RFP - Aggregated Pension Investment Advisor










Purpose 3

Proposal Submission 3

Pre-Proposal Conference 3

Proposer’s Clarification 3

Insurance 3

Equal Employment Opportunity 5

Employment of Certain Persons Prohibited 5

Alterations or Modifications 5

Subcontracts 6

Right to Audit Records 6

Dissemination of Information 6

Business Privilege Tax 6

Permits / Licenses 6

Observance of Laws, Ordinances and Regulations 7

Withdrawal of Proposals 7

Proposal Rejection 7

Execution of Contract 7

Contract Termination 7

Scope of Services 8

Form of Proposal 9

Information Required of Proposer 10

Assignment of Key Staff 10

Methodology 11

City Information 11

Evaluation of Proposals 11

Selection Committee 11

Questions Regarding Specifications 12


Non-Collusion Affidavit 13

Certificate of Non-Indebtedness 16

Non Discrimination Statement 17

Indemnity Agreement & Hold Harmless 18

Stipulation Against Liens 19



The City of Reading is requesting proposals from professional companies to provide investment advisory services (“manage the investment managers”), management, and administration for the Aggregated Pension Plans. The contract shall be for a period of three years. The City may renew the contract for a maximum of two (2) additional one (1) year periods without having to open this category for new proposals.




The original proposal, one copy and one electronic copy shall be submitted in a sealed envelope that shall plainly indicate on it the title of the proposal and the date for receiving. This shall be delivered to the City Purchasing Coordinator, Room 2-45 , City Hall, 815 Washington Street, Reading, PA, until 3:00 PM, prevailing time on January 18, 2018. The envelope shall be clearly labeled as RFP for Aggregated Pension Investment Advisor.


Proposals received at the Office of the Purchasing Coordinator after the hour specified will not be considered.




No pre-proposal conference will be held. To facilitate the clarification of requirements, proposers are requested to submit their questions, in writing, by 10:30 a.m. on December 28, 2017. Any interpretation made to prospective proposers, will be expressed in the form of an addendum which, if issued, will be conveyed in writing to all prospective proposers by 3:00 p.m. on Friday, January 11, 2018.




By submitting a proposal, the proposer certifies that the RFP has been fully read and that the proposer understands the proposal method and has full knowledge of the scope, nature and quality of work to be performed.




The Successful Proposer, at the time of execution of the contract, shall also furnish the City with insurance certificates of adequate limits, as later indicated, to protect the City of Reading, its agents, and employees from any litigation involving Worker’s Compensation, Public Liability and Property Damage, involved in the work. All subcontractors must also furnish copies of their liability insurance and Worker’s Compensation Insurance certificates to the City. No subcontractor will be allowed to perform any work under this contract by the City unless such certificates are submitted to and approved by the City beforehand.



The status of the Proposer in the work to be performed is that of any independent Proposer and as such, he shall properly safeguard against any and all injury or damage to the public, to public and private property, materials and things, and as such he alone shall be responsible for any and all damage, loss or injury to persons or property that may arise, or be incurred, in or during the conduct or progress of said work without regard to whether or not the Proposer, subcontractors, agents, or employees have been negligent, and the Proposer shall keep the City free and discharged of and from any and all responsibility and liability therefore of any sort or kind. The Proposer shall assume all responsibility for risks or casualties of every description, for any or all damage, loss or injury to persons or property arising out of the nature of the work from the action of the elements, or from any unforeseen or unusual difficulty, including all legal defense costs incurred by the City. The Proposer shall assume and be liable for all blame and loss of whatsoever nature by reason of neglect or violation of any Federal, State, County or Local laws, regulations, or ordinances; the Proposer shall indemnify and save harmless the City from all suits or actions at law of any kind whatsoever in connection with this work and shall if required by the City, produce evidence of settlement of any such action before final payment shall be made the City. Proposer’s Liability Insurance Certificate shall include the save harmless clause and shall be filed with the City.


