Dubuque
may pursue available remedies including suspension and/or
debarment.
"Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion - Lower Tier Covered Transaction"
a) The Offeror certifies, by submission of this bid or proposal, that
neither it nor its "principals" [as defined at 49 C.F.R. 9
29.1 05(p)] is presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any Federal department or
agency.
b) When the Offeror is unable to certify to the statements in this
certification, such Offeror shall attach an explanation to this
proposal.
9. PRIVACY ACT.
The following requirements apply to the Offeror and its employees that administer
any system of records on behalf of the Federal Government under any contract:
(1) The Offeror agrees to comply with, and assures the compliance of its
employees with, the information restrictions and other applicable
requirements of the Privacy Act of 1974,5 U.S.C. 9 552a. Among other
things, the Offeror agrees to obtain the express consent of the Federal
Government before the Offeror or its employees operate a system of
records on behalf of the Federal Government. The Offeror
understands that the requirements of the Privacy Act, including the civil
and criminal penalties for violation of that Act, apply to those individuals
involved, and that failure to comply with the terms of the Privacy Act
may result in termination of the underlying contract.
(2) The Offeror also agrees to include these requirements in each
subcontract to administer any system of records on behalf of the
Federal Government financed in whole or in part with Federal
assistance provided by FT A.
12.CIVIL RIGHTS REQUIREMENTS.
The following requirements apply to the contract:
(1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act,
as amended, 42 U.S.C. 9 2000d, section 303 of the Age Discrimination
Act of 1975, as amended, 42 U.S.C. 9 6102, section 202 of the
Page 14
Americans with Disabilities Act of 1990, 42 U.S.C. S 12132, and
Federal transit law at 49 U.S.C. S 5332, the Offeror 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 Offeror agrees to comply with applicable Federal
implementing regulations and other implementing requirements FTA
may issue.
(2) Equal Emplovment Opportunity - The following equal employment
opportunity requirements apply to the underlying contract
(a) Race. Color. Creed. National OriQin. Sex - In accordance with
Title VII of the Civil Rights Act, as amended, 42 U.S.C. S 2000e,
and Federal transit laws at 49 U.S.C. S 5332, the Offeror agrees
to comply with all applicable equal employment opportunity
requirements of U.S. Department of Labor (U.S. DOL)
regulations, "Office of Federal Contract Compliance Programs,
Equal Employment Opportunity, Department of Labor," 41
C.F.R. Parts 60 et seQ., (which implement Executive Order No.
11246, "Equal Employment Opportunity," as amended by
Executive Order No. 11375, "Amending Executive Order 11246
Relating to Equal Employment Opportunity," 42 U.S.C. S 2000e
note), and with any applicable Federal statutes, executive
orders, regulations, and Federal policies that may in the future
affect construction activities undertaken in the course of the
Project. The Offeror 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 payor other forms of compensation; and
selection for training, including apprenticeship. In addition, the
Offeror agrees to comply with any implementing requirements
FT A may issue.
(b) AQe - In accordance with section 4 of the Age Discrimination in
Employment Act of 1967, as amended, 29 U.S.C. S 623 and
Federal transit law at 49 U.S.C. S 5332, the Offeror agrees to
refrain from discrimination against present and prospective
employees for reason of age. In addition, the Offeror 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. S 12112, the
Offeror agrees that it will comply with the requirements of U.S.
Equal Employment Opportunity Commission, "Regulations to
Implement the Equal Employment Provisions of the Americans
with Disabilities Act," 29 C.F.R. Part 1630, pertaining to
employment of persons with disabilities. In addition, the Offeror
agrees to comply with any implementing requirements FT A may
issue.
Page 15
(3) The Offeror also agrees to include these requirements in each
subcontract financed in whole or in part with Federal assistance
provided by FTA, modified only if necessary to identify the affected
parties.
