Request for Proposals Automatic Vehicle Location System the City Of

Request for Proposals for the Installation of an Automatic Vehicle Location System for The City of Rochester, Minnesota

Proposals Due August 3, 2015

Invitation for Proposal Automatic Vehicle Location System City of Rochester, Minnesota Proposals Due August 3, 2015

The City of Rochester, Minnesota, is requesting proposals for an Automatic Vehicle Location (AVL) system. The proposals shall consist of a description of the vendor’s proposed solution as outlined in this Request for Proposals (RFP).

One electronic version of the proposal without pricing information (PDF format preferred), two paper copies of the proposal, and a separate, sealed paper copy of the pricing must be received by RPT by 4:00 p.m. Central Time, August 3, 2015. Any proposals and pricing received after this date and time will not be considered. The main body of the proposal should be clearly labelled: “RPT AVL System Proposal.” The price proposal form shall be submitted in a separately sealed envelope marked “Price Proposal.” The price proposal envelope may be delivered in the same package as the main body of the proposal, but should be sealed and separate from the main proposal. All proposals must be signed by an official agent or representative of the company submitting the proposal. Send proposals to the following contact:

Bryan Law, AICP Transit Planner City of Rochester, MN Public Works & Transit Operations Center 4300 East River Rd NE Rochester, MN 55906

[email protected] 507-328-2485

Proposal specifications and this RFP may be obtained online at: http://www.rochestermn.gov/departments/public-works/projects-and-studies/contracts-and- bids

All questions regarding this project should be directed to Bryan Law, Transit Planner, [email protected]; 507-328-2485.

The City of Rochester reserves the right to reject any or all proposals, to waive technical or legal deficiencies, and to accept any proposal that it may deem to be in the best interest of the City, and to negotiate the terms and conditions of any proposal leading to execution of a contract.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

1. BACKGROUND AND PROJECT SUMMARY 1.1 Background Rochester Public Transit (RPT) is the publically funded transit system serving the City of Rochester, MN, and nearby areas. The City of Rochester is located in southeastern Minnesota approximately 90 miles from the Minneapolis/ St Paul area. According to the Minnesota State Demographer, the City of Rochester had a population of 111,007 in 2014. RPT served just over 140,000 riders in 2014.

The City of Rochester, through the Transit and Parking Division of the Public Works Department, provides for the overall administration and oversight of RPT. The City owns the transit equipment with day-to-day operations provided under contract with First Transit, Inc., for fixed-route service, and R&S Transport for paratransit dial-a-ride service. The city-owned fleet consists of 51 buses: 45 for fixed-route and 6 for dial-a-ride services. All fixed-route buses are wheelchair-accessible and feature low-floor design. For more information on transit services, please visit www.rochesterbus.com.

1.2 Project Summary RPT seeks to improve its operations both internally and externally by procuring new Automatic Vehicle Location (AVL) technology that will improve predictability of its fixed-route service. The goal of this procurement is to improve reliability and consistency in service as well as provide real-time bus-location information to the public. AVL equipment transmits a signal from a bus that uses Global Positioning System (GPS) to identify its location and relay that information to end-user interfaces on websites, smart phones, and other mobile devices. This AVL equipment will provide passengers with accurate, real-time information about the next bus arriving at their stop, with next-stop annunciation as an optional item. AVL technology will also give RPT dispatchers more accurate information about bus location and speed without relying on the driver having to give such information and perhaps becoming distracted from the road.

The procured AVL system must provide real-time route and vehicle information via a web based interface for use both within RPT operations and by the riding public. The public must have access to this information through a website as well as mobile applications (such as smart phone apps). The system must also be equipped with reporting capabilities to accurately data- stream and archive operational service information (for example: route timing, passenger wait time, trip counts, operator performance, vehicle speed and movement, departure and arrival times, etc.). As an optional item, the AVL system may include next-stop annunciation and automatic passenger counting capabilities. The AVL system shall include functionality for hardware/software components to be installed in up to 55 vehicles*, plus a non-customer- facing tracking ability for dispatch. The system must be equipped to withstand extreme temperatures and variable ground conditions.

* Number of units may vary due to changes in fleet. Proposals should include number of buses in pricing, so that RPT can estimate costs for possible fleet expansions in the future.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

The purpose of this Request for Proposal (RFP) is to solicit proposals from various vendors, conduct a fair and extensive evaluation based on criteria listed, and then to select the vendor who can help RPT best reach its goals.

2. SUBMISSION REQUIREMENTS This RFP represents the requirements for an open and competitive process. One electronic version of the proposal (PDF format preferred), two paper copies of the proposal, and a separate, sealed hard copy of the pricing must be received by RPT by 4:00 p.m. Central Time, August 3, 2015. Any proposals and pricing received after this date and time will not be considered. All proposals must be signed by an official agent or representative of the company submitting the proposal. Send proposals to the following contact:

Bryan Law, AICP Transit Planner City of Rochester, MN Public Works & Transit Operations Center 4300 East River Rd NE Rochester, MN 55906

[email protected] 507-328-2485

• Proposals must meet the following general requirements: o All proposals must adhere to the attached federal clauses (Appendix A) o Full installation and functionality of the product and training of personnel must be completed by December 15, 2015

• Proposals shall include the following: o A project scope of services, based on the information outlined in this RFP, thoroughly describing the specific steps or tasks which will be performed and including a schedule of estimated duration and completion times for each step o A plan and schedule for installing the equipment o A plan and schedule for testing the installed equipment o A plan and schedule for training RPT personnel in proper operation of the system o Proposals must provide vendor qualification information including the following: − Vendor’s name, address, and DUNS number − Vendor contact person’s information (name, telephone number, and email address) − A brief history of the firm − Number of years in business − Profiles of key personnel (contractor and subcontractors) who will be involved in the project: their names, their titles, their experience, and indication of what their role(s) will be in the project

