RFP 16-01-225 Fare Ticket Media
RFP #16-01-225 Fare Ticket Media
January 25, 2016
INDIANAPOLIS PUBLIC TRANSPORTATION CORPORATION
1501 WEST WASHINGTON STREET
INDIANAPOLIS IN 46222
Phone: (317) 635-2100
Fax: (317) 266-9163
General Guidelines:
This document is intended to assist prospective proposers in successfully making a
proposal for the work contemplated herein. Proposers are strongly encouraged to read
the entire document very carefully.
 All attachments must be filled out completely. Federal and state regulations
mandate that all attachments be submitted.
 If an attachment does not apply to your business or proposal, mark the form “Not
Applicable”. Sign and date such attachments.
 IPTC reserves the right to waive any irregularities and/or reject any and all
responses to this solicitation.
 IPTC is under no obligation to award a contract to any firm responding to this
solicitation and reserves the right to withdraw any award notification made before
entering into a contract.
 IPTC demonstrates a continued commitment to the success of minority, women, veteran
and disability-owned (MBE, WBE, VBE, DOBE) businesses in Indianapolis by promoting
contracting opportunities for vendors certified by the City of Indianapolis Division of
Minority- Owned and Women Owned Business Enterprises (DMWBD) within public
transit. The program is designed to ensure an equal opportunity for MBE, WBE, VBE
and DOBE vendors to receive and participate in contracts that are presented through
competitive solicitations and are without a Federal Disadvantaged Business Enterprise
(DBE) participation requirement.
 If there is any evidence or indication that two or more bidders are in collusion to restrict
competition or are otherwise engaged in anti-competitive practices, the submission of all
such bidders shall be rejected, and such evidence may be a cause for disqualification of
the participants in any future solicitation undertaken by IPTC.
 When in doubt contact IPTC’s Procurement Department at [email protected]
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PROCUREMENT SCHEDULE
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Solicitation Release
February 1, 2016
PRE-BID Meeting
February 11, 2016
2:30 PM
Written Questions Due
February 17, 2016
12:00 Noon
Answers to Written Questions
February 23, 2016
Proposal Due Date
March 8, 2016
10:00am
IPTC Board Meeting
March 24, 2016
5:00pm IPTC Board Room
RFP 16-01-225 Fare Ticket Media
INDIANAPOLIS PUBLIC TRANSPORTATION CORPORATION
TABLE OF CONTENTS
SECTION 1: Introduction & Statement of Work
1.1 Introduction
1.2 Project Schedule
1.3 Scope of Work
1.4 Award of Contract
1.5 Commitment to Diversity and Equal Opportunity
SECTION 2: Vendor Instructions
2.1 Notice to Vendors
2.2 Required Responses
2.3 Limitation of Responsibility
2.4 Vendor Warrants & Sub-Contractor Restrictions
2.5 Responsiveness & Responsibility Definitions
2.6 Taxes
2.7 Independent Contractor
2.8 Contract Required
2.9 Federal Regulations
2.10 Failure to Supply
2.11 Notary Seals
2.12 Bid and Contract Procedures
2.13 Protest Policy
2.14 Responses
2.15 Required Submissions
Required Certifications
SECTION 3: Federal Clauses and IPTC Clauses
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SECTION 1
INTRODUCTION & STATEMENT OF WORK
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Section 1.1 INTRODUCTION
History:
The Indianapolis Public Transportation Corporation (IPTC) is a Municipal Corporation as defined by the
Urban Mass Transportation Act of 1965, adopted in 1965 by the Indiana General Assembly. In 1973, the
company was chartered by the city ordinance to provide public transportation for the City of
Indianapolis, Marion County, the Town of Speedway and the City of Beech Grove. IPTC is lead by a 7member Board of Directors. Funding is derived from multiple sources including Federal Assistance (FTA),
State Funds (Public Mass Transit Funds, state sales tax), Local Funds (Marion County Property Tax) and
Passenger Fare Revenue. The majority of IPTC employees are members of the Amalgamated Transit
Union (ATU). IPTC has more than 500 employees and its annual operating budget is approximately $65
million.
IPTC functions on an operational basis under the Rules and Regulations of the United States Department
of Transportation (USDOT) through the Federal Transit Administration (FTA), applicable Indiana statutes
and the ordinances and regulations established by the Indianapolis, Marion County City Council as well
as its Board of Directors.
Project Overview:
IPTC uses a magnetic fare ticket as a method of simplifying the use of the transit system and lessen the
need for customers to carry exact fare amounts. Since 2006 IPTC has relied upon an electronic fare
collection system to provide this medium for Indy Go riders. IPTC currently operates a fare collection
system manufactured by GFI Genfare Inc (GFI). The system uses a proprietary format on media shape,
design and magnetic coding in the execution of ride validation and accounting. This RFP will establish
rates for the procurement of the required manufacturer recommended ticket type in multiple
configurations. Specifications are provided as Attachment A.
Term of Engagement:
Two (2) year contract with three one (1) year options.
History of the Service:
Electronic Data Magnetics, Inc has provided the fare media since 2006.
1.2 PROJECT SCHEDULE
Solicitation Submittal:
All Proposals and copies must be submitted no later than 10:00am EST on March 8, 2016. Any
proposal submitted after this date and time will be returned un -opened. Proposals should be
labeled with “RFP #16-01-225 Fare Ticket Media” and sent to the attention of IPTC
Procurement Department.
Bidding Schedule:
02.01.2016 Bid Documents released
02.11.2016 Pre-Proposal Meeting in IPTC Board Room at 2:30pm
02.17.2016 Written Questions from vendors due by 12:00pm
02.23.2016 Responses to written questions posted by 3:00pm
03.08.2016 Proposal packages due to IPTC Procurement no later than 10:00am
03.14.2016 Interviews for potential vendors at 1:00pm by invitation
03.24.2016 Award determination at IPTC Board meeting at 5:00pm in IPTC Board Room
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Any alterations to the forms contained in the RFP or failure to submit all certifications referenced may
result in the proposal being declared as non-responsive.
Under no circumstance will any Proposal be accepted later than the time or date detailed or at any
other location than that specified. This restriction is absolute and includes, but is not limited to, failure
of a private delivery service or the United States Postal Service to deliver documents in a timely or
scheduled manner. No response will be accepted that is not in the hard copy format. Electronic
(email/fax) responses are not valid for this RFP solicitation.
Any information given to a prospective Bidder concerning the RFP will be furnished to all prospective
bidders as an addendum that will be posted on www.indygo.net February 23, 2016. Receipt of an
addendum by a Bidder must be acknowledged on the acknowledgement form.
Pre-Proposal Meeting:
The purpose of this meeting is to review procurement procedures and to answer questions related to
the proposal process. Please note that the answers given in this meeting are not the official IPTC
response. All questions, comments, and/or concerns requiring official answers must be submitted in
writing.
1.3 SCOPE OF WORK
General Information
IPTC is seeking a vendor that is able to accommodate the following:
1. Print all quantity of media within provided specifications (Attachment A)
2. Print media with agency approved graphic design on either or both sides (as specified by the agency)
3. Number Media (if applicable) with specific agency supplied data (within overall technical
requirements associated with the specific fare collection equipment manufacturer)
4. Submit graphic proof to procuring agency for review and approval before proceeding to mass
production
5. Submit samples of encoding media to procurement agency for review, test and approval before
proceeding to mass production.
6. Submit samples of encoded media to procuring agency for review and approval before proceeding to
mass production
7. Package finished products as directed by the procuring agency
8. Ship completed product as directed by the procuring agency
1.4 AWARD OF CONTRACT
Bonds, Insurance and Special Requirements
Firms are required to provide insurance pursuant to the terms and conditions and in the amounts
provided within Article VIII in the standard IPTC professional services contract attached herein to this
solicitation. Copies of the following certificates of insurance shall be returned with the proposal:
- Worker’s Compensation
- General Liability
- Professional Liability
Please include a copy of your statement of liability insurance with your proposal.
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Evaluation
Evaluation Process:
This is a Best Value Procurement where IPTC reserves the right to select the most advantageous offer
by evaluating and comparing all factors as listed in evaluation criteria below. IPTC will appoint an
evaluation team consisting of IPTC employees and/or IPTC contracted employees. Each member of
the team will be given a copy of the RFP as well as proposals found to be responsive and
responsible. The team will evaluate each proposal against the RFP evaluation criteria. The top rated
firms may be asked to come in and present their proposals. After the presentations, the firms will
be evaluated and ranked again.
Phase I Preliminary Proposal Assessment – Proposals will be checked for compliance with and
adherences to all submittal requirements requested in Section 2.2 Required Responses by the
Procurement department. Proposals which are incomplete and missing key components
necessary to fully evaluate the Proposal will be rejected from further consideration due to nonresponsiveness.
IPTC will not contact/inform vendors of missing documentation nor allow vendors to submit
documentation after the proposal due date and time.
It is the vendor’s sole responsibility to check its bid for completeness before submitting it.
Proposals found to be responsive and responsible will proceed to Phase II.
Phase II Proposal Evaluation – Proposals found to be responsive and responsible will be
forwarded to the Evaluation Committee (EC). The EC will evaluate the extent to which the
respondent’s proposal meets the project requirements set forth in the RFP. Phase II will include
a detailed analysis of the proposals based upon the evaluation criteria as listed below.
As part of the evaluation process the EC will review the information required by Section 1.3
Scope of Work for each proposal. The EC may also review any other information that is available
to it, including but not limited to information gained by checking references and by investigating
the respondent’s financial condition.
The EC will also review the availability and use of vendors certified with the City of Indianapolis
DMWBD for services in this solicitation in the IPTC commitment to diversity described in section
1.5.
IPTC reserves the right to seek clarification of any information that is submitted by any
respondent in any portion of its proposal and/or to request additional information at any time
during the evaluation process. Any material misrepresentation made by a respondent may void
the proposal and eliminate the respondent from further consideration.
Phase III Vendor Presentation / Interview – If needed separate interviews, at IPTC’s
discretion, will be arranged with the top proposers identified in Phase II Proposal
Evaluation. Upon completion of the interview process, the Proposer’s will be evaluated
again (Final Evaluation). Evaluation Criteria for the section will be provided only to those
vendors invited to present/interview. The top ranked Proposer will be will be selected for
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contract award.
Solicitation Evaluation Criteria: Listed in order of importance
 Cost proposal/Quantity Discounts -- provided detailed bid offer cost form.
 Production/Delivery Lead Times -- Ability to provide specified products; quality of products and
production and delivery timelines.
 Security Features –
 Diversity Commitment -- Availability and use of vendors certified with the City of Indianapolis
DMWBD. Evaluation of accurate completion of diversity forms, the verified attempts/contacts
made in relation to this solicitation, percentage of participation contracted for this scope of
work.
Evaluation Methodology
Each criterion shall be evaluated equally as follows:
o
Acceptable - The proposal is adequately responsive with no weaknesses or only minor
weaknesses to diminish the quality of the offerors performance. No major weaknesses
noted.
o
Marginal - Fails to meet evaluation standard, however, any noted weakness are
correctable, lacks essential information to support proposal.
*Several marginal ratings may result in an overall rating of unacceptable
o
Unacceptable - The proposal is not adequately responsive or does not address the
specific factor. The offerors interpretation of IPTC requirements is superficial,
incomplete, vague, not comprehensive, or incorrect and therefore deemed
unsatisfactory.
*A rating of unacceptable indicates that an evaluator feels that mandatory corrective
action would be required to prevent significant weaknesses from affecting the overall
contract effort. In essence a complete rewrite of the offerors proposal would be required.
Federal Participation: (If applicable)
IPTC is a recipient of Federal Funding through the Federal Transit Administration of the United States
Department of Transportation.
Reserved Right:
IPTC reserves the right to withdraw this solicitation at any time in the process prior to contracting
upon notification to all vendors in receipt of the solicitation documents by fax, letter or email to their
last known business address. If such action is taken by IPTC, no vendor will have claim for recompense.
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1.5 DIVERSITY COMMITMENT AND EQUAL OPPORTUNITY
It is the policy of the IPTC to commit to the success of minority, women, veteran and
disability-owned (MBE, WBE, VBE, DOBE) businesses in Indianapolis by promoting
contracting opportunities for vendors certified by the City of Indianapolis Division of
Minority-Owned and Women Owned Business Department (DMWBD). IPTC has
established MBE participation goals of 15%, WBE participation goals of 8%, VBE
participation goals of 3%, and DOBE participation goals of 1% for its dollars spent on
public works, goods, and services.
In order to help accomplish this goal, the IPTC is requesting that you include with your
response information regarding your status as an MBE, WBE, VBE, or DOBE.
Additionally, please include contact information for any MBE, WBE, VBE, or DOBE
owned Vendors directly participating in your business operations. We ask that you
include legal advertisements, email messages, pre-bid sign in sheets, as well as any
documented correspondence demonstrating good faith effort in meeting the diversity
goal of the solicitation. The IPTC also requests contact information for any MBE, WBE,
VBE, or DOBE sub-contractors that you might use in the course of doing business with
the IPTC. Some examples of this kind of service include, but are not limited to: office
suppliers, courier services, shipping services, etc. These services can occur at the
local, state, or national level. Please include an estimated percentage or dollar amount
that you anticipate using.
Be advised that the information provided on MBE/WBE/VBE/DOBE participation will be
included as part of the scoring criteria for this solicitation. Accordingly, it is imperative
that you do everything possible to obtain the information above and supply it as part of
the Proposal.
For information on IPTC’s commitment to diversity and equal opportunity
procurement program, please contact IPTC Procurement Department at
317.614.9281.
In order to be recognized by the City of Indianapolis/Marion County as an
MBE/WBE/VBE/DOBE participant, your company must be certified with the
Department of Minority &Women Business Development (DMWBD). The IPTC will
recognize only City of Indianapolis certified firms regardless of any other state or
national affiliation.
If you should need assistance in obtaining information or certification for possible
participation in a contract, please contact the DMWBD on the Internet at
http://www.indy.gov/eGov/City/DMWBD/MBE-WBE-VBE/Pages/Certification.aspx
or by phone at (317) 327-5262. Respondents can view a list of City DMWBD
approved MBE/WBE/VBE vendors by going to this web page:
http://www.indy.gov/eGov/City/DMWBD/MBE-WBE-VBE/Pages/VendorProfile.aspx
and selecting the appropriate “Vendor List”.
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SECTION 2.0
VENDOR INSTRUCTIONS
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Section 2.0 Vendor Instructions
2.1 Notice to Vendors
Vendors are furnished the following instructions to clarify conditions for work, development
and presentation of offers, clarification of contents, review of concerns, and other pertinent
information from which knowledge of preparing and offering a responsible and responsive
offer may be developed.
All forms required in the certification pages must be completed to include signatures or the
proposal will be considered as non-responsive.
2.2 Required Responses
The following items are listed as required. Failure to include them in your submission will
cause your proposal to be ruled non-responsive.
 All certifications contained in the package
 3 professional references including contact information, names, email, and phone
 Certificate of Liability Insurance (see section 1.4 Bonds, Insurance, and Special
Requirements)
 Technical Proposal
 Cost
o Bid Cost Offer Form
o Any supporting documentation
 Production/Delivery
 Security
 Diversity Commitment
o Any additional/supporting documentation
2.3 Limitation of Responsibility
IPTC is not responsible, and will not accept any responsibility, for the cost incurred by any
vendor in the specific preparation or the associated activities aiding in the preparation of
any offer.
IPTC is not responsible to return to any vendor the offer submitted to IPTC as a response
to this solicitation.
2.4 Vendor Warrants and Sub-Contractor Restrictions
Vendor will warrant that all information provided by it in connection with this offer is true
and accurate, and that the vendor by virtue of its submission is capable of supplying all
work requested herein without brokering or delegating to a third party.
Vendor will warrant that it will not delegate or sub-contract its responsibilities under the
Agreement beyond the level revealed in the solicitation without the prior written permission
of IPTC.
2.5 Responsiveness and Responsibility Definitions
All offers must be responsible and responsive.
Definition of responsive for submitting parties to this solicitation:
All certifications and forms blanks must be filled in, all offered goods and/or services must
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conform with the Statement of Work requested, unless an alternate but equal
request has been submitted for approval; and all information required in the request for
submissions documents must have been completed and submitted in a sealed
envelope to conform with the definition of the term, responsiveness. Any alteration,
erasure, or interlineations of the document may cause the submission to be determined
as non-responsive. However, IPTC reserves the right to accept any offer or to reject
any and all offers, or to waive any defect or irregularity found in any offer.
Definition of responsible for the submitting parties to this solicitation:
IPTC may consider among other factors, the Contractors record of integrity, experience,
and past performance, its financial status, the capability to perform the project as stated, or
whether the vendor is in default of any contract or other obligation to IPTC, the Federal,
State or Local Government(s). In arriving at a determination, IPTC may institute a preaward survey on any or all vendors. Vendors will be required to cooperate with the preaward survey team. Failure to cooperate may result in a finding of non-responsibility.
2.6 Taxes
IPTC is tax exempt from Federal and State excise, use, and sales taxes.
2.7 Independent Contractor
The successful vendor shall be considered, and shall accept status as being that of an
“Independent Contractor” to IPTC, and shall recognize that they are not an employee or
officer of the Corporation.
2.8 Contract Required
IPTC’s drafted Materials and Supplies Contract has been included as Section 3. The
vendor MUST include notification with their response of any exception taken to the
contract provisions. Failure to provide exceptions shall result in the mandatory
acceptance of the contract provisions as submitted herein by default.