13. DISADVANTAGED BUSINESS ENTERPRISE (DBE).
1. The Federal Fiscal Year goal has been set by the City of Dubuque in
an attempt to match projected procurements with available qualified
disadvantaged businesses. The City of Dubuque's goals for budgeted
service contracts, bus parts, and other material and supplies for
Disadvantaged Business Enterprises have been established by the
City of Dubuque as set forth by the Department of Transportation
Regulations 49 C.F.R. Part 23, March 31, 1980, and amended by
Section 106(c) of the Surface Transportation Assistance Act of 1987,
and is considered pertinent to any contract resulting from this request
for proposal.
If a specific DBE goal is assigned to this contract, it will be clearly
stated in the Special Specifications, and if the Offeror is found to have
failed to exert sufficient, reasonable, and good faith efforts to involve
DBE's in the work provided, the City of Dubuque may declare the
Offeror non-complaint and in breach of contract. If a goal is not stated
in the Special Specifications, it will be understood that no specific goal
is assigned to this contract.
(a) Policy - It is the policy of the Department of Transportation and
the City of Dubuque that Disadvantaged Business Enterprises,
as defined in 49 CFR Part 23, and as amended in Section
106(c) of the Surface Transportation and Uniform Relocation
Assistance Act of 1987, shall have the maximum opportunity to
participate in the performance of Contract financed in whole or
in part with federal funds under this Agreement. Consequently,
the DBE requirements of 49 CFR Part 23 and Section 106(c) of
the STURAA of 1987, apply to this Contract.
The Offeror agrees to ensure that DBEs as defined in 49 CFR
Part 23 and Section 106(c) of the STURAA of 1987, have the
maximum opportunity to participate in the whole or in part with
federal funds provided under this Agreement. In this regard, the
Offeror shall take all necessary and reasonable steps in
accordance with the regulations to ensure that DBEs have the
maximum opportunity to compete for and perform subcontracts.
The Offeror shall not discriminate on the basis of race, color,
national origin, religion, sex, age or physical handicap in the
award and performance of subcontracts.
It is further the policy of the City of Dubuque to promote the
development and increase the participation of businesses
owned and controlled by disadvantaged. DBE involvement in all
phases of the City of Dubuque's procurement activities is
encouraged.
Page 16
(b) DBE obliQation - The Offeror and its subcontractors agree to
ensure that disadvantaged businesses have the maximum
opportunity to participate in the performance of contracts and
subcontracts financed in whole or in part with federal funds
provided under the Agreement. In that regard, all contractors
and subcontractors shall take all necessary and reasonable
steps in accordance with 49 CFR Part 23 as amended, to
ensure that minority business enterprises have the maximum
opportunity to compete for and perform contracts.
(c) Where the Offeror is found to have failed to exert sufficient
reasonable and good faith efforts to involve DBE's in the work
provided, the City of Dubuque may declare the Offeror to be in
noncompliance and in breach of contract.
(d) The Offeror will keep records and documents for a reasonable
time following performance of this contract to indicate
compliance with the City of Dubuque's DBE program. These
records and documents will be made available at reasonable
times and places for inspection by any authorized
representative of the City of Dubuque and will be submitted to
the state upon request.
(e) The City of Dubuque will provide affirmative assistance as may
be reasonable and necessary to assist the prime Offeror in
implementing their programs for DBE participation. The
assistance may include the following upon request:
* Identification of qualified DBE
* Available listing of Minority Assistance Agencies
* Holding bid conferences to emphasize requirements
2. DBE Program Definitions, as used in the contract:
(a) Disadvantaged business "means a small business concern";
i. Which is at least 51 percent owned by one or more
socially and economically disadvantaged individuals, or,
in the case of any publicly owned business, at least 51
percent of the stock of which is owned by one or more
socially and economically disadvantaged individuals; and
ii. Whose management and daily business operations are
controlled by one or more of the socially and
economically disadvantaged individuals who own it;
or
iii. Which is at least 51 percent owned by one or more
women individuals, or in the case of any publicly owned
business, at least 51 % of the stock of which is owned by
one or more women individuals; and
iv. Whose management and daily business operations are
Page 17
controlled by one or more women individuals who own it.