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

− Examples and dates of similar projects the contractor has undertaken − List of references regarding previous projects − List of all customers, a contact person’s information (name, telephone number, and email address), and start date of contract(s) o Subcontracting − If the organization submitting a proposal must outsource or subcontract any work to meet the requirements contained herein, this must be clearly stated in the proposal − All costs included in proposals must be all-inclusive to include any outsourced or subcontracted work − Any proposals which call for outsourcing or subcontracting work must include a name and description of the organizations being contracted

• Price Proposal (see Price Proposal Form, p. 18) o All costs must be itemized to include: − An explanation of all fees and costs − Estimated number of hours for each individual involved in the project − Hourly rate for each individual involved in the project − Total price by task in the scope of work − Travel - indicate the number and cost of on-site visits as well as other anticipated travel expenses − Other direct expenditures o Pricing and cost information must be submitted in a sealed package separated from the rest of the proposal

• Contract o Contract terms and conditions will be negotiated upon selection of the winning bidder for this RFP o All contractual terms and conditions will be subject to review by the City Attorney for the City of Rochester, Minnesota, and will include scope, pricing proposal, schedule, and other necessary items pertaining to the project.

All questions regarding this project should be directed to Bryan Law, Transit Planner, [email protected]; 507-328-2485.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

3. SCOPE OF SERVICES The scope of this project includes the installation of on-board equipment to include touch- screen mobile data terminals (MDT), web-based reporting tools, and public access to vehicle location and system information. The following components are identified as the most critical elements of the proposed system:

• Integrated Mobile Data Terminals • Web-based fixed-route automatic vehicle location (AVL) • Predictive Arrival System • Traveler Information System to include a public vehicle tracking website and mobile capabilities • Standards-based, open software application programming interface (API) that provides the agency with a data stream from which additional interfaces can be developed; RPT is to own all data at no additional cost • Web-based administrative software to include: o A fixed route AVL module o A rich reporting module • Warranty and Maintenance • Training

3.1 On-Board Hardware All hardware shall be manufactured, fabricated, assembled, finished, and documented with workmanship of the highest production quality and shall conform to all applicable quality control standards of the original manufacturer and the Vendor. All hardware components shall be new and suitable for the purposes specified. All on-board equipment shall integrate with the vehicle’s electrical supply.

• All on-board equipment must be able to operate in a transit environment • All equipment modules, cables, mounting hardware, and connectors shall be designed to withstand the full range of operating environments found in the areas in which they are to be installed, and shall not interfere with the operation of existing and future equipment • The vehicle operator display (VOD) shall be connected and integrated into the Mobile Information Terminal (MIT).

3.1.1 Vehicle Logic Unit (VLU) Hardware • The VLU shall incorporate an integrated GPS receiver and cellular communications module • Velocity measurements provided by the GPS equipment shall be accurate to within 0.1 meters per second • GPS receivers shall report latitude, longitude, speed, time, direction of travel and whether the receiver has a GPS position lock

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

• The GPS receiver shall have a cold start solution time of two minutes or less and a re- acquisition time of 15 seconds or less • Mobile Data Terminal (MDT) Hardware • The MDT computer shall be commercially available and off-the-shelf. • The MDT shall be driven by a commercially available operating system • The MDT shall provide backup battery power • MDT shall turn on automatically when the vehicle power is turned on, and shall shut down when the vehicle power is turned off • The MDT shall provide solid state storage • MDT shall be designed to operate in accordance with these specifications for ambient temperatures from -50°F to +140°F • The MDT and all other on-board components shall be designed to withstand the vibration and shock forces associated with transit vehicles • MDT shall be replaceable as discrete units and identified by unique serial number

3.2 On – Board Software Mobile Data Terminal (MDT) Software • The MDTs shall allow for a single log-on for all on-board equipment • The MDT shall provide a touch-screen interface that allows the driver to perform the following functions: Set Route, Play on-board announcement, view/respond to messages from dispatch, view status, and view graphical headway analysis information • The MDT shall send a location report, indicating its current GPS location and mileage reading every 10 seconds or less • All transmitted data shall be stamped with the following information: date and time, GPS location latitude and longitude, vehicle number, vehicle operator ID number • All fixed route packets shall include route number, trip number, and mileage reading where applicable • The MDT shall store at least the most recent forty (40) minutes of GPS data so that if the GPS receiver is not able to report the location, the last known location will remain available to be transmitted when the network reconnects • The MDT shall support 2-way messaging that allows the agency to send text-based messages to drivers • The MDT shall track on-time performance and provide the driver with visual clues indicating performance to headways (early, on-time, late) • The MDT shall allow the driver to play “canned” on-board announcement audio over the existing PA system • To reduce data utilization while increasing accuracy, the MDT shall support the ability to send out-of-band packets when configurable conditions are met. The system shall send a packet: o When the vehicle passes through a boundary geo-fence such as a bus stop or a restricted area o When the vehicle stops/starts within a configurable threshold 5

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

• To reduce data utilization, the MDT shall support the ability to change reporting frequency (low power mode): o When the system detects an ignition outage, the transmission interval will slow down allowing the vehicle to continue to identify its location and status while consuming significantly less power o The low-power reporting interval is configurable and can be set to a range from 10 seconds to 4 minutes o Travel time (between pick-up location/destination) o Odometer readings (between locations) • Any software updates must be announced and completed electronically, as part of ongoing maintenance and operation

3.2.1 Driver Login Module • The MDTs shall allow vehicle operator logon using vehicle operator ID entry, with any of these requiring the entry of an alphanumeric vehicle operator password • The MDT shall allow the driver to logout • The MDT shall record the duration of time during which the driver was logged in • Vendor is responsible for ensuring that the AVL system can share one login with existing RPT fareboxes and route signage

3.2.2 Route Assignment Module • The MDT shall allow the driver to select which route is currently being run • The MDT shall allow the driver to indicate that the vehicle is off duty (dead-heading) • The MDT shall display to the driver the next scheduled bus stop (when on route) • The MDT shall display a confirmation to the driver that the route request was accepted