The Proposer shall maintain such insurance as will protect the proposer from claims under worker’s compensation acts and from claims for damages because of bodily injury, including death, and property damage, which may arise from and during operations under this Contract, whether such operations be by himself, by any subcontractor or anyone directly, or indirectly employed by either of them. Proposer’s liability insurance shall be in the names of the Proposer and the City as their respective interests may appear. Each policy and Certificate of Insurance shall contain an endorsement naming the City of Reading as additionally insured. Certificates of such insurance shall be filed with the City.


The minimum amount of liability insurance to be maintained by the Contractor during the life of the contract shall be as follows:


Comprehensive General Liability – for bodily injury and property damage – including any liability normally covered by a general liability policy with limits of not less than $1,000,000 per occurrence and $2,000,000 in the annual aggregate.


Professional Liability – in minimum amounts of $1,000,000 per occurrence and

$2,000,000 aggregate.


Prior to commencement of performance of this Agreement, Contractor shall furnish to the City a certificate of insurance evidencing all required coverage in at least the limits required herein, naming the City of Reading, its elected officials, agents, and employees as additional insureds under the Comprehensive General Liability coverage, and providing that no policies may be modified or cancelled without thirty (30) days advance written notice to the City. Such certificate shall be issued to: City of Reading, 815 Washington Street, Reading, PA 19601. All policies shall be in effect with companies holding an A.M. Best rating of “A-” or better and shall be licensed to do business in the Commonwealth of Pennsylvania. Such companies shall also be acceptable to the City.


Please forward a certificate of insurance verifying these insurance requirements.


All subcontractors performing work under this contract must furnish to the City a copy if their Certificate of Insurance for Worker’s Compensation and liability for bodily injury and property damage.




During the performance of this Contract, the Proposer agrees as follows:


The Proposer will not discriminate against any employees or applicant for employment because of race, color, religion, sex, or national origin. The Proposer will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to race, color, religion, sex or national origin. 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. The Proposer agrees to post in conspicuous places, available to employees and applicants for employment, notices which may be provided by the City setting forth the provisions of this nondiscrimination clause.


The Proposer will, in all solicitations or advertisements for employees placed by or on behalf of the Proposer, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.


In the event of the Proposer’s noncompliance with the non-discrimination clauses of this Contract or with any of the said rules, regulations, or orders, this Contract may be canceled, terminated, or suspended in whole, or in part and the Proposer may be declared ineligible for further City contracts.


The Proposer will include the provisions of these paragraphs in every subcontract or purchase order unless exempted.




No person who, at the time, is serving sentence in a penal or correctional institution shall be employed on the work covered by this Contract.




This contract will be under the direct supervision of the City or its authorized representatives. Any alterations or modifications of the work performed under this contract shall be made only by written agreement between the Proposer and the City authorized representatives and shall be

made prior to commencement of the altered or modified work. No claims for extra work or materials shall be allowed unless covered by written agreement.




The Proposer will not be allowed to subcontract work under this contract unless written approval is granted by the City. The Subproposer, as approved, shall be bound by the conditions of the contract between the City and the Proposer. The authorization of a Subproposer is to perform in accordance with all terms of the contract and Specifications. All required notices, work orders, directives and requests for emergency services will be directed to the Proposer. All directions given to the Subproposer in the field shall bind the Proposer as if the notice had been given directly to the Proposer.




The City shall be entitled to audit the books and records of a proposer or any sub-proposer to the extent that such books and records relate to the performance of such contract or sub-contract.

Such books and records shall be maintained by the proposer for a period of three (3) years from the date of final payment under the prime contract and by the sub-proposer for a period of three

  1. years from the date of final payment under the sub-contract unless a shorter period is otherwise authorized in writing.


    The City of Reading is tax exempt.




    During the term of the resulting contract, the successful proposer may not release any information related to the services or performance of services under the contract, nor publish any report or documents relating to the City, the account or performance of services under the agreement without prior written consent of the City; and shall indemnify and hold harmless the City, its officers, agents, and employees from all liability which may be incurred by reason of dissemination, publication and distribution, or circulation, in any manner whatsoever, of any information, data, documents, or material pertaining to the City, the account or the contract by the proposer or its agents or employees.