*IPTC is aware that all clauses contained in the attachment may not be applicable to this
solicitation. They are provided to give potential vendors an idea of the types of legal State
and Federal clauses that required in IPTC contracts.
2.9 Federal Regulations
Federal Procurement Regulations establish certain submissions be required from any third
party contract IPTC enters into with any vendor. In order that IPTC may be compliant with
the Federal Requirements of FTA Circular 4220.1F, each vendor is required to complete
and submit as a part of the offer package, completed certifications as defined in this
section.
2.10 Failure to Supply
Failure to supply the required certifications shall result in the determination of the offer as
“Non-Responsive”.
2.11 Notary Seals
Any certification requiring a Notary Public Seal, must be sealed in the package marked
“Original”, and may be copied in the subsequent number of offer packages required.
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2.12 Bid and Contract Procedures
IPTC reserves the right, when necessary, to postpone the times at which Bid Offers are
scheduled to be received and opened, and to amend the Solicitation scope of work. Prompt
notification of such postponement or amendment shall be given by IPTC to all prospective
bidders who have requested or received the solicitation documents.
If the work is amended, any responder from whom an offer had been received prior to the
giving notice of amendment will be entitled to withdraw the submission and resubmit their
response in conformance with the changed work.
Where manufacturers, brands, names, model numbers, processes, or other specific items
are mentioned in the Scope of Work (Section 2), the words, “Or approved equal” shall be
deemed to follow. All items must be furnished as specified unless a responder requests
and receives permission to substitute an approved equal. Each request must be made in
writing and received at the IPTC Purchasing Department offices during business hours, not
less than five (5) working days before the date upon which the submissions are to be
opened. Each request is to be accompanied by such samples, technical data, test results,
or other information as necessary to demonstrate that the substitute requested is equal to
or better than the item that is specified in the Statement of Work. IPTC will give prompt
written notice of its response to each submitted request. The decision of IPTC as to the
acceptability or non-acceptability of the requested substitution will be at its sole discretion
and shall be final and non-arbitral.
Submittals must be placed in an envelope, marked clearly with the number assigned to the
solicitation by the responder before submission to the Purchasing offices. All submissions
must be received at the Purchasing Department Office of IPTC located at 1501 West
Washington Street, Indianapolis, IN 46222, no later than the date and the time shown in
the Schedule of Procurement.
Upon receipt, all submissions shall be date and time stamped. Any submittal received after
the time and date specified in this offer, or any amendment thereto, will be returned
unopened. No late submission will be considered in the selection process regardless of
reason for lateness, including delays by the United States Postal Service.
All submissions received on time will be recorded. Submitted terms and conditions must be
guaranteed for a term of not less than sixty (60) days, or until Board action (if required)
whichever is longer. IPTC reserves the right to reject any and all submissions at any time in
the procurement process prior to final contract execution. IPTC will examine each offer to
determine if the responder was responsive to the solicitation, and if the vendor is a
responsible vendor and able to fulfill any potential award.
2.13 Protest Policy
Protest(s) will only be accepted by IPTC’s Director of Procurement from officers of a
business whose direct economic interest would be affected by the award of a contract or
the refusal to award a contract. The Director of Procurement will consider all such
protests, whether submitted before or after the award of such a contract. If oral objections
are raised and the matter cannot be resolved to the satisfaction of the objector, a written
protest shall be required before any further consideration is given. Protest(s) submissions
should be concise, logically arranged, and state clearly the grounds for protest.
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For more detailed information on IPTC Protest policy and procedures please visit IndyGo
website at the link provided below.
http://www.indygo.net/business/procurement/procurement-regulations
2.14 Responses
All responses should include one (1) electronic copy along with one (1) original and four (4)
copies of typewritten, one sided, on 8 ½ x 11 format and submitted in a 3-ring binder or
pronged folder and should be properly identified by the name of respondent and marked
with “RFP 16-01-225 Fare Ticket Media” The Project Manager’s contact information
should be listed and easily identifiable. Contact information should include a valid phone
number and an active email address. Boilerplate, glossy, and unnecessarily elaborate
proposals are neither expected nor desired. The emphasis of the submission should be in
responding to the requirements set forth herein.
2.15 Required Submissions
The following pages of certifications must be completed and returned with your offer. Some
portion of these required certifications may/will not be applicable to the contents of the
statement of work that is attached to and made a part of this solicitation. However, the offer
submitted must contain completed, signed, and sealed (if required) documents. If the
document is not applicable, write “N/A” on the face of the document and sign in the
appropriate area.
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BUY AMERICA CERTIFICATION
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[49 CFR, Part 661]
Buy America - 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
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Title
DBE PARTICIPATION FORM
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IPTC has set the following DBE goal for this Solicitation: 0%
Bidder must check the appropriate box, provide the information requested, sign and submit this form
with its Proposal. Failure to complete and submit this form may result in rejection of the Proposal as nonresponsive.
[ ] Bidder will meet the DBE goal for this contract. Bidder is certified according to requirements of
DOT 49 C.F.R. Part 26 as a DBE eligible for participation in DOT assisted contracts, and will be
performing
percent (%) of the contract work.
[ ] Bidder will meet the DBE goal for this contract. If awarded this contract, Bidder will subcontract
with the DBE(s) listed below which will be performing a ____ percent(%) of the total dollar amount of
contract work. Each DBE listed below is certified according to requirements of DOT 49 C.F.R. Part 26 for
participation in DOT assisted contracts.
DBE Name
DBE Address
Scope of Services
Total Dollar
Amount
Percent of Total
Contract
A letter of commitment from each DBE listed above shall be submitted with the Proposal. The
letter of commitment is a signed letter, on company letterhead, from the DBE that serves as
acknowledgment from the DBE of their level of participation in this solicitation. The dollar amount
of the commitment, the scope of service or product to be provided and the applicable NAICS code(s)
shall be included in the letter.
[ ] Bidder does not meet the DBE goal for this contract. Bidder certifies that it has made good faith
efforts in accordance with the Invitation for Bid to meet the DBE goal but, despite those efforts, has
been unable to meet the goal. Bidder has completed The Good Faith Efforts Documentation
Form attached to this Participation Form. Record any DBE participation achieved in the above
table and include a letter of commitment from each DBE.
Date:
Printed Name:
Signature:
Title:
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DBE GOOD FAITH EFFORTS DOCUMENTATION FORM
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DBE GOAL: 0%
If Bidder has indicated on the DBE Participation Form that it does not meet the DBE goal, Bidder must
submit this form with its DBE Participation Form as documentation of its good faith efforts to meet the
goal pursuant to 49 C.F.R. Part 26.53. Failure to submit this form and supporting documentation with
the Bid may render this Proposal non-responsive.
Good faith efforts include, but are not limited to:
(1) Soliciting DBEs through all reasonable and available means (e.g. – conducting market research,
attendance at pre-bid meetings, advertising and/or written notices) and following up on initial
solicitations. The bidder must solicit this interest within sufficient time to allow the DBEs to
respond to the solicitation. The bidder must determine with certainty if the DBEs are interested
by taking appropriate steps to follow up initial solicitations.
(2) Selecting portions of work to be performed by DBEs in order to increase the likelihood of DBE goal
achievement (e.g. – breaking out contract work items into economically feasible units, even when
the performance of work with vendor’s own forces might otherwise be preferred).
(3) Providing interested DBEs with adequate information about the plans, specifications and
requirements of the contract in a timely manner to facilitate their response to the solicitation.
(4) Negotiating in good faith with interested DBEs. It is the bidder’s responsibility to make a portion
of the work available to DBE subcontractors and suppliers and to select those portions of the work or
material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE
participation. Bidders must provide evidence as to why agreements could not be reached for DBEs to
perform the work.
(5) Not rejecting DBEs as being unqualified without sound reasons based on a thorough
investigation of their capabilities.
(6) Making efforts to assist DBEs in obtaining bonding, lines of credit or insurance.
(7) Making efforts to assist interesting DBEs in obtaining necessary equipment, supplies, materials or
related assistance or services.
Note that the fact that there may be some additional costs involved in finding and using DBEs is not in itself
sufficient reason for a bidder’s failure to meet the contract DBE goal, as long as such costs are reasonable.
Prime contractors are not required to accept higher quotes from DBEs if the price difference is excessive
or unreasonable. The fact that a bidder may perform 100% of the work with its own workforce is not
sufficient justification to fail to negotiate with DBEs or not to meet the DBE participation goal.
I.
A Bidder representative attended the pre-bid meeting: Yes
17
No
RFP 16-01-225 Fare Ticket Media
II.
Advertisement Log: (Attach copies of ads)
Newspaper / Publication
Type of Publication
Minority/General/Trade
Date(s) of Advertisement
III. Selected Portions of the Work to be Performed by DBEs:
Work Categories
Type of Bid
(Sub or Supplier)
Bidder’s Estimated
Budget
Additional Comments
IV.
Made efforts to assist interested DBEs in obtaining bonding, lines of credit, insurance or any necessary
equipment, supplies and materials, etc. List any specific offers made by Bidder:
V.
Solicited the following DBEs:
DBE Firm and Address
VI.
Type of Contact
Date of Initial
Contact
Goods or Services
Requested
Bidding?
Yes/No
Reason for No-Bid
Followed up with initial contacts:
DBE Firm
Date
DBE Phone #
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RFP 16-01-225 Fare Ticket Media
VII.
Negotiated with DBEs in good faith. If one or more DBEs submitted a bid and an agreement could not be
reached, please explain why. If a non-DBE subcontractor was selected over a DBE for work on the
contract, copies of each DBE and non-DBE subcontractor quote submitted to the bidder must be
submitted to IPTC as documentation of good faith efforts pursuant to 49 CFR 26.53 (b)(2)(vi).
DBE Firm Submitting Bid
Price Quote
Explanation
PLEASE INCLUDE BELOW OR ATTACH ANY ADDITIONAL INFORMATION TO SUPPORT A DEMONSTRATION OF GOOD
FAITH EFFORTS:
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RFP 16-01-225 Fare Ticket Media
DBE firms are certified by the Indiana Department of Transportation (INDOT). A current listing of certified firms
with contact information is available online. For more information about DBE firms and certification requirements,
please see http://www.in.gov/indot/2748.htm.
As a recipient of federal funds, IPTC has the responsibility to make a fair and reasonable judgment as to whether a
bidder that did not meet the goal made adequate good faith efforts. IPTC will consider the quality, quantity and
intensity of the different kinds of efforts that the bidder has made, based on federal regulations and guidance. IPTC also
reviews and compares the performance of other bidders in meeting the contract goal. The efforts employed by the
bidder should be those that one could reasonably expect a bidder to take if the bidder were actively and aggressively
trying to obtain DBE participation sufficient to meet the goal. Mere pro forma mailings to DBEs requesting bids are not
alone sufficient to satisfy good faith efforts under the regulation. A promise to use DBEs after contract award is not
considered responsive to the contract solicitation or to constitute good faith efforts.
If you have further questions, please contact:
Jennifer Bruner
IPTC DBE Liaison Officer
Phone: (317) 614-9272
E-mail: [email protected]
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RFP 16-01-225 Fare Ticket Media
CERTIFICATE OF PROCUREMENT INTEGRITY
(MUST BE RETURNED WITH YOUR OFFER)
I, _______________________________________________________, am the officer or designated employee
responsible for the preparation of this proposal offer and hereby certify that to the best of my knowledge and
belief, with the exception of any information described below on this certificate, have no information concerning
a violation or possible violation of Section 27 (a), (b), (c), or (e) of the FPPA * (41 USC 23) as implemented in
the FAR, occurring during the conduct of this procurement.
As required by Subsection 27 (d) (1) (B) of the FPPA, I further certify that each officer, employee, agent,
representative, and/or consultant of:
______________________________________________________________________
(Insert firm’s name)
Who has participated personally and substantially in the preparation or submission of this offer, has certified
that he/she is familiar with, and complied with, the requirements of Subsection 27(a) concerning any violation
or possible violation of the FPPA, pertaining to this document.
List violations or possible violations (enter “NONE” if none exist):
________________________________________________________________________________________
________________________________________________________________________________________
________________________________________________________________________________________
________________
_____________________________________
Signature of Responsible Officer or Employee
Date_____________
______________________________________________
Printed/Typed name of Responsible Officer or Employee
This certification concerns a matter within the jurisdiction of an agency of the United States and making a false,
fictitious, or fraudulent certification may render the maker subject to prosecution under Title 18, U.S. Code,
Section 101.
Section 27 became effective July 16, 1989
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RFP 16-01-225 Fare Ticket Media
CERTIFICATION OF RESTRICTIONS ON LOBBYING
(Must be returned with your offer)
I, _________________________________, hereby certify on behalf of the Indianapolis Public Transit
Corporation that:
No appropriated Federal funds have been paid or will be paid, by or on behalf of the undersigned to any
person influencing or attempting to influence 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 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.
If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing
or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee
of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit the Standard Form-LLL, “Disclosure Form to Report Lobbying”, in
accordance with it’s instructions.
The undersigned shall require that the language of this certification be included in the awards documents for
any and 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 is placed when this transaction is
made or entered into. Submission of this certification is prerequisite for making or entering into this transaction
as imposed by Section 1352, Title 31 USC. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000.00 and not more than $100,000.00 for each such failure.
Executed this __________ day of ________________, 20___
By: _____________________________________________
(Signature of Authorized Official)
________________________________________________
(Title of Authorized Official)
22
RFP 16-01-225 Fare Ticket Media
INDIANAPOLIS PUBLIC TRANSPORTATION CORPORATION
ACKNOWLEDGMENT OF ADDENDA
(Must be returned with your Offer)
Proposal # 16-01-225 Fare Ticket Media
The undersigned acknowledges receipt of the following amendment(s) to the Bid and supporting
documentation.
ADDENDUM NUMBER _____
DATED: ________________________
ADDENDUM NUMBER _____
DATED: ________________________
ADDENDUM NUMBER _____
DATED: ________________________
ADDENDUM NUMBER _____
DATED: ________________________
ADDENDUM NUMBER _____
DATED: ________________________
ADDENDUM NUMBER _____
DATED: ________________________
Note: Failure to acknowledge receipt of all addenda that may have been issued may cause the Proposal offer
to be considered non-responsive to the solicitation. No further consideration will be given to non-responsive
offers. Acknowledged receipt of each addendum must be clearly established and included with the bid
response.
____________________________________________
(Proposing Company Name)
____________________________________________
(Street Address)
____________________________________________
(City, State, and Zip Code)
_____________________________________________
Signature of Authorized Company Official
_____________________________________________
Date
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RFP 16-01-225 Fare Ticket Media
CERTIFICATION REGARDING DEBARMENT
(Must be returned with your offer)
To be submitted on all contracts reasonably anticipated exceeding $25,000.00 in value.
THE UNDERSIGNED PROPOSER, OFFORER, OR SUBCONTRACTOR (“ATTESTER”) CERTIFIES, TO THE
BEST OF ITS KNOWLEDGE AND BELIEF THAT:
The attester and/or any of its principals or subcontractor:
Are not presently debarred, suspended, proposed for debarment, or declared ineligible for award of
contracts by any Federal Agency.
Have not for a three (3) year period proceeding this offer, been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offences in connection with obtaining, or
attempting to obtain, or performing a public (Federal, State, or Local) contract or subcontract: violation of
Federal or State antitrust status relating to the submission of offers, or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
and
Are not presently indicted for, or otherwise criminally or charged in any civil action by a government
entity with commission of any of these offenses enumerated above.
The Attester has not, within a three (3) year period preceding this offer, had one (1) or more contracts
terminated for default by any governmental agency.
“Principals”, for the purpose of this certification, means officers, directors, owners, partners, and
persons having a primary management or supervisory responsibilities within a business entity.
This certification concerns a matter that may be within the jurisdiction of an agency of the United States
and the making of false, fictitious, or fraudulent certification may render the maker subject to prosecution under
Section 1001, USC.
The Attester shall immediately notify the Procurement Department at any time the attester learns that
its certification was erroneous when submitted or has become erroneous.
A certification in which any of the items detailed above exists will not necessarily result in withholding of
an award under this solicitation. However, the certification will be considered in connection with a
determination of the Attester’s responsibility. Failure of the Attester to furnish a certificate or provide such
additional information as requested by IPTC may render the Attester non-responsive.
Nothing contained in the forgoing shall be construed to require establishment of a system of records in
order to render, in good faith, the certification required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings.
If it is later determined that the Attester knowingly rendered an erroneous certification, in addition to
other remedies available to IPTC, the Authority may terminate the contract resulting from this solicitation for
default.
If Attester is unable to certify to any of the statements in this certification, attach an explanation to this
certification.
____________________________________ ______________________________
(Signature of Authorized Company Official)
Company Name TYPED
___________________________________
(Title of Official, Including Name, Typed)
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RFP 16-01-225 Fare Ticket Media
DIVERSITY PARTICIPATION FORM
IPTC has set a diversity commitment for the solicitation:
15% MBE, 8% WBE, 3% VBE and 1% DOBE
Bidder must check the appropriate box, provide the information requested, sign and submit this form with
its Proposal. Failure to submit this form and supporting documentation with the Bid may affect the
evaluation of the proposal.
Bidder will meet:
___ MBE goal with
___ WBE goal with
___ VBE goal with
___ DOBE goal with
____ % participation
____ % participation
____ % participation
____ % participation
If awarded this contract, Bidder will subcontract with the certified vendors listed below. Each vendor listed
below is certified according to requirements of City of Indianapolis DMWBD.