(b) "Small business concern" means a small business as defined
by Section 3 of the Small Business Act and Appendix B -
(Section 106(c)) Determinations of Business Size.
(c) "Socially and economically disadvantaged individuals" means
those individuals who are citizens of the United States (or
lawfully admitted permanent residents) and States (or lawfully
admitted permanent residents) and who are black Americans,
Hispanic Americans, Native Americans, Asian-Pacific
Americans, Asian-Indian Americans, or women, and any other
minorities or individuals found to be disadvantaged by the Small
Business Administration pursuant to section 8(a) of the Small
Business Act.
i. "Black Americans", which includes persons having
origins in any of the Black racial groups of Africa;
ii. "Hispanic Americans", which includes persons of
Mexican, Puerto Rican, Cuba, Central or South
American, or other Spanish or Portuguese culture or
origin, regardless of race;
iii. "Native Americans', which includes persons who are
American Indians, Eskimos, Aleuts, or Native Hawaiians;
iv. "Asian-Pacific Americans", which includes persons
whose origins are from Japan, China, Taiwan, Korea,
Vietnam, Laos, Cambodia, the Philippines, Samoa,
Guam, the U.S. Trust Territories of Pacific, and the
Northern Marianas;
v. "Asian-Indian Americans", which includes persons
whose origins are from India, Pakistan, and Bangladesh.
14. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA)
TERMS.
The preceding provisions include, in part, certain Standard Terms and
Conditions required by the United States Department of Transportation,
whether or not expressly set forth in the preceding contract provisions. All
contractual provisions required by DOT, as set forth in FT A Circular 4220.1 0,
dated April 15, 1996, are hereby incorporated by reference. Anything to the
contrary herein notwithstanding, all FTA mandated terms shall be deemed to
control in the event of a conflict with other provisions contained in this
Agreement. The Offeror shall not perform any act, fail to perform any act, or
refuse to comply with any City of Dubuque requests which would cause the
City of Dubuque to be in violation of the FT A terms and conditions.
15. ENVIRONMENTAL PROTECTION.
The Offeror agrees to comply with all applicable requirements of the National
Environmental Policy Act of 1969, as amended, 42 U.S.C. 994321 et seq.
consistent with Executive Order No. 11514, as amended, "Protection and
Enhancement of Environmental Quality," 42 U.S.C. 94321 note; FTA statutory
requirements on environmental matters at 49 U.S.C. 9 5324(b); Council on
Page 18
Environmental Quality regulations on compliance with the National
Environmental Policy Act of 1969, as amended, 40 C.F.R. Part 1500 et seq.;
and joint FHWAlFTA regulations, "Environmental Impact and Related
Procedures," 23 C.F.R. Part 771 and 49 C.F.R. Part 622.
16. ACCESS REQUIREMENTS FOR PERSONS WITH DISABILITIES
(ADA).
The Offeror agrees to comply with the requirements of 49 U.S.C. 95301 (d)
which expresses the Federal policy that the elderly and persons with
disabilities have the same right as other persons to use mass transportation
service and facilities, and that special efforts shall be made in planning and
designing those services and facilities to implement those policies. The
Offeror also agrees to comply with all applicable requirements of section 504
of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 9 794, which
prohibits discrimination on the basis of handicaps, and with the Americans
with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. 99 12101 et seq.,
which requires the provision of accessible facilities and services, and with the
following Federal regulations, including any amendments thereto:
(I) U.S. DOT regulations, "Transportation Services for Individuals with
Disabilities (ADA)," 49 C.F.R. Part 37;
(2) U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefiting from Federal Financial
Assistance," 49 C.F.R. Part 27;
(3) Joint U.S. Architectural and Transportation Barriers Compliance
Board/U.S. DOT regulations, "Americans With Disabilities (ADA)
Accessibility Specifications for Transportation Vehicles," 36 C.F.R. Part
1192 and 49 C.F.R. Part 38;
(4) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in
State and Local Government Services," 28 C.F.R. Part 35;
(5) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability by
Public Accommodations and in Commercial Facilities," 28 C.F.R. Part
36;
(6) U.S. GSA regulations, "Accommodations for the Physically
Handicapped," 41 C.F.R. Subpart 101-19;
(7) U.S. Equal Employment Opportunity Commission, "Regulations to
Implement the Equal Employment Provisions of the Americans with