    The City of Reading imposes a Business Privilege License, at $55.00 per calendar year. In addition, a Business Privilege Tax is imposed at the rate of 2 ¼ mills upon the gross receipts attributable to business conducted within the City of Reading.




    The Proposer shall, at his expense, pay all fees and procure all necessary licenses and permits needed to conduct the work required under the terms of this contract. The Proposer shall give any and all necessary formal notices required in conjunction with the lawful prosecution of the work of this contract.



    The Proposer at all times during the term of this contract shall observe and abide by all Federal, State, and Local laws which in any way affect the conduct of the work and shall comply with all decrees and orders of courts of competent jurisdiction. The Proposer shall comply fully and completely with any and all applicable State and Federal statutes, rules and regulations as they relate to the hiring, wages, and any other applicable conditions of employment.




    Proposers will be given permission to withdraw any proposals after they have been received by the City’s Purchasing Coordinator at his/her office, provided said request is in writing and properly signed and is received at least two (2) hours prior to the time and date set for the opening. No proposals may be withdrawn for a period of ninety (90) days following the formal opening and receipt of proposals by the City of Reading.




    The City of Reading reserves the right to reject any or all proposals and to accept or reject any part of any proposal. It also reserves the right to waive any technical defects or minor irregularities, which in its discretion, is in the best interest of the City.




    The successful Proposer shall, within ten (10) calendar days after mailing of contract documents by the City to the Principal, enter into contract with the City.


    The contract, when executed, shall be deemed to include the entire agreement between the parties; the Proposer shall not base any claim for modification of the contract upon any prior representation or promise made by the representatives of the City, or other persons. All attachments are considered as part of this document.




    The City shall have the right to terminate a contract or a part thereof before the work is completed in the event:


    1. Previous unknown circumstances arise making it desirable in the public interest to void the contract.

    2. The proposer is not adequately complying with the specifications.

    3. The proposer refuses, neglects, or fails to supply properly trained or skilled supervisory personnel and/or workers or proper equipment.

    4. The proposer in the judgment of the City is unnecessarily or willfully delaying the performance and completion of the work.

    5. The proposer refuses to proceed with work when and as directed by the City.

    6. The proposer abandons the work.

Proposers who have questions concerning various aspects of this Contract should contact the following person:


Tammi Reinhart, Purchasing Coordinator

815 Washington Street

Room 2-45

Reading, PA 19601-3690





The Municipal Pension Plan Funding Standard and Recovery Act, as amended by the Act of September 18, 2009, requires each Municipal Pension to develop procedures which will facilitate the selection of the most qualified firms and individuals for professional service contracts.


The purposes and powers of the review committee are identified as the following: it shall meet at least quarterly each year to review the investments of the Aggregated Pension Fund and to make any recommendation to the Pension Board concerning the investments and the performance of the plans investment managers. Those responding to this RFP will be expected to attend quarterly review meetings and provide appropriate data for scrutiny by the Pension Board. The quarterly review meetings will happen in April, July, October and the following January. The time of the meetings will be determined in conjunction with the approved consultant(s).


In addition to this, firms responding to the RFP should understand that the municipality seeks a person that will perform all of the following and all other associated and required functions at the lowest possible cost.


Management of the plans investment managers to ensure the highest possible rate of return while maintaining the security of the funds, preservation of principal and the generation of income and liquidity of funds as specified by the City’s investment policy.


Manage the City’s pension funds through regular reporting requirements that identify monthly returns compared to the Pension Board’s determined benchmarks. The reports should be available for the City’s quarterly meetings or with a different frequency as communicated by the Pension Board.


The written reports should describe the content, activity and status of all investments as well as regular reporting to and interaction with the City’s actuary, manager, Auditor and finance personnel.


The successful firm must appoint a client representative who is accessible by phone and available for meeting approximately quarterly to interact with City officials and personnel to answer questions or concerns as needed and to assist with implementing changes. The Aggregated Pension Board of Trustees may consider up to two (2) Pension Investment Advisors.



All proposers shall be aware that the RFP and the responses thereto are in the public domain; therefore, proposers shall identify specifically any information contained in the proposal which is to be considered confidential or proprietary and exempt from disclosure. Blanket statements that entire submittals are confidential shall be unacceptable.