3.2.3 Schedule Adherence / Headway Analysis Module • When a vehicle operator is logged in to a run, the MDT shall display the name of the next upcoming time point, and the schedule adherence status as of the most recently passed time point or as of the current location

3.2.4 Two-Way Messaging Module • Driver messages shall only be viewable while the vehicle is not in motion • The MDT shall display a graphical icon (e.g., an envelope) when an unread message exists • The driver shall have the ability to confirm the receipt of “confirm” messages • The driver shall have the ability to “acknowledge / Yes|No” messages • The driver shall have the ability to select from a list of “Canned” driver-to-dispatch messages

3.2.5 System Status & Diagnostics Module • System status shall clearly display the current state of the on-board system health

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

• System status should display the cellular signal strength • System status should show the status of the GPS signal

3.3 Back-Office System Requirements The successful vendor will supply a turn-key, hosted, cloud-based software solution that provides an administrative console for authorized users. RPT will be able to access the system via a standard web browser, without the need for software to be installed locally. The web- based administrative console software shall provide a single portal from which all system features will be available as plug-in modules – fixed-route GPS tracking/dispatch software, reports, user management, etc. System shall be hosted on redundant, failover-ready infrastructure with at least one geographically separate datacenter housing RPT’s data. Vendor shall describe the DR, failover, and backup methodologies for the hosted environment. RPT shall have access/capability to download copies of data sets and/or backup images through the Web interface for local storage/possession.

3.3.1 Fixed-Route CAD/AVL Software General Requirement • Based on configurable thresholds, the system shall use the reported schedule adherence data to designate when vehicles are “early,” “late,” or “on time” • The system shall highlight the vehicle IDs of those vehicles that are operating early, late, or off-route, using map displays to indicate their current schedule and route adherence status • The map display symbols for these vehicles shall use distinct and configurable color codes for early, late, and off-route status • An open application programming interface (API) that allows approved third-party developers to receive a live data stream at no additional cost to RPT • Web-based; no software to install • Runs in the latest version of IE, Chrome, and Firefox

3.3.2 Mapping Module Requirements • Bus location with accuracy within 3 meters or less • Ability to create geo-fences for speed, boundaries, and stops • Ability to locate a customized list of points of interest by address • Arrival predictions/schedule adherence calculations • Reporting module that allows the user to interact with the data (rather than just view the output) • Ability to assign buses to routes both in advance and in real time • Visual representation of bus location plotted over a 2D map • System reports when an on-board device has disconnected • System reports when on-board device has poor GPS coverage (cellular triangulation available as backup) • System should have an update frequency rate as close to real-time as possible, but no more than 10 seconds between updates.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

• System shall offer detailed route maps, using familiar maps like Google Maps or equivalent, showing all streets within service area • System shall display areas of overlapping routes in a manner as to clearly distinguish the different routes • System shall provide bus arrival predictions to upcoming stops • System shall offer route changes at no additional cost • Initial route mapping performed by vendor, based on routes established by RPT ; subsequent changes (for example, sudden detours) are able to be made by RPT or by vendor

3.3.3 Route Planner Module Requirements • Ability to assign vehicles to routes for today • Ability to assign vehicles to routes tomorrow • Ability to assign vehicles to routes for the week • Ability to copy a daily route plan and use it for a future date

3.3.4 User Management / Configuration Module Requirements • Ability to create users • Ability to delete users • Ability to edit users • Ability to set user permissions • Ability to define station trigger zones (A station trigger zone is a user-defined area that is located just prior to each stop location) • The system shall provide a utility that allows the user to configure next stop announcement trigger zones on a global basis (e.g., 800 feet before each stop) and set or adjust trigger zones individually by stop • The system shall also allow for the creation of trigger zone locations to be downloaded to the MDT software as time points to support schedule adherence monitoring. • In addition to defining the trigger zone geographical area, the utility shall allow a system action to be defined for trigger zone entry or exit

3.3.5 Reports Module Requirements • All vehicle location and status data shall be maintained online for a period of 13 months for retrieval, analysis, display, and printing • This historical information shall include all data transmitted from vehicles (log-on/log-off data, vehicle system alarms, location data, arrival/departure, and data transmitted from other equipment on-board the vehicles) • Reporting module that allows the user to interact with the data (rather than just view the output) • Ability for RPT to design customized reports • Ability to export reports as well as raw data to Excel (CSV) and PDF

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

Fleet Management Reports o Vehicle History o Speed Infraction o Speed Violation History o Vehicle Idle o Garage Pull Out o Speed Fence Violations o Vehicle Mileage Summary o Vehicle Speed Summary o Boundary Fence Activity by Class o Vehicle Location Proximity o Vehicle Engine Time Summary o Vehicle Idle Time Summary o Vehicle Idle By Proximity o On-Time Reports o Vehicle Travel-Time Reports

Traveler Information Reports o Public Site Usage Report o Smart Phone App Usage Report o Passenger Feedback Report

Performance to Schedule Reports (Fixed Route) o Arrivals-Departures o Route Utilization o Headway Analysis

APC Reports (Optional) o Passenger Access by Vehicle o Passenger Access by Route o Passenger Access by Geographic Location o Passenger Access Station/Stop

3.4 Traveler Information System Software 3.4.1 Passenger Web Site • AVL passenger-facing website will be featured as a link on RPT website • No software to load (pure HTML implementation) that displays vehicles laid over a 2D map • Branded specifically for this agency • Website shall have the ability to show the direction of travel on each route • Routes are drawn in different colors

