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Private Lead Service Line Replacement Pilot Program - Phase 1 Construction Public HearingCity of Dubuque City Council PUBLIC HEARINGS # 4. Copyrighted April 7, 2025 ITEM TITLE: Private Lead Service Line Replacement Pilot Program - Phase 1 Construction Public Hearing SUMMARY: Proof of publication on notice of public hearing to consider City Council adopt the resolution approving the plans, specifications, form of contract, and estimated cost of $1,732,630.00 for the Private Lead Service Line Replacement Pilot Program - Phase 1 Construction, and City Manager recommending approval. RESOLUTION Finally approving and confirming plans, specifications, form of contract and estimate of cost for the Lead Service Line Replacement - Phase 1 Project SUGGUESTED Receive and File; Adopt Resolution(s) DISPOSITION: ATTACHMENTS: 1. MVM Memo 2. Private LSL Replacement Program Public Hearing Staff Memo 4.1.2025 3. Letting (Hrg Only) (Lead Service Line) (Dubuque #20 2025)-v1 4. Proof of Publication Page 304 of 386 THE CITY OF DUB E-E Masterpiece on the Mississippi TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Private Lead Service Line Replacement Pilot Program - Phase 1 Construction Public Hearing DATE: April 2, 2025 Dubuque All -America Ciq IIIr II 2007.2012.2013 2017*2019 Water Department Director Christopher Lester is recommending City Council adopt the resolution approving the plans, specifications, form of contract, and estimated cost of $1,732,630.00 for the Private Lead Service Line Replacement Pilot Program - Phase 1 Construction. The City of Dubuque is taking part in a unique opportunity to assist approximately 585 homes in three phases (owner occupied or rented) within the city with the functional replacement of private lead water service lines by trenching or pull -through methods to prevent the potential for drinking water contamination at a house -by -house level. This phase of the pilot program is 100% voluntary and is open to those residents with a verified drinking water lead service line meeting the socioeconomic guidelines established by the Bipartisan Infrastructure Law. The scope of work in the first phase includes the replacement of approximately 200 lead service lines identified throughout the City's water distribution service area. Water Department staff visited property owners and verified the service line material was lead piping, and to reduce lead exposure to both the home owner/tenant and the contractors during construction, the preferred methods of replacement by the Iowa DNR are the "pull -through" and directional -drill techniques for service line replacements. These methods also minimize property and soil disturbance beyond the original service trench. As the project is being funded using BIL funds, there are specific requirements that must be adhered to in determining project costs that are eligible for loan forgiveness and overall SRF Funding. Due to the nature of the project, such that the project extends to the interior of a private home, premise plumbing is considered not an eligible expense for either traditional SRF or BIL SRF funds. Some interior or premise plumbing will be required as part of the service line replacement, therefore the cost estimate provided below contains funding from local funds to cover premise plumbing. Local funds will be requested for reallocation from Project 4281000044 WTP Roof Repair during the Budget Amendment. No.2; the reallocated WTP Roof Repair funds will be requested in FY2026. Page 305 of 386 The funding summary is: CIP Funding Source Amount 4281000050 Private Lead Line Replacement Program - SRF S1,931t800 4281000050 Local Funds $96.000 Total Project Funding $ 2,027,800 I concur with the recommendation and respectfully request Mayor and City Council approval. k�4 Aa�� Mic ael C. Van Milligen MCVM:sv Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Christopher Lester, Water Department Director Jennifer Larson, Chief Financial Officer Carl Plumley, Water Distribution Supervisor 2 Page 306 of 386 THE C DUUB--*.--TE Masterpiece on the Mississippi TO: Michael C. Van Milligen, City Manager FROM: Christopher Lester, Water Department Director DATE: April 1, 2025 Dubuque All -America City 2007-2012.2013 2017*2019 SUBJECT: Private Lead Service Line Replacement Pilot Program - Phase 1 Construction Public Hearing INTRODUCTION This memorandum requests the City Council conduct a public hearing for the Private Lead Service Line Replacement Pilot Program - Phase 1 Construction. BACKGROUND On November 15, 2021, the Bipartisan Infrastructure Law (BIL) was signed by President Biden, which includes $50 billion to the Environmental Protection Agency (EPA) to strengthen the nation's drinking water and wastewater systems —the single largest investment in clean water that the federal government has ever made. The City of Dubuque is taking part in a unique opportunity to assist approximately 585 homes in three phases (owner occupied or rented) within the city with the functional replacement of private lead water service lines by trenching or pull -through methods to prevent the potential for drinking water contamination at a house -by -house level. This phase of the pilot program is 100% voluntary and is open to those residents with a verified drinking water lead service line meeting the socioeconomic guidelines established by the Bipartisan Infrastructure Law. The city is moving forward with this unique opportunity and has secured a level of BIL funding to conduct the first of its kind in the community, Lead Service Line Replacement Pilot Program. The BIL funds are being administered locally through the Iowa Department of Natural Resources' State Revolving Fund (Iowa SRF) program, with 49% of construction costs being forgivable. DISCUSSION The scope of work in the first phase includes the replacement of approximately 200 lead service lines identified throughout the City's water distribution service area. The nature of the replacements will vary by site, ranging from full replacements (public water main to interior plumbing) to partial replacements (a portion of the service line between the public water main and the interior plumbing). Work will be conducted within the City's right-of-way and on private properties with authorization from property owners. Water Department staff visited property owners and verified the service line material was lead piping, and to reduce lead exposure to both the home owner/tenant and the contractors during Page 307 of 386 construction, the preferred methods of replacement by the Iowa DNR are the "pull -through" and directional -drill techniques for service line replacements. These methods also minimize property and soil disturbance beyond the original service trench. As the project is being funded using BIL funds, there are specific requirements that must be adhered to in determining project costs that are eligible for loan forgiveness and overall SRF Funding. Due to the nature of the project, such that the project extends to the interior of a private home, premise plumbing is considered not an eligible expense for either traditional SRF or BIL SRF funds. Some interior or premise plumbing will be required as part of the service line replacement, therefore the cost estimate provided below contains funding from local funds to cover premise plumbing. Local funds will be requested for reallocation from Project 4281000044 WTP Roof Repair during the Budget Amendment. No.2; the reallocated WTP Roof Repair funds will be requested in FY2026. PROJECT SCHEDULE The schedule for the project is as follows: Council Initiate March 17, 2025 Advertise for Bids and Publish the Public Hearing Notice March 18, 2025 Public Hearing April 7, 2025 Receipt of Bid Proposals April 23, 2025 Award Construction Contract May 5, 2025 Final Project Completion Date December 6, 2025 BUDGET IMPACT The estimate of probable cost for the project is summarized as follows: Description Estimate SRF Legal Fees $15,800 Construction Contract $1,732,630 Engineering Services, Preliminary & Final Design, Project Bidding $95,000 Inspection/Construction Engineering $97,000 Contingency $87,370 Total Project Cost 1Z&Z7J800 FUNDING SOURCE CIP Funding Source Amount 4281000050 Private Lead Line Replacement Program - SRF $1,931,800 4281000050 Local Funds $96,000 Total Project Funding $2,027,800 2 Page 308 of 386 ACTION TO BE TAKEN I respectfully request that the City Council adopt the resolution approving the plans, specifications, form of contract, and estimated cost for the Private Lead Service Line Replacement Pilot Program - Phase 1 Construction. cc: Jennifer Larson, Chief Financial Officer Carl Plumley, Water Distribution Supervisor 3 Page 309 of 386 DORSEY DORSEY+WHITNEY LLP March 31, 2025 VIA EMAIL Jenny Larson Chief Financial Officer Dubuque, Iowa Re: Lead Service Line Replacement - Phase 1 Project Our File No. 430411-20 Dear Jenny: We have prepared and attach the proceedings related to the hearing on, and approval of, the plans and specifications, form of contract and estimate of cost for the Lead Service Line Replacement - Phase 1 Project. The materials attached include the following items: 1. Minutes of the April 7, 2025, City Council meeting covering the hearing on the plans and specifications. If there are no objections filed and if there are no objectors present at the meeting, please insert the word "no" in the blank space provided. If there are objectors, they should be listed with their names and the nature of their objections. 2. Resolution finally approving and confirming plans, specifications and form of contract. 3. Attestation Certificate with respect to the validity of the transcript. As these proceedings are completed, please return one fully executed copy to our office. If you have any questions, please contact Emily Hammond or me. Best regards, David D. Grossklaus John P. Danos Attachments cc: Christopher Lester Crenna Brumwell Adrienne Breitfelder Origin Design 8o3. Grand Avenue I Suite 4100 I Des Moines, IA 150309-8002 IT 53-5.283.3-000 I dorsey.com Page 310 of 386 Dubuque / 430411-20 / Letting (Hrg Only) (Lead Service Line) MINUTES OF MEETING TO APPROVE PLANS AND SPECIFICATIONS, FORM OF CONTRACT AND ESTIMATE OF COST 430411-20(L) Dubuque, Iowa April 7, 2025 The City Council of the City of Dubuque, Iowa, met on April 7, 2025, at 6:30 p.m., at the Historic Federal Building, 350 W. 6u' St, Second Floor Council Chambers, Dubuque, Iowa, pursuant to published notice. The Mayor presided and the roll was called showing the following members of the Council present and absent: Present: ay�,r c4y"nnn`), (otl,1d mernt?er,5 FArI-)Cr Jor1cS, ,ReS>�-� Roi�S5Jl Jprark i I 1 Absent: G�40-f The Mayor announced that this was the time and place set for hearing on the plans and specifications, form of contract and estimate of cost for the proposed Lead Service Line Replacement - Phase 1 Project. Upon investigation, it was found that nC) persons had appeared and filed objections to the proposed plans, specifications, form of contract and estimate of cost for the Lead Service Line Replacement - Phase 1 Project as follows: (Insert the word "no" in the blank space above or list here the names of objectors and the types of objections, if any are filed.) -1- DORSEY & WHITNEY LLP, ATTORNEYS, DES MOINES, IOWA Dubuque / 43041 1-20 / Letting (Hrg Only) (Lead Service Line) The City Council heard said objectors and evidence for or against the proposed Lead Service Line Replacement - Phase 1 Project; whereupon, the Mayor declared the hearing closed. Council Member joke 5 introduced the following resolution and moved its adoption, seconded by Council Member We jk a j ; and after due consideration thereof by the City Council, the Mayor put the question upon the motion and the roll being called, the following named Council Members voted: Ayes: Nays: '91 'C K. &VNI C� Whereupon, the Mayor declared the said motion duly carried and the resolution adopted as follows: -2- DORSEY & WHITNEY LLP, ATTORNEYS, DES MOINES, IOWA Dubuque / 430411-20 / Letting (Hrg Only) (Lead Service Line) RESOLUTION NO. 118-25 Resolution finally approving and confirming plans, specifications, form of contract and estimate of cost for the Lead Service Line Replacement - Phase 1 Project WHEREAS, the City Council of the City of Dubuque, Iowa, has heretofore given preliminary approval to the plans, specifications, form of contract and estimate of cost (the "Contract Documents") for the proposed Lead Service Line Replacement - Phase 1 Project (the "Project"), as described in the notice of hearing on the Contract Documents for the Project; and WHEREAS, a hearing has been held on the Contract Documents on April 7, 2025; NOW, THEREFORE, Be It Resolved by the City Council of the City of Dubuque, Iowa, as follows: Section 1. The Contract Documents referred to in the preamble hereof are hereby finally approved, the prior action of the City Council giving preliminary approval is hereby finally confirmed, and the Project, as provided for in the Contract Documents, is necessary and desirable. Section 2. All resolutions or parts of resolutions in conflict herewith are hereby repealed to the extent of such conflict. Passed and approved April 7, 2025. Attest: City Clerk Mayor -3- DORSEY & WHITNEY LLP, ATTORNEYS, DES MOINES, IOWA Dubuque / 430411-20 / Letting (Hrg Only) (Lead Service Line) • • . On motion and vote, the meeting adjourned. ayor Attest: City Clerk G -4- DORSEY & WHITNEY LLP, ATTORNEYS, DES MOINES, IOWA Dubuque / 430411-20 / Letting (Hrg Only) (Lead Service Line) ATTESTATION CERTIFICATE: STATE OF IOWA DUBUQUE COUNTY SS: CITY OF DUBUQUE I, the undersigned, City Clerk of the City of Dubuque, Iowa, hereby certify that the attached is a true, correct and complete transcript of the proceedings had and action taken by the City Council up to the present time in connection with the Lead Service Line Replacement - Phase 1 Project, including a true, correct and complete copy of the resolution referred to in such minutes. tH WITNESS MY HAND this day of �� , 2025. City Clerk -5- DORSEY & WHITNEY LLP, ATTORNEYS, DES MOINES, IOWA STATE OF IOWA SS: DUBUQUE COUNTY CERTIFICATE OF PUBLICATION I, Kathy Goetzinger, a Billing Clerk for Woodward Communications, Inc., an Iowa corporation, publisher of the Telegraph Herald, a newspaper of general circulation published in the City of Dubuque, County of Dubuque and State of Iowa; hereby certify that the attached notice was published in said newspaper on the following dates: 03/21/2025 and for which the charge is 27.93 Subscribed to before me, a Notary lic in and for Dubuque County, Iowa, this 21st day of March, 2025 I Notary bli in and for Dubuque'County, Iowa. JANET K. PAPE :VA'01L FY Commission Number 19959 Z My Commission Expires 12/11/2025 rOWa Page 316 of 386 Ad text NOTICE OF PUBLIC HEARING ON PROPOSED PLANS AND SPECIFICATIONS, FORM OF CONTRACT AND ESTIMATE OF COST FOR THE LEAD SERVICE LINE REPLACEMENT - PHASE 1 PROJECT Notice Is Hereby Given: That on April 7, 2025, at 6:30 p.m., at the Historic Federal Building, 350 W. 6th St, Second Floor Council Chambers, Dubuque, Iowa, the City Council of the City of Dubuque, Iowa will hold a public hearing on the proposed plans and specifications, form of contract and estimate of cost (the Contract Documents) for the proposed Lead Service Line Replacement - Phase 1 Project (the Project). The Project generally consists of replacing approximately 200 lead service lines identified throughout the Citys water distribution service area. Replacement scope varies by site from full replacement (main to interior plumbing) to portions thereof, as indicated in the plans. The replacements will take place in City right-of-way and on private properties with authorizations provided by property owners. The Project shall be constructed in various locations on approximately 200 properties in Census Tract 5 in the City of Dubuque. A copy of the proposed Contract Documents, including detailed information regarding the Project location, is on file for public inspection in the office of the City Clerk. At the hearing any interested person may file written objections or present oral comments with respect to the subject matter of the hearing. Adrienne Breitfelder City Clerk It 3/21 Page 317 of 386 LEAD SERVICE LINE REPLACEMENT – PHASE 1 CONTRACT DOCUMENTS MANUAL Date Issued: March 12, 2025 THE IOWA STATEWIDE URBAN DESIGN AND SPECIFICATIONS (SUDAS) 2023 EDITION, SHALL APPLY TO THIS PROJECT. THEY ARE AVAILABLE ONLINE AT: https://iowasudas.org/manuals/specifications-manual/ CITY OF DUBUQUE SUPPLEMENTAL SPECIFICATIONS 2023 EDITION, SHALL APPLY TO THIS PROJECT. THEY ARE AVAILABLE ONLINE AT: https://www.cityofdubuque.org/DocumentCenter/View/55134/2023-SUDAS-City-of-Dubuque-Supplemental- Specifications CITY OF DUBUQUE WATER DEPARTMENT DUBUQUE, IA [Page Intentionally Left Blank] SECTION 00101 Page 1 of 1 PROJECT DIRECTORY PAGE SECTION 00101 LEAD SERVICE LINE REPLACEMENT – PHASE 1 Dubuque, Iowa 101.1 Authorized Parties: The following contacts are the authorizing representatives for each of the parties, if a change is to be made to the Contract the following representatives must be contacted and approve of the change. ==== END OF SECTION 00101 ==== JURISDICTION/GOVERNMENT ENTITY REPRESENTATIVE City of Dubuque City Hall, 50 West 13th Street Dubuque, Iowa 52001 Project Contact: Name: Chris Lester Title: Water Department Director Department: Water Department Email: clester@cityofdubuue.org Phone: 563-589-4290 ENGINEER’S REPRESENTATIVE Origin Design 137 Main Street Dubuque, Iowa 52001 Project Contact: Name: Eldon Schneider, PE Title: Senior Environmental Engineer Email: eldon.schneider@origindesign.com Phone: 563-556-2464 [Page Intentionally Left Blank] [Page Intentionally Left Blank] SECTION 00110 Page 1 of 1 TABLE OF CONTENTS SECTION 00110 DIVISION 0 - BIDDING AND CONTRACTING REQUIREMENTS PROJECT TITLE PAGE………………………………………………..… 00100 PROJECT DIRECTORY PAGE……………………………………….... 00101 PROJECT CERTIFICATION PAGE……………………………….…..... 00102 TABLE OF CONTENTS…………………………………………............. 00110 NOTICE TO BIDDERS………………………………………….………... 00120 INSTRUCTIONS TO BIDDERS……………………………….……….... 00200 SUBSTITUTION REQUEST FORM…………………………………….. 00270 BID PROPOSAL SUBMITTAL CHECKLIST……………………….…... 00300 UNIT PRICE BID PROPOSAL FORM………………………………...... 00400 BID BOND………………………………………………………………..... 00450 BIDDER STATUS FORM………………………………………………... 00460 CONTRACTOR BACKGROUND INFORMATION – Small Contracts. 00471 PUBLIC IMPROVEMENT CONTRACT…………………………………. 00500 PERFORMANCE, PAYMENT AND MAINTENANCE BOND…….….. 00600 OUT-OF-STATE CONTRACTOR BOND……………………………..... 00610 INSURANCE PROVISIONS AND REQUIREMENTS…………….…... 00700 SALES TAX EXEMPTION CERTIFICATE………………………..……. 00750 SITE CONDITION INFORMATION……….….….……………………… 00775 CONSTRUCTION SCHEDULE AND AGREED COST OF DELAY.… 00800 NOTICE TO PROCEED………………………………………………..… 00850 EROSION CONTROL CERTIFICATE………………………………..… 00900 SPECIAL PROVISIONS…………………………………………………. 02000 Special Conditions SRF with BABA Requirements Davis-Bacon Wage Determination Bid Item List and Special Provisions Details Exhibits ==== END OF SECTION 00110 ==== [Page Intentionally Left Blank] SECTION 00120 Page 1 of 3 NOTICE TO BIDDERS SECTION 00120 CITY OF DUBUQUE PUBLIC IMPROVEMENT PROJECT LEAD SERVICE LINE REPLACEMENT – PHASE 1 120.1 Time and Place for Filing Sealed Proposals Sealed Bids for the work comprising each improvement as stated below must be filed before 10:00 a.m. on April 23, 2025, in the Office of the City Clerk, City Hall - First Floor, 50 West 13th Street, Dubuque, Iowa. 120.2 Time and Placed Sealed Proposals Will be Opened and Considered Sealed proposals will be opened and Bids tabulated at 10:00 a.m. on April 23, 2025, at City Hall - Conference Room A, 50 West 13th Street, Dubuque, Iowa, for consideration by the City Council at its meeting at 6:30 p.m. on the 5th day of May, 2025, in the Historic Federal Building Council Chambers (and/or by virtual means) 350 West 6th Street, Dubuque, Iowa. The City of Dubuque, Iowa, reserves the right to reject any and all Bids. 120.3 Time for Commencement and Completion of Work Work on the Project must be commenced within ten (10) calendar days after the Notice to Proceed has been issued and shall be substantially completed by October 25, 2025 and final completion by December 6, 2025. 120.4 Bid Security Each Bidder must accompany its Bid with a Bid security as security that the successful Bidder will enter into a contract for the work Bid upon and will furnish after the award of contract a corporate surety Bond, acceptable to the governmental entity, for the faithful performance of the contract, in an amount equal to one hundred percent of the amount of the contract. The Bid security must be in the amount of ten percent (10%) of the amount of the contract and must be in the form of a cashier’s check or certified check drawn on a state-chartered or federally chartered bank, or a certified share draft drawn on a state- chartered or federally chartered credit union, or the Bidder may provide a Bid Bond with corporate surety satisfactory to the governmental entity. The Bid Bond must contain no conditions except as provided in this section. 