All proposals will become the exclusive property of the City and will not be returned.


Proposals shall be prepared simply and economically, providing a straightforward, concise description of the proposer’s ability to fulfill the requirements of the Request for Proposal. In order to insure a uniform review process and to obtain the maximum degree of comparability, it is required that proposals be organized in the manner specified.




Response Section 1: Company Information


  1. Provide the full name of your person or organization.

  2. List the name and addresses of your parent organization and/or other affiliates. Provide a brief description of each relationship.

  3. Provide a brief summary of your firm. Attach a copy of your most recent annual report.

  4. List the addresses of the local office that will provide service for our relationship.

  5. NOTE: This section is included in the attachment “Professional Service Application and Contract Disclosure” and should be disclosed where applicable on that form. Disclose the names and titles of each individual who will be providing professional services to the City, including advisors or subcontractors of the proposed provider. The disclosure and personnel information shall include, but not be limited to the following:


    1. Whether the Person providing services or any principal in the entity providing services is a current or former official or employee of the City.

    2. Whether the Person providing services or any principal in the entity providing services has been a registered Federal or State lobbyist.

    3. Whether the Person that intends to enter or enters a Professional Service Contract is or has been employed or compensated by a third party intermediary, agent or lobbyist to directly or indirectly communicate with a City official or employee in connection with any transaction or investment involving the Contractor or the Municipal Pension. This disclosure requirement shall not apply to an officer or employee of the investment firm who is acting on behalf of the firm, including the actual provision of the legal, accounting, engineering, real estate or other professional advice, services or assistance pursuant to a Professional Service Contract with the Municipal Pension.

    4. A description of the responsibilities of each individual with regard to the contract.

    5. Resumes of the Person and any individual employed by the Person who intends to provide or provides service to the Municipal Pension. To be included ought to be the name of the main person(s) and contact(s) for our relationship. Please include

      information on their education, backgrounds, certifications and levels and duration of experience.


  6. If there have been significant changes in your organization in the past twelve months, please provide a summary of the changes and include a timeline.

  7. If your organization is planning to implement changes during the next two years, please provide a summary of the changes and include a timeline.

  8. Provide a history of your investment consulting services and include the years of experience.

  9. Specify whether you and your firm are registered investment advisors and include descriptions (i.e., NASD).


Response Section II: Summary of Services


  1. Outline the intended method of developing appropriate investment policies for the City’s Aggregated Pension Fund.

  2. Describe your intended interaction and involvement with the City during the investment policy development process.

  3. Outline your opinions and any time frames for implementing an appropriate asset allocation mix.

  4. Describe your intended interaction and involvement with the Aggregated Pension Board during the asset allocation process.

  5. Describe your method and time frame for identifying the potential investment managers. Include any databases you typically utilize in your search.

  6. Describe the role that your firm would like to take in manager presentation to the Board.

  7. If you and your firm receive any direct or indirect compensation from the managers you help us select, please describe.

  8. Please comment on the frequency with which portfolios would be priced and the treatment of the fees.

  9. Provide the methodology used to compute investment manager rates of return. If the rates of return include the use of accrued income, please explain. Provide a description of how you incorporate accrued income into the calculations of returns.

  10. Provide a description of how you evaluate “value added” in active management.

  11. Describe your process for reviewing investment manager compliance of investment objectives and guidelines.

  12. Specifically describe your performance evaluation system and philosophy related to investment objectives and guidelines.

  13. Provide a list of relevant services that your firm outsources. Include information on your ability to include changes to the services or software to meet the reporting needs of the Board.

  14. Provide information on the timing of distributing copies of the investment performance measurement reports to the Board following the end of a reporting period. Specifically describe what types of exhibits would be used in a summary report presented to the Aggregated Pension Board and include other types of exhibits that you would want to include in a detailed performance analysis. Please provide copies of the sample reports.

  15. If your company proposes custodial services for the City’s account, please provide a list and description of service charges.

  16. If your company will provide online access for the Aggregated Pension Board, to view assets and account values, please include a description of how often the values are updated.