Vendor Name and
address
Certification
(MBE/WBE/VBE/
DOBE)
Scope of Services
Total Contract
Amount
Percent of Total
Contract
A letter of commitment from each vendor listed above shall be submitted with the Proposal. The
letter of commitment is a signed letter, on company letterhead, from the certified vendor that serves
as acknowledgment of their level of participation in this solicitation, the dollar amount of the
commitment, and the scope of service or product to be provided.
[ ] Bidder does not meet the diversity commitment for this contract. Bidder certifies that it has made good
faith efforts in accordance with the Invitation for Bid to meet the diversity goals but, despite those
efforts, has been unable to meet the goals. Bidder has completed The Good Faith Efforts
Documentation Form attached to this Participation Form. Record any certified vendor participation
achieved in the above table and include a letter of commitment from each certified vendor.
Date:
Printed Name:
Signature:
Title:
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RFP 16-01-225 Fare Ticket Media
DIVERSITY COMMITMENT GOOD FAITH EFFORTS DOCUMENTATION FORM
If Bidder has indicated on the Diversity Commitment Participation Form that it does not meet the diversity
commitment, Bidder must submit this form with its Diversity Commitment Participation Form as
documentation of its good faith efforts to meet the goal. Failure to submit this form and supporting
documentation with the Bid may affect the evaluation of the proposal.
Good faith efforts include, but are not limited to:
1) Advertisements in search of MBE/WBE/VBE/DOBE contractors;
2) Written notifications sent directly to MBE/WBE/VBE/DOBE firms to solicit their participation on
the project. Notices must provide sufficient time to allow them to participate;
3) Efforts to select portions of the project to be performed by MBE/WBE/VBE/DOBE firms;
4) Evidence of negotiations with MBE/WBE/VBE/DOBE firms for specific sub-bids and/or
partnerships, to include name, address, phone & fax number, description of the info provided them,
and why agreements with MBE/WBE/VBE/DOBE were not reached;
5) Evidence of technical assistance provided to MBE/WBE/VBE/DOBE firms (bonding, insurance, and
line of credit) to encourage their participation on the project;
6) Research of other possible areas of MBE/WBE/VBE/DOBE participation (suppliers, shipping,
engineering);
7) Other efforts to meet the MBE/WBE/VBE/DOBE goals.
Note that the fact that there may be some additional costs involved in finding and using certified vendors is
not in itself sufficient reason for a bidder’s failure to meet the diversity commitment goal, as long as such
costs are reasonable. Prime contractors are not required to accept higher quotes from certified vendors if
the price difference is excessive or unreasonable. The fact that a bidder may perform 100% of the work
with its own workforce is not sufficient justification to fail to negotiate with certified vendors or not to
meet the diversity commitment goal.
I.
II.
A Bidder representative attended the pre-bid meeting: Yes
Advertisement Log: (Attach copies of ads)
Newspaper/Publication
Type of Publication
Minority/General/Trade
III. Selected Portions of the Work to be Performed by Certified Vendors:
Work Categories
Type of Bid
Bidder’s Estimated
(Sub or Supplier)
Budget
26
No
Date(s)of Advertisement
MBE/WBE/VBE/DOBE
certification
RFP 16-01-225 Fare Ticket Media
IV.
Solicited the following Certified Vendors:
Certified Firm and Address
V.
Type of Contact
Date of Initial
Contact
Goods or Services
Requested
Bidding?
Yes/No
Reason for No-Bid
Followed up with initial contacts:
Certified
Vendor
Date
Vendor
Phone#
PLEASE INCLUDE BELOW OR ATTACH ANY ADDITIONAL INFORMATION (i.e pre-bid sign in; email
messages, etc.) TO SUPPORT A DEMONSTRATION OF GOOD FAITH EFFORTS:
27
RFP 16-01-225 Fare Ticket Media
City of Indianapolis DMWBD certifies vendors of M/W/V/DOBE. A current listing of certified vendors with contact
information is available online. For more information about certified vendors and certification requirements, please see
http://www.indy.gov/eGov/City/DMWBD/MBE-WBE-VBE/Pages/VendorProfile.aspx
IPTC has a commitment to make a fair and reasonable judgment as to whether a bidder that did not meet the goal made
adequate good faith efforts. IPTC will consider the quality, quantity and intensity of the different kinds of efforts that
the bidder has made. IPTC also reviews and compares the performance of other bidders in meeting the contract goal.
The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder were
actively and aggressively trying to obtain M/W/VBE participation sufficient to meet the goal. A promise to use certified
vendors after contract award is not considered responsive to the contract solicitation or to constitute good faith efforts.
If you have any questions, please contact:
Pam White
Director of Procurement
Phone: (317)614-9281
E-mail: [email protected]
28
RFP 16-01-225 Fare Ticket Media
CHECKLIST FOR PROPOSAL #16-01-225 Fare Ticket Media
(Must be returned with your Offer)
Offers will be received until the date and time listed. All offers must be received at the office of the
Procurement Manager. All offers are subject to public opening and date and time indicated for submittal.
__0__% Proposal Bond or certified check required with proposal
__0__% Performance Bond or Letter of Credit required at contract award
Proposal Data Check List
Did you read and understand the General Specifications? Yes ___No ___Initials ___
Did you read and understand the Scope of Work?
Yes ___No ___Initials ___
Are there any exceptions to the instructions as described? Yes ___No ___Initials ___
If yes, explain:
________________________________________________________________________________________
________________________________________________________________________________________
Certificate Items Required To Be Returned
 Certificate of Procurement Integrity
 Certificate of Restriction on Lobbying
 Acknowledgement of Addenda
 Certificate Regarding Debarment
 Specifications Cost Form
 Proposal Checklist
 Affidavit of Non-Collusion
 DOT Assisted Contracts Bidders List Certification
 Certificate of Liability Insurance
 Buy America Certificate
 DBE Participation Form
 Good Faiths Efforts Form
 Diversity Commitment Form
 Diversity Good Faith Effort Form
_____
_____
_____
_____
_____
_____
_____
_____
_____
_____
_____
_____
It is the responsibility of the vendor to notify IPTC if the contents of the solicitation do not match the description
found in the Table of Contents included in the solicitation. Failure of the vendor to complete all forms and sign
at all signature blocks will disqualify the offer from consideration.
NO OFFER SHALL BE ACCEPTED OR CONSIDERED THAT IS RECEIVED LATER THAN THE TIME AND
DATE STATED AS THE SUBMISSION REQUIREMENT. Time given in the solicitation is the current time
observed by the Consolidated City of Indianapolis, Indiana.
_________________________________________________
Offerors Signature
_________________________________________________
Company Name
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RFP 16-01-225 Fare Ticket Media
AFFIDAVIT OF NON-COLLUSION
The undersigned, having submitted a bid, quote, or proposal for RFP # 16-01-225 Fare Ticket Media, in
accordance with notice given by the Procurement Office of the Indianapolis Public Transportation Corporation
and/or its Board of Directors for the purposes or support of the transit services in and for the Consolidated City
of Indianapolis, Indiana, for and behalf of him/her self, or themselves, first being duly sworn says:
That said bidder, quoting party, or proposer has not directly or indirectly entered into any combination,
collusion, undertaking, or agreement relative to price to be bid by any person, or to prevent any person, or
persons, or company from submitting pricing: or to entice any bidder, quoting party, or proposer to refrain from
pricing for such supplies, merchandise, service, or contract, and that said bid so made is without reference or
regard to any other bid or bids, and without agreement, understanding or combination, either directly or
indirectly, with any person or persons, with reference to such bidding in any way or manner whatsoever.
Signed: __________________________________
Proposer or Agent
State of _________________________________
SS:
County of _______________________________
Subscribed and sworn before me this __________ day of ____________ 20__.
My commission expires: ________________________
____________________________________
Notary Public
SEAL
Dated at ________________________
City
_________
State
__________________
Date
________________________________________________
Company Name
Failure to Properly Notarize and Return This Form Will Invalidate Your Bid
30
RFP 16-01-225 Fare Ticket Media
DOT ASSISTED CONTRACTS
BIDDERS LIST
[49 CFR, Part 26]
49 CFR, Part 26 requires that all recipients of Federal Funds collect certain information from all bidders
submitting responses to solicitations. To assist in the building of demographics for the area upon which
reasonable and effective expectations of DBE/MDE opportunities may be based, all bidders are required to
return this certificate with their offer. Any offer submitted that does not contain a completed copy of this form
will be ruled as non-responsive and dropped from further consideration in the procurement process for the
solicitation.
Firm Name: _________________________________________________________________
Firm Address: _______________________________________________________________
_______________________________________________________________
Firm Phone: (___) _______________ Firm Fax: (___) ________________________
General Classification of firm by quantity of employees
___ Less Than 10
___ 11 – 50
___ 51 – 100
___ 501 – 1000
___ 1001 – 5000
___ 101 – 500
___ More than 5000
General Classification of Firm in Age of Existence
___ 0 – 5 years
___ 6 – 10 years
General Classification by Type
___ Firm is a Small Business
___ 11 – 50 years
___ Firm is a certified DBE
___ Firm is a certified WBE
___ Firm is not one of the above.
General Classification by Annual Gross Income
___ The approximate annual gross income for this firm is less than $100,000
___ The approximate annual gross income for this firm is $100,000 - $250,000
___ The approximate annual gross income for this firm is $250,001 - $500,000
___ The approximate annual gross income for this firm is $500,001 - $1M
___ The approximate annual gross income for this firm is $1M - $5M
___ The approximate annual gross income for this firm is greater than $5M
I certify this information is accurate to the best of my knowledge.
____________________________ ___________________ ___________
Signature
Printed Name
Date
31
___ Over 50 years
RFP 16-01-225 Fare Ticket Media
SECTION 3
3.1 Federal Clauses
3.2 Federal Funding Compliance Requirements
32
3.1 FEDERAL CLAUSES
NO GOVERNMENT OBLIGATION TO THIRD PARTIES
(1) IPTC 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 IPTC, 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 & FALSE OR FRAUDULENT STATEMENTS OR RELATED ACTS
(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
The following access to records requirements apply to this Contract:
 Where IPTC 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 sub-grantee of the FTA
Recipient in accordance with 49 C.F.R. 19.48, Contractor agrees to provide IPTC, 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.

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.

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 IPTC, 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).
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 IPTC 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
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.
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 4220.1F are hereby incorporated by reference. Anything to
the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of
a conflict with other provisions contained in this Agreement. The Contractor shall not perform any act,
fail to perform any act, or refuse to comply with any IPTC requests which would cause IPTC to be in
violation of the FTA terms and conditions.
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
For all contracts entered into by IPTC and any contractor or subcontractor for which the amount of costs
shall be Ten Thousand Dollars ($10000) or more, any termination shall be in accordance with the
provisions found in 49 U.S.C. Part 18, and FTA Circular 4220.1F. These provisions shall apply to contracts
at all tiers of the project.
TERMINATION PROVISIONS APPLICABLE TO CONTRACTS > $10,000
a. Termination for Convenience (General Provision) IPTC 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 IPTC to be paid the Contractor. If the Contractor has any property in its
possession belonging to IPTC, the Contractor will account for the same, and dispose of it in the
manner IPTC 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, IPTC 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 IPTC 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, IPTC, 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) IPTC 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 IPTC'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 IPTC setting forth the nature of said breach or default, IPTC 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 IPTC 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 IPTC elects to waive its remedies for any
breach by Contractor of any covenant, term or condition of this Contract, such waiver by IPTC
shall not limit IPTC's remedies for any succeeding breach of that or of any other term, covenant,
or condition of this Contract.
e. Termination for Default (Supplies and Service) If the Contractor fails to deliver supplies or to
perform the services within the time specified in this contract or any extension or if the
Contractor fails to comply with any other provisions of this contract, IPTC may terminate this
contract for default. IPTC shall terminate by delivering to the Contractor a Notice of
Termination specifying the nature of the default. The Contractor will only be paid the contract
price for supplies delivered and accepted, or services performed in accordance with the manner
or performance set forth in this contract.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor
was not in default, the rights and obligations of the parties shall be the same as if the
termination had been issued for the convenience of IPTC.
f.
Termination for Convenience of Default (Cost-Type Contracts) IPTC may terminate this
contract, or any portion of it, by serving a notice or termination on the Contractor. The notice
shall state whether the termination is for convenience of IPTC or for the default of the
Contractor. If the termination is for default, the notice shall state the manner in which the
contractor has failed to perform the requirements of the contract. The Contractor shall account
for any property in its possession paid for from funds received from IPTC, or property supplied
to the Contractor by the (Recipient). If the termination is for default, the IPTC may fix the fee, if
the contract provides for a fee, to be paid the contractor in proportion to the value, if any, of
work performed up to the time of termination. The Contractor shall promptly submit its
termination claim to IPTC and the parties shall negotiate the termination settlement to be paid
the Contractor.
If the termination is for the convenience of IPTC the Contractor shall be paid its contract closeout costs, and a fee, if the contract provided for payment of a fee, in proportion to the work
performed up to the time of termination.
If, after serving a notice of termination for default, IPTC determines that the Contractor has an
excusable reason for not performing, such as strike, fire, flood, events which are not the fault of
and are beyond the control of the contractor, IPTC, after setting up a new work schedule, may
allow the Contractor to continue work, or treat the termination as a termination for
convenience.
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: The certification in this clause is a material
representation of fact relied upon by IPTC If it is later determined that the bidder or proposer knowingly
rendered an erroneous certification, in addition to remedies available to IPTC, 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.
CONTRACT TERMINATION, DEBARMENT
A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract and for
debarment as a contractor and subcontractor as provided in 29 CFR 5.12.
DISPUTE RESOLUTION > $100,000
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 (Recipient)'s [title of
employee]. 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 [title of
employee]. 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 [title of employee] shall be
binding upon the Contractor and the Contractor shall abide be the decision.
Performance During Dispute - Unless otherwise directed by (Recipient), Contractor shall continue
performance under this Contract while matters in dispute are being resolved.
Claims for Damages - Should either party to the Contract suffer injury or damage to person or property
because of any act or omission of the party or of any of his 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 (Recipient) and the Contractor arising out of or relating to this
agreement or its breach will be decided by arbitration if the parties mutually agree, or in a court of
competent jurisdiction within the State in which the (Recipient) is located.
Rights and Remedies - The duties and obligations imposed by the Contract Documents and the rights
and remedies available thereunder shall be in 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 (Recipient),
(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 hereunder, except as may be specifically agreed in writing.
LOBBYING
Clause and specific language therein are mandated by 49 CFR Part 19, Appendix A.
Modifications have been made to the Clause pursuant to Section 10 of the Lobbying Disclosure Act of
1995, P.L. 104-65 [to be codified at 2 U.S.C. § 1601, et seq. ]
Lobbying Certification and Disclosure of Lobbying Activities for third party contractors are mandated by
31 U.S.C. 1352(b)(5), as amended by Section 10 of the Lobbying Disclosure Act of 1995, and DOT
implementing regulation, "New Restrictions on Lobbying," at 49 CFR § 20.110(d)
Language in Lobbying Certification is mandated by 49 CFR Part 19, Appendix A, Section 7, which provides
that contractors file the certification required by 49 CFR Part 20, Appendix A.
Modifications have been made to the Lobbying Certification pursuant to Section 10 of the Lobbying
Disclosure Act of 1995.
Use of "Disclosure of Lobbying Activities," Standard Form-LLL set forth in Appendix B of 49 CFR Part 20,
as amended by "Government wide Guidance For New Restrictions on Lobbying," 61 Fed. Reg. 1413
(1/19/96) is mandated by 49 CFR Part 20, Appendix A.
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 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 IPTC, 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 IPTC.
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
IPTC, 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 IPTC, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with
this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete
and submit Standard Form--LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions [as amended by "Government wide Guidance for New Restrictions on Lobbying," 61
Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been modified in
accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104-65, to be codified at
2 U.S.C. 1601, et seq .)]
CLEAN AIR / WATER
The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to
the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq, and Federal Water Pollution Control Act, as
amended, 33 U.S.C. 1251 et seq. The Contractor agrees to report each violation to IPTC and
understands and agrees that IPTC will, in turn, report each violation as required to assure notification to
FTA and the appropriate EPA Regional Office.
DISADVANTAGED BUSINESS ENTERPRISES
a. This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26,
Participation by Disadvantaged Business Enterprises in Department of Transportation Financial
Assistance Programs. The national goal for participation of Disadvantaged Business Enterprises (DBE) is
10%. IPTC’s current overall goal for DBE participation is 15 %.
A separate contract goal of 0 % DBE participation has been established for this procurement.
b. The contractor shall not discriminate on the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in
the award and administration of this DOT-assisted contract. Failure by the contractor to carry out these
requirements is a material breach of this contract, which may result in the termination of this contract
or such other remedy as IPTC deems appropriate. Each subcontract the contractor signs with a
subcontractor must include the assurance in this paragraph (see 49 CFR 26.13(b)).
c. If a specific goal has been established for this procurement, Bidders/offerors are required to
document sufficient DBE participation to meet these goals or, alternatively, document adequate good
faith efforts to do so, as provided for in 49 CFR 26.53. Award of this contract is conditioned on
submission of the following with bid.
1. The names and addresses of DBE firms that will participate in this contract;
2. A description of the work each DBE will perform;
3. The dollar amount of the participation of each DBE firm participating;
4. Written documentation of the bidder/offeror’s commitment to use a DBE subcontractor whose
participation it submits to meet the contract goal;
5. Written confirmation from the DBE that it is participating in the contract as provided in the prime
contractor’s commitment; and
6. If the contract goal is not met, evidence of good faith efforts to do so.
Bidders/Offerors must present the information required above with initial proposals (see 49 CFR
26.53(3)).
