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Mr. Kieran Fahey, Director Long -Term Control Plan
<br />Department of Public Works
<br />City of South Bend
<br />Re: South Bend (Indiana) Municipal Sewage Works — Proposed Municipal Advisory Services
<br />— Preliminary Rate Study, Financial Capability Analysis, and Capital Funding Plan
<br />August 29, 2019
<br />Page 3
<br />successor work authorization program designated by the United States Department of Homeland
<br />Security or other federal agency authorized to verify the work authorization status of newly hired
<br />employees under the Immigration Reform and Control Act of 1986 (P.L. 99-603). The Firm does
<br />not employ any "unauthorized aliens" as that term is defined in 8 U.S.C. 1324a(h)(3).
<br />Investments
<br />The Firm certifies that pursuant to Indiana Code 5-22-16.5 et seq. the Firm is not now engaged in
<br />investment activities in Iran. The Firm understands that providing a false certification could result
<br />in the fines, penalties, and civil action listed in I.C. 5-22-16.5-14.
<br />Non -Discrimination
<br />Pursuant to Indiana Code §22-9-1-10, Baker Tilly Municipal Advisors, LLC and its subcontractors, if
<br />any, shall not discriminate against any employee or applicant for employment to be employed in the
<br />performance of this Agreement, with respect to hire, tenure, terms, conditions or privileges of
<br />employment or any matter directly or indirectly related to employment, because of race, religion, color,
<br />sex, disability, national origin, ancestry, or veteran status. Breach of this covenant may be regarded
<br />as a material breach of this Agreement.
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<br />Baker Tilly Municipal Advisors, LLC is aware of the provisions under Indiana Code §36-1-21 et seq.
<br />with respect to anti -nepotism in contractual relationships with governmental entities. Baker Tilly
<br />Municipal Advisors, LLC certifies that none of the owners of Baker Tilly Municipal Advisors, LLC is a
<br />relative of any elected Town Council Member of Town.
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<br />Baker Tilly Municipal Advisors, LLC certifies that, except for de minimis and non-systematic
<br />violations, it has not violated the terms of I.C. 24-4.7, I.C. 24-5-12, or I.C. 24-5-14 in the previous
<br />three hundred sixty-five (365) days, even if I.C. 24-4.7 is preempted by federal law, and that Baker
<br />Tilly Municipal Advisors, LLC will not violate the terms of I.C. 24-4.7 for the duration of the
<br />Agreement, even if I.C. 24-4.7 is preempted by federal law. Baker Tilly Municipal Advisors, LLC
<br />further certifies that any affiliate or principal of Baker Tilly Municipal Advisors, LLC and any agent
<br />acting on behalf of Baker Tilly Municipal Advisors, LLC or on behalf of any affiliate or principal of
<br />Baker Tilly Municipal Advisors, LLC, except for de minimis and non-systematic violations, has not
<br />violated the terms of I.C. 24-4.7 in the previous three hundred sixty-five (365) days, even if I.C. 24-
<br />4.7 is preempted by federal law, and will not violate the terms of I.C. 24-4.7 for the duration of the
<br />Agreement, even if I.C. 24-4.7 is preempted by federal law.
<br />Mgn�dvisor istrat''on
<br />The Firm is a Municipal Advisor registered with the Securities and Exchange Commission and the
<br />Municipal Securities Rulemaking Board. As such, the Firm is providing certain specific municipal
<br />advisory services to the Client. The Firm is neither a placement agent to the Client nor a
<br />broker/dealer.
<br />The offer and sale of any Bonds shall be made by the Client, in the sole discretion of the Client,
<br />and under its control and supervision. The Client agrees that the Firm does not undertake to sell or
<br />attempt to sell the Bonds, and will take no part in the sale thereof.
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