    Response Section III: References


    1. Quantify the number of clients using your services and include the value of funds currently under existing consulting agreements.

    2. Provide the number of clients which are public retirement plans. Include the number of Pennsylvania City/Borough/Township pension plan clients currently under existing consulting agreements.

    3. Provide three client references with at least two being public retirement plans and identify their asset size, phone numbers and a contact name.


      Response Section IV: Fees


      Note that a Profession Service Contract shall not be amended to increase the cost of the contract by more than ten (10%) percent or $10,000, whichever is greater, unless the increase and a written justification for the increase are public and posted on the City’s website at least seven days prior to the effective date of this amendment.


      1. Provide a detailed description of the fees for proposed service.

      2. Specify fees or expenses that would be recurring, versus “one time” or initial fees.

      3. Provide the period of time that the fee schedule is guaranteed. Please attach a sample engagement contract.

      4. Describe any additional charges that may apply.


Response Section V: Other Services


  1. Please provide any other relevant services, and the details of those services, that are included in this proposal.

  2. Are there additional comments or suggestions that the Aggregated Pension Board ought to consider?

  3. If selected, describe the likely transition process from the current advisor and include a proposed timeline.


    Response Section VI: Conflicts of Interest


    NOTE: Some elements of this section are included in the attachment “Professional Service Contract Disclosure”, and should be disclosed entirely on that form. In order to prevent conflicts of interest on the part of any person providing services to the Municipal Pension, there shall be a minimum of one-year restriction on: participation by a former employee of a Contractor or potential Contractor in the review of a proposal or negotiation of a Professional Service Contract with the Contractor; and, participation by a former employee of the Municipal Pension in the submission of a proposal or the performance of a Professional Service Contract. Also, in regard to the relationships and gifts: a “Person or an affiliated entity that enters into a Professional Service Agreement with the City may not have a direct financial, commercial, or business

    relationship with any official of the City unless the City consents to the relationship following full disclosure”; and a “Person who enters into or proposes to enter into a Professional Service Contract may not offer or confer a gift having more than a nominal value, including a gift of money, services, loans, travel, lodging, entertainment, discount or other thing of value, to any City official, employee or fiduciary”.


    All Persons “enter into a Professional Service Contract or submitting an RFP with the hope of entering into a Professional Service Contract who in any other way solicits a Professional Service Contract shall annually disclose all Contributions to which all of the following apply:


    1. The Contribution was made in the last five years;

    2. The Contribution was made or caused to be made by an officer, director, executive- level employee or owner of at least 5% of the person or Affiliated Entity;

    3. The amount of the contribution was at least $500.

    4. The contribution was made to:

      1. A candidate for any public office in the City or to an individual who holds that office;

      2. A political committee of a candidate for public office in the City or of an individual who holds that office.

In addition, Persons shall disclose the information and identify the following as it relates to “Conflicts of Interest”.


  1. If you, your firm or affiliate manage money for clients, please describe the organizational controls implemented to prevent any conflicts of interest.

  2. If your firm or affiliate is a broker/dealer, explain how your firm trades for client accounts through this broker/dealer. Describe the organizational controls implemented to prevent any conflicts of interest.

  3. If you buy products or services from any investment advisors, please describe.

  4. If you sell products or services to any investment advisors, please describe.

  5. If you sell database information and/or performance analysis to investment managers, please explain if you receive compensation directly or indirectly. Include a summary of how you prevent conflicts of interest.

  6. If you charge direct or indirect fees for investment managers to be included in your firm’s database, include a listing and description of the fees. Provide a summary of how you prevent conflicts of interest.

  7. Describe the circumstances under which you would receive or could receive fees or soft dollars from investment managers or their affiliates.

  8. Specify the circumstances under which you would receive fees, or any other hard or soft dollar arrangements, from broker/dealers and provide a brief description.

  9. Explain in detail, any potential conflicts of interest that may exist should you be selected. Please include any activities of affiliated or parent organizations as well as other client relationships which may inhibit services.