If no specific goal is established for this procurement, the successful bidder/offeror will be required to
report its DBE participation obtained through race-neutral means throughout the period of
performance.
Prompt payment mechanisms established by IPTC for DBEs
Prime to pay DBE sub within 15 days of receiving payment from IPTC
Prime to return retainer within 30 days of completion of sub’s work
Prime is required to include prompt payment language in sub contract
Failure to carry out prompt payment is considered breach of contract; IPTC will not reimburse prime for
work performed by sub unless and until the prime ensures the sub is promptly paid, IPTC will not award
future contracts to prime who refuse to pay promptly
A Joint Venture Bidder consisting of one or more DBE parties will be credited with DBE participation on
the basis of percentage of the dollar amount of the Work to be performed by the DBE. For example, if
such Joint Venture proposes to perform fifty percent (50%) of the dollar amount of the Work quoted at
$1,000,000 and fifty percent (50%) of the Work is to be performed by the DBE Joint Venture partner,
DBE participation will be credited as twenty-five percent (25%) of the work or $250.000.
A DBE Bidder will be credited with minority participation for the portion of the contract, which it
performs, and that portion subcontracted to minority firms. For example, if an DBE Bidder proposes to
perform a project quoted at $1,000,000 and subcontracts twenty-five percent (25%) to a majority firm
and twenty-five percent (25%) to a minority firm, minority participation will be credited as seventy-five
percent (75%) of $750,000.
A Bidder will receive sixty percent (60%) toward goal attainment for the use of minority suppliers who
are not manufacturers, i.e. where a Bidder proposes to purchase $200,000 worth of construction
materials from a minority supplier who did not manufacture the materials, $60,000 will be credited
toward the Bidder’s minority participation goal. However, where the minority Suppler is the
manufacturer of the product supplied, the Bidder will receive DBE credit of one hundred percent (100%)
of the dollar amount of the supply contract.
When a DBE participates in a contract, the value of the work actually performed will be counted as
follows:
The entire amount of that portion of a construction contract that is performed by the DBEs own forces.
Include the cost of supplies and materials obtained by the DBE for the work on the contract, including
supplies purchased or equipment leased by the DBE (except supplies, and equipment the DBE contractor
purchases or leases from the prime contractor or its affiliate).
The entire amount of fees or commissions charged by a DBE firm for providing a bona fide service – such
as professional, technical, consultant, or managerial services, or for providing bonds or insurance
specifically required for the performance of the Work – toward DBE goals, provided the fees are
determined to be reasonable and not excessive as compared with fees customarily allowed for similar
services.
When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontract
work may be counted toward DBE goals if and only if the DBE contractor is itself a DBE. Work that a DBE
subcontracts to a non-DBE firm will not count toward DBE goals.
DBE certification does not guarantee that a firm’s participation will automatically count toward a
contractual DBE goal. For services performed by a DBE firm to count toward a goal, the firm must
perform a “commercially useful function.” Accordingly, expenditures to a DBE contractor count toward
DBE goals only if the DBE is performing a commercially useful function on that contract:
A DBE performs a commercially useful function when it is responsible for execution of the work of the
contract and is carrying out its responsibilities by actually performing, managing, and supervising the
entire operation or work involved. To perform a commercially useful function, the DBE must also be
responsible, with respect to materials and supplies used on the contract, for: (i) Negotiating Prices, (ii)
Determining appropriate quality, quantities and delivery schedules, (iii) Ordering the material, and
installation there of (where applicable), as well as (iv) Paying for the material itself
To determine whether a DBE is performing a commercially useful function, evaluate the amount of work
subcontracted, industry practices, whether the amount the firm is to be paid under the contract is
commensurate with the work it is actually performing and the DBE credit claimed for its performance of
the work, along with any other relevant factors.
A DBE does not perform a commercially useful function if its role is limited to that of an extra participant
in a transaction, contract, or project through which the funds are passed in order to obtain the
appearance of DBE participation. Consequently, there cannot be a contrived arrangement established
for the sole purpose of meeting DBE goals.
A DBE may lease equipment, as a normal course of business, to increase its capacity or to facilitate
services’ delivery. A lease must indicate that the DBE has exclusive use of a control over any equipment
utilized on the project site or used directly toward the delivery of project services. This does not
preclude leased trucks or other heavy equipment from working for others during the term of the lease –
with the consent of the DBE, provided that the lease gives the DBE absolute priority for the use of the
equipment. Leased trucks must display the name and DOT identification number of the DBE
participating on the specified project.
The DBE receives credit for the total value of the services it provides on the contract using equipment it
owns or leases, insures, and operates using operators it employs – excepting circumstances outlined in
this next paragraph
The DBE who leases equipment from a non-DBE is entitled to credit only for the fee or commission it
receives as a result of the lease arrangement. The DBE does not receive credit for the total value of the
services provided by the lessee, since these services are not provided by the DBE.
The DBE may lease equipment from another DBE firm, including an owner-operator who is certified as a
DBE. The DBE who leases equipment from another DBE receives credit for the total value of the services
the lessee DBE provides on the contract.
The DBE may also lease equipment from a non-DBE firm, including an owner-operator.
In determining whether a DBE is merely an extra participant in a contract or transaction, examine similar
project transactions, particularly those transactions in which DBEs do not participate.
If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its
contract with its own workforce, or the DBE subcontracts a greater portion of the work of a contract
than would be expected on the basis of normal industry practice for the type of work involved,
examiners and/or investigators are directed to logically presume that it is not performing a commercially
useful function.
When a DBE is presumed not to be performing a commercially useful function as described above, the
DBE may present evidence to the examining entity to rebut this presumption. The original conclusions
may be reevaluated relative to the type of work involved and prevailing industry practices in similar
markets. Any reevaluation or decision reversal may not, in any circumstance, be construed as an
endorsement for failures to rectify, going forward, and the referenced prevailing practices.
Count expenditures with DBE for material or supplies toward DBE goals in the following manner:
Count 100% of the cost of the materials or supplies toward DBE goals if the materials are obtained from
a DBE manufacturer. A manufacturer is a firm that operates or maintains a factory or establishment
that produces, on its premises, the materials, supplies, articles, or equipment required under the
contract and of the general character described in the specifications.
Count 60% of the cost of the materials or supplies toward DBE goals if the materials or supplies are
purchased from a DBE regular dealer. A regular dealer is a firm that owns, operates, or maintains a
store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the
general character described by the specifications and required under the contract are bought, kept in
stock, and regularly sold to or leased to the public in the usual course of business.
To be a regular dealer, the firm must be an established, regular business that engages, as its principal
business and under its own name, in the purchase and sale or lease of the products in question.
A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone
or asphalt without owning, operating, or maintaining a place of business if the person both owns and
operates distribution equipment for the products. Any supplementing of regular dealers’ own
distribution equipment shall be by a long-term lease and not on an ad hoc or contract-by-contract basis.
Packagers, brokers, manufacturers’ representatives, or other persons who arrange or expedite
transactions will not be considered regular dealers.
With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a
regular dealer:
Count the entire amount of fees or commissions charged for assistance in the procurement of the
materials and supplies, or fees or transportation charges for the delivery of materials or supplies
required on a job site, toward DBE goals, provided that the fees are determined to be reasonable and
not excessive as compared with fees customarily allowed for similar services. Any portion of the cost of
the materials and supplies themselves will not, however, be counted toward DBE goals.
If a firm is not currently certified as an DBE at the time of the execution of the contract, the firm’s
participation toward any DBE goals will not be counted.
The dollar value of any work performed under a contract with a firm after it has ceased to be certified
will not be counted toward the overall goal.
The participation of a DBE subcontractor toward the prime contractor’s DBE achievements or the overall
goal will not be counted until the amount being counted toward the goal has been paid to the DBE
A prime contractor may not count participation percentages for any DBE subcontractor, terminated for
convenience, whose work it then performs using its own forces or those of an affiliate.
When a DBE subcontractor is terminated for cause, or it fails to complete its work on the contract for
any reason, prime contractors must make good faith efforts to find another DBE subcontractor to
substitute for the original DBE. These good faith efforts shall be directed at finding another DBE to
perform at least the same amount of work under the contract as the DBE that was terminated, to the
extent needed to meet the contract goal originally established for the specified portion of the project.
IPTC may, at any time before or after award, require the Bidder/Contractor to submit additional
information to the Owner regarding DBE certification and utilization. Such information may include but
not be limited to: (i) Copies of all executed agreements for each DBE engaged to satisfy the
participation goals, showing (ii) the name and address of the DBE, (iii) the scope of work to be
performed, (iv) the dollar value of work to be performed or furnished by each proposed DBE
subcontractor or DBE joint venture partner, (v) acknowledgement and acceptance of the agreement by
the DBE.
Questions or Concerns please contact:
Jennifer Bruner, Director of Compliance and Civil Rights
Indianapolis Public Transportation Corporation
1501 W Washington St.
317-614-9272 or [email protected]
INDIANA STATE USE PROGRAM
Indiana’s State Use Program (the Program) is a preferential purchasing program in Indiana that provides
employment and training to individuals with developmental disabilities. The Program works with
qualified nonprofit agencies for persons with severe disabilities to provide such products/services.
Enacted by the General Assembly of the State of Indiana, the Indiana State Law IC 5-22-13 for the
purchase of products and services of persons with severe disabilities was established. Through this law,
a governmental body may purchase supplies and services without advertising or calling for bids from a
qualified agency.
Respondent(s) of this proposal should indicate their desire to work with the Indiana State Use Program
by contacting Wes Bickers or Dionne Castelli (317.634.4957 or [email protected], [email protected]). A
written plan of implementation will then be developed and submitted to IPTC for review.
FEDERAL PARTICIPATION > $500,000.00
The resulting contract for the procurement of the requirements specified herein is subject to the
applicable terms and conditions of the Master Agreement for Financial Assistance between IPTC
and the FTA
BACKGROUND
Indianapolis Public Transportation Corporation (IPTC) is funded, in part, by the Federal Transit
Administration (FTA) of the United States of America. Various Federal Statutes and Regulations govern
the purchasing procedures of IPTC. Basic requirements and the associated required documents and
responsibilities will be found in OMB Circular A-102, and in FTA Circular C-4220.1F. The Statutes,
Regulations, and Circulars governing the procurements by IPTC require among other things that
purchases be made according to approved plans and specifications, which will become part of the
contractual documents between IPTC and the successful vendor(s).
IPTC solicits responses for construction, equipment, and/or services according to the following General
Specifications and/or Technical Specifications that generally apply to the product or service requested.
The Technical Specifications, and any applicable Special services, will be found in the Statement of Work
of this RFP.
SUBCONTRACTS
The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR
5.5(a)(1) through (10) and such other clauses as the Federal transit Administration may by appropriate
instructions require, and also a clause requiring the subcontractor to include these clauses in any lower
tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or
lower tier subcontractor with all the contract clauses in 29 CFR 5.5.
SUPPLIES, MATERIALS, EQUIPMENT, AND/OR SERVICE SPECIFICATIONS
It is hereby agreed by IPTC that time is of the essence of this Agreement. The contractor shall supply the
said supplies, materials, equipment, and/or service in conformance with these General Specifications,
and any and all Special and/or Technical Specifications detailed in the Scope of Work (Section 1) of this
solicitation.
In the event that the supplies, materials, equipment, and/or services are not delivered or performed by
the contractor, a liquidated damage provision in the sum of the difference in cost plus an administrative
fee, for IPTC to procure the items or service from the next most desired respondent will be assessed.
However any delay in compliance with the terms and conditions of any award or contract resultant from
an award shall not result in liquidated damage if such delay is beyond the control of the contractor.
Definitions of delays beyond the control of the contractor:
Delays can include, but are not limited to, Acts of God; Acts of the Federal Government; Acts of the State
Government; Acts of a Municipal Governmental Agency; or acts of war by a foreign power. Also beyond
the control of the contractor are guarantee restrictions and strikes by labor forces. In every case the
failure to perform must be beyond the control and without the fault or negligence of the contractor.
If delays are caused by the default of a subcontractor, the assessment of damages against the contractor
shall apply.
Comparison, Testing, and Evaluation
IPTC may, during the term of this contract and without liability form the contractor, purchase
reasonable amounts of similar “requirements” from competitive suppliers for the purposes of
comparison, testing, and evaluation.
IPTC may require submission of samples for testing and evaluation from the lowest submitter(s) prior to
the award of a contract. If asked for, the samples must be delivered to the location specified within
three (3) business days from the date the request is made by IPTC. Failure to comply with this
requirement will eliminate the respondent from further award consideration.
TIME AND CONSIDERATION
Failure to conform to the contractual delivery schedule for goods or services will be cause for IPTC to
terminate the contract for default if IPTC chooses to do so. If such failure is deemed to be caused by
contractor negligence, the liquidated damages clause of the contract may be applied.
All disputes that might arise under this contract may not be viewed as cause for termination which, if
they cannot be resolved between the contractor and IPTC, will be handled through compulsory
arbitration by a mutually acceptable arbiter. All contracts in excess of One Hundred Thousand Dollars
($100000) shall contain provisions for dispute resolution and contractual requirements and conditions
governing the legal remedies in contracts where a breach or violation of contract terms occurs. All
provisions pertaining to contract dispute resolution found in FTA Circular 4220.1F are subject to
applicability and execution in this contract. 49 CFR Part 18 also applies. Both FTA Circular 4220.1F and
49 CFR Part 18 are hereby included in the contract by reference.
WARRANTIES AND GUARANTEES
The contractor will deliver to IPTC any and all Warranties and Guarantees for the contracted goods
and/or services delivered in their hand from a manufacturer or other provider as a result of the
contractual arrangement with IPTC. The contractor shall warrant concerning the requirement:
Conformance to specifications Products free from defects, functionally acceptable, of good materials
and Workmanship and suitable for the intended use No United States or Foreign PATENT infringement
Compliance with all Federal, State, and Municipal Statutes, regulations, circulars, Codes and ordinances.
The contractor shall not assign nor transfer any interest in this agreement without the prior written
consent of IPTC. In addition none of the services covered by this agreement shall be sub-contracted or
contracted out, unless proposed that way in the original bid response without the written approval of
IPTC
PRICE
IPTC shall pay to the contractor the price(s) stated in the contractors’ bid or alternate bid as accepted by
IPTC.
All items are to be delivered F.O.B. destination, unless otherwise stated. All transportation costs from
the shipping point to the destination shall be paid by the contractor and included in the submitted price.
Full responsibility for any damages incurred while in transit shall be borne by the contractor.
EMPLOYMENT ELIGIBILITY VERIFICATION
As required by IC §22-5-1.7, the Contractor swears or affirms under the penalties of perjury that the
Contractor does not knowingly employ an unauthorized alien. The Contractor further agrees that:
A. The Contractor shall enroll in and verify the work eligibility status of all his/her/its newly hired
employees through the E-Verify program as defined in IC §22-5-1.7-3. The Contractor is not required to
participate should the E-Verify program cease to exist. Additionally, the Contractor is not required to
participate if the Contractor is self-employed and does not employ any employees.
B. The Contractor shall not knowingly employ or contract with an unauthorized alien. The Contractor
shall not retain an employee or contract with a person that the Contractor subsequently learns is an
unauthorized alien.
C. The Contractor shall require his/her/its subcontractors, who perform work under this Contract, to
certify to the Contractor that the subcontractor does not knowingly employ or contract with an
unauthorized alien and that the subcontractor has enrolled and is participating in the E-Verify program.
The Contractor agrees to maintain this certification throughout the duration of the term of a contract
with a subcontractor.
The IPTC may terminate for default if the Contractor fails to cure a breach of this provision no later than
thirty (30) days after being notified by IPTC.
IC 5-22-16.5 IRAN CLAUSE
As required by IC 5-22-16.5, the Contractor certifies that the Contractor is not engaged in investment
activities in Iran. Providing false certification may result in the consequences listed in IC 5-22-16.5-14
including termination of this Contract, denial of future contracts, as well as an imposition of a civil
penalty.
INVOICE PAYMENT
Payment terms of the contract shall be NET 30 DAYS except where Cash Discount Terms are requested
and included on the Proposal cost sheet by the respondent. Vendor cash discount terms on invoices that
offer to IPTC better cash discounts than the Proposal may be accepted. The minimum acceptable
payment term is NET 30 Days.
Request for terms of less than this will most probably not be honored unless supported by a need or
circumstance that would justify a change in policy on the part of IPTC.
All invoices for supplies, services, materials or equipment shall be submitted to:
Indianapolis Public Transportation Corporation
Attention: Accounts Payable Department
1501 West Washington Street
Indianapolis, IN 46222
[email protected]
Single Offers
If only One (1) offer is received, IPTC is required under the terms of FTA Circular 4220.1F to conduct a
cost and price analysis. That analysis will then be submitted to the FTA prior to any award. Vendor is
required to hold pricing firm until FTA approval or rejection is received. Vendors are required to provide
for the analysis any requested information. Failure to provide the requested information will result in
the vendor being removed from consideration for contract completion.
IPTC reserves the right to accept or reject the submitted offer on the basis of the analysis or comparison
alone if it is deemed in the best interest of IPTC to accept or reject.
Indemnity
The contractor shall indemnify IPTC, IPTC’s board of directors, and all of its’ agents and/or employees,
and hold them harmless from all losses, damages, costs, expenses, claims, suits, judgments in law and
equity, that may at any time arise, or be set up, by any breach of any express or implied warranties
arising out of the furnishing of supplies, materials, equipment, and/or services under this agreement; or
arising out of any other failure of the contractor to meet the obligations of the contract. IPTC will give
the contractor prompt notice in writing of the institution of any suit or preceding and permit the
contractor through his counsel to defend same, and will deliver all needed information, assistance, and
authority to enable the contractor to do so.