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

• Each route is separately selectable – user has the ability to show one, some, or all routes on the map • The website shall allow customer to choose a stop and display the next arrivals for route(s) serving that stop Shared bus stops (those on multiple routes) are clearly identified as such • The website shall display the location of all active vehicles • An Icon for each in service vehicle shall be rendered on the web site • Bus icon positions should update without the need for refreshing • Upon click of the bus icon, additional info is provided to the user: o Route Identifier o Bus # o Next Stop o ETA to Next Stop • Bus arrival real-time predictions are provided for each bus stop • When a stop is selected, etas for at least 3 of the next arriving vehicles should be displayed, this should be configurable to show as many vehicles as required by the agency. • When a vehicle is selected, ETAs to at least three of the down-line stops should be displayed, this should be configurable to show as many stops as required by the agency. • ETAs are provided for each bus en route to a bus stop (e.g.: if two buses are on their way to a bus stop, there shall be two arrival time predictions) • There shall be a section of the screen that is reserved for public service announcements from RPT • Integrated help system • Page will provide a link back to RPT’s web site • Passenger-facing website will have the ability to feature advertising

3.4.2 Mobile Applications • Mobile version should provide users same features as website (see requirements in 3.4.1, above), but optimized for mobile devices • Multiple options that reach the widest possible user base • Logos and colors branded specifically for the agency, not the vendor • Real-time graphical/map-based vehicle tracking • Real-time bus arrival predictions • Support for users to leave feedback • Support for public service announcements • Integrated help system • Ability for users to save favorite route(s), time(s) • Mobile application will have the ability to feature advertising

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

3.5 Warranty and Maintenance • All components of the Vehicle Tracking System should include a standard/limited warranty that begins once the system is accepted by RPT. Provide a copy of the warranty and maintenance terms in the proposal. Specify the following: o Hardware, software, and vehicle equipment maintenance agreement terms, including the level of support provided. o The services provided (what are the turnaround times for hardware repairs, etc.) • Toll free telephone support for administrative and operational users 24hrs a day 7days a week. Notification shall be provided prior to any scheduled downtime and as soon as possible regarding any unscheduled downtime, with a detailed explanation, including length of service interruption. Up-time should be 99.9%. • RPT retains the right to negotiate purchase/warranty terms where appropriate. RPT also has the option of accepting or rejecting an extended warranty/maintenance agreement. State in the proposal any extended warranty/maintenance agreements that are available for the proposed equipment. Include annual software and hardware maintenance escalation percentages. Additionally, proposals should include descriptions of how new versions/upgrades of the software are released and what options customers have to migrate to these new versions. Specify if the new versions/upgrades are included in the purchase price.

3.6 Training • The selected vendor shall provide training and support to include the following: o Toll-free telephone support 24 hours a day, 7 days a week. o On-site system implementation and support. Indicate number of hours included and description of training. o Identify the number of hours of training for equipment installation and system functions for RPT staff including administration, supervisors and drivers. o Operator manuals for hardware and software.

4. OPTIONAL ADDITIONS RPT would like each proposal to include the following options as features that could be included in the initial project or could be added on in the future as funding allows. If these options are included in a vendor’s proposal, the vendor must ensure that these options are listed in the Price Proposal Form. • Public Wifi access: RPT does not currently offer wifi access to its riders onboard its buses. Please include an option for providing this service using hardware designed for use in buses. • Automated bus stop announcements and signage: AVL system shall include the capability of making automated aural bus stop announcements and written announcements on electronic signage, in keeping with the requirements of the Americans with Disabilities Act (ADA). This capability is to be installed on all buses. It shall be capable of making both interior and exterior announcements as required by the

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

ADA. Aural exterior announcements shall be able to be “silenced” by time of day on a system wide basis. • Automatic Passenger Counter: the Vehicle Tracking system shall include a compatible Automatic Passenger Counting (APC) module with full logic and sampling/error correction algorithms to count all boarding and departing passengers at each stop and calculate the number of riders on-board after each stop. Passenger counting shall only be performed when the door is open. It is preferred that the APC component be integrated with the vehicle location data that is collected and transferred via the wireless communications network to the dispatch center after each stop. It is desirable that the APC option will enable Rochester Public Transit to automate the collection of unlinked passenger trips (UPT) and passenger miles traveled (UPT) data for National Transit Database (NTD) reporting. The Federal Transit Administration allows the use of APC data for NTD reporting, however the following requirements are necessary:

o An approved (by FTA) APC benchmarking plan and an APC maintenance plan o A benchmarking and maintenance study is to be conducted and submitted to the FTA during the first year of using APC data for NTD reporting. RPT would like vendor assistance to accomplish these tasks. • LED and LCD Signage: Possible to add integrated text-only LED signage to display arrival predictions on bus routes. The LED signs must be fully integrated with the Vehicle Tracking system and placed either outdoors or indoors at bus stops, kiosks, or in major campus buildings. Signs placed outdoors must be weatherproofed and sunlight readable. Describe the communications infrastructure requirements (e.g. wireless cellular data communications). Also describe the sizes of the signs, power requirements, pre-set timing options, and display options. Provide sample views of LED signs. • Dial-a-Ride Paratransit Service: Possibility of adding AVL service for 6 paratransit buses owned by RPT. In order to protect rider confidentiality, these buses will not be shown on a customer-facing public page. However, for internal RPT use, dispatchers and other authorized users internal to RPT would be able to see where individual buses are.

5. EXCEPTIONS (OPTIONAL) The specifications listed in Section 3: Scope of Services are given to demonstrate the type of end-user experience RPT wants as a result of this project. However, RPT understands and acknowledges that not every proposer will have systems, interfaces, hardware, etc. that fit perfectly within the parameters described in Section 3. Therefore, vendors may include a section on exceptions to the described scope of services in Section 3. These exceptions are differences between the proposer’s product and the Scope of Services in Section 3, but which deliver a very similar functionality or end-user experience as the one anticipated by Section 3, by acting, essentially, as substitutes for or improvements on what is listed in this RFP. If vendors submit a section on exceptions, they should indicate what elements of Section 3 they

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

are not providing, why they are not, what they are providing instead, and how or why this substitute element will deliver similar or better results than what is described in Section 3.