  10. Provide the date, amount and recipient of any political contributions you have made, in excess of $500.00 to any City elected official or related elections committee from January 1, 2006 to the present. Note that a “Person that enters into or has applied form, submitted an offer, or bid for, responded to a request for proposal on or otherwise solicited a Professional Service Contract with a Municipal Pension or an agent, officer or director or

    employee of that Person may not solicit a Contribution to any City official or candidate for City office or to the political party or political action committee of that official or candidate. Further, a “Person or an affiliated entity that, within the past two years, has made a contribution to a City official or candidate for municipal office in the municipality which controls the Municipal Pension may not enter into a Professional Service Contract with the City except that the two-year restriction shall not apply to any contribution made prior to December 17, 2009”.

  11. Complete the attached “Professional Service Contract Disclosure” and “Professional Service Application and Contract Disclosure”.





    Must disclose all of the above information upon proposal in addition to the following upon the rewarding of the contract.


    Note: The purpose of this form is to facilitate disclosure requirements under Act 44.


    1. Person or affiliated entity with a Professional Services Contract must disclose the following information about any contributions of an aggregate of $500 or more made within the past five years to a public official or candidate for public office in the Commonwealth, or political action committee for the official or candidate:


      Name of Contributor Address of Contributor






      Contributor’s relationship to the Contractor


      Name of person receiving Contribution


      His/Her office or position


      Contribution amount Date


    2. Must disclose any gifts made to a City official or employee:


      A gift was made to on for

      by (attach additional sheets if necessary).


    3. Disclosure of the employment retention of any third-party intermediary, agent or lobbyist hired to directly or indirectly communicate with City official or employee, and duties of said intermediary:

      Of was employed by for the period of

      . While employed, he/she was responsible for the following duties







    4. Must disclose any financial relationship.







A disclosure is required in order to submit a proposal or enter into a Professional Service Contract for the Municipal Pension. Please use a separate disclosure form for each Person providing or proposing to provide services to the City.



    1. Information of each individual (including advisors or subcontractors) who will be providing professional services to the Township:

      Name Title Current or former Official or employee of municipality yes no Registered Federal or State Lobbyist yes no

      Employed or compensated by a third-party intermediary, agent or lobbyist to directly or indirectly communicate with a City official or employee in connection with any transaction or investment involving the Contractor or Municipal Pension:

      Yes no

      Description of Responsibilities of each individual providing services under the contract:








      Please attach resume of each person intending to provide service to the Municipal Pension.

    2. Disclosure of all Contributions:

      A Contribution of $ was made to on for by (attach additional sheet if necessary).


    3. Compliance with conflict of interest one-year restriction requirements:

      1. Has there been participation by a former employee of the potential contractor in the review of a proposal or negotiation of a Professional Service Contract with the Contractor? Yes No

      2. Has there been participation by a former employee of the Municipal Pension in the submission of a proposal or the performance of a Professional Service Contract? Yes No



i. Must annually disclose all Contributions:

A Contribution of was made to

on for by . (use additional forms if necessary)




The key member(s) of the contract identified must be assigned to the contract and must remain assigned to the contract for its duration, unless the City agrees in writing to modify the assignment. If a key member leaves during the course of the contract, the City must be notified immediately, and the contractor must submit the replacements name and credentials for approval by the City prior to that person starting work on the contract.




Describe method of collection of delinquent fees with the ability to file legal action in detail and include samples of all correspondence sent to debtors. Samples of information and remittance reports sent to clients should also be submitted with this proposal.




An executed Non-Collusion Affidavit and Non Discrimination Statement, as attached must be submitted with the proposal. Successful proposer will be required to submit an Indemnity Agreement, Stipulation Against Liens and a certificate of insurance as described.




The award may or may not be made to the firm submitting the lowest proposal. Award shall be made to the responsible offeror whose proposal is determined to be the most advantageous to the City, taking into consideration the evaluation factors set below. Only submissions that are complete and returned within the time limit will be considered.


The selection will be made by the City based on the following criteria:


  1. Firm’s qualifications, personnel and organization strengths and achievements.

  2. Experience with similar work, supply references.

  3. Interview with key personnel (optional).

  4. Time schedule and costs.




    A Selection Committee consisting of at least three (3) members will be established to review and evaluate all proposals submitted in response to this Request for Proposals (RFP). The Committee shall conduct a preliminary evaluation of all proposals on the basis of the information provided. The Committee will first review each proposal for compliance with the minimum qualifications and mandatory requirements of the RFP. Failure to comply with any mandatory requirements may disqualify a proposal.