120.5 Contract Documents To obtain copies of the Contract Documents and Plans prepared by Origin Design Co. click on the ‘Bids’ tab on the Origin Design website at https://origindesign.com/. No plan deposit is required. A paper set of the Contract Documents and Plans will be available for viewing at the City Clerk’s office. SECTION 00120 Page 2 of 3 120.6 Preference for Iowa Products and Labor By virtue of statutory authority, preference will be given to products and provisions grown and coal produced within the State of Iowa, and to Iowa domestic labor, to the extent lawfully required under Iowa statutes. 120.7 Sales Tax The Bidder should not include State of Iowa sales tax in its Bid. A sales tax exemption certificate will be available for all material purchased in Iowa for incorporation into the Project. 120.8 General Nature of Public Improvement Project Lead Service Line Replacement – Phase 1. City Project #281000050 The extent of work involved consists of replacing approximately 200 lead service lines identified throughout the City’s water distribution service area. Replacement scope varies by site from full replacement (main to interior plumbing) to portions thereof, as indicated in the plans. The replacements will take place in City right-of-way and on private properties with authorizations provided by property owners. Base Bid Estimated Total Cost = $1,732,600.00 120.9 Pre-Bid Construction Conference Each prospective bidder is encouraged to attend the Pre-Bid Construction Conference to be held at 10:00 AM on April 9, 2025, at City Hall, Conference Room A, 50 West 13th Street in Dubuque, Iowa. Attendance by all prospective bidders is not mandatory but highly recommended. 120.10 Title VI – Non-Discrimination Clause The City of Dubuque in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-2000d-4 and Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally assisted programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that it will affirmatively insure that in any contract entered into pursuant to this advertisement, minority business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin, sex, age, or disability in consideration for an award. SECTION 00120 Page 3 of 3 120.11 Funding Requirements This project has been awarded funds from the Iowa State Revolving Fund LSLR grant. Any bidder or equipment supplier whose firm or affiliate is listed on the U.S. General Services Administration Excluded Parties List System website will be prohibited from the bidding process. Anyone submitting a bid who is listed on this website will be determined to be a nonresponsive bidder. Contractors shall fully comply with the requirements, terms and conditions of the Disadvantaged Business Enterprise (DBE) requirements. Build America, Buy America (BABA) provisions apply to this project. SRF Certification forms required to be signed and submitted with the Bid are included in the bid packet. Bipartisan Infrastructure Law (BIL) is also applicable in the LSLR grant. The SRF requirements are included in the Special Provisions section of the specifications. Davis-Bacon prevailing wage rates will apply to this Project and are included in the Special Provisions section of the specifications. 120.12 Notice to Bidders Distribution On the following date, March 18, 2025, this Notice was posted at the following locations: 1. Master Builders/Construction Update Network Website www.mbionline.com 2. The City of Dubuque Website www.cityofdubuque.org/bids ==== END OF SECTION 00120 ==== [Page Intentionally Left Blank] SECTION 00200 Page 1 of 5 INSTRUCTIONS TO BIDDERS SECTION 00200 200.1 CONTRACT DOCUMENTS To obtain copies of the Contract Documents and Plans prepared by Origin Design Co. click on the ‘Bids’ tab on the Origin Design website at https://origindesign.com/. The Contract Documents will also be available on the City’s website at www.cityofdubuque.org/bids.aspx. No plan deposit is required. 200.2 EXAMINATION Bidders must use complete sets of Contract Documents in preparing Bids. Bidders must examine the Contract Documents and the construction site to obtain first-hand knowledge of existing conditions. Extra compensation will not be given for conditions that can be determined by examining the Contract Documents and site. 200.3 QUESTIONS AND INTERPRETATIONS Bidders must submit questions about the Contract Documents to the Engineer in writing or by email only. Replies will be issued to Contract Document holders of record as Addenda to the Drawings and Specifications and will become part of the Contract Documents. Neither City nor a Bidder may rely on oral clarification. Failure to request clarification will not waive the responsibility of comprehension of the Contract Documents and performance of the work in accordance with the intent of the documents. Signing of the Bid Proposal constitutes an acknowledgement of understanding of the Contract Documents. 200.4 PRODUCT OPTIONS To obtain approval to use an unspecified product, a Bidder must deliver written requests to the Engineer at least seven (7) working days before the sealed Bid is due. Late requests will not be considered. The Bidder must submit request using the Substitution Request Form in specification 00270. Be sure to clearly describe and indicate the product for which approval is requested and include any data as necessary to demonstrate acceptability of the substitute product. The written request must indicate the section number, page number and line number of the Specification for the product. If the product is acceptable, the Engineer will approve it in an Addendum. 200.5 INSPECTION OF THE PROJECT SITE Each Bidder must visit the project site(s) of the proposed work to fully acquaint itself with the existing conditions relating to the project and must inform itself as to the facilities involved, the difficulties and the restrictions related to the performance of the Contract. Each Bidder must thoroughly examine and familiarize itself with the specifications and all other Contract Documents. The Contractor by the execution of the Contract shall in no way be relieved of any obligation under the contract due to Contractor’s failure to receive or examine any contract document or to visit the site and acquaint itself with the conditions there existing. City will be justified in rejecting any claim based on facts regarding which the Contractor should have been aware of as a result of its inspection. SECTION 00200 Page 2 of 5 200.6 RELEASE OF SITE: SEQUENCE OF WORK Bidders are referred to the Contract Documents for information regarding the manner in which the project site(s) will be released and made available for construction purposes, and the sequence in which the construction work will be performed. 200.7 PREPARATION OF BIDS 1. All Bids must be submitted on the Bid Proposal Form (SECTION 00400) supplied by the City and bound in this Contract Documents Manual. All Bids are subject to all requirements of the Contract Documents including these INSTRUCTIONS TO BIDDERS. All Bids must be regular in every respect and no modifications, exclusions, or special conditions shall be made or included in the Bid Proposal Form by the Bidder. 2. The Bid Proposal Form (SECTION 00400) and Bid Bond (SECTION 00450) must be enclosed in separate sealed envelopes and clearly labeled. a. THE ENVELOPE CONTAINING THE BID PROPOSAL FORM MUST BE LABELED AS FOLLOWS: Lead Service Line Replacement – Phase 1 Sealed Bid (Contractor Name) And addressed to Location for Filing Bid: City of Dubuque Engineering Department City Hall, 50 W 13th Street Dubuque, Iowa, 52001 b. THE ENVELOPE CONTAINING THE BID BOND MUST BE LABELED AS FOLLOWS: Lead Service Line Replacement – Phase 1 Bid Bond (Contractor Name) And addressed to Location for Filing Bid: City of Dubuque Engineering Department City Hall, 50 W 13th Street Dubuque, Iowa, 52001 3. The Bidder Status Form (Section 00460) must be included in the envelope with the Bid. 4. Bids submitted after the date and time for filing sealed proposals as listed in the Notice to Bidders (SECTION 00120) shall not be considered and will be returned to the Bidder unopened. 5. Signed Certification Forms as follows must be included in the envelope with the Bid: SRF FORMS: - Attachment 1 Certification of Non-Segregated Facilities SECTION 00200 Page 3 of 5 - Attachment 2 Certification Regarding Debarment, Suspension, Other Responsibility Matters. - Attachment 3 Disadvantaged Business Enterprise (DBE) Solicitation - Attachment 4 DBE Subcontractor Performance Form (not required if no DBE is utilized) - Attachment 5 DBE Subcontractor Utilization Form (not required if no DBE is utilized) - Attachment 10 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment - Attachment 11 Construction Method Limitations for Lead Service Line Replacements Projects 6. The City may reject any irregular or non-responsive Bid. 7. If the Contract is awarded, it will be awarded by the City as required by law to the lowest responsive, responsible Bidder. The Contract will require the completion of work according to the Contract Documents. 8. Each Bidder must include in the Bid, in the appropriate spaces therefore, the proposed cost of performing said work in compliance with the Contract Documents including all items of labor, equipment, materials and overhead costs. 9. Bidders are advised that this Contract is being funded through the Iowa SRF program for Lead Service Line Replacements and is limited to a maximum funding of $1,750,000 for construction activities. Award of this Contract will be to the lowest responsive, responsible Bidder based on the use of the Bid Proposal Schedule quantities as provided in the Unit Price Bid Proposal Form, representative of all sites approved for replacement under this Contract, as indicated in the Exhibits. The installed quantities at each site will determine actual payment values to the Selected Contractor. The City reserves the right to end all Work under this Contract at or near the designated maximum funding amount for construction activities, regardless of completion of Work at all indicated sites. 200.8 BID BOND Each Bid must be accompanied by a satisfactory Bid Bond (SECTION 00450), in a separate envelope and clearly labeled in the same manner as the Bid proposal forms, executed by the Bidder and an acceptable surety; or a cashier's or certified check payable to the City Treasurer, City of Dubuque, drawn on a bank in Iowa or a bank chartered under the laws of the United States, in the amount of ten percent (10%) of the Bid submitted as security that the Bidder will enter into a contract for doing the work and will give Bond with proper securities for the faithful performance of the contract in the form attached to the specifications. Bidders shall use the provided City of Dubuque Bid Bond (SECTION 00450). If an alternative Bid Bond form is submitted by the Bidder and determined by the City to not be an equivalent bond form then the City may determine the Bid as non-responsive. 200.9 BIDDER STATUS FORM The Bidder Status Form (Section 00460) is required by the Iowa Labor Commissioner, pursuant to the Iowa Administrative Code rule 875-156.2(1). The Bidder must complete and submit the Bidder Status Form, signed by an authorized representative of the Bidder, with their Bid proposal. Under Iowa Administrative Code rule 875-156.2(1), failure to provide the Bidder SECTION 00200 Page 4 of 5 Status Form with the Bid may result in the Bid being deemed non-responsive and may result in the Bid being rejected. 200.10 CORRECTIONS Erasures or other changes in the Bid must be explained or noted and initialed by the Bidder. 200.11 TIME FOR RECEIVING BIDS Bids received prior to the time of opening will be securely kept unopened. The officer whose duty it is to open them will decide when the specified time has arrived, and no Bid received thereafter will be considered. 200.12 OPENING OF BIDS At the time and place fixed for the opening of Bids, the City will cause to be opened and publicly read aloud every qualifying Bid received within the time set for receiving Bids, irrespective of any irregularities therein. Bidders and other persons interested may be present in person or by representative. 200.13 WITHDRAWAL OF BIDS Bids (received prior to the time fixed for opening) may be withdrawn on written request by the Bidder. The Bid Bond of any Bidder withdrawing its Bid in accordance with the foregoing conditions will be returned with the Bid. 200.14 CONTRACTOR BACKGROUND INFORMATION FORM The Contractor Background Information Form (Section 00471) must be submitted by the apparent low bidder within 72 hours after the bid opening. The Form may be submitted to the City by either delivering a hardcopy or by email to the Jurisdiction Representative. 200.15 AWARD OF CONTRACTS AND REJECTION OF BIDS The Public Improvement Contract (SECTION 00500) shall be awarded as required by law. The Bidder to whom the award is made shall be notified at the earliest possible date by a Notice of Award. Failure by the apparent low bidder to provide the Contractor Background Information Form within the period specified in Section 200.14 or within such extended period as the City may grant, based upon reasons determined sufficient by the City, shall be grounds for determining the apparent low bidder as not responsible, and the City may either award the Contract to another Bidder or re-advertise for Bids, and may charge against the defaulting Bidder the difference between the defaulting Bidder’s Bid and the successful Bid, irrespective of whether the amount thus due exceeds the amount of the Bid Bond. 200.16 EXECUTION OF CONTRACT 1. Within ten (10) calendar days after the date of the City’s Notice of Award, the successful Bidder shall execute and deliver to the City a Contract (SECTION 00500) in the form included in the Contract Documents in such number of copies as the City may require. 2. Insurance documents shall be submitted in accordance with SECTION 00700 and must be properly completed prior to execution of the contract by the City. SECTION 00200 Page 5 of 5 3. Iowa Sales Tax Exemption Certificate documents shall be submitted in accordance with SECTION 00750 and must be properly completed prior to execution of the contract by the City. 4. The successful Bidder shall, within the period specified in Section 00200.16 Paragraph 1 above, also furnish a Contractor’s Performance, Payment and Maintenance Bond in the form included in the Contract Documents and shall bear the same date as, or a date subsequent to, the date of the Contract. The power of attorney for the person who signs for any surety company shall be attached to such Bond. 5. The failure of the successful Bidder to execute such Contract and to supply the required Bond(s), Insurance, and Iowa Sales Tax Exemption Certificate information within ten (10) calendar days after the date of City’s Notice of Award, or within such extended period as the City may grant, based upon reasons determined sufficient by the City, shall constitute a default, and the City may either award the Contract to another Bidder or re-advertise for Bids, and may charge against the defaulting Bidder the difference between the defaulting Bidder’s Bid and the successful Bid, irrespective of whether the amount thus due exceeds the amount of the Bid Bond. If a more favorable Bid is received by re-advertising, the defaulting Bidder shall have no claim against the City for a refund. 6. After the Contract, Bonds, Insurance Documents, Sales Tax Exemption Certificate Form and Contractor Background Information Form have been properly provided, the City will execute the contract and issue the Notice to Proceed. 200.16 EXECUTION OF CONTRACT This project has been awarded funds from the Iowa State Revolving Fund LSLR grant. Any bidder or equipment supplier whose firm or affiliate is listed on the U.S. General Services Administration Excluded Parties List System website will be prohibited from the bidding process. Anyone submitting a bid who is listed on this website will be determined to be a nonresponsive bidder. Contractors shall fully comply with the requirements, terms and conditions of the Disadvantaged Business Enterprise (DBE) requirements. Build America, Buy America (BABA) provisions apply to this project. SRF Certification forms required to be signed and submitted with the Bid are included in the bid packet. Bipartisan Infrastructure Law (BIL) is also applicable in the LSLR grant. The SRF requirements are included in the Special Provisions section of the specifications. Davis-Bacon prevailing wage rates will apply to this Project and are included in the Special Provisions section of the specifications. ==== END OF SECTION 00200 ==== [Page Intentionally Left Blank] SECTION 00270 Page 1 of 2 SUBSTITUTION REQUEST FORM SECTION 00270 270.1 PROJECT INFORMATION Project: City of Dubuque, Iowa Lead Service Line Replacement – Phase 1 SUBMIT REQUESTS FOR SUBSTITUTIONS DURING THE BIDDING PHASE TO: Eldon Schneider, PE Origin Design Co. 137 Main Street, Ste. 100 Dubuque, IA 52001 eldon.schneider@origindesign.com SUBMISSION DATE: ______/______/______ REQUEST FROM: _______________________________________________ 1) SPECIFICATION SECTION SPEC. SEC. NO: ________________________________________________ SPEC. SEC. TITLE: ________________________________________________ DESCRIPTION: _______________________________________________ ARTICLE: _______________________________________________ PARAGRAPH: _______________________________________________ 2) PROPOSED SUBSTITUTION MANUFACTURER: ________________________________________________ TRADE NAME: _________________________________________________ MODEL: _________________________________________________ SECTION 00270 Page 2 of 2 270.2 ACKNOWLEDGEMENTS AND ATTACHMENTS In submitting this Request, the undersigned acknowledges and represents that: Proposed substitution has been fully investigated and determined to be equal or superior in all respects to specified product. Same warranty will be furnished for proposed substitution as for specified product. Same maintenance service and source of replacement parts, as applicable, is available. Proposed substitution will have no adverse effect on other trades and will not affect or delay the project schedule. Proposed substitution does not affect dimensions and functional clearances. Attachments: The following attachments are required as part of this submittal request. 1) ______ Product Data, descriptions and specifications necessary for evaluation. 2) ______ Drawings necessary to indicate proper installation in the Work. 3) ______ Tests and Reports consistent with specified performance 4) ______ Material Samples (if applicable): _____________________________ SUBMITTED BY: _____________________________________________________ TITLE: ____________________________________________________ COMPANY NAME: _____________________________________________________ TELEPHONE: _____________________________________________________ EMAIL: _____________________________________________________ 270.3 ENGINEER’S REVIEW AND ACTION Substitution approved – Make submittals in accordance with Specification Section for this item. Substitution rejected – Revise and Resubmit. Substitution rejected – Use specified materials. REVIEWED BY: ______________________________________________________ DATE: ________/________/________ ==== END OF SECTION 00270 ==== SECTION 00300 Page 1 of 2 BID PROPOSAL SUBMITTAL CHECKLIST SECTION 00300 Lead Service Line Replacement – Phase 1 300.1 Bid Submittal Check List Checking your Bid submittal, before filing, against the following checklist will help prevent minor errors or omissions, which could result in rejection of the Bid because it is non- responsive. (1) Bid Proposal Form: Bid proposal must be submitted on the form listed below and provided by the City: UNIT PRICE BID PROPOSAL FORM (SECTION 00400) Acknowledge receipt of all addenda on the Bid Proposal Form (SECTION 00400). Bid Proposal Form (SECTION 00400) must be signed by an authorized agent. The Bid Proposal Form must not be qualified in any way or contain any disclaimers or special conditions, or the Bid may be found nonresponsive. Iowa State Revolving Fund required forms must be signed and submitted as part of the bid: - Attachment 1 Certification of Non-Segregated Facilities - Attachment 2 Certification Regarding Debarment, Suspension, Other Responsibility Matters. - Attachment 3 Disadvantaged Business Enterprise (DBE) Solicitation - Attachment 4 DBE Subcontractor Performance Form (not required if no DBE is utilized) - Attachment 5 DBE Subcontractor Utilization Form (not required if no DBE is utilized) - Attachment 10 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment - Attachment 11 Construction Method Limitations for Lead Service Line Replacement Projects (2) Bid Bond: The Bid Proposal Form (SECTION 00400) must be accompanied in a separate envelope by a Bid Bond (SECTION 00450) or a certified check made payable to the “City of Dubuque” in an amount equal to ten percent (10%) of the Bid amount. SECTION 00300 Page 2 of 2 The Bid Bond (SECTION 00450), if used, must be signed by both the Bidder and the Surety or surety’s agent. Signature of surety’s agent must be supported by accompanying power of attorney. Be sure to write in the bid amount on the Bid Bond Bidders shall use the provided City of Dubuque Bid Bond (SECTION 00450). If an alternative Bid Bond form is submitted by the Bidder and determined by the City to not be an equivalent bond form then the City may determine the Bid as non-responsive. (3) Bidder Status Form: The Bidder Status Form (Section 00460) must be included in the envelope with the Bid. (4) Submittal of Bid: The Bid Proposal Form and Bid Bond must be submitted in a separate sealed envelope labeled as follows: Lead Service Line Replacement – Phase 1 “Sealed Bid” or “Bid Bond” (Contractor Name) And addressed to Location for Filing the Bid: City of Dubuque Engineering Department City Hall, 50 W 13th Street Dubuque, Iowa, 52001 Sufficient time should be allowed for Bids to be delivered. Late Bids will not be considered and will be returned unopened. == == END OF SECTION 00300 ==== SECTION 00400 Page 1 of 7 UNIT PRICE BID PROPOSAL FORM SECTION 00400 PROJECT:Lead Service Line Replacement – Phase 1 BID TO:Office of City Clerk City of Dubuque 50 W. 13th Street Dubuque, Iowa 52001 BID FROM: ________________________________________________________________ (Company) ________________________________________________________________ (Street Address) ________________________________________________________________ (City, State, Zip) ________________________________________________________________(Email Address) _________________________________(Telephone) 400.1 General The undersigned Bidder agrees, if the Bid is accepted, to enter into an Contract with the City, in the form included in the Contract Documents, to perform and furnish the Work as specified or indicated in the Contract Documents for the Total Bid Amount and within the Bid time indicated in the Contract Documents and in accordance with other terms and conditions of the Contract Documents. 