3.2 FEDERAL FUNDING COMPLIANCE REQUIREMENTS
1.
Government Access to Records and Reports. In accordance with 49 CFR §18.36(i),
Contractor agrees to provide the IPTC, 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
Contractor which are directly pertinent to this Agreement for the purpose of making audits, examinations,
excerpts and transcriptions. Contractor also agrees, pursuant to 49 CFR §633.17, to provide the FTA
Administrator or his/her authorized representatives, including any Project Management Oversight
Provider (“PMOC”), access to Contractor’s records and work 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
defined at 49 U.S.C §5307, 5309 or 5311.
1.1.
Contractor agrees to permit any of the foregoing parties to reproduce by any means
whatsoever or to copy excerpts and transcriptions as reasonably needed.
1.2.
Contractor agrees to maintain all books, records, accounts and reports required under this
Agreement for a period of not less than three (3) years after the date of termination or expiration of this
Agreement, except in the event of litigation or settlement of claims arising from the performance of this
Agreement, in which case the Contractor agrees to maintain same until the IPTC, 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.
2.
Government-Wide Debarment and Suspension. In accordance with Executive Order
12549, as implemented by 49 CFR Part 29, a person (as defined in 49 CFR Part 49.105) who is debarred
or suspended shall be excluded from Federal financial and non-financial assistance and benefits under
Federal programs and activities. As a participant in a federally assisted primary covered transaction (grant
recipient), the IPTC is required to obtain a certification entitled “Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion—Lower Tier Covered Transactions” from all lower tier
participants on this Agreement whose Agreement or agreement will exceed $25,000. Contractor will
submit for itself and obtain and submit from all consultants and subcontractors whose Agreements will
exceed $25,000 the certification entitled “Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion—Lower Tier Covered Transactions” Any Agreement or subAgreement
executed without such certification will be voidable by the IPTC.
2.1.
In the event that Contractor has certified prior to award that it is not debarred, suspended,
or voluntarily excluded from covered transactions by any Federal Department or agency and such
certification is found to be false, this Agreement may be cancelled, terminated or suspended by the IPTC
and Contractor will be liable for any and all damages incurred by the IPTC as a result of such
cancellation, termination or suspension because of such false certification.
2.2.
Contractor will ensure that certifications completed by subcontractors, lower tier
subcontractors or suppliers are attached to and incorporated into their subcontracts or agreements.
3.
Civil Rights. The following requirements apply to this Agreement:
a.
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 the Federal law at 49 U.S.C. §5332, 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, Contractor agrees to comply
with applicable Federal implementing regulations and other implementing requirements
FTA may issue.
b.
c.
Equal Employment Opportunity. The following equal employment opportunity
requirements apply to this Agreement:
1.
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, Contractor agrees to comply with all applicable equal
employment opportunity requirements of U.S. Department of Labor (U.S. DOL)
regulations, “Office of Federal Agreement 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. 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, Contractor agrees to comply with
any implementing requirements FTA may issue.
2.
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, Contractor agrees to refrain from discrimination against present and
prospective employees for reason of age. In addition, Contractor agrees to
comply with any implementing requirements FTA may issue.
3.
Disabilities. In accordance with section 102 of the Americans with Disabilities
Act, as amended, 42 U.S.C. § 12112, 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, Contractor agrees to comply with any implementing
requirements FTA may issue.
Subcontracts. Contractor agrees to include these requirements in each consultant
contract or subcontract financed in whole or in part with Federal assistance provided by
FTA, modified only if necessary to identify the affected parties.
4.
Clean Air Requirements. Contractor and its subcontractors and consultants shall be
required 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. To the extent that Contractor discovers or becomes aware of a
violation of these requirements during the course of performing this Agreement, Contractor agrees to
report such violation to the IPTC and understands and agrees that the IPTC will, in turn, report each
violation as required to assure notification to FTA and the appropriate EPA Regional Office. Contractor
also agrees to include the requirements of the above clause in each subcontract issued pursuant to this
Agreement exceeding $100,000 financed in whole or in part with Federal assistance provided by the FTA.
5.
Clean Water Requirements. Contractor and its subcontractors and consultants shall be
required 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 etseq. To the extent that Contractor discovers
or becomes aware of a violation of these requirements during the course of performing this Agreement,
Contractor agrees to report such violation to the IPTC and understands and agrees that the IPTC will, in
turn, report each violation as required to assure notification to the FTA and the appropriate EPA Regional
Office. Contractor also agrees to include the requirements of the above clause in each subcontract issued
pursuant to this Agreement exceeding $100,000 financed in whole or in part with Federal assistance
provided by the FTA.
6.
Changes to Federal Requirements. 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 Agreement between the IPTC and the FTA, as they may be amended or
promulgated from time to time during the term of this Agreement. Contractor’s failure to so comply shall
constitute a material breach of this Agreement.
7.
Anti-Lobbying. In accordance with the 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 propose for an award of $100,000 or more shall file the
certification required by 49 CFR part 20, “New Restrictions on Lobbying.” Each tier certifies to the tier
above that it will not and has not used Federal appropriated funds to pay any person or organization for
influencing or attempting to influence an officer or employee of any agency, a member of Congress,
officer or employee of Congress, or an employee of a member of Congress in connection with obtaining
any Federal Agreement, 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 Agreement, grant or award
covered by 31 U.S.C. §1352. Such disclosures are forwarded from tier to tier up to the recipient.
7.1.
Contractor will submit for itself the form entitled “Certification of Restrictions on
Lobbying” and if applicable, the form entitled “Disclosure of Lobbying”, and obtain and retain from all
consultants and subcontractors whose Agreements will exceed $100,000 the certification entitled
“Certification of Restrictions on Lobbying”, and obtain from all consultants and subcontractors, at any
tier, whose agreements will exceed $100,000, and submit to the IPTC, if applicable, the form entitled
“Disclosure of Lobbying”.
7.2.
Contractor and its consultants and subcontractors shall file a disclosure form at the end of
each calendar quarter in which there occurs any event that requires disclosure or that materially affects the
accuracy of the information contained in any disclosure form previously filed by such Contractor,
consultants and subcontractors under ¶7.1. An event that materially affects the accuracy of the
information reported includes:
a.
A cumulative increase of $25,000 or more in the amount paid or expected to be paid for
influencing or attempting to influence a covered Federal action; or
b.
A change in the person(s) or individual(s) influencing or attempting to influence a
covered Federal action; or
c.
A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt
to influence a covered Federal action.
7.3.
Contractor will ensure that certifications completed by lower tier consultants and
subcontractors are attached to and incorporated into their Agreements or agreements.
8.
False Statements or Claims. Contractor acknowledges that the provisions of the
Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §3801 etseq and U.S. DOT
regulations, “Program Fraud Civil Remedies,” 49 CFR Part 31, apply to its actions pertaining to this
Agreement. Upon execution of the underlying Agreement, 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 Agreement or the FTA-assisted project for which this Agreement work is being performed. In
addition to other penalties that may be applicable, 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 Contractor to the extent the Federal Government deems appropriate.
8.1.
Contractor 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 an agreement
connected with a project that is financed in whole or in part with Federal assistance originally awarded by
FTA under 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 Contractor, to the extent the Federal Government deems
appropriate. Contractor also agrees to include the terms of ¶8 and ¶8.1 in each consultant agreement and
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 consultants and subcontractors who will be
subject to the provisions.
9.
Fly America. 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 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. 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. Contractor agrees to include the
requirements of this section in each consultant agreement and subcontract that may involve international
air transportation.
10.
Energy Conservation. Contractor agrees to comply with mandatory standards and
policies relating to energy efficiency which are contained in the state energy plan issued in compliance
with the Energy Policy and Conservation Act. To the extent that Contractor discovers or becomes aware
of a violation of these requirements during the course of performing this Agreement, Contractor agrees to
report immediately such violation to IPTC. Contractor also agrees to ensure that its Services performed
under the Agreement, including all portions of the Services performed by subcontractors or consultants,
shall be in compliance with the energy efficient standards required in the Contract Documents.
11.
No Federal Government Obligation to Third Parties. Contractor acknowledges and
agrees that, notwithstanding any concurrence by the Federal Government in or approval of the
solicitation or award of the Agreement, absent the express written consent by the Federal Government,
the Federal Government is not a party to this Agreement and shall not be subject to any obligations or
liabilities to IPTC, Contractor, or any other party (whether or not a party to the Agreement) pertaining to
any matter resulting from the Agreement. Contractor agrees to include the above clause in each
subcontract financed in whole or in part with Federal assistance provided by the FTA. It is further agreed
that the clause shall not be modified, except to identify the subcontractor who will be subject to its
provisions.
12.
Agreements Involving Federal Privacy Act Requirements. The following
requirements apply to Contractor and its employees that administer any system of records on behalf of
the Federal Government under the Agreement: (1) Contractor agrees to comply with, and assures the
compliance of its employees with, the information restrictions and other applicable requirements of the
Privacy Act of 1974, 5 U.S.C. § 552a. Among other things, Contractor agrees to obtain the express
consent of the Federal Government before Contractor or its employees operate a system of records on
behalf of the Federal Government. Contractor 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
Agreement. (2) Contractor also agrees to include these requirements in each subcontract to administer
any system of records on behalf of the Federal Government financed in whole or in part with Federal
assistance provided by FTA.
13.
ADA Access. Contractor agrees to comply, and assures the compliance of each
subcontractor at any tier of the Project, with the applicable laws and regulations, set forth below, for
nondiscrimination on the basis of disability:
a.
Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, which
prohibits discrimination on the basis of disability in the administration of federally funded
programs or activities.
b.
The Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. § 12101 et
seq., which requires that accessible facilities and services be made available to
individuals with disabilities.
c.
The Architectural Barriers Act of 1968, as amended, 42 U.S.C. § 4151 et seq., which
requires that buildings and public accommodations be accessible to individuals with
disabilities.
d.
Federal transit law, specifically 49 U.S.C. § 5332, which now includes disability as a
prohibited basis for discrimination.
e.
U.S. DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),”
49 CFR part 37.
f.
U.S. DOT regulations, “Nondiscrimination on the Basis of Disability in Programs and
Activities Receiving or Benefiting from Federal Financial Assistance,” 49 C.F.R. part 27.
g.
Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB)
and 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.
h.
Other applicable laws and amendments pertaining to nondiscrimination and access for
seniors or individuals with disabilities.
14.
Disadvantaged Business Enterprise Participation.
a.
DBE Program. This Agreement is subject to the requirements of 49 CFR Part 26,
Participation by Disadvantaged Business Enterprises in Department of Transportation
Financial Assistance Programs. The national goal for participation of Disadvantaged
Business Enterprises (DBE) is ten percent (10%). The IPTC’s overall goal for DBE
participation is fifteen percent (15%). The DBE commitment for this Agreement is as
stated on the DBE Commitment Form executed by Contractor and on file with the
Director of Procurement. If the total Agreement price is increased as a result of change
orders (modifications), the Contractor shall make a good faith effort to achieve a
commensurate increase in DBE participation.
b.
DBE Obligation. Contractor shall not discriminate on the basis of race, color, national
origin or sex in the performance of this Agreement. The Contractor shall carry out
applicable requirements of 49 CFR Part 26 in the award and administration of DOTassisted Agreements. Failure by the Contractor to carry out these requirements is a
material breach of this Agreement, which may result in the termination of this Agreement
or such other remedy as IPTC deems appropriate, which may include, but is not limited
to, (1) withholding monthly progress payments, (2) assessing sanctions, (3) liquidated
damages, and/or (4) disqualifying the Contractor from future bidding as non-responsible.
Each subcontract the Contractor signs with a subcontractor must include the assurance in
this paragraph.
c.
DBE Modifications or Substitutions. In the event that Contractor wishes to modify its
DBE subcontractor commitments, the Contractor must notify the IPTC DBE Liaison
Officer in writing and request approval for the modification. Contractor may not, without
IPTC’s prior written consent, terminate for convenience any DBE subcontractor
approved by IPTC under this Agreement and then perform the work of the subcontract
with its own forces. This includes any changes to items of work, material, services or
DBE firms which differ from those identified on the DBE Commitment Form on file with
the Director of Procurement. When a DBE subcontractor is terminated or fails to
complete its work for any reason, Contractor must make good faith efforts to find another
DBE subcontractor to substitute for the original DBE firm. These good faith efforts must
be directed at finding another DBE firm to perform at least the same amount of work
under this Agreement as the DBE firm that was terminated or failed to complete its work.
Contractor must provide the IPTC with any and all documents and information as may be
requested with respect to the requested substitution. If IPTC determines that Contractor
failed to make food faith efforts, IPTC will provide the opportunity for administrative
reconsideration pursuant to 49 CFR 26.53. As part of this reconsideration, Contractor will
have the opportunity to provide written documentation or argument and to meet with a
designated IPTC official concerning the issue of whether it met the goal or made
adequate good faith efforts to do so. A written decision will be sent to Contractor
explaining the basis for finding that Contractor did or did not meet the goal or make
adequate good faith efforts to do so.
d.
Reporting and Recordkeeping. Contractor shall submit documentation concerning
Contractor’s performance in meeting the DBE commitment during the period of the
Agreement. Contractor shall enter into written agreements with the DBEs listed in its
DBE Commitment Form or with substitutes which have been approved by IPTC.
Contractor shall utilize the specific DBEs listed to perform the work and supply the
materials for which it is listed unless the Contractor obtains written consent from IPTC as
provided in paragraph (c) above. Unless consent is provided, Contractor shall not be
entitled to any payment for work or material unless it is performed or supplied by the
listed DBE. Copies of all executed DBE agreements shall be provided to IPTC’s
Director of Procurement by Contractor immediately upon execution with a duplicate
copy furnished to the IPTC DBE Liaison Officer. In addition thereto, Contractor shall
meet the following requirements:
1.
Submit a work schedule outlining when the DBE subcontractors and material
suppliers will commence and complete their services or work under the
Agreement within 30 days of Agreement execution.
2.
Submit monthly reports in a format approved by IPTC detailing progress toward
meeting the DBE commitment for this project and proofs of payment to the IPTC
DBE Liaison Officer. Monthly claims for payment from Contractor will not be
processed without submission of these reports and documentation.
3.
Promptly notify IPTC of any situation in which any regularly scheduled progress
payment is not made to a DBE.
4.
Not willfully make any false statements or provide incorrect information as part
of its reporting and recordkeeping duties and obligations hereunder. The willful
making of false statements or providing of incorrect information is considered a
material breach of Agreement and shall entitle IPTC to all remedies and relief as
otherwise provided in the case of a contractual breach in accordance with Article
XI of the Agreement.
e.
Prompt Payment and Retainage. Contractor is required to pay its subcontractors,
suppliers and consultants performing services related to this Agreement for satisfactory
performance of those services no later than fifteen (15) days following Contractor’s
receipt of payment for that work from IPTC. Contractor may not hold retainage from its
subcontractors, suppliers and consultants. Failure to carry out prompt payment is
considered a breach of the Agreement. IPTC will not reimburse Contractor for work
performed by subcontractors, suppliers and consultants unless and until Contractor
ensures that all subcontractors, suppliers and consultants are promptly paid. IPTC may
not award future contracts to Contractors who refuse to pay promptly in accordance with
this provision.
15.
Incorporation of FTA Terms. All contractual provisions set forth in FTA Circular
4220.1F are incorporated herein by reference and made a part hereof. Contractor shall
not perform any act, fail to perform any act, or refuse to comply with any IPTC requests
which would cause IPTC to be in violation of the FTA terms and conditions.
16.
Buy America. 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 in49 C.F.R. 661.7, and include final assembly in the United
States for 15 passenger vans and 15passenger 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 49C.F.R. 661.11. Rolling stock
must be assembled in the United States and have a 60 percent domestic content.
17.
Default and Termination. If Contractor fails, neglects or is unable to carry out the Work
in accordance with the strict requirements of the Contract Documents, IPTC may declare
Contractor in default and, in addition to any other right or remedy afforded by the
Contract Documents, stop, correct and/or carry out the Work after prior written notice to
Contractor.
If Contractor fails to cure any defaults within seven (7) days after receipt of written
notice, IPTC may, and without prejudice to any other remedy IPTC may have, terminate
the Contract and finish the Work by whatever method IPTC may deem expedient. All
claims costs, losses and damages incurred or sustained by IPTC in exercising such rights
and remedies ,including but not limited to delay damages, attorney fees and costs of
administration, will be charged against Contractor and IPTC shall be entitled to a
corresponding decrease in the Contract Price. If payments then or thereafter due
Contractor are not sufficient to cover such amounts, Contractor shall pay the difference to
IPTC.
18.
Dispute Resolution. IPTC and Contractor are fully committed to working with each
other throughout the Project and agree to communicate regularly with each other at all
times so as to avoid or minimize disputes or disagreements. If disputes or disagreements
do arise, IPTC and Contractor each commit to resolving such disputes or disagreements
in an amicable, professional and expeditious manner so as to avoid unnecessary losses,
delays and disruptions to the Work. IPTC and Contractor will first attempt to resolve
disputes or disagreements through discussions between their Authorized Representatives,
and if not successful, then through discussions between the party principals. Disputes or
disagreements that are not resolved shall, at IPTC’s sole option, be subject to mediation
as a condition precedent to binding dispute resolution. All disputes not resolved by
mediation shall be subject to binding arbitration (administered by the American
Arbitration Association) or litigation. IPTC shall have the sole option of selecting
arbitration over litigation as means for binding dispute resolution. All binding dispute
resolution proceedings shall be venued Marion County, Indiana.