6. PRICING AND TIMELINE The pricing proposal will be determined based on the selected proposal, subject to available funding. All proposals must include proposed costs to complete the tasks described in the project scope as well as the Optional Additions. All costs and fees must be clearly described in each proposal. Costs should be stated as one-time or non-recurring costs (NRC) or monthly recurring costs (MRC). Vendors must submit their pricing proposal in a sealed envelope separate from the main body of their proposals.

Request for Proposal Timeline: All proposals in response to this RFP are due no later than 4:00 p.m., Central Time, August 3, 2015 (one month after release of this RFP).

Evaluation of proposals will be conducted from August 4, 2015, to September 4, 2015. If additional information or discussions are needed with any bidders during this window, the bidder(s) will be notified.

The selection decision for the winning bidder will be made no later than September 21, 2015.

Upon notification, the contract negotiation with the winning bidder will begin immediately. Contract negotiations will be completed by September 11, 2015.

Selected vendor will complete its installation and/or training program no later than December 14, 2015.

RPT will begin using the AVL system on all buses on December 15, 2015.

7. TYPE OF CONTRACT Any contract entered into as a result of this RFP shall be fixed price. The consultant’s proposal shall provide a price for each task. The City shall incorporate Standard Contract Terms and Conditions Per “FTA Standard Clauses” (see Appendix A; note the “Certification Regarding Lobbying” form, which must be submitted for each bid or offer exceeding $100,000).

8. DISADVANTAGED BUSINESS ENTERPRISE GOALS

This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26: Participation by Disadvantaged Business Enterprises (DBE) in Department of Transportation Financial Assistance Programs. The goal for participation of DBE’s for this contract has been established at 1.76%.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

Information Needed (see Appendix B):

1. DBE Bidding Form Affidavit – submitted at the time of bid opening.

2. A Schedule of DBE Subcontractor Participation (Form F-1) must be submitted by the prime contractor for all DBE subcontractors at the time of bid opening. It must contain:

a. Names and addresses of certified DBE’s participating subcontractors b. The work they are to perform c. The dollar value of each proposed certified DBE contract

3. If the DBE goal cannot be met, the prime contractor must check the appropriate box on the DBE Bidding Form and complete the Certificate of Good Faith Efforts (Form F-2) and submit it at the time of bid opening.

4. To ensure that assigned DBE goals are met by the prime contractor, the prime contractor must provide an updated report documenting the actual amount paid to every DBE sub-contractor to the CITY OF ROCHESTER DBE Liaison Officer every month on the Monthly DBE Reporting Form F-3.

This report must include:

1. The contract number and description 2. Prime contractor name, contact name, address, city, state, zip, phone and fax 3. Name, contact name, address, city, state, zip, phone and fax of all DBE subcontractors 4. Total contracted amount for each DBE sub-contractor – including any approved amendments to amounts to be paid to DBE sub-contractors 5. Amount “paid-to-date” to each DBE sub-contractor 6. Total Amount “paid-to-date” to each DBE sub-contractor 7. Proof of payment from the prime contractor to the DBE

5. When the contract is closed, an End-of-Contract Report Form F-4 must be submitted to the CITY OF ROCHESTER DBE liaison officer. The End-of-Contract Report Form F-4 must include all information mentioned above. This report will review final payments to all DBE sub-contractors to ensure that the actual amount paid to the DBE subcontractors equals or exceeds the dollar amounts stated above. All discrepancies must be noted and explained.

Payments: The prime contractor must pay subcontractors for satisfactory performance of their contracts no later than 30 days from the receipt of payment made to the prime by the City of Rochester.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

Prompt return of retainage payments from the prime contractor to the subcontractor(s) will be made within 30 days after the subcontractor’s work is satisfactorily completed.

Notifications: The contractor must promptly notify the City of Rochester, 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 City of Rochester.

City of Rochester DBE Liaison Officer Contact: Scott Retzlaff City of Rochester, Minnesota Department of Public Works 201 SE 4th Street, Room #108 Rochester, MN 55904 Phone: 507-328-2439 Fax: 507-328-2432 [email protected]

9. SUBCONTRACTS The City will consider proposals that use subcontractors for specific tasks. The same project schedule and basic requirements for submission of a proposal shall apply.

10. PROPOSAL EVALUATION RPT will evaluate all proposals based on the following criteria:

• Vendor’s qualifications, experience, references, reputation for reliability, service, and security • Program quality, features, system integration and ease of use for the conditions anticipated • Implementation Plan: delivery, installation, testing, and training schedule • Service, responsiveness, warranties, commitment to training • Pricing • Other criteria of information as the City may deem to be in its best interest

The Selection Committee shall review and rank proposals within two weeks of the submission deadline. The City may request interviews and/or presentations, and may solicit additional information from vendors submitting proposals, including financial information. We anticipate interviews to be scheduled between August 27 and September 2, 2015. Any requested

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

information must be provided to the City within three business days of request. The interviewees should be prepared to discuss security issues and backup procedures. The City may elect to solicit opinions from third parties regarding the vendor and the program proposed. The City may request the opportunity to review a program similar to the one proposed.

This RFP sets forth the minimum criteria that the City will consider. Additional suggestions and offerings may be made and will be given consideration and evaluation. Any such additional suggestions or offerings shall be listed in the Addendum section of the Proposal. The cost for all optional equipment and/or services proposed shall be detailed as an addendum to the proposal response.

The City reserves the right to: • Make all decisions regarding this procurement, including the right to decide whether a proposal does or does not comply with the requirements set forth in this RFP, as deemed in the nest interest of the City. • Accept, reject, or negotiate modifications in any terms of the vendor’s proposals or any part thereof. • Reject any and all proposals received. • Award a contract to a vendor with a higher cost if the vendor’s proposal ranks higher based on the evaluation criteria stated above

This RFP does not create any obligation on the part of the City to enter into any contract or undertake any financial obligation with respect to the proposal referred to herein.