400.2 Recitals In submitting this Bid, Bidder represents, as more fully set forth in the Public Improvement Contract, that: a. This Bid will remain subject to acceptance for forty-five (45) calendar days after the day of Bid opening; b. The City has the right to reject this Bid and to waive any informalities in the Bidding; c. Bidder accepts the provisions to the Instructions to Bidders regarding dispositions of Bid Security; SECTION 00400 Page 2 of 7 d. Bidder will sign and submit the Public Improvement Contract with the Bond and other documents required by the Contract Documents within ten (10) calendar days after the date of City’s Notice of Award; e. Bidder acknowledges this Contract is being funded through the Iowa SRF program for Lead Service Line Replacements and is limited to a maximum funding of $1,750,000 for construction activities. Award of this Contract will be to the lowest responsive, responsible Bidder based on the use of the Bid Proposal Schedule quantities as provided in the Unit Price Bid Proposal Form, representative of all sites approved for replacement under this Contract, as indicated in the Exhibits. The installed quantities at each site will determine actual payment values to the Selected Contractor. The City reserves the right to end all Work under this Contract at or near the designated maximum funding amount for construction activities, regardless of completion of Work at all indicated sites. The Bidder hereby certifies that the Bidder is the only person or persons interested in this proposal as principals; that an examination has been made of the plans, specifications, contract form, including the special provision contained herein, and the work site, and the Bidder understands that the quantities of work shown herein are approximate only and are subject to increase or decrease. The measured unit quantity of any item stated in the plans, specification, or on the bid proposal form are approximate only and the final payment must be made by the work covered in the contract (Public Improvement Contract - Section 500). The Contractor further understands that all quantities of work, whether increased or decreased, are to be performed at the Unit Prices as stipulated herein; the Bidder proposes to furnish all necessary machinery, equipment, tools, labor and other means of construction, and to furnish all materials specified in the manner and time prescribed and to do the work at the prices herein set out. 400.3 Bidder’s Acknowledgment In submitting this Bid this Bidder acknowledges and represents that: 1) Bidder has examined copies of all the Contract Documents; 2) Bidder has visited the Project Area and become familiar with the general, local, and site conditions; 3) Bidder is familiar with Federal, State, and local laws, ordinances and regulations that govern the work specified by the Contract Documents; 4) Bidder has correlated the information known to the Bidder, observations obtained from the examination of the site, reports and drawings identified in the Contract Documents and additional investigations, explorations, tests, studies and data within the Contract Documents; 5) This Bid is genuine and not made in the interest of or on behalf of an undisclosed person, firm or corporation; Bidder has not directly or indirectly induced or solicited another Bidder to submit a false or sham Bid; Bidder has not solicited or induced a person, firm or corporation to refrain from Bidding; and Bidder has not sought by collusion to obtain for itself an advantage over another Bidder or over City; SECTION 00400 Page 3 of 7 6) Local and State sales and use taxes are not included in the Bid Amount. 7) Bidder has examined and understands that the following reports listed in Section 00775 are part of the Contract Documents have been considered and are included in the Bid Amount. NOT APPLICABLE Report Title , Dated . Report Title , Dated . 400.4 Unit Prices and Bid Amount (See Page 4) SECTION 00400.4 N/A BIDDER NAME:DATE: 1 2010-108-A-0 1.00 UNIT 2 2010-108-D-1 160.00 CY 3 2010-108-J-0 1800.00 TON Sub Total 4 3010-108-D-0 4000.00 TON 5 3010-108-G-0 100.00 TON Sub Total 6 5010-108-E-1 8000.00 LF 7 5010-108-E-2 125.00 EA 8 5010-108-E-3 194.00 EA Sub Total 9 7030-108-A-1 500.00 SY 10 7030-108-A-3 500.00 SY 11 7030-108-E-0 500.00 SY 12 7030-108-H-1 200.00 SY 13 7030-108-H-1 200.00 SY 14 7030-108-H-3 100.00 TON Sub Total 15 7040-108-A-0 25.00 SY 16 7040-108-A-0 1500.00 SY 17 7040-108-N-0 1500.00 LF Sub Total 18 8030-108-A-0 165.00 LS Sub Total 19 9010-108-A-1 7500.00 SF 20 9010-108-A-2 7500.00 SF 21 9010-108-A-3 7500.00 SF Sub Total 22 9030-108-A-0 20.00 EA Sub Total 23 9040-108-T-1 165.00 EA 24 9040-108-T-2 165.00 EA Sub Total 25 9070-108-A-0 40.00 SF Sub Total 26 9071-108-A-0 40.00 SF 27 9071-108-C-0 40.00 TON Sub Total 28 11020-108-A-0 1.00 LS Sub Total 29 SP 100.00 HR Addendum No.: Driveway, Paved, PCC, 6" (Thickness) Driveway, Paved, HMA, 6" (Thickness) Division 7040 - Pavement Rehabilitation LINE NO. Division 9030 - Plant Material and Planting Plants, By Count Driveway, Granular by Ton PCC, Sidewalk, 5" (Thickness) Curb and Gutter, Remove and Replace Full Depth Patches PCC Full Depth Patches HMA Division 7030 - Sidewalks, Shared Use Paths, and Driveways Removal of Sidewalk Removal of Driveway Water Service Stubs, Curb Stop and Box, 3/4" Division 3010 - Trench Excavation and Backfill Replacement of Unsuitable Backfill Material, Gr 30, (Modified Subbase Pile) Class I, Bedding Material, 1" Commercial Clean Stone Conventional - Seeding, Type 1, by SF Mulching, by SF Division 8030 - TemporaryTraffic Control Temporary Traffic Control Fertilizing, by SF City of Dubuque, Iowa Bid Proposal Schedule UNIT TOTAL PRICE Lead Service Line Replacement - Phase IProject Title: Division 2010 - Earthwork, Subgrade, and Subbase Clearing and Grubbing A Subbase, Special Backfill - Gr 30 (3/4" Dense Base Pile) Topsoil, On-site BID UNIT PRICE PLAN QUANTITY REFERENCE NUMBER Division 9010 - Seeding Water Service Stubs, Corporation, 3/4" Division 5010 - Pipe and Fittings Water Service Stubs, Pipe, Copper, 3/4" BID ITEM DESCRIPTION Modular Block Retaining Wall Mobilization Segmental Block Retaining Wall Granular Backfill Material Division 11,020 - Mobilization Special Provisions - Non-Standard Project Items Exploratory Excavation Division 9040 - Erosion and Sediment Control Inlet Protection Device, Installation Inlet Protection Device, Maintenance Division 9070 - Landscape Retaining Walls Division 9071 - Segmental Block Retaining Walls SECTION 00400.4LINE NO.UNIT TOTAL PRICE BID UNIT PRICE PLAN QUANTITY REFERENCE NUMBER BID ITEM DESCRIPTION 30 SP 40.00 LF 31 SP 10.00 EA 32 SP 194.00 EA 33 SP 5.00 EA 34 SP 100.00 LF 35 SP 10.00 EA 36 SP 194.00 EA Sub Total Bid Amount Upgrades to Interior Plumbing Flushing Procedure Protection of Existing Plan Material (Temporary Fencing) Minor Rock Excavation at Existing Mains Connection to Interior Plumbing Internal Home Water Service Relocation/Penetration Interior Plumbing Modifications, Pipe Greater than 5-ft 400.5 Base Bid Amount (Use Words) SECTION 00400 Page 6 of 7 400.7 Timeliness Bidder agrees that the work shall be Substantially Complete and made ready for final payment in accordance with Contract Documents no later than the date(s) indicated in Section 00800 – Construction Schedule and Agreed Cost of Delay. 400.8 Additional Documents To Be Submitted With Bid The following additional documents are included and made a condition of this Bid: A. Bid Bond (Section 00450)—or other approved Bid Security. Accompanying this Bid in a separate sealed envelope is a Bid Bond, cashier’s check, or certified check in the penal sum of ten percent (10%) of the submitted Bid. It is understood that the Bid security will be retained in the event a contract is not executed by the Contractor if award is made to the undersigned. If a Bid Bond is submitted it must be executed by the Bidder and acceptable corporate surety. If a Cashier’s check or certified check is submitted it must be made payable to the City Treasurer, City of Dubuque, drawn on a bank in Iowa or a bank chartered under the laws of the United States. B. Bidder Status Form (Section 00460) C. Signed SRF Required Forms: - Attachment 1 Certification of Non-Segregated Facilities - Attachment 2 Certification Regarding Debarment, Suspension, Other Responsibility Matters. - Attachment 3 Disadvantaged Business Enterprise (DBE) Solicitation - Attachment 4 DBE Subcontractor Performance Form (not required if no DBE is utilized) - Attachment 5 DBE Subcontractor Utilization Form (not required if no DBE is utilized) - Attachment 10 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment - Attachment 11 Construction Method Limitations for Lead Service Line Replacement Projects 400.9 Document Submittal Requirements by Apparent Low Bidder The apparent low bidder must submit the Contractor Background Information Form (Section 00471) to the Jurisdiction Representative within 72 hours after the bid opening. Failure to submit the Contractor Background Information Form by the required deadline may be considered justification for the City to determine the Bidder as not responsible. 400.10 Contract Execution The Bidder further agrees to execute a formal contract and Bond, within ten (10) calendar days after the date of the City’s Notice of Award. The Bidder also agrees it will commence work on or before ten (10) calendar days after the date of City’s Notice to Proceed, and it will complete the work within the specified contract period or pay the Agreed Cost of Delay stipulated in the Contract Documents. 400.11 Questions and Interpretations SECTION 00400 Page 7 of 7 Failure by the Bidder to request clarification of the Contract Documents during the bidding process does not waive the responsibility for comprehension of the documents and performance of the work in accordance with the Contract Documents. Signing of the Bid Proposal Form constitutes the Contractor’s certification as implicitly denoting thorough comprehension of intent of the Contract Documents. 400.12 Addenda The Bidder acknowledges receipt of the following addenda: Dated: Dated: Dated: Dated: 400.13 Signatures Contractor: Dated: Contractor Name Street (Business Location) City State Zip Dated: Signature Title The Bidder’s State of does ( ) / does not ( ) utilize a percentage preference for in-state Bidders. The amount of preference is percent. ==== END OF SECTION 00400 === [Page Intentionally Left Blank] SECTION 00450 Page 1 of 1 BID BOND SECTION 00450 We______________________________________________ as Principal (Contractor), and ____________________________________________________, as Surety, are held and firmly bound unto the City of Dubuque, Iowa (City), in the sum of $_____________________ (10% of (use numbers) the Bid amount), for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally, firmly by these presents. The condition of this obligation is such that whereas the Principal has submitted the accompanying Bid, dated ________ day of ____________________________, 20_________ for Lead Service Line Replacement – Phase 1(Project). NOW, THEREFORE, if the Principal shall not withdraw said Bid within the period specified therein during the opening of same, or if no period specified, within thirty (30) days after said opening, and must within the period specified therefore, if no period be specified, within ten (10) days after date of City’s Notice of Award, enter into a the Public Improvement Contract with the City, in accordance with the Bid as accepted, and give Bond with good and sufficient surety or sureties, as may be required for the faithful performance and proper fulfillment of such Contract, then the above obligation shall be void and of no effect, otherwise to remain in full force. The full amount of this Bid Bond will be forfeited to the City as an Agreed Cost of Delay in the event that the Principal fails to execute the contract and provide the Bond as provided in the Contract Documents or by law. IN WITNESS WHEREOF, the above parties have executed this instrument under their several seals this _____________day of ___________________, 20________ the name and corporate seal of each corporate party being hereto affixed and duly signed by its undersigned representative pursuant to authority of its governing body. PRINCIPAL:SURETY: Contractor Name Surety Name By:By: Signature Signature Title Title Date Date ==== END OF SECTION 00450 ==== [Page Intentionally Left Blank] SECTION 00460 Page 1 of 2 Bidder Status Form SECTION 00460 To be completed by all Bidders Part A Please answer “Yes” or “No” for each of the following: ☐ Yes ☐ No My company is authorized to transact business in Iowa. (To help you determine if your company is authorized, please review the worksheet on the next page). ☐Yes ☐No My company has an office to transact business in Iowa. ☐Yes ☐No My company’s office in Iowa is suitable for more than receiving mail, telephone calls, and e-mail. ☐Yes ☐No My company has been conducting business in Iowa for at least 3 years prior to the first request for Bids on this project. ☐Yes ☐No My company is not a subsidiary of another business entity or my company is a subsidiary of another business entity that would qualify as a resident Bidder in Iowa. If you answered “Yes” for each question above, your company qualifies as a resident Bidder. Please complete Parts B and D of this form. If you answered “No” to one or more questions above, your company is a non-resident Bidder. Please complete Parts C and D of this form. To be completed by all resident Bidders Part B My company has maintained offices in Iowa during the past 3 years at the following addresses: Dates:to Address: (mm/dd/yyyy)City, State, Zip: Dates:to Address: (mm/dd/yyyy)City, State, Zip: Dates:to Address: (mm/dd/yyyy)City, State, Zip: You may attach additional sheet(s) if needed. To be completed by all non- resident Bidders Part C Name of your home state or foreign country reported to the Iowa Secretary of State. Does your company’s home state or foreign country offer preferences to Bidders who are residents? ☐ Yes ☐ No If you answered “Yes” to question 2, identify each preference offered by your company’s home state or foreign country and the appropriate legal citation. You may attach additional sheet(s) if needed. To be completed by all Bidders Part D I certify that the statements made on this document are true and complete to the best of my knowledge and I know that my failure to provide accurate and truthful information may be a reason to reject my Bid. You must submit the complete form to the government body requesting Bids per 875 Iowa Administrative Code Chapter 156 This Form has been approved by the Labor Commissioner 309-6001 02-14 Firm Name: Signature:Date: SECTION 00460 Page 2 of 2 Worksheet: Authorization to Transact Business This worksheet may be used to help complete Part A of the Resident Bidder Status form. If at least one of the following describes your business, you are authorized to transact business in Iowa. ☐ Yes ☐ No My business is currently registered as a contractor with the Iowa Division of Labor. ☐ Yes ☐ No My business is a sole proprietorship and I am an Iowa resident for Iowa income tax purposes. ☐ Yes ☐ No My business is a general partnership or joint venture. More than 50 percent of the general partners or joint venture parties are residents of Iowa for Iowa income tax purposes. ☐ Yes ☐ No My business is an active corporation with the Iowa Secretary of State and has paid all fees required by the Secretary of State, has filed its most recent biennial report, and has not filed articles of dissolution. ☐ Yes ☐ No My business is a corporation whose articles of incorporation are filed in a state other than Iowa, the corporation has received a certificate of authority from the Iowa secretary of state, has filed its most recent biennial report with the secretary of state, and has neither received a certificate of withdrawal from the secretary of state nor had its authority revoked. ☐ Yes ☐ No My business is a limited liability partnership which has filed a statement of qualification in this state and the statement has not been canceled. ☐ Yes ☐ No My business is a limited liability partnership which has filed a statement of qualification in a state other than Iowa, has filed a statement of foreign qualification in Iowa and a statement of cancellation has not been filed. ☐ Yes ☐ No My business is a limited partnership or limited liability limited partnership which has filed a certificate of limited partnership in this state, and has not filed a statement of termination. ☐ Yes ☐ No My business is a limited partnership or a limited liability limited partnership whose certificate of limited partnership is filed in a state other than Iowa, the limited partnership or limited liability limited partnership has received notification from the Iowa secretary of state that the application for certificate of authority has been approved and no notice of cancellation has been filed by the limited partnership or the limited liability limited partnership. ☐ Yes ☐ No My business is a limited liability company whose certificate of organization is filed in Iowa and has not filed a statement of termination. ☐ Yes ☐ No My business is a limited liability company whose certificate of organization is filed in a state other than Iowa, has received a certificate of authority to transact business in Iowa and the certificate has not been revoked or canceled. ==== END OF SECTION 00460 ==== SECTION 00471 Page 1 of 12 SECTION 00471 CONTRACTOR BACKGROUND INFORMATION FOR SMALL CONTRACTS (Between $25,000 and $3,000,000) The apparent low bidder must submit the Contractor Background Information Form to the Jurisdiction Representative within 72 hours after the bid opening. Failure to submit the Contractor Background Information Form by the required deadline may be considered justification for the City to determine the Bidder as not responsible. All questions must be answered clearly and comprehensively. If necessary, questions may be answered on separate attached sheets. The Bidder may submit any additional information that it deems necessary. 1. SUBMITTED BY: Official Name of Firm: Address: 2. CONTRACTOR'S CONTACT INFORMATION: Contact Person: Title: Phone: Email: 3. TYPE OF ORGANIZATION: SOLE PROPRIETORSHIP Name of Owner: Doing Business As: Date of Organization: PARTNERSHIP Date of Organization: Type of Partnership: Name of General Partner(s): SECTION 00471 Page 2 of 12 CORPORATION State of Organization: Date of Organization: Executive Officers: President: Vice President(s): Treasurer: Secretary: LIMITED LIABILITY COMPANY State of Organization: Date of Organization: Members: JOINT VENTURE State of Organization: Date of Organization: Form of Organization: Joint Venture Managing Partner(s) Name: Address: Name: Address: Name: Address: SECTION 00471 Page 3 of 12 OTHER State of Organization: Name of Organization: Form of Organization: Date of Organization: Principal Name: Title: Address: A. How many years has your organization been in business as a contractor? years. B. How many years have you been engaged in the contracting business under your present firm or trade name? years. C. Under what other or former names does or has your organization operated? 