    The City may arrange for a meeting with the submitting parties or entities to clarify any aspect of the proposals and to give each the opportunity to further establish their credentials. The selection committee has the responsibility to negotiate the most favorable cost, terms and conditions to the City of Reading. The negotiating process may involve one or more RFP responses, and may continue until the actual award of the contract.


    The City reserves the right to reject any and all proposals and to waive minor irregularities. The City further reserves the right to seek new proposals when such a procedure is reasonably in the best interest of the City to do so.




    To ensure fair consideration for all firms, the City prohibits communication to or with any department director, division manager, or employee during the submission process with the exception of those questions relative to interpretation of specifications or the proposal process. Such communications initiated by a firm may be grounds for disqualifying the offending firm from consideration for award of the proposal and/or any future proposal.


    No interpretations of the meaning of the RFP documents will be made to any bidder orally. Every request for such interpretation shall be in writing to the City of Reading Purchasing Office, and to be given consideration must be received in writing prior to 10:30 A.M on December 28, 2017. Direct inquiries to:


    Tammi Reinhart Purchasing Coordinator 

    City Hall, Rm. 2-45 

    815 Washington Street

    Reading, PA 19601 tammi.reinhart@readingpa.gov


    Any and all such interpretation will be in the form of an Addendum to the Contract Documents will be emailed to all prospective firms and posted on the City’s website on January 11, 2018.


    Additionally, the City prohibits communications initiated by a proposer to the City Official or employee evaluating or considering the proposals prior to the time an award decision has been made. Any communication between proposer and the City will be initiated by the appropriate City Official or employee in order to obtain information or clarification needed to develop a proper, accurate evaluation of the proposal. Such communications initiated by a proposer may be grounds for disqualifying the offending proposer from consideration for award of the proposal and/or any future proposal.





    1. This Non-Collusion Affidavit is material to any contract pursuant to this bid. According to the Pennsylvania Antibid-Rigging Act, 73 P.S. 1611 et seg., governmental agencies may require Non-Collusion Affidavits to be submitted together with bids.


    2. This Non-Collusion Affidavit must be executed by the member officer, or employee of the bidder who is authorized to legally bind the bidder.


    3. Bid rigging and other efforts to restrain competition, and the making of false sworn statements in connection with the submission of bids are unlawful and may be subject to criminal prosecution. The person who signs the Affidavit should examine it carefully before signing and assure himself or herself that each statement is true and accurate, making diligent inquiry, as necessary, of all other persons employed by or associated with the bidder with responsibilities for the preparation, approval or submission of the bid.


    4. In the case of a bid submitted by a joint venture, each party to the venture must be identified in the bid documents, and an Affidavit must be submitted separately on behalf of each party.


    5. The term “complementary bid” as used in the Affidavit has the meaning commonly associated with that term in the bidding process, and includes the knowing submission of bids higher than the bid of another firm, any intentionally high or noncompetitive bid, and any form of bid submitted for the purpose of giving a false appearance of competition.


    6. Failure to file an Affidavit in compliance with these instructions will result in disqualification of the bid.



      State of


      County of


      , being first duly sworn, deposes and says that:


      1. He/She is (Owner, Partner, Officer, Representative or Agent)


        of , the Bidder that has submitted the attached Bid or Bids;


      2. He/She is fully informed respecting the preparation and contents of the attached Bid and of all pertinent circumstances respecting such Bid;


      3. Such Bid is genuine and is not a collusive or sham Bid;


      4. Neither the said Bidder nor any of its officers; partners, owners, agents, representatives, employees or parties in interest, including this affiant, has in any way colluded, conspired, connived or agreed, directly or indirectly, with any other Bidder, firm or person to submit a collusive or sham Bid in connection with the Contract for which the attached Bid has been submitted or to refrain from bidding in connection with such Contract, or has in any manner, directly or indirectly, sought by agreement or collusion or communication of conference with any other Bidder, firm or person to fix the price or prices in the attached Bid or of any other Bidder, or to fix any overheld profit or cost element of the Bid price or the Bid price of any other Bidder, or to secure through any collusion, conspiracy, connivance or unlawful agreement any advantage against the City of Reading or any person interested in the proposed Contract;