ATTACHMENT A
MAGNETIC STRIPE
CARD
Technical Specs for use in
Genfare Fare Collection Equipment
Manual # M-28752-SM
MAGNETIC STRIPE CARD
TECHNICAL SPECS MANUAL
MAGNETIC STRIPE CARD
TECHNICAL SPECS MANUAL
MAGNETIC STRIPE CARD
TECHNICAL SPECS MANUAL
MAGNETIC STRIPE CARD
TECHNICAL SPECS MANUAL
#M-28752-SM
#M-28752-SM
#M-28752-SM
#M-28752-SM
2/2/2016
PROPRIETARY NOTICE
This document contains proprietary and confidential information of SPX > Genfare.
Neither this document nor the information disclosed herein shall be reproduced without
written permission by SPX > Genfare authority.
Magnetic Stripe Card Technical Specs for use in
Genfare Fare Collection Equipment Manual # M-28752-SM
REVISION 01
NOVEMBER 29, 2012
751 Pratt Boulevard
Elk Grove Village, Illinois 60007
Telephone (847) 593-8855
© 2003- 2012 SPX > GENFARE
All Rights Reserved
The brand name products and manufacturer’s names mentioned in this document are
either trademarks or registered trademarks of their respective holders.
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REVISION STATUS
REVISION
DATE
DESCRIPTION
01
05/06/2008
First Issue
02
11/29/2012
Second Issue
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TABLE OF CONTENTS
TABLE OF CONTENTS .................................................................................... LXIII
1. INTRODUCTION .............................................................................................. 1
1.1 General ................................................................................................................................ 1
1.2 Purpose ............................................................................................................................... 1
1.3 Specification Parameters .................................................................................................. 2
2. GLOSSARY ...................................................................................................... 1
3. APPLICABLE DOCUMENTS ............................................................................. 1
4. TICKET STOCK – THERMAL COATING ON PAPER TICKETS .......................... 1
4.1 Material and Quality ........................................................................................................... 1
4.2 Color .................................................................................................................................... 2
4.3 Paper Opacity ..................................................................................................................... 2
4.4 Curl ..................................................................................................................................... 2
4.5 Internal Tearing Resistance .............................................................................................. 2
4.6 Ash Content ........................................................................................................................ 2
4.7 pH Value .............................................................................................................................. 2
4.8 Writing Quality ................................................................................................................... 3
4.9 Smoothness (Roughness) ................................................................................................ 3
4.10 Abrasion Loss .................................................................................................................... 3
4.11 Toxicity ............................................................................................................................... 3
4.12 Thermal Properties ............................................................................................................ 3
4.13 Location of Magnetic Stripe .............................................................................................. 3
4.14 Marking upon Abrasion ..................................................................................................... 3
4.15 Storage Temperature ......................................................................................................... 4
5. PHYSICAL CHARACTERISTICS OF TICKET .................................................... 1
5.1 Die Cut Tickets ................................................................................................................... 1
5.1.1
5.1.2
5.1.3
5.1.4
5.1.5
5.1.6
TICKET SIZE................................................................................................................................. 1
CORNERS .................................................................................................................................... 1
TICKET EDGE AND SIDES ............................................................................................................... 1
GRAIN ......................................................................................................................................... 1
DEFECTS ..................................................................................................................................... 1
CORNER CUT ............................................................................................................................... 1
6. PHYSICAL CHARACTERISTICS OF MAGNETIC MATERIAL ............................ 1
6.1
6.2
6.3
6.4
6.5
6.6
6.7
6.8
6.9
Location .............................................................................................................................. 1
Dimensions ......................................................................................................................... 1
Surface Continuity ............................................................................................................. 1
Surface Finish .................................................................................................................... 1
Surface Profile .................................................................................................................... 1
Resistance to Abrasion ..................................................................................................... 2
Adhesion of Stripe to Card ............................................................................................... 2
Overlay ................................................................................................................................ 2
Submersion in Water ......................................................................................................... 2
7. MAGNETIC CHARACTERISTICS OF APPPLIED MAGNETIC MATERIAL .......... 1
7.1
7.2
7.3
7.4
Purpose ............................................................................................................................... 1
Approach ............................................................................................................................ 1
Reference ............................................................................................................................ 1
Equipment .......................................................................................................................... 2
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7.5 Symbols .............................................................................................................................. 3
7.6 Procedure ........................................................................................................................... 4
7.6.1
7.6.2
7.6.3
7.6.4
SATURATION CURVE ..................................................................................................................... 4
DC-ERASE CURVE ....................................................................................................................... 5
RESOLUTION ................................................................................................................................ 5
UNIFORMITY................................................................................................................................. 5
7.7 Definition ............................................................................................................................ 6
7.7.1
7.7.2
7.7.3
7.7.4
7.7.5
EFFECTIVE COERCIVITY HC*.......................................................................................................... 6
EFFECTIVE READ SIGNAL VR* ....................................................................................................... 7
EFFECTIVE RESOLUTION R* .......................................................................................................... 7
EFFECTIVE DISPERSION D* ........................................................................................................... 7
EFFECTIVE UNIFORMITY U* ........................................................................................................... 7
7.8 Protocol .............................................................................................................................. 7
7.8.1
7.8.2
7.8.3
7.8.4
MEDIA SATURATION CURVE ........................................................................................................... 8
MEDIA DC-ERASE CURVE ............................................................................................................. 8
MEDIA RESOLUTION & UNIFORMITY ................................................................................................ 9
MEDIA EFFECTIVE PARAMETERS .................................................................................................... 9
7.9 Pulse Width ........................................................................................................................ 9
7.10 Noise ................................................................................................................................... 9
7.11 Jitter .................................................................................................................................... 9
7.12 Environment ..................................................................................................................... 10
8. SAFETY ........................................................................................................... 1
8.1 Toxicity ............................................................................................................................... 1
8.2 Flammability ....................................................................................................................... 1
9. PRINTING ........................................................................................................ 1
9.1
9.2
9.3
9.4
General ................................................................................................................................ 1
Standard Ink Printing......................................................................................................... 1
Signature Space (Optional) ............................................................................................... 1
Current Value Space (Optional) ........................................................................................ 1
9.4.1
9.5
9.6
9.7
9.8
9.9
CURRENT VALUE FORMAT (OPTIONAL) ........................................................................................... 1
Thermal Printing Panel (Optional) .................................................................................... 1
Production Run Identification .......................................................................................... 1
Ink Adhesion ...................................................................................................................... 1
Optical Sense Print ............................................................................................................ 2
Registration ........................................................................................................................ 2
9.9.1
9.9.2
9.9.3
PRINT TO PRINT ........................................................................................................................... 2
PRINT TO CUT .............................................................................................................................. 2
PERFORATION TO CUT REGISTRATION ............................................................................................ 2
9.10 Thermal Transfer Printing ................................................................................................. 2
10. TICKET HANDLING CHARACTERISTICS ......................................................... 1
10.1
10.2
10.3
10.4
10.5
10.6
Ticket Reliability ................................................................................................................ 1
Folding ............................................................................................................................... 1
Wetness/Moisture ............................................................................................................. 1
Magnetic Exposure ........................................................................................................... 1
Magnetic Stripe Strength ................................................................................................. 2
Workmanship .................................................................................................................... 2
11. TICKET ENVIRONMENT .................................................................................. 1
11.1 Ticket – Machine Environment ......................................................................................... 1
11.2 Blocking .............................................................................................................................. 1
11.3 Ticket Handling .................................................................................................................. 1
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12. PACKING AND SHIPPING ................................................................................ 3
12.1 Packing ............................................................................................................................... 3
12.2 Shipping .............................................................................................................................. 3
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1. INTRODUCTION
1.1
General
This document defines the material quality, dimensions, magnetic properties and
durability of die cut magnetic stripe tickets and ticket stock to be used with the Genfare
Fare Collection Equipment: such as turnstiles, fareboxes, card readers, and any other
devices or equipment made by SPX > GENFARE which use, read, encode, and/or print
upon magnetic ticket materials.
NOTE: While many of the technical specifications and references
herein are derivative of those used in bank card and cards used for
electronic funds transfer, these specifications are NOT suitable for
credit or debit cards or for bank cards used for electronic funds
transfer.
1.2
Purpose
With the increasing use of magnetic stripe tickets in fare collection equipment it has
become increasingly necessary for a definitive specification for the tickets. This
specification covers all aspects of the ticket from substrate material through magnetic
material, including encoding, printing, and packaging.
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1.3
Specification Parameters
This specification covers the following parameters of ticket design and manufacture:
MAGNETIC TICKET SPECIFICATIONS
Base stock material
Paper
Magnetic stripe material
High coercivity materials, applied by tape or slurry to
the base stock material
Dimension and configuration
Die cut
Printing and packaging
Standard printing, thermal and thermal transfer
printing, packaging and shipping
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2. GLOSSARY
The following is a glossary of terms used in this document:
ANSI
American National Standards Institute.
Azimuth Error
A decode error resulting from misalignment of the read
head gap with the encoded flux reversals on a magnetic
stripe.
B
Magnetic Flux or induction; cgs unit is gauss.
Br
Residual induction
Bs
Saturation induction
Biphase
The binary encoding technique used in magnetic stripe,
wherein a bit-cell represents a logic One if it has a flux
reversal at its midpoint and represents a logical Zero if it
does not. Also known as Aiken Biphase, F2F, and two
frequency coherent phase encoding.
Bit
A binary digit, having the value of either 0 or 1.
Bit Cell
The distance between flux reversals on a magnetic stripe
required for the recording of a binary digit, i.e. a bit;
numerically equal to the reciprocal of the encoding density.
BPI
Bits per inch, the encoding density of a magnetic stripe.
Bleed
Graphics printed up to one or more edges of the ticket.
Blocking
The process of sticking together of tickets during storage.
This process is sometimes accompanied by the transfer of
magnetic material from one card to the next.
cgs
A system of units in which the centimeter-gram-second are
the units for the fundamental quantities length-mass-time.
Check Digit
Using an algorithm with one or more data sets to compute a
digit, which is used to verify validity of the data set.
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Clocking Bits
The all Zero bit-cells encoded at the beginning and end of a
magnetic stripe to permit the read circuit to synchronize at
the beginning of a read.
Coercive Force
The demagnetizing force required to reduce the induction
to zero. Usually refers to the maximum demagnetizing
force required to erase a magnetic stripe i.e. that for a fully
saturated material.
Coercivity (Hc)
The property of a magnetic material which resists
demagnetization, measured by the maximum value of its
coercive force; the cgs unit is oersted.
Coercivity – high
2750 – 4000 Oersteds (See High Energy)
Curl
The deviation of a card from flat. Can be defined as three
types; lengthwise curl, widthwise curl and diagonal curl.
Degaussing
The process of demagnetizing a magnetic material such that
its remanent magnetism is zero
Demagnetization Curve
The second quadrant portion of the saturated condition
hysteresis loop of a permanent=magnet material (frequently
called the B/H curve).
Demagnetizing Force
A magnetic field opposite in polarity to that of a previously
magnetized material in such a way that it reduces the
remanent induction
Density
The number of bit cells encoded per unit length along the
magnetic stripe, usually expressed as bits-per-inch, or BPI.
Encoding
The process of creating flux reversals at specific locations
along the length of a magnetic stripe such that the flux
reversal pattern represents specific data
End Sentinel
A defined bit-pattern in an encoding format which cannot
be used for a data character, and which is encoded on the
magnetic stripe immediately following the last data
character bit pattern.
Erasing
The process of removing all flux reversals from the length
of a magnetic stripe
Ferromagnetic Material
Any material that has a permeability substantially greater
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than 1 and that exhibits magnetic hysteresis properties.
Strongly attracted by a magnetic field
Flux Density (B)
The number of lines of magnetic flux per unit area; the cgs
unit is gauss.
Flux Reversal
A location (interface) on the magnetic stripe where the
magnetic particles on the two sides of the interface have
like poles facing each other, i.e. a South-South or a NorthNorth interface, resulting in a concentration of magnetic
flux at the interface.
Forward Read
Reading the magnetic stripe starting at the end containing
the start Sentinel.
Framing Characters
The Start sentinel. End sentinel, and LRC characters.
ftpi
Flux transitions (i.e. reversals) per inch.
Gap, head
The short section of non-magnetic material at the face of a
read or encode head which is in contact with the magnetic
stripe during reading or encoding; in practice, essentially
the same as an air gap.
Gauss
The cgs unit of magnetic induction, = 1 maxwell/cm2.
H
Magnetizing force or field strength; the cgs unit is oersted.
Hc
Coercivity
Head Pressure
The force per unit contact width with which the head is
held in contact with the magnetic stripe.
Head, encode
A device consisting of a solenoid coil wrapped around a
ring of magnetically conductive material which has a short
section of non-magnetic material called a gap; the magnetic
field produced at the gap is used to create flux reversals in a
magnetic stripe.
Head, read
A device similar to and acting in reciprocity to an encode
head, such that movement of the head gap across the
concentrated magnetic flux at a flux reversal induces a
current in the head coil.
High Energy Stripe
High coercivity magnetic stripe, usually above 3000
Oersteds; while requiring higher magnetic fields to encode
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data, it does not have a higher read output.
Hub
The center cardboard or plastic part of a roll of tickets
Hysteresis
The property of a material wherein its condition at any
instant depends upon its preceding condition; the failure of
the magnetism to retrace its path as the field H varies
Hysteresis Loop
A curve showing the cyclic relationship between
magnetizing force H and induction B in a magnetic
material; also called the B/H curve.
Individual Signal Amplitude The peak-to-peak amplitude of a single read voltage signal.
Inductance
The inductance of a coil or solenoid is the rate of increase
in magnetic flux linkage with increase of current in the coil,
where linkage is the product of the flux through the coil by
the number of turns; the cgs unit of inductance is the henry,
equal to 108 maxwell-turns per ampere of current.
Induction, magnetic (B)
The flux density entering a magnetic material; the cgs unit
is gauss, equal to 1 maxwell/cm2.
Induction, residual (Br)
The induction remaining in a magnetic material when the
magnetizing force adequate to saturate the material is
reduced to zero.
Induction, saturation (Bs)
The largest induction possible in a magnetic material.
ISO
International Standards Organization
Jitter
The incorrect location of a flux reversal on a magnetic
stripe, whether real or apparent; if the reversal is
improperly placed on the stripe, it is called encoded jitter;
jitter resulting from speed changes during the read is called
acceleration jitter; jitter resulting from read circuit changes
with amplitude or frequency is called phase jitter.
Leading Zeros
Clocking bits before the Start Sentinel
Linkage
The product of the flux through a coil by the number of
turns in the coil; the cgs unit is maxwell-turns.
Line of Flux
A term used to describe magnetic flux; 1 line of flux = 1
maxwell.
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Low Energy Stripe
Low coercivity magnetic stripe, usually 300 oersted; does
not refer to read output.
LRC Character
Longitudinal redundancy Check; an encoded bit-pattern
following the End Sentinel in some encoding protocols to
check for bit errors in the preceding bit string.
Magnetic Field
occur.
A region in which magnetic lines of flux or force
Magnetic Field Strength (H) The magnitude of the force in free space that would be
exerted on a unit magnetic pole; the cgs unit is oersted,
equal to 1 maxwell/cm2.
Magnetic Flux (Φ)
The total quantity of lines of flux that exist in a given area;
the cgs unit is maxwell.
Magnetic Line of Force
An imaginary line representing the points in a magnetic
field that produce the same force on a unit magnetic pole; 1
line of force = 1 maxwell.
Magnetic Pole
A region where lines of magnetic flux originate (North) or
terminate (South)
Magnetic Stripe
A thin layer of material consisting of oriented
ferromagnetic particles rigidly held together by a resin
binder and bonded to a non-magnetic carrier medium such
as paper or plastic.
Magnetization
The excess induction in a ferromagnetic material over that
for free space; the cgs unit is gauss, equal to 4π poles/cm3.
Magnetization Curve
The portion of the first quadrant of a B/H hysteresis loop
that shows the relationship between magnetizing force and
induction for a magnetic material magnetized from an
initially completely demagnetized state.
Magnetizing Force (H)
Same as magnetic field strength.
Maxwell
The cgs unit of magnetic flux, the flux through a square
centimeter normal to a field of one oersted
Micron
inch
One millionth of a meter, equal to 40 thousandths of an
Mil
One thousandth of an inch
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mks
A system of units in which the meter-kilogram-second are
the units for the fundamental quantities length-mass-time.
N
North pole of a magnet
NBS
National Bureau of Standards; now called the National
Institute of Standards and Technology.
NIST
National Institute of Standards and Technology; formally
called the National Bureau of Standards.
North Pole (N)
The portion of a magnetized object that, if free to move,
will point toward the portion of the Earth geographically
designated as North; lines of flux emanate from the North
Pole and enter the South Pole.
Oersted (Oe)
The cgs unit of magnetizing force equal to one dyne per
unit pole, or magnetic field strength equal to the field at one
centimeter from a unit pole.
Orientation Ratio
The ratio of remanence in the longitudinal direction to the
remanence in the transverse direction of a magnetic stripe
Overwrite
Re-encode; the data on the magnetic stripe is erased and
new data is encoded.
Oxide Thickness
The thickness of the magnetic stripe material.
Parity
Oddness or evenness; in binary encoding, an odd or even
number of Ones; the parity bit is the additional bit required
to ensure the parity of any specified bit-string.
Paper Ticket
Card or ticket with base material made from paper stock.
Permeability
The ratio of the flux density in a material to the
magnetizing force producing it
Permeance
A term describing the relative ease with which flux passes
through a given material or space. The reciprocal of
reluctance.