4. CERTIFICATIONS: CERTIFIED BY: Disadvantage Business Enterprise: Minority Business Enterprise: Woman Owned Enterprise: Small Business Enterprise: Other: SECTION 00471 Page 4 of 12 5. BONDING INFORMATION: Bonding Company: Address: Bonding Agent: Address: Contact Name: Phone: Aggregate Bonding Capacity: Available Bonding Capacity as of date of this submittal: 6. CONSTRUCTION EXPERIENCE: A. Current Experience: List on Schedule A all uncompleted projects currently under contract. B. Previous Experience: List on Schedule B at least three (3) projects completed within the last three (3) years that had a similar scope of work. Do you have direct related project experience? If no direct related project experience, add an Attachment that explain how you intend to complete the contract. NO YES In the past eight (8) years has the firm listed in Section 1 ever failed to complete a construction contract awarded to it? If YES, add an Attachment that provides details of the circumstances and include Project Owner's contact information. NO YES Have you ever been found not to be a responsible Bidder under Iowa Code Chapter 26? If YES, add an Attachment that provides details of the circumstances and include Project Owner's contact information. NO YES SECTION 00471 Page 5 of 12 In the past eight (8) years has any Corporate Officer, Partner, Joint Venture participant or Proprietor ever failed to complete a construction contract awarded to them in their name or when acting as a principal of another entity? If YES, add an Attachment that provides details of the circumstances and include Project Owner's contact information. NO YES Are there any judgments, claims, disputes or litigation pending or outstanding with an individual value greater than $200,000 involving the firm listed in Section 1 or any of its officers (or any of its partners if a partnership or any of the individual entities if a joint venture)? If YES, add an Attachment that provides details of the circumstances and include Project Owner's contact information. NO YES Have you ever been declared in default under a performance Bond in the last five (5) years? If YES, add an Attachment that provides details of the circumstances and include the name and contact person of the owner(s) of the project and the contact person at the surety/Bonding company. NO YES Are you currently being investigated for or have previously violated in the last five years any of the following state or federal laws: Iowa Minimum Wage Act, Iowa Non-English Speaking Employees Act, Iowa Child Labor Act, Iowa Labor Commissioner’s Right to Inspect Premises, Iowa Compensation Insurance Act, Employment Security Act, Iowa Competition Act, Iowa Income, Corporate and Sales Tax Code, Iowa Employee Registration Requirements, Iowa Hazardous Chemical Risks Act, Iowa Wage Payment Collection Act, Federal Income and Corporate Tax Code, The National Labor Relations Act, The Drug-Free Workplace Act, the Employee Retirement Insurance Security Act, Title VI of the Civil Rights Act of 1964, The Fair Labor Standards Act: If YES, add an Attachment that provides details of the circumstances and explain. NO YES SECTION 00471 Page 6 of 12 7. SAFETY PROGRAM: Name of Contractor's Lead Safety Officer: Name of Contractor's Safety Officer assigned to the project: Include the following as attachments: A. Provide as an Attachment Contractor’s OSHA No. 300- Log & Summary of Occupational Injuries & Illnesses for the past 2 years. Contractor must submit the same information for all proposed Subcontractors performing Work having a value in excess of 10 percent of the total bid amount. B. Provide as an Attachment Contractor's list of all OSHA Citations & Notifications of Penalty (monetary or other) received within the last 2 years (indicate disposition as applicable) - IF NONE SO STATE. Contractor must submit the same information for all proposed Subcontractors performing Work having a value in excess of 10 percent of the total bid amount. C. Provide as an Attachment Contractor's list of all safety citations or violations under any state all received within the last 2 years (indicate disposition as applicable) - IF NONE SO STATE. Contractor must submit the same information for all proposed Subcontractors performing Work having a value in excess of 10 percent of the total bid amount. D. Provide the following for the firm listed in Section 3 (attach additional sheets as necessary) the following (Contractor must submit the same information for all proposed Subcontractors performing Work having a value in excess of 10 percent of the total bid amount: Workers' compensation Experience Modification Rate (EMR) for the last 2 years: YEAR EMR YEAR EMR Total Recordable Frequency Rate (TRFR) for the last 2 years: YEAR TRFR YEAR TRFR Total number of man-hours worked for the last 2 Years: YEAR TOTAL NUMBER OF MAN-HOURS YEAR TOTAL NUMBER OF MAN-HOURS SECTION 00471 Page 7 of 12 8. EQUIPMENT: Provide a statement that explains the contractual relationship between the Company listed in Section 3 and the owners of major pieces of equipment that will be utilized on this project. MAJOR EQUIPMENT: List on Schedule C all pieces of major equipment available for use on this Project. I HEREBY CERTIFY THAT THE INFORMATION SUBMITTED HEREWITH, INCLUDING ANY ATTACHMENTS, IS TRUE TO THE BEST OF MY KNOWLEDGE AND BELIEF AND THAT THE CITY OF DUBUQUE MAY RELY ON THE INFORMATION PROVIDED. NAME OF ORGANIZATION: SIGNATURE: NAME: TITLE: DATED: NOTARY ATTEST: SUBSCRIBED AND SWORN TO BEFORE ME THIS DAY OF , 20___ NOTARY PUBLIC - STATE OF MY COMMISSION EXPIRES: REQUIRED ATTACHMENTS: 1. Schedule A (Current Experience). 2. Schedule B (Previous Experience). 3. Evidence of authority for individuals listed in Section 3 to bind organization to a Contract. 4. Resumes of officers and key individuals (including Safety Officer) of Company named in Section 1. 5. Required safety program submittals listed in Section 7. 6. Schedule C (Major Equipment) 7. Additional items as needed to complete background information request. SECTION 00471 Page 8 of 12 SCHEDULE A PROJECTS CURRENTLY UNDER CONTRACT Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: SECTION 00471 Page 9 of 12 SCHEDULE A PROJECTS CURRENTLY UNDER CONTRACT Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: SECTION 00471 Page 10 of 12 SCHEDULE B PREVIOUS EXPERIENCE (List projects that fulfill the requirements of Section 6B) Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: SECTION 00471 Page 11 of 12 SCHEDULE B PREVIOUS EXPERIENCE (List projects that fulfill the requirements of Section 6B) Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: Project Name: Project Information Project Type: Contract Start Date:Contract End Date: Percent Complete:Contract Amount: SECTION 00471 Page 12 of 12 S E C T I O N 0 0 4 7 1 P a g e 1 2 o f 1 4 SCHEDULE C LIST OF MAJOR EQUIPMENT TO BE UTILIZED ON THIS PROJECT ITEM MODEL YEAR CONDITION RUN HOURS OWNER ==== END OF SECTION 00471 ==== SECTION 00500 Page 1 of 6 PUBLIC IMPROVEMENT CONTRACT SECTION 00500 LEAD SERVICE LINE REPLACEMENT – PHASE 1 THIS IMPROVEMENT CONTRACT (the Contract), made in triplicate, dated for references purposes the day of , 20 between the City of Dubuque, Iowa, by its City Manager, through authority conferred upon the City Manager by its City Council (City), and Contractor Name (Contractor). For and in consideration of the mutual covenants herein contained, the parties hereto agree as follows: CONTRACTOR AGREES: 1. To furnish all material and equipment and to perform all labor necessary for the Lead Service Line Replacement – Phase 1 (Project). 2. CONTRACT DOCUMENTS A. The Contract Documents consist of the following: 1. Project Title Page (Section 00100). 2. Project Directory Page (Section 00101). 3. This Public Improvement Contract (Section 00500). 4. Performance, Payment, and Maintenance Bond (Section 00600). 5. Out-of-State Contractor Bond (Section 00610). 6. Other Bonds: N/A a. ____(Bond Name)___ (pages __ to __ , inclusive). b. ____(Bond Name)___ (pages __ to __ , inclusive). c. ____(Bond Name)___ (pages __ to __ , inclusive). 7. The Iowa Statewide Urban Design And Specifications (SUDAS) 2023 Edition. 8. CITY OF DUBUQUE Supplemental Specifications 2023 Edition. 9. Other Standard and Supplementary Specifications as listed on the Title Page of the Contract Document Manual. 10.Special Conditions included in the Contract Document Manual 11.Special Provisions included in the project Contract Document Manual. 12.Details included in the Contract Document Manual 13.Exhibits included in the Contract Document Manual 14.Addenda (numbers __ to __ , inclusive). 15.Insurance Provisions and Requirements (Section 00700). 16.Sales Tax Exemption Certificate (Section 00750). 17.Site Condition Information (Section 00775). 18.Construction Schedule and Agreed Cost of Delay (Section 00800). SECTION 00500 Page 2 of 6 19.Erosion Control Certificate (Section 00900). 20.Consent Decree (Section 01000). 21.SRF Requirements (Sections 02000). 22.Exhibits to this Contract (enumerated as follows): a. Contractor's Bid (pages ____ to ____ inclusive). b. Bidder Status Form (Section 00460). c. SRF Required Forms d. The following documentation that must be submitted by Contractor prior to Notice of Award. i. Contractor Background Information Form (Section 00471) 23.The following which may be delivered or issued on or after the Effective Date of the Agreement: a. Notice to Proceed (Section 00850). b. Project Certification Page (Section 00102). c. Change Orders (Not attached to this agreement). There are no other Contract Documents. The Contract Documents may only be amended, modified, or supplemented as provided in General Conditions. 3. All materials used by the Contractor in the Project must be of the quality required by the Contract Documents and must be installed in accordance with the Contract Documents. 4. The Contractor must remove any materials rejected by the City as defective or improper, or any of said work condemned as unsuitable or defective, and the same must be replaced or redone to the satisfaction of the City at the sole cost and expense of the Contractor. 5. Five percent (5%) of the Contract price will be retained by the City for a period of thirty (30) days after final completion and acceptance of the Project by the City Council to pay any claim by any party that may be filed for labor and materials done and furnished in connection with the performance of this Contract and for a longer period if such claims are not adjusted within that thirty (30) day period, as provided in Iowa Code Chapter 573 or Iowa Code Chapter 26. The City will also retain additional sums to protect itself against any claim that has been filed against it for damages to persons or property arising through the prosecution of the work and such sums will be held by the City until such claims have been settled, adjudicated or otherwise disposed of. 6. The Contractor has read and understands the Contract Documents herein referred to and agrees not to plead misunderstanding or deception related to estimates of quantity, character, location or other conditions for the Project. 7. In addition to any warranty provided for in the specifications, the Contractor must also fix any other defect in any part of the Project, even if the Project has been accepted and fully paid for by the City. The Contractor’s maintenance bond will be security for a period of two years after the issuance of the Certificate of Substantial Completion. 8. The Contractor must fully complete the Project under this Contract on or before the date indicated in the Construction Schedule and Agreed Cost of Delay Section of the Contract Documents. SECTION 00500 Page 3 of 6 9. INDEMNIFICATION FROM THIRD PARTY CLAIMS. To the fullest extent permitted by law, Contractor shall defend, indemnify and hold harmless City, its officers and employees, from and against all claims, damages, losses and expenses claimed by third parties, but not including any claims, damages, losses or expenses of the parties to this Contract, including but not limited to attorneys' fees, arising out of or resulting from performance of this Contract, provided that such claim, damages, loss or expense is attributable to bodily injury, sickness, disease or death, or injury to or destruction of property, including loss of use resulting there from, but only to the extent caused in whole or in part by negligent acts or omissions of Contractor, or anyone directly or indirectly employed by Contractor or anyone for whose acts Contractor may be liable, regardless of whether or not such claim, damage, loss or expense is caused in part by a party indemnified hereunder. 10. The Contractor hereby represents and guarantees that it has not, nor has any other person for or in its behalf, directly or indirectly, entered into any arrangement or Contract with any other Bidder, or with any public officer, whereby it has paid or is to pay any other Bidder or public officer any sum of money or anything of value whatever in order to obtain this Contract; and it has not, nor has another person for or in its behalf directly or indirectly, entered into any Contractor arrangement with any other person, firm, corporation or association which tends to or does lessen or destroy free competition in the award of this Contract and agrees that in case it hereafter be established that such representations or guarantees, or any of them are false, it will forfeit and pay not less than ten percent (10%) of the Contract price but in no event less than $2,000.00 (Two Thousand Dollars) to the City. 11. The surety on the Bond furnished for this Contract must, in addition to all other provisions, be obligated to the extent provided for by Iowa Code 573.6 relating to this Contract, which provisions apply to said Bond. 12. The Contractor agrees, and its Bond is surety therefore, that after the Certificate of Substantial Completion has been issued by the City, it will keep and maintain the Project in good repair for a period of two (2) years. 13. The Project must be constructed in strict accordance with the requirements of the laws of the State of Iowa, and the United States, and ordinances of the City of Dubuque, and in accordance with the Contract Documents. A. All applicable standards, orders, or regulations issued pursuant to the Clean Air Act of 1970 (42 U. S. C. 1958 (H) et. seq.) and the Federal Water Pollution Act (33 U. S. C. 1368 et. seq.) as amended, Executive Order 11738, and Environmental Protection Agency regulations (40 CFR, Part 15). Contractor must comply with Section 103 and 107 of the Contract Work Hours and Safety Standards Act (40 USC 327-330) and Department of Labor Regulations (29 CFR, Part 5). B. The City and the Contractor agree to comply with all provisions of the Davis-Bacon Federal Prevailing Wage Act, and related labor requirements and regulations and the Federal Wage Determination for this Project. C. Equipment or products authorized to be purchased with federal funding awarded for this Contract must be Buy America, Build America (BABA) in accordance with SRF requirements. D. The City of Dubuque in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-2000d-4 and Title 49, Code of Federal Regulations, Department SECTION 00500 Page 4 of 6 of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally assisted programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that it will affirmatively insure that in any contract entered into pursuant to this advertisement, minority business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin, sex, age, or disability in consideration for an award. 14. The Contractor acknowledges this Contract is being funded through the Iowa SRF program for Lead Service Line Replacements and is limited to a maximum funding of $1,750,000 for construction activities. The Contractor agrees that the City reserves the right to end all Work under this Contract at or near the designated maximum funding amount for construction activities, regardless of completion of Work at all indicated sites. CONSENT DECREE RELATING TO THE PROJECT 15. THIS CONTRACTOR IS PERFORMING WORK FOR THE CITY OF DUBUQUE RELATED TO THE WATER & RESOURCE RECOVERY CENTER OR THE SANITARY SEWER COLLECTION SYSTEM. THEREFORE, THE CONSENT DECREE AND THIS SECTION ARE APPLICABLE. ______ CITY ______ CONTRACTOR THIS CONTRACTOR IS NOT PERFORMING WORK FOR THE CITY OF DUBUQUE RELATED TO THE WATER & RESOURCE RECOVERY CENTER OR THE SANITARY SEWER COLLECTION SYSTEM. THEREFORE THE CONSENT DECREE AND THIS SECTION ARE NOT APPLICABLE. The City has entered into a Consent Decree in the case of The United States of America, and the State of Iowa v. The City of Dubuque, Iowa, Civil Action Number Case 2:11-cv-01011-EMJ, Civil Action Number 2008V00041, DOJ Case Number 90-5-1-1-09339, United States District Court for the Northern District of Iowa. The provisions of the Consent Decree apply to and are binding upon the City and its officers, directors, employees, agents, servants, successors, assigns, and all persons, firms and corporations under contract with the City to perform the obligations of the Consent Decree. The City is required to provide a copy of the Consent Decree to any contractor or consultant retained to perform work required by the Consent Decree. A copy of the Consent Decree is included in the Contract Documents and can be viewed at http://www.cityofdubuque.org/DocumentCenter/Home/View/3173. A hard copy is available upon request at the City’s Engineering Department Office. The City must condition any contract to perform work required under the Consent Decree upon performance of the work in conformity with the provisions of the Consent Decree. The Consent Decree also provides that until five (5) years after the termination of the Consent Decree, the City must retain, and must instruct its contractors and agents to preserve, all non-identical copies of SECTION 00500 Page 5 of 6 all documents, reports, data, records, or other information (including documents, records, or other information in electronic form) in its or its contractors’ or agents’ possession or control, or that come into its or its contractors’ or agents’ possession or control, and that relate in any manner to the City’s performance of its obligations under this Consent Decree, including any underlying research and analytical data. This information-retention period, upon request by the United States or the State, the City must provide copies of any documents, reports, analytical data, or other information required to be maintained under the Consent Decree. At the conclusion of the information-retention period, the City must notify the United States and the State at least ninety (90) Days prior to the destruction of any documents, records, or other information subject to such requirements and, upon request by the United States or the State, the City must deliver any such documents, records, or other information to the EPA or IDNR. CERTIFICATION BY CONTRACTOR The undersigned, on behalf of the Contractor, with full authority to act on behalf of the Contractor, certifies to the City of Dubuque as follows: 1. I have received a copy of the Consent Decree in the case of The United States of America, and the State of Iowa v. The City of Dubuque, Iowa, Civil Action Number Case 2:11-cv-01011-EMJ, Civil Action Number 2008V00041, DOJ Case Number 90- 5-1-1-09339, United States District Court for the Northern District of Iowa. 2. All work performed will be in conformity with the provisions of the Consent Decree. 3. All documents reports, data, records, or other information (including documents, records, or other information in electronic form) that relate in any manner to the performance of obligations under the Consent Decree, including any underlying research and analytical data, will be retained as required by the Consent Decree. 4. The Contractor agrees to defend, indemnify, and hold harmless the City, its officers, agents, or employees from and against any claims, including penalties, costs and fees as provided in the Consent Decree, relating to or arising out of the Contractor’s failure to comply with the Consent Decree. CONTRACTOR: ______________________________ Contractor By:______________________________ Signature ______________________________ Printed Name ______________________________ Title ______________________________ Date SECTION 00500 Page 6 of 6 THE CITY AGREES: 16.Upon the completion of the Contract, and the acceptance of the Project by the City Council, and subject to the requirements of law, the City agrees to pay the Contractor as full compensation for the complete performance of this Contract, the amount determined for the total work completed at the price(s) stated in the Contractor’s Bid Proposal and less any Agreed Cost of Delay provided for in the Contract Documents. CONTRACT AMOUNT $ ___ ___ CITY OF DUBUQUE, IOWA: _______________________________ Department By:_______________________________ Signature _______________________________ Printed Name _______________________________ Title _______________________________ Date CONTRACTOR: _______________________________ Contractor By:_______________________________ Signature _______________________________ Printed Name _______________________________ Title _______________________________ Date ==== END OF SECTION 00500 ==== SECTION 00600 Page 1 of 4 PERFORMANCE, PAYMENT AND MAINTENANCE BOND SECTION 00600 KNOW ALL BY THESE PRESENTS: That we,_____________________________________________________________, as Principal (hereinafter the “Contractor” or “Principal”) and___________________________ _______________________________________, as Surety are held and firmly bound unto the City of Dubuque, Iowa, as Obligee (hereinafter referred to as “Owner”), and to all persons who may be injured by any breach of any of the conditions of this Bond in the penal sum of ____________________________________________________________ dollars ($____________________), lawful money of the United States, for the payment of which sum, well and truly to be made, we bind ourselves, our heirs, legal representatives and assigns, jointly or severally, firmly by these presents. The conditions of the above obligations are such that whereas said Contractor entered into a contract with the Owner, bearing date the _______ day of ___________________, 2025, (hereinafter the “Contract”) wherein said Contractor undertakes and agrees to construct the following project in accordance with the Contract Documents, and to faithfully perform all the terms and requirements of said Contract within the time therein specified, in a good and workmanlike manner, and in accordance with the Contract Documents. The Contract Documents for Lead Service Line Replacement – Phase 1 Project detail the following described improvements: The extent of work involved consists of replacing approximately 200 lead service lines identified throughout the City’s water distribution service area. Replacement scope varies by site from full replacement (main to interior plumbing) to portions thereof, as indicated in the plans. The replacements will take place in City right-of-way and on private properties with authorizations provided by property owners. It is expressly understood and agreed by the Contractor and Surety in this Bond that the following provisions are a part of this Bond and are binding upon said Contractor and Surety, to-wit: 1. PERFORMANCE: The Contractor shall well and faithfully observe, perform, fulfill, and abide by each and every covenant, condition, and part of said Contract and Contract Documents, by reference made a part hereof, for the project, and shall indemnify and save harmless the Owner from all outlay and expense incurred by the Owner by reason of the Contractor’s default of failure to perform as required. The Contractor shall also be responsible for the default or failure to perform as required under the Contract and Contract Documents by all its subcontractors, suppliers, agents, or employees furnishing materials or providing labor in the performance of the Contract. 