The City will attempt to reach a contract with the first-ranked vendor. If negotiations with the first-ranked vendor fail, the City will proceed to negotiate with the next-highest-ranked vendor.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

City Contact

For further information contact:

Bryan Law, AICP Transit Planner City of Rochester, MN Public Works & Transit Operations Center 4300 East River Rd NE Rochester, MN 55906

[email protected] 507-328-2485

The City of Rochester reserves the right to accept or reject any or all proposals

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

Price Proposal Form

Price proposals should be completed using one of the following templates, based on whether the AVL system will be hosted or not. Price proposals should be submitted in a sealed envelope marked “Price Proposal,” separate from the main body of the proposal (price proposals can be in the same package as the hard-copy of the proposal, but sealed in a separate envelope). The Total Price should include all costs associated with this project, including all installation costs.

The Price Proposal Form should be filled out exactly as it appears, below; do not alter the layout of the form (except to add as many lines for optional items, if applicable, as are necessary). You may reconstruct the form in another file type (e.g., Microsoft Excel), but the finished form must look like the one presented here. Please feel free to submit with this form any additional pricing information for equipment or features not included in the Request for Proposals, but which may be of value to the City. If your proposal has multiple options with different costs, please fill out a form for each option. Please include a detailed breakdown of all costs, including installation costs, on a separate page.

Cost Summary (Hosted) Description (include Cost per Unit Number of Units Total Cost any warranties) Hardware Software (with free updates) Hosting (minimum 5 years) 1 unit = 1 year Communication Cost 1 unit = 1 month Technical Assistance and Report Writing (first year free) 1 unit = 1 year Training (indicate length of time in notes, below) Optional Items, if applicable (see Section 4) Total

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

Cost Summary (Non-Hosted) Description (include Cost per Unit Number of Units Total Cost any warranties) Hardware Software (with free updates) Communication Cost 1 unit = 1 month Technical Assistance and Report Writing (first year free) 1 unit = 1 year Training (indicate length of time in notes, below) Optional Items, if applicable (see Section 4) Total

Please use the space below, or additional sheets, to describe any clarifications of the above costs.

Rochester, MN, Automatic Vehicle Location System Request for Proposals – June 29, 2015

Submission Checklist

Two paper copies of the submitted proposal should include this checklist. Please initial each requirement and submit this sheet as a cover page for the proposal.

______Submission Checklist, all requirements initialed, attached as cover page on two paper copies of proposal ______One electronic version of the proposal (PDF format preferred) emailed to the City by 4:00 p.m., Central Time, August 3, 2015 ______Two paper copies of the proposal, sealed and clearly labelled “RPT AVL System Proposal” mailed to the City by 4:00 p.m., Central Time, August 3, 2015 ______Two paper copies of the pricing proposal, including the Price Proposal Form, sealed in their own envelopes and clearly labelled “Pricing Proposal” mailed to the City by 4:00 p.m., Central Time, August 3, 2015 ______Proposal, including: • project scope of work, based on the information outlined in this RFP • a plan and schedule for installing the equipment • a plan for testing the installed equipment • a plan for training RPT personnel in proper operation of the system • vendor qualification information • information on subcontractors (if applicable) • optional additions (if applicable) • exceptions (if applicable) ______Appendix A • 49 CFR Part 20 – Certification Regarding Lobbying form • Other forms resulting from the FTA Standard Clauses in Appendix A (if applicable) ______Appendix B • DBE Bidding Form • Form F-1 (if applicable) • Form F-2 (if applicable) • Form F-3 (if applicable)

APPENDIX A

FTA STANDARD CLAUSES PROFESSIONAL SERVICES

NO GOVERNMENT OBLIGATION TO THIRD PARTIES

(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 contract, 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 that 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 agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions.

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

(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 addition to other penalties that may be applicable, the Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal Government deems appropriate.

(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 in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the Federal Government deems appropriate.

(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 that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions.

ACCESS TO RECORDS AND REPORTS 49 U.S.C. 5325 18 CFR 18.36 (i) 49 CFR 633.17

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(i), the Contractor agrees to provide the Purchaser, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 C. F. R. 633.17 to provide the FTA Administrator or his authorized representatives including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 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 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 C.F.R. 19.48, Contractor agrees to provide the Purchaser, FTA Administrator, the Comptroller General of the United States or any of their duly authorized representatives with access to any books, documents, papers and record of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. 4. Where any Purchaser which is the FTA Recipient or a 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 of any of them for the purposes of conducting an audit and inspection.

5. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 6. The Contractor agrees to maintain all books, records, accounts and reports required under this contract for a period of not less than three years after the date of termination or expiration of this contract, except in the event of litigation or settlement of claims arising from the performance of this contract, in which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). 7. FTA does not require the inclusion of these requirements in subcontracts.

FEDERAL CHANGES 49 CFR Part 18

Federal Changes - Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, including without limitation those listed directly or by reference in the 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.

CIVIL RIGHTS REQUIREMENTS 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 CFR Part 1630, 41 CFR Parts 60 et seq.

Civil Rights - The following requirements apply to the underlying contract:

(1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49 U.S.C. § 5332, the 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.

(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 C.F.R. Parts 60 et seq., (which implement Executive Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e note), and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may in the future affect construction activities undertaken in the course of the Project. The 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 C.F.R. Part 1630, pertaining to employment of persons with disabilities. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue.

(3) The Contractor also agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.

DISADVANTAGED BUSINESS ENTERPRISE (DBE) 49 CFR Part 26

PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES

(1) Policy: It is the policy of the Department of transportation that disadvantaged business enterprises as defined in 49 CFR Part 26 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under the agreement. Consequently, the DBE requirements of 49 CFR Part 26 applies to this agreement.

(2) DBE Obligation: The recipient or its contractor agrees to ensure that disadvantaged business enterprises as defined in 49 CFR Part 26 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard all recipients or contractors shall take all

necessary and reasonable steps in accordance with 49 CFR Part 26 to ensure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of DOT-assisted contracts.

This project includes a DBE goal of 1.76%. An affidavit of DBE participation is provided with the bid package and must be submitted with supporting documentation with the bid.

INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS FTA Circular 4220.1E

Incorporation of Federal Transit Administration (FTA) Terms - The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT, whether or not expressly set forth in the preceding contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular 4220.1E, 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 (name of grantee) requests which would cause (name of grantee) to be in violation of the FTA terms and conditions.

ENERGY CONSERVATION REQUIREMENTS 42 U.S.C. 6321 et seq. 49 CFR Part 18

Energy Conservation - The contractor agrees to comply with mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act.

TERMINATION 49 U.S.C. Part 18 FTA Circular 4220.1E

a. Termination for Convenience (General Provision) The City of Rochester 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 (City of Rochester) to be paid the Contractor. If the Contractor has any property in its possession belonging to the (City of Rochester), the Contractor will account for the same, and dispose of it in the manner the (City of Rochester) directs.

b. Termination for Default [Breach or Cause] (General Provision) If the Contractor does not deliver supplies in accordance with the contract delivery schedule, or, if the contract is for services, the Contractor fails to perform in the manner called for in the contract, or if the Contractor fails to comply with any other provisions of the contract, the City of Rochester 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 supplies delivered and accepted, or services performed in accordance with the manner of performance set forth in the contract.

If it is later determined by the City of Rochester 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 City of Rochester , 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 (General Provision) The (City of Rochester ) in its sole discretion may, in the case of a termination for breach or default, allow the Contractor [an appropriately short period of time] 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 City of Rochester'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 (City of Rochester) setting forth the nature of said breach or default, City of Rochester shall have the right to terminate the Contract without any further obligation to Contractor. Any such termination for default shall not in any way operate to preclude City of Rochester 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 (City of Rochester ) elects to waive its remedies for any breach by Contractor of any covenant, term or condition of this Contract, such waiver by (City of Rochester ) shall not limit (City of Rochester )'s remedies for any succeeding breach of that or of any other term, covenant, or condition of this Contract.

e. Termination for Convenience (Professional) The (City of Rochester ), 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 City of Rochester shall be liable only for payment under the payment provisions of this contract for services rendered before the effective date of termination.

GOVERNMENT-WIDE DEBARMENT AND SUSPENSION

Suspension and Debarment This contract is a covered transaction for purposes of 49 CFR Part 29. As such, the contractor is required to verify that none of the contractor, its principals, as defined at 49 CFR 29.995, or

affiliates, as defined at 49 CFR 29.905, are excluded or disqualified as defined at 49 CFR 29.940 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 bidder or proposer certifies as follows :

"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion " (1) The contractor and any prospective lower tier participant or subcontractors certifies, by signing this contract, that neither it nor its "principals" [as defined at 49 C.F.R. § 29.105(p)] is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

The certification in this clause is a material representation of fact relied upon by City of Rochester. If it is later determined that the bidder or proposer knowingly rendered an erroneous certification, in addition to remedies available to City of Rochester, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. The bidder or 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 bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.

BUY AMERICA REQUIREMENTS 49 U.S.C. 5323(j) 49 CFR Part 661

The contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. Part 661, which provide that Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA-funded projects are produced in the United States, unless a waiver has been granted by FTA or the product is subject to a general waiver. General waivers are listed in 49 C.F.R. 661.7, and include final assembly in the United States for 15 passenger vans and 15 passenger wagons produced by Chrysler Corporation, and microcomputer equipment and software. Separate requirements for rolling stock are set out at 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11. Rolling stock must be assembled in the United States and have a 60 percent domestic content.

A bidder or offeror must submit to the FTA recipient the appropriate Buy America certification (below) with all bids or offers on FTA-funded contracts, except those subject to a general waiver. Bids or offers that are not accompanied by a completed Buy America certification must be rejected as nonresponsive. This requirement does not apply to lower tier subcontractors.

Certification requirement for procurement of steel, iron, or manufactured products.

Certificate of Compliance with 49 U.S.C. 5323(j)(1)

The bidder or offeror hereby certifies that it will meet the requirements of 49 U.S.C. 5323(j)(1) and the applicable regulations in 49 CFR Part 661.5.

Date ______

Signature______

Company Name______

Title ______

Certificate of Non-Compliance with 49 U.S.C. 5323(j)(1)

The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(1) and 49 C.F.R. 661.5, but it may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B), or 5323(j)(2)(D), and 49 C.F.R. 661.7.

Date ______

Signature ______

Company Name ______

Title ______

Certification requirement for procurement of buses, other rolling stock and associated equipment.

Certificate of Compliance with 49 U.S.C. 5323(j)(2)(C).

The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(2)(C) and the regulations at 49 C.F.R. Part 661.11.

Date ______

Signature ______

Company Name ______

Title ______

Certificate of Non-Compliance with 49 U.S.C. 5323(j)(2)(C)

The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11, but may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B), or 5323(j)(2)(D), and 49 C.F.R. 661.7.

Date ______

Signature ______

Company Name ______

Title ______

CONTRACT DISPUTES OR BREACHES

Disputes. Disputes arising in the performance of this Contract which are not resolved by agreement of the parties shall be decided in writing by the authorized representative of the City. 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 City. 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 City shall be binding upon the Contractor and the Contractor shall abide by the decision.

Performance During Dispute. Unless otherwise directed by the City, the 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 its employees, agents or others for whose acts he 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 of damage.

Remedies. Unless this contract provides otherwise, all claims, counterclaims, disputes and other matters in question between the City 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 City is located.

Rights and Remedies. The duties and obligations imposed by the Contract Documents and the rights and remedies available there under shall be in addition 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 City, its Architect or Contractor 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 there under except as may be specifically agreed in writing.

RESTRICTIONS ON LOBBYING

Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act of 1995, P.L. 104-65 [to be codified at 2 U.S.C. & 1601, et seq.] - Contractors who apply or bid for an award of $100,000 or more shall file the certification required by 49 CR 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 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 bid package includes a certification regarding lobbying that must be signed and submitted with the bid.