Plastic Ticket
Card or ticket with base material made of plastic – usually
polyester but may be other plastic material such as pvc.
Polyester
A plastic material frequently used for ID badges, access
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control cards and tickets; more expensive but stronger than
PVC; cannot be embossed and requires higher laminating
temperatures.
Print – Applied
Printing applied to the ticket subsequent to factory printing
by means of equipment such as vending machines,
turnstiles, or other ticket processing equipment.
Print – Factory
Printing on the ticket done at the time of manufacture of the
ticket.
Profile
The deviation of the magnetic stripe surface from flatness;
a positive profile is convex, and a negative profile is
concave.
PTB
Physikalish-Technische Bundesanstalt, the German (FR)
standards laboratory.
Reference Card
An international standard magnetic stripe card designated
as RM 7811/2, supplied and certified by PTB, with the
stripe made from certified SRM 3200 tape.
Reference Signal Amplitude The maximum average read signal amplitude of the PTB
standard reference card corrected to the NIST master
standard tape.
Reluctance
The relative resistance of a material or space to the passage
of flux. The reciprocal of permeance
Reluctivity
The reciprocal of permeability
Remanence (Br)
Same as residual induction, i.e. residual magnetization.
Retentivity (Br/Bs)
The ration of the residual induction to the saturation
induction of a magnetic material; also called Squareness
Ratio.
Reverse read
Reading the magnetic stripe starting at the end containing
the End Sentinel.
RM
Reference Material, the German PTB analog of NIST SRM
S
South pole of a magnet
Saturation
A condition where all the available elementary magnetic
domains in a ferromagnetic material are aligned in
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substantially the same direction
Self-clocking
That property of biphase which permits encoded magnetic
stripes to be read at different speeds; the Ones frequency is
always twice the Zeros frequency, and the read circuit need
only sync on a string of known Zeros to begin reading at
any speed.
Separator
Also known as a fiedld separator, a designated character in
an encoding character set which is used to separate data
fields, and cannot be used for data.
SFD
Switching Field Distribution; the ration of the half-peak
width of the B/H loop to the coercive force
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South Pole (S)
The portion of a magnetized object that, if free to move,
will point toward the portion of the Earth geographically
designated as South; lines of flux emanate from the North
pole and enter the South pole.
Spacing Loss
A reduction in read head signal output resulting from the
head gap not being in contact with the magnetic stripe; the
read signal decreases exponentially with distance between
gap and stripe.
Squareness ratio
Same as retentivity
SRM 3200
Standard Reference Material Number 3200, a secondary
standard magnetic tape supplied by the National Bureau of
Standards and certified for signal amplitude.
Start-Sentinel
A defined bit pattern in an encoding format which cannot
be an all Zeros pattern, and which is encoded on the
magnetic stripe immediately prededing the first character
bit pattern.
Substrate
The material on which the magnetic stripe is deposited.
Surface Profile
The average deviation of the magnetic stripe surface from a
straight line measured in micro-inches per tenth of an inch
of width.
Surface Roughness
The average deviation of the magnetic stripe surface from a
straight line, measured in micro-inches per tenth of an inch
of width.
Susceptibility
The ratio of the intensity of magnetization to the
magnetizing force.
Telescoping
The deviation from flat of a roll of tickets, where the center
hub is displaced from the roll.
Tesla
The mks unit of magnetic flux density, equal to 104 gauss.
Thermal Ticket
Card or ticket with one or both sides coated with a thermal
sensitive coating.
Timing Mark/Hole
A mark or hole on the ticket which is sensed by a detector.
Used to detect the position of a card in a printer or encoder
(usually before cutting ticket)
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Timing Track
A pattern of flux reversals encoded on a magnetic stripe
other than the data track, used to generate the required
pulses during encoding of the data track.
Top-of-Form Mark
A mark used to detect the top of a card or ticket (usually for
printing or for cutting).
Track
A strip of specified width and location running the length
of the magnetic stripe on which data is encoded. ANSI/ISO
standards define three track locations for the magnetic
stripe on credit/financial cards, called Track 1, 2, and 3; the
tracks are 0.110" wide, with Track 1 closest to the card
edge.
Trailing Zeros
Clocking bits following the End sentinel-LRC
Triplex
A material comprising a sandwich of paper-plastic-paper
Triplex Ticket
stock.
Card or ticket with a base material made from Triplex
VSM
Vibrating Sample Magnetometer, a device used to measure
magnetic properties of pigments/powders.
Wear
Mechanical alteration of the magnetic stripe and of the
read/encode head resulting from the motion of the head
along the stripe.
Weber
The mks unit of total flux, equal to 108 maxwell
Write
Same as encode
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3. APPLICABLE DOCUMENTS
The industry-standard documents listed below provide extra information for further
research. (Not all of these standards apply to fare collection tickets.)
ISO 7810
-
Identification Cards - Physical Characteristics
ISO 7811/1
-
Identification Cards - Recording Technique
Part 1: Embossing
ISO 7811/2
-
Identification Cards - Recording Technique
Part 2: Magnetic Stripe
ISO 7811/3
-
Identification Cards - Recording Technique
Part 3: Location of Embossed Characters on ID-1 Cards
ISO 7811/4
-
Identification Cards - Recording Technique
Part 4: Location of Read Only Magnetic Tracks
- Tracks 1 and 2
ISO 7811/5
-
Identification Cards - Recording Technique
Part 5: Location of Read-Write Magnetic Track
- Track 3
ISO 7811/6
-
Identification Cards – Recording Technique
Part 6: Magnetic stripe – High coercivity
ISO 7812
-
Identification Cards – Numbering System and Registeration
Procedure for Issuer Identifiers
ISO 7813
-
Identification Cards - Financial Transaction Cards
ANSI Standard X3.11 – 1969
Specification for “General Purpose Paper Cards for
Information Processing.”
ANSI Standard X3.30 – 1971
Representation for Calendar Date and Ordinal Date
ANSI Standard X3.40 – 1983
Information Systems – Unrecorded Magnetic Tape
ANSI Standard X4.13 – 1983
Financial Services, Financial Transaction Cards
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ANSI Standard X4.16 – 1983
Financial Transaction Cards, Magnetic Stripe
Encoding
ANSI Standard X9.1 – 1980
Magnetic Stripe Data Content for Track 3
Where the above documents are superseded by a revision approved by American
National Standard, Inc (ANSI), the revised standard shall apply.
TAPPI – T425 Opacity of Paper
The above glossary is reproduced (with additions) from the AIM Glossary of Terms
available from:
AIM USA
634 Alpha Drive
Pittsburgh, PA 15238 USA
Phone : (412) 963-8588
Fax
: (412) 963-8753
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4. TICKET STOCK – THERMAL COATING ON PAPER
TICKETS
4.1
Material and Quality
The paper stock quality meets or exceeds the requirements of ANSI X3.11 – 1969,
Section 3, with the exception that it will be modified to slow size variations caused by
humidity, temperature, or repeated handling, and is further modified to the extent
specified below.
1) Furnish: The paper shall be 100% chemical pulp; no ground wood permitted. The
fiber composition shall be determined by the method standardized by Technical
Committee ISO/TC 6, Paper, board and pulps.
2) Basis Weight: The basis weight shall be 129 ± 5.5 pounds per ream of 500 sheets, 25
x 38 inches.
3) Thickness: The thickness shall be 0.0100 ± 0.0005 in. For other thicknesses consult
GENFARE for specifications.
4) Stiffness: The dry stiffness shall be:
Grain Direction = 18.0 gram – centimeter minimum
Cross Direction = 6.0 gram – centimeter minimum
The wet stiffness shall be:
Grain Direction = 13.0 gram – centimeter minimum
Cross Direction = 2.0 gram – centimeter minimum
5) Coefficient of Friction: The static coefficient of friction of the finished ticket shall
be: Coefficient of Friction = 0.15 to 0.45
The kinetic coefficient of friction shall not be less than 75% of the static coefficient
of friction.
6) Expansion: The maximum expansion and contraction with a change in relative
humidity of from 20% to 75% or from 75% to 20% shall be less than:
In the grain direction 0.25%
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In the cross grain direction 0.70%
4.2
Color
The base material shall be white card stock, unless otherwise specified herein or by
reference and approved.
4.3
Paper Opacity
The minimum paper opacity shall be 80% as defined in TAPPI – T425 Opacity of Paper.
4.4
Curl
The maximum curl of the tickets at equilibrium with any relative humidity between 20%
and 75% shall not exceed the following values:
Axis of curl parallel to ticket length: 0.09 inch
Axis of curl perpendicular to ticket length: 0.10 inch
Axis of curl parallel to ticket diagonal: 0.10 inch
4.5
Internal Tearing Resistance
The minimum resistance to tear in each direction shall be 1,225 N (In common practice
this value is equivalent to 125 gm).
Tearing resistance shall be determined by the method specified in ISO 1974.
4.6
Ash Content
The ash content shall not exceed 8%.
The ash content shall be determined by the method specified in ISO/R 2144.
4.7
pH Value
The pH obtained by the hot extraction method shall not be below 5.0.
Hydrogen ion concentration shall be determined by the method standardized by
Technical Committee ISO/TC 6, Paper, board and pulps.
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4.8
Writing Quality
Writing quality shall be determined by the method standardized by Technical Committee
ISO/TC 6, Paper Board and Pulps.
4.9
Smoothness (Roughness)
The maximum roughness on the thermal side of the paper shall correspond to a reading of
75 Sheffield Units and the maximum roughness of the non-thermal side shall correspond
to a reading of 125 Sheffield Units.
4.10
Abrasion Loss
The loss of mass from each side of the paper shall not exceed 50 mg.
The abrasion loss shall be determined by the method standardized by Technical
Committee ISO/TC 6, Paper Board and Pulps.
4.11
Toxicity
No part of the ticket shall be capable of causing bodily harm by absorption, inhalation, or
ingestion.
4.12
Thermal Properties
The ticket shall have the following thermal printing properties:
The thermal paper will have properties similar to FAX Grade 3 paper.
4.13
Location of Magnetic Stripe
The stripe shall be located on the thermal print side.
4.14
Marking upon Abrasion
The thermal surface shall not show any printing marks upon abrasion with a pointed
metal stylus (with a point with radius of not less than 0.010 inches). The stylus shall be
slid across the surface at a rate of not less than 10 inches per second.
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4.15
Storage Temperature
The ticket shall be suitable for storing in an environment as follows without any
degradation of the thermal properties for a period of 1 (one) year:
Temperature : 32° F to 120° F
Humidity
: 5% to 60% R.H.
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5. PHYSICAL CHARACTERISTICS OF TICKET
Definition of Sides: The ticket shall be defined as follows:
1) Front Side: Customer identification, magnetic stripe.
2) Back Side: Ticket type identifier, terms and conditions (if any).
5.1
Die Cut Tickets
The ticket shall meet the following requirements when conditioned at 50% ± 2% relative
humidity and 72° F ± 3.5° F, unless otherwise noted.
5.1.1
Ticket Size
The dimensions of the die cut ticket shall be as indicated in Figure 1.
5.1.2
Corners
All corners as shown on the drawings shall be rounded to a nominal radius of 0.125 inch.
The edge of the corner shall fall between the limits as indicated in Figure 1.
5.1.3
Ticket Edge and Sides
The ticket edges shall be smooth and free from burrs. Opposite ticket sides shall be
parallel to each other. Adjacent ticket sides shall be at 90° ± 0.
5.1.4
Grain
The grain of the paper or plastic material shall be in the direction of the long dimension
of the ticket.
5.1.5
Defects
Tickets shall be free from defects which may cause excessive wear or interfere with the
normal operation of processing equipment. Among these defects are: holes, excessive
dust, excessive fibers protruding from edges or surfaces of the ticket, residual chemicals,
slime spots, other brittle areas and translucent sports which could cause reading errors in
equipment.
5.1.6
Corner Cut
One corner of the ticket shall have a corner cut to aid in insertion orientation. This cut
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shall be ¼ inch on each side with a cut of 45 degrees. The location shall be as shown on
Figure 1.
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6. PHYSICAL CHARACTERISTICS OF MAGNETIC MATERIAL
The magnetic material shall be manufactured from suitable pigments and oxides to
achieve the required magnetic properties. The material may be applied either by direct
slurry coating or by affixing tape as appropriate.
6.1
Location
The location of the magnetic material is on the front of the ticket as shown in Figure 1.
The basic dimension from the ticket edge to the stripe centerline is 0.500 inch. The stripe
shall be parallel to the long edge of the ticket.
6.2
Dimensions
The height of the reading surface above the card when profiled with a probe having a
radius of between 0.015 in. and 0.100 in. shall be 0.0000 in. minimum and 0.0006 in.
maximum. A magnetic stripe with a nominal width of 0.310 inch for recording
information shall be located on the ticket.
6.3
Surface Continuity
The outside surface of the magnetic stripe shall not extend more than 1000 micro-inches
above the surface of an individual ticket. The outside surface of the magnetic stripe shall
not be below the ticket surface. In addition, the average stripe height measured over a
stack of 500 tickets shall not exceed 1000 micro-inches. These measurements shall be
made according to the methods established in GENFARE Test Procedure 18295.
6.4
Surface Finish
The surface irregularity of the reading surface shall not exceed 55 micro-inches.
Centerline average in either the longitudinal or the transverse direction, using a cutoff
wavelength of 0.01 in. or 0.03 in. when using a probe having a minimum radius of 100
micro-inches.
6.5
Surface Profile
The average profile of the minimum magnetic stripe width when measured parallel to the
height of the card with a probe having a radius of 0.015 in. to 0.1000 in. shall not show a
vertical deviation from a straight line connecting the minimum stripe width of more than
150 micro-inches for every 0.100 in. of stripe width. During the measurement, the back
side of the card shall be held parallel to the reference surface by a 0.5 lb. Load evenly
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distributed over the back of the measurement area. (See Figure 2)
6.6
Resistance to Abrasion
The magnetic material, after being abraded, shall be capable of producing readback signal
amplitude over the abraded portion of the stripe that is no less than 50 percent of the peak
readback signal before abrasion.
For polyester tickets the abrasion shall be carried out in a Tabor Abraser type 5130 or
equivalent.
The test card shall be flat in the fixture with a filler card of equal thickness so that the
abrading wheels do not bounce.
The wheels shall be CS-10F.
The load on each wheel shall be 500g.
The number of abrading wheel passes shall be 300 (150 complete cycles under 2 wheels).
The wheels shall be cleaned frequently, and at least between cards, to avoid clogging by
materials removed from the stripe.
The encoded signals for this test shall be at 500 flux transitions per inch (ftpi) and shall
be measured over the entire width of the encoded tracks.
For paper tickets the abrasion shall be tested as above. The number of abrading wheel
passes shall be 100 (50 complete cycles under 2 wheels).
6.7
Adhesion of Stripe to Card
The stripe shall not separate from the card under normal use.
6.8
Overlay
Any overlay whether applied as a wet coating or applied as a premanufactured stripe shall
be less than 10% of the shortest flux reversal to be encoded on the stripe.
6.9
Submersion in Water
The ticket shall be suitable for processing in the Automatic Fare Collection Equipment
after being submerged in 120° F water and then dried.
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7. MAGNETIC CHARACTERISTICS OF APPPLIED MAGNETIC
MATERIAL
7.1
Purpose
The purpose of this quideline is to provide definitions of, and measurement protocols for,
media magnetic parameters useful to manufacturers and users of magnetic stripe media
and equipment. The magnetic media shall conform to 2750 oersteds average with a
plus/minus tolerance of 50 oersteds.
7.2
Approach
The approach taken in this guideline is to define “effective” parameters in terms of
measurements which can be made directly on the finished media of interest, without
damage to the media.
7.3
Reference
To maintain maximum compatibility with existing standards, this guideline uses the
existing ISO 7811/2 standard media (available from PTB) as the reference media in the
definitions of the effective parameters, each of which is stated as a ratio of the parameter
value for the test media to the parameter value for the ISO RM 7811/2 media.
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7.4
Equipment
All measurements under this guideline shall be made with a magnetic stripe
reader/encoder equipped with a single combination read/write head. The test apparatus
and test conditions shall comply with the following specifications:
1) The media speed shall be maintained constant (or be corrected to) within ± 0.5% for
all measurements, and is recommended to be in the range of 7 to 10 inches per second
(178 to 254 millimeters per second). The speed shall be recorded.
2) The read/write head shall have read/write windings at the same gap, and have a core
saturation current at least 1.67 times the maximum write current used in the
measurements.
3) The write width shall be a nominal 0.120 inch (3.05 mm), and a minimum 0.110 inch
(2.79 mm). The read width shall be in the range of 0.040 to 0.065 inch (1.0 to 1.6
mm), and be centrally located with respect to the write width. The head gap length
shall be in the range of 0.0005 to 0.0008 inch (0.012 to 0.021 mm). The azimuth error
of the head/transport apparatus shall be no greater than 10 minutes of arc.
4) The head pressure shall be adjusted using the RM 7811/2 reference card such that a
higher head pressure does not increase the read output voltage or decrease the noise
measured. The head pressure shall be maintained constant for all sequences of
measurement.
5) Read measurements shall be made with the media moving in the same direction as the
write operation, and shall be taken on the same read pass. Except for the Uniformity
measurement in 10.8.3 all read measurements are the average peak-peak (amplified)
read winding output voltage using equipment with a flat response (± 0.1 dB) for the
signal frequencies measured, and a noise less than 0.5% of the RM 7811/2 Reference
Card saturation read voltage. The average value shall be determined over the length
of the card excluding 0.20 inch (5.08 mm) from either end of the stripe. All sequences
of measurements shall be made on the same region of the stripe.