2. PAYMENT: The Contractor and the Surety on this Bond hereby agreed to pay all just claims submitted by persons, firms, subcontractors, and corporations furnishing materials for or performing labor in the performance of the Contract on account of which this Bond is given, including but not limited to claims for all amounts due for labor, materials, lubricants, SECTION 00600 Page 2 of 4 oil, gasoline, repairs on machinery, equipment, and tools, consumed or used by the Contractor or any subcontractor, wherein the same are not satisfied out of the portion of the contract price the Owner is required to retain until completion of the improvement, but the Contractor and Surety shall not be liable to said persons, firms, or corporations unless the claims of said claimants against said portion of the contract price shall have been established as provided by law. The Contractor and Surety hereby bind themselves to the obligations and conditions set forth in Chapter 573 of the Iowa Code, which by this reference is made a part hereof as though fully set out herein. 3. MAINTENANCE: The Contractor and the Surety on this Bond hereby agree, at their own expense: A. To remedy any and all defects that may develop in or result from work to be performed under the Contract Documents within the period of two (2) year(s) from the date of acceptance of the work under the Contract, by reason of defects in workmanship, equipment installed, or materials used in construction of said work; B. To keep all work in continuous good repair; and C. To pay the Owner’s reasonable costs of monitoring and inspection to assure that any defects are remedied, and to repay the Owner all outlay and expense incurred as a result of Contractor’s and Surety’s failure to remedy any defect as required by this section. Contractor’s and Surety’s Contract herein made extends to defects in workmanship or materials not discovered or known to the Owner at the time such work was accepted. 4. GENERAL: Every Surety on this Bond shall be deemed and held bound, any contract to the contrary notwithstanding, to the following provisions: A. To consent without notice to any extension of time authorized in approved change orders to the Contractor in which to perform the Contract; B. To consent without notice to any change in the Contract or Contract Documents, authorized in approved change orders which thereby increases the total contract price and the penal sum of this Bond, provided that all such changes do not, in the aggregate, involve an increase of more than twenty percent (20%) of the total contract price, and that this Bond shall then be released as to such excess increase; C. To consent without notice that this Bond shall remain in full force and effect until the Contract is completed, whether completed within the specified contract period, within an extension thereof, or within a period of time after the contract period has elapsed and the liquidated damage penalty is being charged against the Contractor. SECTION 00600 Page 3 of 4 The Contractor and every Surety on the Bond shall be deemed and held bound, any contract to the contrary notwithstanding, to the following provisions: D. That no provision of this Bond or of any other contract shall be valid that limits to less than five (5) years after the acceptance of the work under the Contract the right to sue on this Bond. E. That as used herein, the phrase “all outlay and expense” is not to be limited in any way, but shall include the actual and reasonable costs and expenses incurred by the Owner including interest, benefits, and overhead where applicable. Accordingly, “all outlay and expense” would include but not be limited to all contract or employee expense, all equipment usage or rental, materials, testing, outside experts, attorney’s fees (including overhead expenses of the Owner’s staff attorneys), and all costs and expenses of litigation as they are incurred by the Owner. It is intended the Contractor and Surety will defend and indemnify the Owner on all claims made against the Owner on account of Contractor’s failure to perform as required in the Contract and Contract Documents, that all agreements and promises set forth in the Contract and Contract Documents, in approved change orders, and in this Bond will be fulfilled, and that the Owner will be fully indemnified so that it will be put into the position it would have been in had the Contract been performed in the first instance as required. In the event the Owner incurs any “outlay and expense” in defending itself against any claim as to which the Contractor or Surety should have provided the defense, or in the enforcement of the promises given by the Contractor in the Contract, Contract Documents, or approved change orders, or in the enforcement of the promises given by the Contractor and Surety in this Bond, the Contractor and Surety agree that they will make the Owner whole for all such outlay and expense, provided that the Surety’s obligation under this Bond shall not exceed one hundred twenty-five percent (125%) of the penal sum of this Bond. In the event that any actions or proceedings are initiated regarding this Bond, the parties agree that the venue thereof shall be Dubuque County, State of Iowa. If legal action is required by the Owner to enforce the provisions of this Bond or to collect the monetary obligation incurring to the benefit of the Owner, the Contractor and the Surety agree, jointly, and severally, to pay the Owner all outlay and expense incurred therefor by the Owner. All rights, powers, and remedies of the Owner hereunder shall be cumulative and not alternative and shall be in addition to all rights, powers, and remedies given to the Owner, by law. The Owner may proceed against surety for any amount guaranteed hereunder whether action is brought against the Contractor or whether Contractor is joined in any such action(s) or not. NOW THEREFORE, the condition of this obligation is such that if said Principal shall faithfully perform all the promises of the Principal, as set forth and provided in the Contract, in the Contract Documents, and in this Bond, then this obligation shall be null and void, otherwise it shall remain in full force and effect. When a work, term, or phrase is used in this Bond, it shall be interpreted or construed first as defined in this Bond, the Contract, or the Contract Documents; second, if not defined in the Bond, Contract, or Contract Documents, it shall be interpreted or construed as defined in applicable SECTION 00600 Page 4 of 4 provisions of the Iowa Code; third, if not defined in the Iowa Code, it shall be interpreted or construed according to its generally accepted meaning in the construction industry; and fourth, if it has no generally accepted meaning in the construction industry, it shall be interpreted or construed according to its common or customary usage. Failure to specify or particularize shall not exclude terms or provisions not mentioned and shall not limit liability hereunder. The Contract and Contract Documents are hereby made a part of this Bond. Witness our hands, in triplicate, this _______ day of __________________, 2025. SURETY COUNTERSIGNED BY: _________________________________ Signature of Agent _________________________________ Printed Name of Agent _________________________________ Company Address _________________________________ City, State, Zip Code _________________________________ Company Telephone Number PRINCIPAL: _________________________________ Contractor By: ______________________________ Signature _________________________________ Printed Name _________________________________ Title FORM APPROVED BY: ________________________________ Representative for Owner SURETY: _________________________________ Surety Company By:______________________________ Signature Attorney-in-Fact Officer _________________________________ Printed Name of Attorney-in-Fact Officer _________________________________ Company Name _________________________________ Company Address _________________________________ City, State, Zip Code _________________________________ Company Telephone Number NOTE: 1. All signatures on this performance, payment, and maintenance Bond must be original signatures in ink; copies, facsimile, or electronic signatures will not be accepted. 2. This Bond must be sealed with the Surety’s raised, embossing seal. 3. The name and signature of the Surety’s Attorney-in-Fact/Officer entered on this Bond must be exactly as listed on the Certificate or Power of Attorney accompanying this Bond. ==== END OF SECTION 00600 ==== SECTION 00610 Page 1 of 1 OUT-OF-STATE CONTRACTOR BOND SECTION 00610 An out-of-state Contractor must either file a surety Bond, as provided in Iowa Code section 91C.7, with the Iowa Division of Labor Services in the amount of twenty-five thousand dollars ($25,000) for a one (1) year period or must provide a statement to the Iowa Division of Labor Services that the contractor is prequalified to Bid on projects for the Iowa Department of Transportation pursuant to Iowa Code Section 314.1 An out-of-state Contractor, before commencing a contract in excess of five thousand dollars ($5,000) in value of Iowa, must file a Bond with the Iowa Division of Labor Services of the Iowa Department of Workforce Development. A Surety Bond filed pursuant to Iowa Code section 91C.2 must be executed by a surety company authorized to do business in this state, and the Bond must be continuous in nature until canceled by the Surety with not less than thirty (30) days; written notice to the contractor and to the Division of Labor Services of the Iowa Department of Workforce Development in dictating the surety’s desire to cancel the Bond. The Surety company is liable under the Bond for any contract commenced after the cancellation of the Bond. The Bond must be in the sum of the greater of the following: (1) One thousand dollars ($1,000.00); or (2) Five percent (5%) of the contract price An out-of-state Contractor may file a blanket Bond in an amount at least equal to fifty thousand dollars ($50,000) for a two (2) year period in lieu of filing an individual Bond for each Contract. The Division of Labor Services of the Iowa Department of Workforce Development may increase the Bond amount after a hearing. More information about how to file an out-of-state contractor bond can be found at the Iowa Workforce Development website at https://www.iowacontractor.gov/contractor-registration ==== END OF SECTION 00610 ==== [Page Intentionally Left Blank] SECTION 00700 Page 1 of 6 INSURANCE PROVISIONS SECTION 00700 City of Dubuque Insurance Requirements for General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors Insurance Schedule F Class A: Asbestos Removal Asphalt Paving Concrete Construction Managers Cranes Culverts Decking Demolition Deconstruction Earthwork Electrical Elevators Fiber Optics Fire Protection Fireproofing General Contractors HVAC Mechanical Paving & Surfacing Piles & Caissons Plumbing Retaining Walls Reinforcement Roofing Sanitary Sewers Sheet Metal Site Utilities Shoring Special Construction Steel Storm Sewers Structural Steel Trails Tunneling Water Main Class B: Chemical Spraying Doors, Window & Glazing Drywall Systems Fertilizer Application Geotech Boring Insulation Finish Carpentry Landscaping Masonry Vehicular Snow Removal Painting & Wall Covering Pest Control Scaffolding Sidewalks Plastering Rough Carpentry Stump Grinding Tank Coating Tree Removal Tree Trimming Tuckpointing Waterproofing Well Drilling Class C: Carpet Cleaning Carpet & Resilient Flooring Caulking & Sealants Acoustical Ceiling Filter Cleaning General Cleaning Grass Cutting Janitorial Non Vehicular Snow & Ice Removal Office Furnishings Power Washing Tile & Terrazzo Flooring Window Washing Schedule F, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors January 2023 SECTION 00700 Page 2 of 6 INSURANCE SCHEDULE F (continued) 1. Contractor shall furnish a signed certificate of insurance to the department responsible for the contract for the coverage required in Exhibit I prior to commencing work and at the end of the project if the term of work is longer than 60 days. Contractors presenting annual certificates shall present a certificate at the end of each project with the final billing. Each certificate shall be prepared on the most current ACORD form approved by the Iowa Department of Insurance or an equivalent approved by the Director of Finance and Budget or Designee. The certificate must clearly indicate the project number, project name, or project description for which it is being provided. Project name: Lead Service Line Replacement – Phase 1 2. All policies of insurance required hereunder shall be with an insurer authorized to do business in Iowa and all insurers shall have a rating of A or better in the current A.M. Best’s Rating Guide. 3. Each Certificate required shall be furnished to the Engineering Department of the City of Dubuque. 4. Failure to provide the coverages described in this Insurance Schedule shall not be deemed a waiver of these requirements by the City of Dubuque. Failure to obtain or maintain the required insurance shall be considered a material breach of this contract. 5. Contractor shall require all subcontractors and sub-subcontractors to obtain and maintain during the performance of work insurance for the coverages described in this Insurance Schedule and shall obtain certificates of insurance from all such subcontractors and sub-subcontractors. Contractor agrees that it shall be liable for the failure of a subcontractor and sub-subcontractor to obtain and maintain such coverage. The City may request a copy of such certificates from the Contractor. 6. All required endorsements shall be attached to the certificate. The certificate is due before the contract/agreement can be approved. 7. Whenever an ISO form is referenced the current edition must be provided. 8. Contractor shall be required to carry the minimum coverage/limit, or greater if required by law or other legal agreement, in Exhibit I - Insurance Schedule F. If the contractor’s limits of liability are higher than the required minimum limit, then the contractor’s limits shall be this agreement’s required limits. 9. Contractor shall be responsible for deductibles and self-insured retention for payment of all policy premiums and other cost associated with the insurance policies required below. 10. All certificates of insurance must include agents name, phone number, and email address. 11. The City of Dubuque reserves the right to require complete, certified copies of all required insurance policies, including endorsements, required by this Schedule at any time. 12. The City of Dubuque reserves the right to modify these requirements, including limits, based on changes in the risk or other special circumstances during the term of the contract, subject to mutual agreement of the parties. Schedule F, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors January 2023 SECTION 00700 Page 3 of 6 INSURANCE SCHEDULE F (continued) EXHIBIT I A) COMMERCIAL GENERAL LIABILITY General Aggregate Limit $2,000,000 Products-Completed Operations Aggregate Limit $2,000,000 Personal and Advertising Injury Limit $1,000,000 Each Occurrence $1,000,000 Fire Damage Limit (any one occurrence) $50,000 Medical Payments $5,000 1) Coverage shall be written on an occurrence, not claims made, form. The general liability coverage shall be written in accord with ISO form CG 00 01 or business owners form BP 00 02. All deviations from the standard ISO commercial general liability form CG 00 01 or business owners form BP 00 02 shall be clearly identified. 2) Include ISO endorsement form CG 25 04 “Designated Location(s) General Aggregate Limit” or CG 25 03 “Designated Construction Project(s) General Aggregate Limit” as appropriate. 3) Include endorsement indicating that coverage is primary and non-contributory. 4) Include Preservation of Governmental Immunities Endorsement. (Sample attached). 5) Include additional insured endorsement for: The City of Dubuque, including all its elected and appointed officials, all its employees and volunteers, all its boards, commissions and/or authorities and their board members, employees and volunteers. Use ISO form CG 20 10 (Ongoing operations). Origin Design Co. shall also be named as additional insured. 6) The additional insured endorsement shall include completed operations under ISO form CG 20 37 during the project term and for a period of two years after the completion of the project. 7) Policy shall include Waiver of Right to Recover from Others endorsement. 8) Policy shall include cancellation and material change endorsement providing thirty (30) days advance written notice of cancellation, non-renewal, reduction in insurance coverage and/or limits and ten (10) days written notice of non-payment of premium shall be sent to: City of Dubuque Finance Department, 50 West 13th Street Dubuque, Iowa 520019) Contractor and subcontractor shall not use any drone without the prior written approval of the city of Dubuque. Any drone usage must comply with above liability limits and the additional insured endorsement must name the City of Dubuque with respect to aircraft liability coverage. B) WORKERS’ COMPENSATION & EMPLOYERS LIABILITY Statutory Benefits covering all employees injured on the job by accident or disease as prescribed by Iowa Code Chapter 85. Coverage A Statutory—State of Iowa Coverage B Employers Liability Each Accident $100,000 Each Employee-Disease $100,000 Policy Limit-Disease $500,000 Policy shall include Waiver of Right to Recover from Others endorsement. Schedule F, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors January 2023 SECTION 00700 Page 4 of 6 Coverage B limits shall be greater if required by the umbrella/excess insurer. OR If, by Iowa Code Section 85.1A, the Contractor is not required to purchase Workers’ Compensation Insurance, the Contractor shall have a copy of the State’s Nonelection of Workers’ Compensation or Employers’ Liability Coverage form on file with the Iowa Workers’ Compensation Insurance Commissioner, as required by Iowa Code Section 87.22. Completed form must be attached. C) AUTOMOBILE LIABILITY Combined Single Limit $1,000,000 Coverage shall include all owned, non-owned, and hired vehicles. If the Contractor’s business does not own any vehicles, coverage is required on non-owned and hired vehicles. 1) Policy shall include Waiver of Right to Recover from Others endorsement. D) UMBRELLA/EXCESS LIABILITY The General Liability, Automobile Liability and Workers Compensation Insurance requirements may be satisfied with a combination of primary and Umbrella or Excess Liability Insurance. If the Umbrella or Excess Insurance policy does not follow the form of the primary policies, it shall include the same endorsements as required of the primary policies including but not limited to Waiver of Subrogation and Primary and Noncontributory in favor of the City. All Class A contractors with contract values in excess of $10,000,000 must have umbrella/excess liability coverage of $10,000,000. All Class A and Class B contractors with contract values between $500,000 and $10,000,000 must have umbrella/excess liability coverage of $3,000,000. All Class A and B contractors with contract values less than $500,000 must have umbrella/excess liability coverage of $1,000,000. All Class C contractors are not required to have umbrella/excess liability coverage. All contractors performing earth work must have a minimum of $3,000,000 umbrella regardless of the contract value. E) POLLUTION LIABILITY Coverage required:X Yes No Pollution liability coverage shall be required if project involves any pollution exposure for hazardous or contaminated materials including, but not limited to, the removal of lead, asbestos, or PCB’s. Pollution product and complete operations coverage shall also be covered. Schedule F, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors January 2023 SECTION 00700 Page 5 of 6 Each Occurrence $2,000,000 Policy Aggregate $4,000,000 1) Policy to include job site and transportation coverage. 