CLEAN AIR 42 U.S.C.. 7401 et seq 40 CFR 15.61 49 CFR Part 18

Clean Air. (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. §§704 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.

(2) The Contractor also agrees to include these requirements in each subcontract exceeding $100,000 financed in part with Federal assistance provided by FTA.

CLEAR WATER REQUIREMENTS 33 U.S.C. 1251

Clean Water. (1) The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et 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 appropriate EPA Regional Office.

(2) The Contractor agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA.

CARGO PREFERENCE REQUIREMENTS 46 U.S.C. 1241 46 CFR Part 381

Cargo Preference - Use of United States-Flag Vessels - The contractor agrees: a. to use privately owned United States-Flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to the underlying contract to the extent such vessels are available at fair and reasonable rates for United States-Flag commercial vessels; b. to furnish within 20 working days following the date of loading for shipments originating within the United States or within 30 working days following the date of leading for shipments originating outside the United States, a legible copy of a rated, "on-board" commercial ocean bill-of -lading in English for each shipment of cargo described in the preceding paragraph to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590 and to the FTA recipient (through the contractor in the case of a subcontractor's bill-of-lading.) c. to include these requirements in all subcontracts issued pursuant to this contract when the subcontract may involve the transport of equipment, material, or commodities by ocean vessel.

FLY AMERICA REQUIREMENTS 49 U.S.C. § 40118 41 CFR Part 301-10

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 any sub-recipients 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 or memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate 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.

RECYCLED PRODUCTS 42 U.S.C. 6962 40 CFR Part 247 Executive Order 12873

Recovered Materials - The contractor agrees to comply with all the requirements of Section 6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the procurement of the items designated in Subpart B of 40 CFR Part 247.

APPENDIX A, 49 CFR PART 20--CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans and Cooperative Agreements (To be submitted with each bid or offer exceeding $100,000)

The undersigned [Contractor] certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into any cooperative agreement, and the extension, 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 From--LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions as amended by “Government wide Guidance for New Restrictions on Lobbying,” 61 Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104-65, to be codified at 2 U.S.C. 1601, et seq. (3) The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, U.S.C., 1352 {as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. [Note: Pursuant to 31 U.S.C., 1352(c)(1)-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or failure.]

The Contractor,______, certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C., 3801, et seq., apply to this certification and disclosure, if any.

______Signature of Contractor’s Authorized Official

______Name and Title of Contractor’s Authorized Official

______Date

APPENDIX B

DBE BIDDING FORM

This affidavit must be included with the bid. If the bidder fails to accurately complete and submit this affidavit as required, the bid shall be deemed not responsive.

In connection with the bid submitted I affirm the following DBE participation (PLEASE CHECK ONLY ONE):

☐Our Company has met the overall certified Disadvantaged Business Enterprise (DBE) participation goal of 1.76 percent (%). Our Company’s DBE goal for this contract is: ______percent (%). I agree that the DBE firms listed in our company’s DBE Participation Schedule Form F-1 will be used to accomplish the DBE participation goal for this Contract for at least the dollar amounts set forth therein. The DBE Participation Schedule Form F-1 must show the following: • Names, addresses, and contact names of all MN certified DBE’s that will be participating in this contract. • A specific description of the work each DBE will perform • The dollar amount of the participation of each DBE firm participating

I have attached written confirmation from each of the DBE’s listed on the DBE Participation Schedule Form F-1 indicating that they are participating in the Contract as provided. OR

☐ I conclude that I am unable to achieve the DBE participation goal of 1.76%.

Our Company’s DBE goal for this contract is: ______percent (%). I hereby request a waiver of the overall goal. I have attached the following items as evidence of our Company’s good faith effort to attempt to achieve the DBE participation goal of 1.76%. I have attached the Certification of Good Faith Efforts Form F-2 that shows the following: a. Documentation showing efforts used to identify and solicit of DBE’s, including written solicitations (with bidding instructions). b. Selecting portions of the work to be performed by DBE’s c. Providing interested DBE’s with plan information and specification in a timely manner d. Documenting evidence of DBE negotiations

In the solicitation of subcontract quotations or offers DBE firms were provided not less than the same information and amount of time to respond as were non-DBE firms.

I solemnly affirm under the penalties of perjury that the information in this affidavit is true to the best of my knowledge, information and belief.

______Company Name Signature of Representative ______Address Printed Name and Title ______City, State and Zip Code Date

Form F-1 Participation Schedule

Firm Completing this Schedule Date

Project Name Goal

Total DBE Commitment $

List all quotes of DBE's that will be participating on the project. Include Sub contractors, Suppliers, Sub-consultants & Service providers

Name and contact information of DBE Phone Description of Work Dollar Amount of Quote

If you have any questions, please contact: Scott E. Retzlaff Parking and Transit Assistant City of Rochester, Minnesota Department of Public Works 4300 East River Road NE Rochester, MN 55906 Phone: 507-328-2439 Fax: 507-328-2432 [email protected]

Form F-2 Certification of Good Faith Efforts

Firm Completing this Schedule Goal

Total DBE Commitment $

LIST YOUR ATTEMPTS TO SOLICIT BIDS FROM DBE SUBCONTRACTORS, SUPPLIERS, AND SERVICE PROVIDERS Dates, Method of Contact Dollar DBE? Amount of Subcontractor/Supplier/Service Provider (y) (n) Phone Letter Phone Description of Work Quote

Monthly DBE Reporting Form - Form F-3 Firm Completing this Schedule Date Project Name List all DBE's that were paid during the reporting period. Include Sub contractors, Suppliers, Sub-consultants & Service providers Dollar Amount Amount Paid Name and contact information of DBE Phone Description of Work of Quote DATE Amount Paid to Date

End of Contract Report - Form F-4 Firm Completing this Schedule Date Project Name List all DBE's that were paid during the ENTIRE CONTRACT. Include Sub contractors, Suppliers, Sub-consultants & Service providers Dollar Amount of Name and contact information of DBE Phone Description of Work Quote Total Amount Paid