      5. The price or prices quoted in the attached Bid are fair and proper and are not tainted by any collusion, conspiracy, connivance or unlawful agreement on the part of the Bidder or any of its agents, representatives, owners, employees, or parties in interest, including this affiant; and,


      6. Neither the said Bidder nor any of its officers, partners, owners, agents or parties in interest, have any interest, present or prospective, that can be reasonably construed to result in a conflict of interest between them and the City of Reading, which the Bidder will be required to perform.

I state that understands

(Name of Firm)


and acknowledges that the above representations are material and important, and will be relied on by the City of Reading in awarding the Contract(s) for which this Bid is submitted. I understand and my firm understands that any misstatement in this Affidavit is and shall be treated as fraudulent concealment from the City of Reading of the true facts relating to the submission of bids for this Contract.




(Name and Company Position)






Notary Public

My Commission Expires:



Provider hereby certifies and represents that Provider and Provider’s parent company(ies) and subsidiary(ies) are not currently indebted to the City of Reading (the “City”), and will not at any time during the term of this Contract (including any extensions or renewals thereof) be indebted to the City, for or on account of any delinquent taxes, liens, judgments, fees or other debts for which no written agreement or payment plan satisfactory to the City has been established. In addition to any other rights or remedies available to the City at law or in equity, Provider acknowledges that any breach or failure to conform to this certification may, at the option of the City, result in the withholding of payments otherwise due to Provider and, if such breach or failure is not resolved to the City’s satisfaction within a reasonable time frame specified by the City in writing, may result in the offset of any such indebtedness against said payments and/or the termination of this Contract for default (in which case Provider shall be liable for all excess costs and other damages resulting from the termination).




Name of Provider


By: Authorized Signatory


Title: President or Vice President





The undersigned hereby certifies that it shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, handicap, familial status, or national origin. The undersigned shall take affirmative action to insure that applicants for employment are employed, and that employees are treated during employment, without regard to their race, color, religion, sex, handicap, familial status, or national origin.













WHEREAS, the undersigned has entered into a contract with the CITY OF READING, dated , 20 , providing for the






City of Reading,


NOW, THEREFORE, in consideration of the award of said contract to the undersigned,

, as well as in further consideration of the sum of ONE DOLLAR ($1.00) in hand paid to the said by the City of Reading, receipt whereof is hereby acknowledged, the said agrees to indemnify and save harmless the CITY OF READING, its officers, agents, servants, and employees against any and all loss, damage, costs and expenses which the said CITY may hereafter suffer, incur, be put to or pay by reason of any bodily injury (including death) or damage to property arising out of any act or omission in performance of the work undertaken under the aforesaid contract.


EXECUTED this day of , 20 .














WHEREAS, , hereinafter called the CONTRACTOR, has entered into a CONTRACT, dated , 20 , with hereinafter called the CITY, to provide materials and perform labor necessary for the manufacture and furnishing of the:






as set forth in the CONTRACT DOCUMENTS as prepared by the City of Reading.


NOW, THEREFORE, it is hereby stipulated and agreed by and between the said parties, as part of the said CONTRACT, and for the consideration therein set forth, that neither the undersigned CONTRACTOR, any SUBCONTRACTOR or material man, nor any other person furnishing labor or materials to the said CONTRACTOR under this CONTRACT shall file a lien, commonly called a mechanic's lien, for WORK done or materials furnished for the above manufacture.


This stipulation is made and shall be filed with the Berks County Prothonotary within ten

(10) days after execution, in accordance with the requirements of Section 1402 of the Mechanics Lien Law of 1963 of the Commonwealth of Pennsylvania in such case provided.


IN WITNESS WHEREOF, the parties hereto have caused the signature of their proper officers to be affixed thereto on this day of 20 .