2) Include additional insured for: The City of Dubuque, including all its elected and appointed officials, all its employees and volunteers, all its boards, commissions and/or authorities and their board members, employees and volunteers. Use ISO form CG 20 10. (Ongoing operations) or its equivalent and CG 20 37 (completed operations) or its equivalent. 3) Include Preservation of Governmental Immunities Endorsement. 4) Provide evidence of coverage for 5 years after completion of project. 5)Include endorsement indicating that coverage is primary and noncontributory. 6)Policy shall include waiver of right to recovery from others endorsement. 7)Pollution liability shall include ISP endorsement CA 99 48. Pollution Liability-Broadened Coverage for Covered Autos, or equivalent endorsement if the contractor has vehicles that transport fuel onto the Owner’s property. F) RAILROAD PROTECTIVE LIABILITY Coverage required:Yes X No Any contract for construction or demolition work on or within fifty feet (50’) from the edge of the tracks of a railroad and affecting any railroad bridge, trestle, tracks, roadbeds, tunnel, underpass, or crossing, for which an easement, license or indemnification of the railroad is required, shall require evidence of the following additional coverages. Railroad Protective Liability: $___________ each occurrence (per limits required by Railroad) $___________ policy aggregate (per limits required by Railroad) OR An endorsement to the Commercial General Liability policy equal to ISO CG 24 17 (Contractual Liability- Railroads). A copy of this endorsement shall be attached to the certificate of insurance. Schedule F, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors January 2023 SECTION 00700 Page 6 of 6 Please be aware that naming the City of Dubuque as an additional insured as is required by this Insurance Schedule may result in the waiver of the City’s governmental immunities provided in Iowa Code sec. 670.4. If you would like to preserve those immunities, please use this endorsement or an equivalent form. PRESERVATION OF GOVERNMENTAL IMMUNITIES ENDORSEMENT 1.Nonwaiver of Governmental Immunity. The insurer expressly agrees and states that the purchase of this policy and the including of the City of Dubuque, Iowa as an Additional Insured does not waive any of the defenses of governmental immunity available to the City of Dubuque, Iowa under Code of Iowa Section 670.4 as it is now exists and as it may be amended from time to time. 2.Claims Coverage. The insurer further agrees that this policy of insurance shall cover only those claims not subject to the defense of governmental immunity under the Code of Iowa Section 670.4 as it now exists and as it may be amended from time to time. Those claims not subject to Code of Iowa Section 670.4 shall be covered by the terms and conditions of this insurance policy. 3.Assertion of Government Immunity. The City of Dubuque, Iowa shall be responsible for asserting any defense of governmental immunity, and may do so at any time and shall do so upon the timely written request of the insurer. 4.Non-Denial of Coverage. The insurer shall not deny coverage under this policy and the insurer shall not deny any of the rights and benefits accruing to the City of Dubuque, Iowa under this policy for reasons of governmental immunity unless and until a court of competent jurisdiction has ruled in favor of the defense(s) of governmental immunity asserted by the City of Dubuque, Iowa. No Other Change in Policy. The above preservation of governmental immunities shall not otherwise change or alter the coverage available under the policy. SPECIMEN ==== END OF SECTION 00700 ==== Schedule F, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors January 2023 SECTION 00750 Page 1 of 5 SALES AND USE TAX EXEMPTION CERTIFICATE SECTION 00750 The City of Dubuque, as a designated exempt entity awarding construction contracts, will issue special exemption certificates to contractors and subcontractors, allowing them to purchase, or withdraw from inventory, materials for the Contract free from sales tax pursuant to Iowa Code Sections: 422.42 (15) & (16), and 422.47 (5). The special exemption certificate will also allow a manufacturer of building materials to consume materials in the performance of a construction contract without owing tax on the fabricated cost of those materials. 1. These tax exemption certificates and authorization letters are applicable only for the work under the contract. The Contractor and each subcontractor shall comply with said Iowa Code Sales Tax requirements, shall keep records identifying the materials and supplies purchased and verify that they were used on the contract, and shall pay tax on any materials purchased tax-free and not used on the contract. 2. Upon award of Contract the City will register the Contract, Contractor, and each subcontractor with the Iowa Department of Revenue and Finance; and distribute tax exemption certificates and authorization letters to the Contractor and each subcontractor. SECTION 00750 Page 2 of 5 PROJECT INFORMATION REQUIREMENTS FOR STATE OF IOWA SALES TAX EXEMPTION CERTIFICATES FOR CONTRACTORS & SUBCONTRACTORS Submitting Department: Water Department Department Contact: Chris Lester Project CIP Number(s): 281000050 Please complete this form in its entirety and submit along with the executed Contract, Bonds and Certificate of Insurance. Upon receipt, the City Finance Department will work with the Iowa Department of Revenue to issue Sales Tax Exemption Certificates to the approved contractor(s) to allow for the purchase or inventory withdrawal of materials for the specified Project free from State of Iowa Sales Tax. Sales tax exemption certificates are not provided to material suppliers. The Contractor and subcontractors can provide copies of the sales tax exemption certificates issued by the City to individual material suppliers. Project Name:Lead Service Line Replacement – Phase 1 Project Description:The extent of work involved consists of replacing approximately 200 lead service lines identified throughout the City’s water distribution service area. Replacement scope varies by site from full replacement (main to interior plumbing) to portions thereof, as indicated in the plans. The replacements will take place in City right-of-way and on private properties with authorizations provided by property owners. Start Date (Bid Opening Date):April 23, 2025 Final Completion Date: December 6, 2025 1.General Prime Contractor: Contact Name: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: SECTION 00750 Page 3 of 5 2.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 3.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 4.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 5.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: SECTION 00750 Page 4 of 5 6.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 7.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 8.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 9.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: SECTION 00750 Page 5 of 5 10.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 11.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 12.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: 13.Subcontractor: Complete Address: (Include PO Box and Street Information) City, State, Zip Code Telephone Number: Federal I.D. Number: (or Include Social Security Number) Work Type to be Completed: ==== END OF SECTION 00750 ==== [Page Intentionally Left Blank] SECTION 00775 Page 1 of 2 SITE CONDITION INFORMATION SECTION 00775 250.1 SUBSURFACE CONDITIONS NOT APPLICABLE In the preparation of the Contract Documents, the Engineer relied upon the following report(s) and drawing(s) of explorations and tests of subsurface conditions at the Site: 1) Geotechnical Engineering Report prepared by __________ Title: __________ Date: __________ Pages: _1 -______ The technical data in the above report(s), upon which the Contractor may rely, consists of boring logs, test results, and boring locations all as of the date made. Engineer accepts no responsibility for accuracy of the soil data or water level information. Soil information, included with these Contract Documents, was not obtained for the purposes of designing excavations and trenches. Soil information was used by Engineer for design purposes only. Contractor shall assure itself by personal examination as to subsurface conditions and shall provide its own investigations and make its own assumptions to comply with OSHA and any other applicable laws and regulations regarding excavation and trenching requirements. 250.2 PHYSICAL CONDITIONS NOT APPLICABLE In the preparation of the Contract Documents, the Engineer relied upon the following drawing(s) of physical conditions in or relating to existing surface and subsurface structures (except underground facilities) which are at or contiguous to the Site: 1) Drawings prepared by __________ Title: __________ Date: __________ Pages: _1 -___ ___ 2) Sanborn Fire Insurance Map: __________ NONE OF THE CONTENT OF SUCH DRAWINGS INCLUDE TECHNICAL DATA ON WHICH THE CONTRACTOR MAY RELY. SECTION 00775 Page 2 of 2 250.3 HAZARDOUS ENVIRONMENTAL CONDITIONS NOT APPLICABLE In the preparation of the Contract Documents, the Engineer relied upon the following reports(s) known to the owner of hazardous environmental conditions at the Site: 1) Phase I Environmental Site Assessment Study prepared by __________ Title: __________ Date: __________ 2) Phase II Environmental Site Assessment Study prepared by __________ Title: __________ Date: __________ 3) Soil and Groundwater Management Plan prepared by __________ Title: __________ Date: __________ The technical data in the above report(s), upon which the Contractor may rely, consists of test results all as of the date made. Contractor must not remove, disturb or remediate any Hazardous Environmental Conditions encountered, uncovered or revealed at the Project Area, unless such removal or remediation is expressly identified in the Contract Documents to be within the scope of work. ==== END OF SECTION 00775 ==== SECTION 00800 Page 1 of 2 CONSTRUCTION SCHEDULE AND AGREED COSTS OF DELAY SECTION 00800 800.1 SCHEDULE: CALENDAR DAY SCHEDULE: Work required by the Contract Documents shall commence within ten (10) calendar days after Notice to Proceed has been issued and shall be Substantially Complete by October 25, 2025 and Finally Complete by December 6, 2025. 800.2 AGREED COSTS OF DELAY: Time is of the essence of the Contract. As delay in the diligent prosecution of the work may inconvenience the public, obstruct traffic, interfere with business, and/or increase costs to the City such as engineering, administration, and inspection, it is important that the work be prosecuted vigorously to final completion. An extension of the contract period may be granted by the City for any of the following reasons: 1. Additional work resulting from a modification of the Contract Documents by approved change order. 2. Delays caused by the City. 3. Other reasons beyond the control of the Contractor, which in the City’s opinion, would justify such. Should the Contractor, or in case of default the Surety, fail to complete the work within the specified Substantial and Final Completion Dates, a deduction at the daily rate for agreed costs of delay will be made for each and every calendar day or working day, whichever is specified, such that the work remains uncompleted. The Contractor or the Contractor’s Surety shall be responsible for all costs incidental to the completion of the work, and shall be required to pay the City the following daily costs: A. For each calendar day that any work remains uncompleted beyond the Substantial Completion date the contractor will be assessed and shall pay, $1,000.00 per calendar day, not as a penalty but as predetermined and Agreed Cost of Delay until Substantial Completion requirements are met. B. For each calendar day that any work remains uncompleted beyond the Final Completion date the contractor will be assessed and shall pay, $500.00 per calendar, not as a penalty but as predetermined and Agreed Cost of Delay until Final Completion requirements are met. SECTION 00800 Page 2 of 2 Permitting the Contractor to continue and finish the Work, or any part of it, after the expiration of the Substantial and Final Completion dates or Milestone Dates or extension thereof shall in no way operate as a waiver on the part of the City of any of its rights or remedies under the contract, including its right to Agreed Cost of Delay pursuant to this provision. Furthermore, the assessment of Agreed Cost of Delay shall not constitute a waiver of the City’s right to collect any additional damages which the City may sustain by failure of the Contractor to carry out the terms of the Contract. The Agreed Cost of Delay rates specified in the Contract Documents is hereby agreed upon as the true and actual damages due the City for loss to the City and to the public due to obstruction of traffic, interference with business, and/or increased costs to the City such as engineering, administration, construction, and inspection after the expiration of the contract times, or extension thereof. Such Agreed Cost of Delay will be separately invoiced to the Contractor, and final payment will be withheld from the Contractor until payment has been made of this invoice for the agreed cost of delay. The Contractor and its surety shall be liable for any agreed cost of delay in excess of the amount due the Contractor. ==== END OF SECTION 00800 ==== SECTION 00800 Page 1 of 1 City of Dubuque Water Department 50. W. 13th Street Dubuque, IA 52001 (563) 589-427000850 NOTICE TO PROCEED SECTION 00850 TO:CONTRACTOR NAME ISSUE DATE: _________ ADDRESS CITY, STATE ZIP COMMENCEMENT DATE: _________ PROJECT: Lead Service Line Replacement – Phase 1. Dear _________________: You are hereby notified to commence the work on the Project, on or before the commencement date, in accordance with the Contract Documents. The Contract Time shall begin to run on the commencement date. You are required to return an acknowledged copy of this Notice to Proceed to the City. CITY OF DUBUQUE, IOWA By: (Signature) (Name) (Title) ACCEPTANCE OF NOTICE Receipt of the above Notice to Proceed is hereby acknowledged this ____day of _______________, 2025. PRINCIPAL: (Contractor) By: (Signature) (Name) (Title) THE CITY HAS RECEIVED A COPY OF THE CONTRACTOR’S WRITTEN SAFETY PROGRAM YES [Page Intentionally Left Blank] SECTION 00900 Page 1 of 1 EROSION CONTROL CERTIFICATION SECTION 00900 Dated:_______________ City: City of Dubuque Address: 50 W. 13th Street Dubuque, IA 52001 Project: Lead Service Line Replacement – Phase 1 Contract No. ________________________________________________________ Description: The extent of work involved consists of replacing approximately 200 lead service lines identified throughout the City’s water distribution service area. Replacement scope varies by site from full replacement (main to interior plumbing) to portions thereof, as indicated in the plans. The replacements will take place in City right-of-way and on private properties with authorizations provided by property owners. I certify under penalty of law that I understand the terms and conditions of the National Pollutant Discharge Elimination System (NPDES) Permit that authorizes the storm water discharges associated with industrial activities from the construction site and as detailed in the Contract Documents. Further, by my signature, I understand that I am becoming a co-permittee, along with the owner(s) and other contractors and subcontractors signing such certifications, to the Iowa Department of Natural Resources NPDES General Permit No. 2 for "Storm Water Discharge Associated with Industrial Activity for Construction Activities" at the project site. As a co-permittee, I understand that I, and my company, are legally required under the Clean Water Act and the Code of Iowa, to ensure compliance with the terms and conditions of the storm water pollution prevention plan developed under this NPDES permit and the terms of this NPDES permit. I agree to indemnify and hold the City harmless from any claims, demands, suits, causes of action, settlements, fines, or judgments and costs of litigation, including, but not limited to, reasonable attorney’s fees and costs of investigation and arising from a condition, obligation, or requirement assumed or to be performed by the Contractor for storm water pollution and erosion control. Fines and other costs incurred against the City for the Contractor’s failure to provide the required erosion control practices will be paid by the Contractor. Contractor: ________________________________ By: ________________________________ (Authorized Signature) ________________________________ (Title) ==== END OF SECTION 00900 ==== [Page Intentionally Left Blank] SPECIAL PROVISIONS SECTION 02000 Special Conditions SRF with BABA Requirements Davis-Bacon Wage Determination Bid Item List and Special Provisions Details Exhibits [Page Intentionally Left Blank] SPECIAL CONDITIONS 1. FUNDING REQUIREMENTS: This project has been awarded funds from the Iowa State Revolving Fund (SRF) program. Contractors are required to conform to these specific requirements. Requirements are attached following these Special Conditions. Following these Special Conditions are requirements, guidelines, forms, and other information pertaining to the requirements of Iowa SRF funding agency, including the Davis- Bacon Wage Determination, Bipartisan Infrastructure Law (BIL) Provisions, and Build America, Buy America (BABA) Provisions. Specific to lead service line replacement projects is Attachment No. 11, which includes requirements related to allowable construction techniques, protection of above-ground structures, and disposal of removed lead service line pipe materials. 2. CONSTRUCTION LIMITS FOR SCOPE AND VALUE: This Contract is being funded through the Iowa SRF program for Lead Service Line Replacements and is limited to a maximum funding of $1,750,000 for construction activities. Installed quantities at each site will determine actual payment values to the Selected Contractor. The City reserves the right to end all Work under this Contract at or near the designated maximum funding amount for construction activities, regardless of completion of Work at all indicated sites. 3. CONSTRUCTION COORDINATION AND SCHEDULING: The Contractor shall be responsible for coordination and scheduling of Work at the private property sites identified in this Project. The City has confirmed private property owners are willing to participate in this Project and have obtained easement as required to enter the properties for Work. Contact information and other specific information relevant to the project that was previously gathered by the City may be requested by Contractor to assist in coordination for site entry and procurement of a LSLR Work Authorization Form as required for Work at each site. Throughout the Project, the Contractor shall provide progress reports and other communications as specified or outlined such that the City and Engineer can monitor progress and effectively observe the progress of work. In no way shall this relieve the Contractor of the responsibilities to coordinate, perform, and schedule the performance of the Work. 4. SUBMITTALS: All suppliers and subcontractors are required to provide shop drawing information directly to the general contractor. The general contractor is to review the shop drawing information for accuracy and compliance before submitting to the Engineer for review and approval. Submittals are required for the following materials: - Aggregates for all granular material applications - Water Service pipe, fittings, valves, and accessories - Plumbing pipe, fitting, valves, and accessories - Concrete materials and mixes - Asphalt materials and mixes - Seed mixes, and fertilizer and mulch materials Page 1 of 5 Electronic submittal of shop drawings may be utilized. If hard copies are submitted, five copies are required. Two copies will be returned to the Contractor for Contractor and supplier. All suppliers and subcontractors are required to provide shop drawing information directly to the general contractor. The general contractor is to review the shop drawing information for accuracy and compliance before submitting to the Engineer for review and approval. Each submittal from the general contractor requires a cover/transmittal sheet with the following information included: - Project name - Contractor name - Applicable specification section number and item being submitted - Signed and dated contractor certification indicating that review, approval, verification of products required, and coordination of information is according to requirements of the project. Electronic submittals are acceptable. Prepare submittals as PDF package, incorporating cover sheet and complete information into each PDF file. If shop drawings are submitted electronically, the Contractor shall provide a paper copy of all approved reviewed submittals in their entirety (partial resubmittals are not acceptable) prior to project closeout. If paper copies are submitted, five copies are required. Two copies will be returned to the Contractor for Contractor and supplier. 