6) The write head winding shall have associated circuits to allow for adjustment and
measurement of the write current. The rise time of the waveform shall be no greater
than 5% of the minimum flux transition period to be encoded. Write current settings
shall have an accuracy of ± 0.5%.
7) The environmental conditions for all measurements shall be 73 ± 5° F (23 ± 3° C) and
40% to 60% relative humidity.
8) All sequences of measurements shall be performed with the same test apparatus and
under the same conditions.
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7.5
Symbols
The following symbols are used in this guideline:
Hc
=
Coercivity of RM 7811/2 Reference Card used in test measurements, in
Oersteds, from the calibration certificate.
Hc*
=
Effective Coercivity of media magnetic stripe.
D*
=
Effective Dispersion of media magnetic stripe.
R*
=
Effective Resolution of media magnetic stripe.
U*
=
Effective Uniformity of media magnetic stripe.
Iw
=
Head write winding current during biphase encode operation.
Iw(1) =
Iw for Vr = 0.90 Vs on Saturation Curve
Ie
=
Head write winding current during DC-erase operation.
Ie(1)
Ie(2)
=
=
Ie for Vr = 0.90 Vss on DC-Erase Curve.
Ie for Vr = 0.10 Vss on DC-Erase Curve.
Ie(3)
=
Ie for Vr = 0.30 Vss on DC-Erase Curve.
Is
=
Head write winding current which produces saturation read voltage Vs.
Iss
=
Vss.
Head write winding current which produces suprasaturation read voltage
Vr
=
Head read winding peak-peak output voltage during read operation.
Vr*
=
Effective Read Signal of media magnetic stripe.
Vs
=
Maximum value of Vr, i.e. saturation read voltage.
Vss
=
Value of Vr produced by Iss.
F
=
Encoding density used in the test measurements, i.e. bits per inch.
V+
=
The absolute difference between the highest value V+ (max) and the
lowest value V- (min) of individual positive peaks in the read output signal.
V-
=
The absolute difference between the highest value V= (max) and the
lowest value V+ (min) of individual negative peaks in the read output signal.
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7.6
Procedure
The measurement procedure involves encoding and reading the magnetic stripe on the
finished media in a manner analogous to its use in practice. Hence the data obtained, and
the parameters calculated from that data, are representative of the performance of the
magnetic stripe in normal use.
The procedure is based on the determination of a “Saturation Curve” and a “DC-Erase
Curve” for the magnetic stripe.
7.6.1
Saturation Curve
Before each data point for the Saturation Curve is taken, the stripe is fully DC-erased
using a write head current well above the stripe’s saturation value. This eliminates
magnetic history, assures that each datum is referenced to the same initial condition, and
avoids the ambiguities of AC degaussing. The stripe is then written with all 0-bit biphase
encoding, at the intended encoding density F in bits per inch, with a write current Iw and
the corresponding read voltage Vr is measured. The procedure starts with low values of
Iw (well below Is) and increases Iw in steps until Vr reaches a maximum and begins to
fall with higher values of Iw. The Saturation Curve is a plot of the resulting Vr versus Iw
data.
The Saturation Curve thus obtained represents the characteristics of the stripe as it
changes from full saturated polarity in one direction to full saturated polarity in the
opposite direction, which is the basis of biphase encoding.
The Saturation Curve is used to obtain two characteristic values for the stripe:
1) The saturation read voltage Vs, i.e., the peak-to-peak read voltage for fully saturated
biphase encoding; and
2) The write head current Iw(1) which produces a read voltage Vr equal to 90% of the
saturation read voltage Vs.
Both of these values are readily determined from the curve, whereas the saturation
current Is is not.
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7.6.2
DC-Erase Curve
The measurement procedure for the DC-Erase Curve is as follows:
The stripe is fully DC-erased, and then written with all 0-bit biphase at a suprasaturation
write current Iss equal to 1.6 times Iw(1), i.e., at a write current 60% above that required
to produce 90% of the saturation read voltage Vs.
This procedure assures saturation while avoiding a significant amount of fringe field
erasure. The suprasaturation read voltage Vss used in the parameter calculations is the
value obtained for write current Iss. The thus encoded stripe is then subjected to a DCerase current Ie, starting with a low value of current, and the residual voltage Vr is
measured. This procedure is repeated in steps with increasing values of Ie until the
residual read voltage Vr drops below the noise level (as determined by either the stripe or
the measurement system). The DC-Erase Curve is a plot of the resulting Vr versus Ie
data.
The DC-Erase Curve thus obtained again represents the characteristics of the stripe as it
changes from full saturation in one direction to the other, essentially opposite to that for
the Saturation Curve. However, the DC-Erase Curve is a more sensitive method for
determining an effective “saturation” current for use in the calculation of Effective
Coercivity.
This current Ie(3) is taken as the DC-erase current required to reduce the read voltage to
3% of its suprasaturation value Vss. Two other characteristic values of the stripe are also
obtained from the DC-Erase Curve, namely the DC-erase currents required to reduce the
read voltage to 90% and 10% of its suprasaturation value Vss, denoted Ie(1) and Ie(2)
respectively. These values are used to calculate the Effective Dispersion (D*) for the
stripe.
7.6.3
Resolution
The stripe is again fully DC-erased, and then written with all 1-bit biphase encoding at
the write current Iss. The measured suprasaturation read voltage Vss(2F) is used with
Vss(F) as determined above to calculate the Effective Resolution (R*) of the stripe.
7.6.4
Uniformity
The measurement procedure for the remaining characteristic of stripe uniformity requires
measurement of the maximum, minimum, and average values of the suprasaturation read
voltage Vss(2F) for all 1-bit encoding, at different regions along the stripe, as described
in the protocol below.
The above measurement procedure is applicable to any biphase encoding density F, in
bits per inch, for which the stripe is intended to be used. For comparative purposes, it is
recommended that the measurements be made for the two ISO standard densities of 75
and 210 bits per inch.
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7.7
7.7.1
Definition
Effective Coercivity Hc*
Hc* = Ie(3) for test media x Hc Oersted
Ie(3) for RM 7811/2
Hc* represents an extrapolation from the current ISO standard RM 7811/2 media, which
has a nominal coercivity Hc = 283 oersteds, to any other coercivity. Hc* is thus the
“effective coercivity” of the finished media. This is meaningful to and readily
determinable by the manufacturers and users of magnetic stripe media and equipment,
over the entire range of 275 to 4000 oersteds in current use.
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7.7.2
Effective Read Signal Vr*
Vr* = Vss for test media
Vss for RM 7811/2
Vr* represents the read output voltage of properly encoded finished media, referenced to
the saturation read voltage for the ISO RM 7811/2 media (Vr* = 1).
7.7.3
Effective Resolution R*
R* =
Vss(2F) / Vss(F) for test media
Vss(2F) / Vss(F) for RM 7811/2
R* represents the ability of the media to encode biphase data at a given data density F,
referenced to the resolution for the ISO standard RM 7811/2 media (R* = 1) at that
density.
7.7.4
Effective Dispersion D*
D* = Ie(1) / Ie(2) for test media
Ie(1) / Ie(2) for RM 7811/2
D* represents an effective measure of the dispersion in the chemical purity, grind, and
orientation of the magnetic pigment in the finished magnetic stripe. This characteristic
affects the quality of an encoded flux reversal and the immunity to inadvertent magnetic
damage. The dispersion for any media is referenced to that for ISO RM 7811/2 standard
media (D* = 1).
7.7.5
Effective Uniformity U*
U* = U for test media
U for RM 7811/2
Where U =
V+ (2F) + V- (2F)
Vss (2F)
U* represents the worst case of local difference between maximum and minimum read
voltages, referenced to the average read voltage, which is a measure of media uniformity
in the read signal for constant encoding. The uniformity for any media is referenced to
that for ISO RM 7811/2 standard media (U* = 1).
7.8
Protocol
The measurement protocol given below applies to both the ISO RM 7811/2 Standard
Reference Card and the magnetic stripe media being tested.
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7.8.1
Media Saturation Curve
1) DC-erase the full length of the magnetic stripe. It is recommended that the maximum
permissible test equipment write head current be used for this operation, which must
be sufficient to fully saturate the stripe.
2) Write the stripe with a pattern of all 0-bit biphase (zeros) using an encode current of
Iw, where Iw is substantially below the encode current required to saturate the stripe.
3) Measure the resulting read voltage Vr.
4) Repeat steps #1, #2, #3 with increasing values of Iw until Vr reaches a maximum and
begins to decrease with increasing values of Iw.
5) The Media Saturation Curve is a plot of Vr versus Iw.
6) Determine Vs, which is the maximum (sustained) value of Vr, from the curve.
7) Determine Iw(1), which is the value of Iw for Vr = 0.90 Vs, from the curve.
7.8.2
Media DC-Erase Curve
1) DC-erase the stripe.
2) Write the stripe with all 0-bit biphase using an encode current of Iss = 1.6 Iw(1).
3) Measure the resulting read voltage Vss(F).
4) Partially DC-erase the stripe, starting with a low value of erase current Ie.
5) Measure the resulting read voltage Vr.
6) Repeat Steps #1 - #5 with increasing values of Ie until Vr reaches the noise level of
the media/equipment.
7) The Media DC-Erase Curve is a plot of Vr versus Ie.
8) Determine the values of Ie(1), Ie(2), and Ie(3) from the curve.
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7.8.3
Media Resolution & Uniformity
1) DC-erase the stripe.
2) Write the stripe with all 1-bit biphase using an encode current of Iss = 1.60 Iw(1).
3) Measure the resulting read voltage Vss(2F). This value is used with Vss(F) from
10.8.2 to calculate the media resolution.
4) Determine the highest and lowest values of the individual positive peaks (V+) and the
highest and lowest values of the individual negative peaks (V-) in the read signal
output over the media test length used to measure the (average) value Vss(2F). These
values determine V+ and V- for calculation of media uniformity.
7.8.4
Media Effective Parameters
1) Complete the above protocol measurements 10.8.1 – 10.8.3 for the ISO RM 7811/2
Standard reference card and for the media under test.
2) Calculate the values of the effective parameters Hc*, Vr*, R*, D*, and U* using the
definitions given in 10.7.0.
The following are suggested ranges for the parameters previously defined.
Table 1: Typical values of Parameters
Effective
Coercivity
(Hc*)
2750
7.9
Effective
Dispersion
(D*)
0.8 – 0.83
Effective Read
Signal (Vr*)
1 – 1.2
Effective
Resolution
(R*)
10 mil paper
Magnetic
Uniformity
(U*)
0.9 - 1.1
Pulse Width
The readback pulse width of a new ticket, which has been recorded and read back, shall
be within +/- 35% of the calibration signal pulse width derived from the ISO RM 7811/2
standard media.
7.10
Noise
The peak amplitude of any noise pulse along a saturation erased ticket shall not exceed
2% of the calibration signal level derived from the ISO RM 7811/2 standard media. The
pulses occurring during the leading and trailing 1/8” of the stripe may be excluded.
7.11
Jitter
The stripe will exhibit no more jitter than the standard 7811/2 card in both forward and
reverse read. Total jitter shall be no more than 6% bit to bit.
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Jitter is defined as:
a - b ≤ 6%
a
where a and b are the bit lengths of successive bits (zeros).
7.12
Environment
The standard environment for signal amplitude measurements is 73°F ± 5°F and 40% to
60% relative humidity. When tested under otherwise identical conditions, the readback
signal amplitude from the magnetic stripe shall not deviate from its value in the standard
environment by more than 15% after 5 minutes of card exposure over the range, as
follows:
Temperature:
-30° F to +122° F
Relative Humidity:
5% to 95% with a maximum wet bulb temperature of 77°
F.
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8. SAFETY
8.1
Toxicity
No component of the ticket shall be capable of causing bodily harm by contact, inhalation
or ingestion in the course of normal usage.
8.2
Flammability
The ticket shall be self-extinguishing in a still carbon dioxide atmosphere.
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9. PRINTING
9.1
General
Several different types of printing, as described below, may be associated with the ticket.
In all cases, the printing shall be legible, without excess ink, and cause no embossment or
distortin of the ticket. The ink shall be non-conductive, non-abrasive, non-magnetic, and
non-blocking when dry. In addition, it shall not transfer to patron’s hands or clothing,
other tickets, feed rolls, picker knives, or other machine components and shall not easily
smudge or smear when hadled in environments specified in Section 13.1 of this
specification.
9.2
Standard Ink Printing
All non-magnetic and non-optical sense ink shall be referred to as colored print. The
colored print ink shall balance the requirements for security and the problems created by
offsetting onto the mechanical components of the ticket handling equipment.
9.3
Signature Space (Optional)
The signature surface of the ticket shall accept ink or pencil. Signature space shall be
positioned so as to not be directly in back of the magnetic stripe.
9.4
9.4.1
Current Value Space (Optional)
Current Value Format (Optional)
9.5
Thermal Printing Panel (Optional)
9.6
Production Run Identification
Each ticket shall include a mark identifying the production run in which the ticket was
made.
9.7
Ink Adhesion
During the printing process random samples of the cards shall be taken and a clean white
cloth shall be rubbed on the card. No ink shall be removed from the cards.
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9.8
Optical Sense Print
All print which is to be sensed or ready by an optical scanning device must produce a
PCS reading of 80% minimum across a spectral range of 600 nm to 900 nm and a
maximum reflectance of 18%.
Any printed marks employed for machine sensing of ticket location shall be located on
the front (non-magnetic side) of the ticket.
9.9
Registration
Registration is the relationship of the various component characteristics of the ticket to
one another.
9.9.1
Print to Print
Variations in the placement of press applied printing shall not exceed ± 0.51 mm (0.020
in.) from a single point of reference on the document.
9.9.2
Print to Cut
Variation in the locatin of press applied printing relative to the document edge shall not
exceed ± 0.51 mm (0.020 in.) variation.
9.9.3
Perforation to Cut Registration
Variation in the location of perforations relative to the location of the measurement
reference shall not exceed ± 0.51 mm (0.020 in.).
9.10
Thermal Transfer Printing
All thermal transfer printing shall employ ribbons which “bond” with the substrate
material to form a durable, scratch resistant finish.
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10. TICKET HANDLING CHARACTERISTICS
These characteristics shall be measured according to the procedures contained in
GENFARE Test Procedure 18295.
10.1
Ticket Reliability
The essential characteristic of tickets is that they shall work reliably with the Fare
Collection Equipment as specified.
The tickets are used in two distinct types of equipment:
 Original issue equipment such as encoding machine and vending machines, where the
ticket stock is new and unused and is used just once in the process of creating and/or
issuing the ticket.

The second type of equipment are those machines on buses, stations and other
locations which receive the previously encoded ticket and process it for validity and
other conditions of use. It is this second type which requires sustained performance
by the ticket relative to use by the patron or customer.
Provided that these tickets are not mutilated or abused by patrons beyond those
environmental specifications contained herein.
The paper ticket shall be suitable for use by a patron in GENFARE equipment not less
than 60 times under normal use, with a design life of not less than 100 times.
10.2
Folding
The paper ticket shall be suitable for processing in Equipment (other than encoding and
vending machines) after being folded into four parts and then unfolded according to the
methods outlined in the test procedure. The plastic ticket shall not be required to function
in any equipment subsequent to being folded.
10.3
Wetness/Moisture
The ticket shall be suitable for use after it has been submerged in water for 5 seconds,
withdrawn and patted dry.
10.4
Magnetic Exposure
The readback signal level of a ticket shall not be degraded by more than 1% when
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subjected to magnetic fields of up to and including 50 gauss.
10.5
Magnetic Stripe Strength
The adhesion of the magnetic stripe to the ticket shall be adequate to ensure that the stripe
will not separate from the ticket upon the environmental, processing and lifetime
conditions defined in this specification. This is essential to provide a means of fraud
control.
10.6
Workmanship
As delivered, the tickets shall contain no cracks, bends, breaks, attached parts, ink
smears, or other defects that could render the ticket unsuitable for the intended purpose.
The tickets shall be clean and free of dirt and other foreign material.
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11. TICKET ENVIRONMENT
11.1
Ticket – Machine Environment
The tickets shall be usable in the temperature range of -20° F to +120° F, and relative
humidity range of 13% to 99% R.H.
11.2
Blocking
Blocking of tickets due to storage shall be removed by lightly fanning the tickets when
they are loaded into AFC Equipment. Such blocking and/or fanning shall cause no
damage to the tickets, and blocking shall not recur in AFC Equipment in normal use.
“Non-blocking” shall be defined as: No adhesion between contiguous surfaces, which
slide freely upon one another. Surfaces of specimens are not marred in sliding.
11.3
Ticket Handling
For the purpose of ticket processing, it is recommended to fan individual tickets lightly
before passing them through machines.
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12. PACKING AND SHIPPING
12.1
Packing
This will depend on individual applicatins but as a guide, for 0.010 inch tickets the following
shall apply.

Die Cut Tickets: Packed in boxes of not less than 1000 tickets per box. Each box shall have
a label indicating the type of ticket and the lot number. Where tickets are consecutively
numbered, the label shall show the beginning and ending numbers. The box shall be encased
in a shring wrap covering for security and environmental control.
NOTE: Alternatives to shrink wrapping will be allowed. The purpose is to
increase security and provide environmental control for the tickets.
12.2
Shipping
All tickets shall be shipped to GENFARE only via United Parcel Service, Federal Express or by
other approved carrier where shipments are fully registered and trackable.
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Figure 1: Ticket Dimensions
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Figure 2: Surface Profile
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