Disabilities Act," 29 C.F.R. Part 1630;
(8) U.S. Federal Communications Commission regulations,
"Telecommunications Relay Services and Related Customer Premises
Equipment for the Hearing and Speech Disabled," 47 C.F.R. Part 64,
Subpart F; and
(9) FTA regulations, "Transportation for Elderly and Handicapped
Persons," 49 C.F.R. Part 609; and
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Attachment 1 Fee Proposal Form
For the Management of
KEYLlNE TRANSIT
In accordance with the specifications, terms and conditions of the Request for Proposal and
related addenda, if any receipt of, which is hereby acknowledged, the following fees are
submitted on the behalf of:
Printed Legal Name and Address of Offeror
Monthly Yearly
Management Fees Management Fees
5/1/2006 to 4/30/2007 $ x 12 months =$
5/1/2007 to 4/30/2008 $ x 12 months =$
5/1/2008 to 4/30/2009 $ x 12 months =$
Total Initial Term Management Fee: $
5/1/2009 to 4/30/2010 $ x 12 months =$
5/1/2010 to 4/30/2011 $ x 12 months =$
Total Optional Term Management Fee: $
Signature of Authorized Representative
Printed Name and Title
Date:
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Attachment 2 Other Reauired Forms
CERTIFICATION REGARDING LOBBYING PURSUANT TO 49 CFR PART 20
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of an agency, a Member of Congress, an officer or employee of Congress, or an employee
of a Member of Congress in connection with the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to
any person for making lobbying contacts to an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a Member of Congress
in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form--LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions [as amended by "Government wide Guidance
for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language in
paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying
Disclosure Act of 1995 (P.L. 104-65, to be codified at2 U.S.C. 1601, etseq .)]
(3) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31, U.S.C. S 1352 (as amended by
the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for
each such failure. [Note: Pursuant to 31 U.S.C. S 1352(c)(1 )-(2)(A), any person who makes
a prohibited expenditure or fails to file or amend a required certification or disclosure form
shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for
each such expenditure or failure.]
The undersigned certifies or affirms the truthfulness and accuracy of each statement of its
certification and disclosure, if any. In addition, the undersigned understands and agrees that
the provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any.
Signature of Authorized Official
Name and Title of Authorized Official
Date
Page 21
.
CERTIFICATION OF PRIMARY PARTICIPANT REGARDING DEBARMENT,
SUSPENSION, AND OTHER RESPONSIBILITY MATTERS
The Offeror, certifies to the best of its knowledge and belief, that it and its principals:
1. Are not presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from covered transactions by any Federal department or agency,-
2. Have not within a three-year period preceding this proposal been convicted of or had
a civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal, State or
local) transaction or contract under a public transaction,- violation of Federal or state
antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
3. Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local) with commission of any of the offenses
enumerated in paragraph (2) of this certification; and
4. Have not within a three-year period preceding this application/proposal had one or
more public transactions (Federal, State or local) terminated for cause or default.
(If the primary participant (applicant for an FT A grant, or cooperative agreement, or potential
third party Offeror) is unable to certify to any of the statements in this certification, the
participant shall attach an explanation to this certification.)
THE OFFEROR CERTIFIES OR AFFIRMS THE
TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS
SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE
PROVISIONS OF 31 U.S.C. SECTIONS 3801 ET. SEQ. ARE APPLICABLE THERETO.
Signature of Offeror's Authorized Official
Date
Typed Name and Title of Offeror's Authorized Official
The undersigned chief counsel for the hereby
certifies that the has authority under State and
local law to comply with the subject assurances and that the certification above has been
legally made.
Signature of Applicant's Attorney
Date
Typed Name of Applicant's Attorney
F:IUSERSIDheiarlTransitlDubuque RFP2.doc
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