5. BABA COMPLIANCE CERTIFICATES: Per the requirements of the Iowa SRF program, this project must comply with the Build America, Buy America (BABA) Act. Refer to Attachment No. 9 of the SRF Required Front- End Specifications. All of the iron, steel, manufactured products, and construction materials used in the project shall be produced in the United States. The Contractor is responsible for obtaining and submitting certifications that the products and materials used in the project meet these source requirements. Electronic submittals of certificates may be utilized. The following items are identified as requiring certificates for this project: - Water Service Pipe - Corporation Stop - Corporation Sleeve - Curb Stop - Curb Stop Box - First Interior Plumbing Isolation Valve - Pavement Reinforcing Materials The following items are identified as being excluded from BABA certification requirements as they are not within the SRF-eligible portions of the project: - Interior Plumbing and Accessories - Meter Page 2 of 5 6. WEEKLY CONSTRUCTION PROGRESS SUMMARY REPORTS: Contractor shall provide the following weekly construction progress summary reports. Submit to Engineer and Owner by the Friday at the end of each week’s work. - Provide full list of sites arranged by tag number, as provided in Contract Documents package and provide status conditions as follows for each site: o Replacement Status  Replacement Not Scheduled  Replacement Scheduled (include scheduled date)  Replacement Completed (include completion date) o Work Authorization Form Completed (Y/N) o Plumbing Permit Approved (Y/N) o ROW Permit Approved (Y/N) - Provide summary list with sites completed in past week. - Provide summary list of sites scheduled for the next week. Note if all Work Authorization and Permit Documents are in place for the scheduled sites. 7. WORK ON PLUMBING: In accordance with the City of Dubuque adopted plumbing code (2021 Uniform Plumbing Code with Local Amendments), any work located within or adjacent to the building will need to be performed by a licensed plumber in the State of Iowa. The work included under this contract falls under that regulation. Verification that a licensed plumber is performing the work on site will be required. The Contractor must apply for a City of Dubuque Plumbing Permit for each site and be responsible for the applicable fees, per the current City- published fee schedules. 8. WORK WITHIN THE RIGHT-OF-WAY: Any excavation work that occurs in the City Right of Way must follow the City's Excavation Policy. The Contractor must apply for a City of Dubuque Right-Of-Way Permit for each site and be responsible for the applicable fees per the current City-published fee schedules. 9. WORK AT GREEN ALLEYS: Several sites included in this Project have water services fed from mains under Green Alleys. During the construction of the Green Alleys the water service pipes were replaced from the main to the curb stop and then several additional feet. In most situation the curb stop was cast into the concrete edge strip. The Contractor will tie-in to the water service pipe transition or near to that as feasible. The Contractor shall not disturb or excavate the green alley and concrete edge strip. Repairs for unapproved and accidental damage will be considered incidental construction costs and not eligible for payment. Repairs will be required to meet standard details for the Green Alley, as provided by City. 10. WORK WITHIN PRIVATE PROPERTY: Contractor shall only perform work at sites where property owner has executed a LSLR Consent Form and a LSLR Work Authorization Form and these have been filed with the City. For this Project, the City has obtained all LSLR Consent Forms granting a temporary construction easement for LSLR work as defined in this Project. Copies of the Consent Forms are available upon request. Page 3 of 5 The Contractor will be responsible for obtaining executed LSLR Work Authorization Forms for each site as a part of the process for scheduling Work activities. These Forms must be executed and filed with the City prior to commencing Work. 11. INCIDENTAL CONSTRUCTION: All pay items are provided on the Bid Form. The Scope and Descriptions for the items are provided in the Special Provisions table. Any work necessary to complete the water service installation as described in these documents that does not have a bid item shall be considered incidental to the contract. The following list identifies examples of incidental items. This list shall not be considered a complete or exhaustive list: - Fence removal and replacement - Testing of excavating materials - Disposal of Construction and Demolition materials - Permit fees 12. UTILITY LOCATES: No utility locates were conducted in the project area. It is the responsibility of the Contractor to have utilities located prior to any excavation and perform field investigations to determine if any utilities exist in each project area. In addition, the water main location shown on the plans is general and taken from GIS mapping. The Contractor will be required to coordinate with the City through the One Call process to determine the exact location of the water main in each project area. 13. REPLACEMENT OF MAINS: Contractor shall notify the City upon discovery when it is suspected that a main must be partially replaced or taken out of service during a service line replacement. City shall be responsible for isolating main and providing Contractor with scope of affected areas for Contractor notification of customers. City shall be responsible for installing replacement main in the event it is deemed necessary for installation of the replacement service line or lines. 14. SPECIAL PROVISIONS TABLE: A table of Special Provisions for each of the Bid Items is attached to this Special Conditions document. 15. INTERRUPTION OF SERVICE AND REPLACEMENT TIMING: To the maximum extent possible, impacted residents shall be notified by the Contractor prior to starting water service line replacement and incurring the related interruption of service. Except in the case of an emergency, a minimum notice of 24 hours shall be given. The Contractor shall schedule and conduct replacements to minimize service interruption duration for each site. Contractor shall not begin an outage when the expected duration of the work and resulting outage will extend past approved working hours. Outages are not approved for overnight durations. Contractor shall immediately notify City and Engineer of unexpected extensions to interruption of service so coordination with affected resident can be conducted. 16. CONTRACTOR’S FLUSHING PROCEDURE: Contractor shall complete flushing of service line and whole house following replacement and prior to putting water lines back into service. The flushing procedure is provided as Detail No. 3. Page 4 of 5 17. DETAILS AND EXHIBITS: Details and Exhibits have been prepared for the documents and are attached to this Special Conditions document. The Details include diagrammatic, layout, and detail information intended to identify scope requirements and details common to installations. The list of Details is as follows: - Detail No. 1: T-10 Positive Displacement Residential Meter Specifications. o This detail covers the City’s minimum requirements for service line connections to interior plumbing, as referenced in Bid Item No. 35. - Detail No. 2: Excavation for Water Taps. o This detail covers the City’s excavation requirements for entrance when conducting corporation stop tapping, as referenced in Bid Item No. 7. - Detail No. 3: Contractor’s Flushing Procedure. o This detail covers the requirements for flushing service line replacement prior to turning plumbing and water use over to property owner or resident, as referenced in Bid Item No. 36. - Detail No. 4: Address List o This detail covers the coordination of the list of addresses with the Unique ID tags and icons provided in the Exhibits. The Exhibits include layout information showing aerial views, with tag information related to each LSLR site. Included in the Exhibits are utility information as obtained from the City’s GIS Maps. The utility information is not exhaustive and is limited to use as information only. The Contractor is responsible for conducting the necessary field investigations and One Call query to obtain utility information needed for construction. The list of exhibits is as follows: - Exhibit No. 1: Key Sheet - Exhibit Nos. 2 through 49: Aerial Layouts indicating replacement type and general location of main and service line to building. 18. ONLINE MAPS: An online electronic map with the LSLR Phase I site locations is being hosted on the City of Dubuque ArcGIS platform. The Lead Service Line Replacement Map Dashboard, including aerial maps and City utility information is available to all Bidders at the following address: https://www.arcgis.com/apps/dashboards/8061df855c4a457ba767ba2355d411dc Username: ContractorDBQ Password: Eng5894270 Page 5 of 5 [Page Intentionally Left Blank] SRF REQUIREMENTS WITH BABA [Page Intentionally Left Blank] SRF Required Front-End Specifications Attachment 1: Certification of Non-Segregated Facilities Form (to be completed and signed by Prime Contractor and submitted with the bid) Attachment 2: Statement in Advertisement for Bids on Debarment and Suspension/Certification Regarding Debarment and Suspension Form (to be completed and signed by Prime Contractor and submitted with the bid) Attachment 3: Disadvantaged Business Enterprise Certification Form (to be completed and signed by Prime Contractor and submitted with the bid) Attachment 4: DBE Program Subcontractor Performance Form (to be completed and signed by Prime and DBE Subcontractor for each subcontract and submitted with the bid) *If no DBE was chosen by the Prime Contractor to be utilized for this project, then this form is not required to be submitted. Attachment 5: DBE Program Subcontractor Utilization Form (to be completed and signed by Prime and DBE Subcontractor for each subcontract and submitted with the bid) * If no DBE was chosen by the Prime Contractor to be utilized for this project, then this form is not required to be submitted. Attachment 6: DBE Program Subcontractor Participation Form (for voluntary use of DBEs) Attachment 7: Other Federal Requirements Language A. Standard Equal Employment Opportunity Specifications B. Federal Labor Standards Provisions (including Davis-Bacon prevailing wage rates**) C. Preservation of Open Competition and Government Neutrality D. Historical and Archeological Finds E. Prohibitions on Procurement from Violating Facilities Attachment 8: Right of Entry and Records Retention Attachment 9: Build America, Buy America Requirements Attachment 10: Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (to be completed and signed by Prime Contractor and submitted with the bid) Attachment 11: Construction Method Limitations for Lead Service Line Replacement Projects Attachment 1 SRF Required Front-End Specifications (This form must be completed and signed by Prime Contractor and submitted with the bid.) U.S. Environmental Protection Agency Certification of Non-Segregated Facilities (Applicable to contracts, subcontracts, and agreements with applicants who are themselves performing federally assisted construction contracts, exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity clause.) By the submission of this bid, the bidder, offeror, applicant, or subcontractor certifies that he does not maintain or provide for his employees any segregated facilities at any of his establishments, and that he does not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. He certifies further that he will not maintain or provide for his employees any segregated facilities at any of his establishments, and that he will not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. The bidder, offeror, applicant, or subcontractor agrees that a breach of this certification is a violation of the Equal Opportunity clause in this contract. As used in this certification, the term “segregated facilities” means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, creed, color, or national original, because of habit, local custom, or otherwise. He further agrees that (except where he has obtained identical certifications from proposed subcontractors for specific time periods) he will obtain identical certifications from proposed subcontractors prior to the award of subcontracts exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity clause; that he will retain such certifications in his files; and that he will forward the following notice to such proposed subcontractors (except where the proposed subcontractors have submitted identical certifications for specific time periods): NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OF NON-SEGREGATED FACILITIES A Certification of Non-segregated Facilities, as required by the May 9, 1967, order (33 F.R. 7808, May 28, 1968) on Elimination of Segregated Facilities, by the Secretary of Labor, must be submitted prior to the award of a subcontract exceeding $10,000 which is not exempt from the provisions of the Equal Opportunity clause. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually). Signature Date Printed Name Title NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. EPA-7 5720-4.2 Attachment 2 SRF Required Front-End Specifications (This form must be completed and signed by the Prime Contractor and submitted with the bid.) Debarments and Suspensions Any bidder or equipment supplier whose firm or affiliate is listed in on the U.S. General Services Administration Excluded Parties List will be prohibited from the bidding process. The excluded parties records search engine is located at the System for Award Management (SAM) website: https://sam.gov. Pursuant to 2 CFR Part 180, as supplemented by 2 CFR 1532, any entity submitting a bid while the SAM website lists that entity as having an active exclusion will be determined by the DNR to be a non-responsive bidder and will not be able to receive SRF funding. United States Environmental Protection Agency Washington, DC 20460 Certification Regarding Debarment, Suspension, and Other Responsibility Matters The prospective participant certifies to the best of its knowledge and belief that it and the principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction: violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1) (b) of this certification; and (d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local) terminated for cause or default. I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of the award. In addition, under 18 U SC Sec. 10 01, a false statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both. Signature of Authorized Representative Date Printed Name Title Attachment 3 SRF Required Front-End Specifications (This form must be completed and signed by Prime Contractor and submitted with the bid.) Disadvantaged Business Enterprise (DBE) Solicitation It is EPA’s policy that recipients of EPA financial assistance through the State Revolving Fund programs award a “fair share” of subagreements to small, minority and women-owned businesses, collectively known as Disadvantaged Business Enterprises (DBEs). Iowa’s Fair Share goals are: Minority-Owned Business Enterprise (MBE) Goal Women-Owned Business Enterprise (WBE) Goal Construction 1.7%2.2% Supplies 0.6%5.6% Services 2.5%11.3% Goods/Equipment 2.5%10.4% Average 1.8%7.4% Only work performed by certified DBEs can be counted toward the goals. In Iowa, DBEs must be certified through the Iowa Department of Transportation (IDOT). Information on certification requirements and a list of certified DBEs is on the IDOT website at https://secure.iowadot.gov/DBE/Home/Index/. Prime contractors’ DBE requirements for SRF projects include: ●Taking affirmative steps for DBE participation ●Documenting the efforts and the proposed utilization of certified DBEs PROJECT INFORMATION SRF Applicant: Bidder: Address: City: State: Zip: Contact Person: Phone Number: Email: Check if Prime Contractor is: ☐ Minority-Owned ☐ Women-Owned 1. Do you agree to use the good faith efforts checklist to ensure the DBEs have the opportunity to compete for procurements funded by EPA financial assistance funds? ☐ Yes ☐ No 2. At this point in time, has the prime contractor begun to solicit work opportunities to subcontractors for this project? ☐ Yes ☐ No ☐ N/A 3. If yes, was a DBE chosen by the prime contractor to be utilized for this project? ☐ Yes ☐ No Signature of Authorized Representative Date Printed Name Title GOOD FAITH EFFORTS CHECKLIST Please complete the checklist to determine if you have complied with the requirement to make good faith efforts to ensure that certified DBEs have the opportunity to compete for procurements funded by EPA financial assistance funds. Bidders/offerers must make good faith efforts prior to submission of bids/proposals. 1. Did you ensure that DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities? ☐ Yes ☐ No 2. Did you make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by DBEs in the competitive process? This includes, whenever possible, posting solicitation for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing date. ☐ Yes ☐ No 3. Did you consider in the contracting process whether firms competing for large contracts could subcontract with DBEs? This will include dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process. ☐ Yes ☐ No 4. Did you encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually? ☐ Yes ☐ No 5. Did you use the services of the Small Business Administration and the Minority Business Development Agency of the Department of Commerce to identify potential subcontractors? ☐ Yes ☐ No List the potential DBE subcontractors that were contacted. Only list those that are certified through the Iowa Department of Transportation. Name How Contacted (e.g. letter, phone call, fax, e-mail) Response (e.g. did not respond, not interested, not competitive) PROPOSED UTILIZATION OF DBE SUBCONTRACTORS Please include Attachments 4 and 5 to document the proposed utilization of certified DBE subcontractors. CONTRACT ADMINISTRATION PROVISIONS Several contract provisions are required to prevent unfair practices that adversely affect DBEs. These include: 1. Prime Contractor must pay its Subcontractor for satisfactory performance no more than 30 days from the Prime Contractor’s receipt of payment from the SRF loan recipient. 2. Prime Contractor must notify the SRF loan recipient in writing prior to termination of a DBE subcontractor for convenience. 3. Prime Contractor must employ the six Good Faith Efforts to solicit a replacement subcontractor if a DBE subcontractor fails to complete work under a subcontract for any reason. Attachment 4 SRF Required Front-End Specifications (This form must be completed and signed by Prime and DBE Subcontractor for each subcontract and submitted with the bid.) * If no DBE was chosen by the Prime Contractor to be utilized for this project, then this form is not required to be submitted. Disadvantaged Business Enterprise Program DBE Subcontractor Performance Form This form is intended to capture the DBE1 subcontractor’s2 description of work to be performed and the price of the work submitted to the prime contractor. An EPA Financial Assistance Agreement recipient must require its prime contractor to have its DBE subcontractors complete this form and include all completed forms in the prime contractor’s bid or proposal package. Subcontractor Name: Project Name: Bid/Proposal No.: Assistance Agreement ID No. (if known): Point of Contact: Address : Telephone No.: Email: Prime Contractor Name: Issuing/Funding Entity: Contract Item Number Description of Work Submitted to the Prime Contractor Involving Construction, Services, Equipment or Supplies Price of Work Submitted to the Prime Contractor DBE Certified by ☐ DOT ☐ SBA ☐ Other: Meets/exceeds EPA certification standards?☐ Yes ☐ No ☐ Unknown 1A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certification as described in 40 CFR 33.204-33.205 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an EPA award of financial assistance. IA SRF6100-3 I certify under penalty of perjury that the forgoing statements are true and correct. Signing this form does not signify a commitment to utilize the subcontractors above. I am aware of that in the event of a replacement of a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302 (c). Prime Contractor Signature Print Name Title Date Subcontractor Signature Print Name Title Date IA SRF6100-3 Attachment 5 SRF Required Front-End Specifications (This form must be completed and signed by Prime Contractor and submitted with the bid if utilizing DBE subcontractors.) * If no DBE was chosen by the Prime Contractor to be utilized for this project, then this form is not required to be submitted. Disadvantaged Business Enterprise Program DBE Subcontractor Utilization Form This form is intended to capture the prime contractor’s actual and/or intended use of identified certified DBE1 subcontractors2 and the estimated dollar amount of each subcontract. An EPA Financial Assistance Agreement Recipient must require its prime contractors to complete this form and include it in the bid or proposal package. Prime contractors should also maintain a copy of this form on file. Prime Contractor Name: Project Name: Bid/Proposal No.: Assistance Agreement ID No. (if known): Point of Contact: Address : Telephone No.: Email: Issuing/Funding Entity: I have identified potential DBE certified subcontractors ☐ Yes ☐ No If yes, complete the table below. If no, explain: Subcontractor Name/ Company Name Company Address/Phone/Email Estimated Dollar Amount Currently DBE Certified? ☐ Yes ☐ No ☐ Yes ☐ No ☐ Yes ☐ No ☐ Yes ☐ No ☐ Yes ☐ No 1A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certification as described in 40 CFR 33.204-33.205 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an EPA award of financial assistance. IA SRF6100-4 I certify under penalty of perjury that the forgoing statements are true and correct. Signing this form does not signify a commitment to utilize the subcontractors above. I am aware of that in the event of a replacement of a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302 (c). Prime Contractor Signature Print Name Title Date IA SRF6100-4 Attachment 6 SRF Required Front-End Specifications (This form is for the voluntary use of DBE Subcontractors.) Disadvantaged Business Enterprise Program DBE Subcontractor Participation Form An EPA Financial Assistance Agreement Recipient must require its prime contractors to provide this form to its DBE subcontractors. The use of this form by DBE subcontractors is voluntary and is not required for bidding. This form gives a DBE1 subcontractor2 the opportunity to describe work received and/or report any concerns regarding the EPA- funded project (e.g. in areas such as termination by prime contractor, late payments, etc.). The DBE subcontractor can, as an option, complete and submit this form to the EPA DBE Coordinator at any time during the project period of performance. Subcontractor Name: Project Name: Bid/Proposal No.: Assistance Agreement ID No. (if known): Point of Contact: Address : Telephone No.: Email: Prime Contractor Name: Issuing/Funding Entity: Contract Item Number Description of Work Submitted to the Prime Contractor Involving Construction, Services, Equipment or Supplies Price of Work Submitted to the Prime Contractor 1A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certification as described in 40 CFR 33.204-33.205 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an EPA award of financial assistance. IA SRF6100-2 Please use the space below to report any concerns regarding the above EPA-funded project: Subcontractor Signature Print Name Title Date Return to: Regional Coordinator, Small Business Utilization, U.S. Environmental Protection Agency, Region 7, 11201 Renner Blvd, Lenexa KS 66219 IA SRF6100-2 Attachment 7 SRF Required Front-End Specifications Other Federal Requirements Language A. Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246) 1. As used in these specifications: a. “Covered area” means the geographical area described in the solicitation from which this contract resulted; b. “Director” means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority; c. “Employer identification number” means the Federal Social Security number used on the Employer’s Quarterly Federal Tax Return, U.S. Treasury Department Form 941. d. “Minority” includes: i. Black (all persons having origin in any of the Black African racial groups not of Hispanic origin); ii. Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race); iii. Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Sub-continent, or the Pacific Islands); and iv. American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 2. Whenever the Contractor, or any Subcontractor at any tier subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3. If the Contractor is participating (pursuant to 41 CFR 6-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each Contractor or Subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any covered Contractor’s or Subcontractor’s failure to take good faith efforts to achieve the Plan goals and timetables. 4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employee in the covered area. Covered construction contractors performing construction work in geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work in being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal procurement contracting officers. The Contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified. 5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor’s obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto. 6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor. 7. The Contractor shall take specific affirmative actions to ensure equal emp1oyment opportunity. The evaluation of the Contractor’s compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following: a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor employees are assigned to work. The Contractor, where possible will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor’s obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available and maintain a record of the organizations’ responses. c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefore, along with whatever additional actions the Contractor may have taken. d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor’s effort, to meet its obligations. e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor’s employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the source complied under 7b above. f. Disseminate the Contractor’s EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. g. Review, at least annually, the company’s EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with onsite supervisory personnel such as Superintendents, General Foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. h. Disseminate the Contractor’s EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor’s EEO policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business. i. Direct its recruitment efforts, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor’s recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and test to be used in the selection process. j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor’s workforce. k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3. l. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. m. Ensure that seniority practices, job classifications work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor’s obligations under these specifications are being carried out. n. Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. o. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. p. Conduct a review, at least annually, of all supervisors’ adherence to and performance under the Contractor’s EEO policies and affirmative action obligations. 8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor-union, contractor- community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor’s minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor’s and failure of such a group to fulfill an obligation shall not be a defense for the Contractor’s noncompliance. 9. A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized). 10. The Contractor shall not use the goals and timetable or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin. 11. The Contractor shall not enter into any Subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any Contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended. 13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps at least as extensive as those standards prescribed in paragraph 7 of these specifications so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8. 14. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records. 15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program). Federal Register, Vol. 43, No. 68 - Friday, April 7, 1978 (Corrected May 5, 1978). Effective Date: May 8, 1978 Federal Register, Vol. 45, No. 194. Paragraph 4, revised October 3, 1980 Effective Date: September 30, 1980 APPENDICES A and B-80 Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246) 1. The Offeror’s or Bidder’s attention is called to the “Equal Opportunity Clause” and the “Standard Federal Equal Employment Specifications” set forth herein. 2. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor’s aggregate workforce in each trade on all construction work in the covered area, are as follows: (See Appendix B-80 and Appendix A Below) These goals are applicable to all the Contractor’s construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the contractor also is subject to the goals for both its federally involved and non-federally involved construction. The Contractor’s compliance with the Executive Order and in the regulations in 41 CFR Part 60 - 4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60 - 4.3(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor’s goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60 - 4. Compliance with the goals will be measured against the total work hours performed. 3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor, employer Identification number of the subcontractor, estimated dollar amount of the subcontract, and the geographical area in which the subcontract is to be performed. 4. As used in this Notice, and in the contract resulting from this solicitation, the “covered area” is (State of Iowa). APPENDIX A The following goals and timetables for female utilization shall be included in all Federal and federally assisted construction contracts and subcontracts in excess of $10,000. The goals are applicable to the contractor’s aggregate on-site construction workforce whether or not part of that workforce is performing work on a Federal or federally assisted construction contract or subcontract. Area covered: Goals for Women apply nationwide. Timetable Goals (percent) From Apr. 1, 1978 until March 31, 1979 3.1 From Apr. 1, 1979 until March 31, 1980 5.0 From Apr. 1, 1980 until March 31, 1981 6.9 Published, Federal Register May 5, 1978 APPENDIX B-80 Until further notice, the following goals for minority utilization in each construction craft and trade shall be included in all Federal or federally assisted construction contracts and subcontracts in excess of $10,000 to be performed in the respective geographical areas. The goals are applicable to each nonexempt contractor’s total onsite construction workforce, regardless of whether or not part of that workforce is performing work in a Federal, federally assisted or nonfederally related project, contract or subcontract. Construction contractors which are participating in an approved Hometown Plan (see 41 CFR 60 - 4.5) are required to comply with the goals of the Hometown Plan with regard to construction work they perform in the area covered by the Hometown Plan. With regard to all their other covered construction work, such contractors are required to comply with the applicable SMSA of EA goal contained in this appendix B-80. Economic Areas State: Iowa Goal % 096 Dubuque IA: SMSA Counties: 2200 Dubuque, IA 0.6 IA Dubuque Non-SMSA Counties 0.5 IA Allamakee, IA Clayton, IA Delaware, IA Jackson IA Winneshiek 099 Davenport Rock Island Moline, IA-IL: SMSA Counties: 1960 Davenport Rock Island Moline, IA-IL 4.6 IL Henry, IL Rock Island Moline, IA Scott Non-SMA Counties 3.4 IL Carroll, IL Hancock, IL Henderson, IL Mercer, IL Whiteside, IA Clinton, IA Des Moines, IA Henry, IA Lee, IA Louisa, IA Muscatine, MO Clark 100 Cedar Rapids, IA: SMSA Counties: 1360 Cedar Rapids, IA 1.7 IA Linn Non-SMSA Counties 1.5 IA Benton, IA Cedar, IA Iowa, IA Johnson, IA Jones, IA Washington 101 Waterloo, IA: SMSA Counties: 8920 Waterloo-Cedar Falls, IA 4.7 IA Black Hawk Non-SMSA Counties 2.0 IA Bremer, IA Buchanan, IA Butler, IA Cerro Gordo, IA Chickasaw, IA Fayette, IA Floyd, IA Franklin, IA Grundy, IA Hancock, IA Hardin, IA Howard, IA Mitchell, IA Winnebago, IA Worth 102 Fort Dodge, IA: Non-SMSA Counties 0.4 IA Buena Vista, IA Calhoun, IA Carroll, IA Clay, IA Dickinson, IA Emmet, IA Greene, IA Hamilton, IA Humboldt, IA Kossuth, IA Palo Alto, IA Pocahontas, IA Sac, IA Webster, IA Wright 103 Sioux City, IA: SMSA Counties: 7720 Sioux City, IA-NE 1.9 IA Woodbury, NE Dakota Non-SMSA Counties 1.2 IA Cherokee, IA Crawford, IA Ida, IA Monona, IA O’Brien, IA Plymouth, IA Sioux, NE Antelope, NE Cedar, NE Cuming, NE Dixon, NE Knox, NE Madison, NE Pierce, NE Stanton, NE Thurston, NE Wayne, SD Bon Homme, SD Clay, SD Union, SD Yankton 104 Des Moines, IA: SMSA Counties: 2120 Des Moines, IA 4.5 IA Polk, IA Warren Non SMSA Counties: 2.4 IA Adair, IA Appanoose, IA Boone, IA Clarke, IA Dallas, IA Davis, IA Decatur, IA Guthrie, IA Jasper, IA Jefferson, IA Keokuk, IA Lucas, IA Madison, IA Mahaska, IA Marion, IA Marshall, IA Monroe, IA Poweshiek, IA Ringgold, IA Story, IA Tama, IA Union, IA Van Buren, IA Wapello, IA Wayne 143 Omaha, NE: SMSA Counties: 5920 Omaha, NE-IA 7.6 IA Pottawattamie, NE Douglas, NE Sarpy Non-SMSA Counties 5.3 IA Adams, IA Audubon, IA Cass, IA Fremont, IA Harrison, IA Mills, IA Montgomery, IA Page, IA Shelby, IA Taylor, NE Burt, NE Cass, NE Colfax, NE Dodge, NE Platte, NE Saunders, NE Washington Published, Federal Register October 3, 1980 B. Federal Labor Standards Provisions (including Davis-Bacon prevailing wage rates) Applicability The Project or Program to which the construction work covered by this contract pertains is being assisted by the United States of America and the following Federal Labor Standards Provisions are included in this Contract pursuant to the provisions applicable to such Federal assistance. (1) Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in Sec. 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a)(1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (ii) (A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (2) Withholding. The EPA shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the EPA may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii) (A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the (write in name of appropriate federal agency) if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the (write in name of agency). The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/whd/programs/dbra/forms.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the (write in name of appropriate federal agency) if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit them to the applicant, sponsor, or owner, as the case may be, for transmission to the (write in name of agency), the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the sponsoring government agency (or the applicant, sponsor, or owner). (B) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be provided under Sec. 5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under Sec. 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete; (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph (a)(3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the EPA or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rateon the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30. (5) Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) 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 (write in the name of the Federal agency) may by appropriate instructions require, and also a clause requiring the subcontractors 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. (7) 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 a subcontractor as provided in 29 CFR 5.12. (8) Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (and any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility. (i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. (b) Contract Work Hours and Safety Standards Act. The Agency Head shall cause or require the contracting officer to insert the following clauses set forth in paragraphs (b)(1), (2), (3), and (4) of this section in full in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by Sec. 5.5(a) or 4.6 of part 4 of this title. As used in this paragraph, the terms laborers and mechanics include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The loan recipient shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (b)(1) through (4) of this section. (c) In addition to the clauses contained in paragraph (b), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in Sec. 5.1, the Agency Head shall cause or require the contracting officer to insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, the Agency Head shall cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the EPA and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job. C.Preservation of Open Competition and Government Neutrality Towards Government Contractors’ Labor Relations on Federal and Federally Funded Construction Projects (Executive Order 13202, as amended by Executive Order 13208) Executive Order 13202, signed February 17, 2001 and amended April 4, 2001, requires all executive agencies that issue grants to ensure Government neutrality toward contractors’ labor relations. This applies to recipients of SRF assistance. The Executive Order prohibits discrimination against contractors and their employees in construction contracts based upon labor affiliation or lack thereof. SRF assistance recipients and any construction managers acting on their behalf must ensure that bidding specifications, project agreements, and other controlling documents do not require, prohibit, or otherwise discriminate, with respect to labor affiliation or lack thereof. D. Historical and Archeological Finds If, during the course of construction, evidence of deposits of historical or archeological interest is found, the contractor shall cease operations affecting the find. The owner shall then notify the State Revolving Fund Environmental Review Specialist, who shall in turn notify the State Historic Preservation Office. The SRF shall consult with the SHPO and other interested parties to determine the proper course of action regarding the discovery. No further disturbance of the deposits shall ensue until the SRF Environmental Review Specialist determines that the project activities in that area may proceed. Compensation to the contractor, if any, for lost time or changes in construction to avoid the find, shall be determined in accordance with changed conditions or change order provisions of the specifications. Authority for this derives from the National Historic Preservation Act (16 U.S.C. §§ 470 et seq.) and 36 CFR Part 800. If human remains are discovered then state law also applies IC 263B. E. Prohibitions on Procurement from Violating Facilities (Section 306, Clean Air Act; Section 508, Clean Water Act; Executive Order 11738) Both the Clean Water Act and the Clean Air Act prohibit federal agencies from extending assistance by way of loans or contracts to persons who have been convicted of violations of either law. Executive Order 11738 was issued to coordinate enforcement by the U.S. Environmental Protection Agency, which shall designate facilities which have given rise to a conviction for an offense under the criminal provisions of the Clean Air Act and the Clean Water Act. The Executive Order also prohibits agencies from extending assistance to facilities that are not in compliance with either Act. SRF assistance recipients may not procure goods, services, or materials from suppliers listed by the EPA as violators. The Excluded Parties Listing search engine is located at the System for Award Management (SAM) website: https://sam.gov. Attachment 8 SRF Required Front-End Specifications Right of Entry and Records Retention The recipient shall provide access at all times for the Department of Natural Resources, the Iowa Finance Authority, the state auditor, and the U.S. EPA Office of the Inspector General to all project records and documents for inspection and audit purposes for a period of three years after the date of last loan payment. The same access to the project site(s) shall be provided for inspection purposes. 567 Iowa Administrative Code paragraph 92.8 (2).e. State inspections. Personnel of the department shall have the right to examine all construction aspects of the project, including materials and equipment delivered and stored on site for use on the project. Attachment 9 SRF Required Front-End Specifications Build America, Buy America Requirements On November 15, 2021, President Joseph R. Biden Jr. signed into law the Infrastructure Investment and Jobs Act (“IIJA”), Pub. L. No. 117-58, which includes the Build America, Buy America Act ("the Act"). Pub. L. No. 117-58, §§ 70901-52. The Act strengthens Made in America Laws and will bolster America’s industrial base, protect national security, and support high-paying jobs. The Act requires that no later than May 14, 2022 - 180 days after the enactment of the IIJA - the head of each covered Federal agency shall ensure that “none of the funds made available for a Federal financial assistance program for infrastructure, including each deficient program, may be obligated for a project unless all of the iron, steel, manufactured products, and construction materials used in the project are produced in the United States.” (Build America, Buy America Act, P.L. 117-58, Secs 70911-70917). Any project that is funded in whole or in part with federal assistance must comply with the Build America, Buy America (BABA) requirement, unless the requirement is otherwise waived. As required by federal law, all of the iron, steel, manufactured products, and construction materials permanently incorporated into a project funded with the assistance from the State Revolving Fund are produced in the United States in a manner that complies with the BABA requirement, unless a waiver is granted by the Office of Management and Budget (OMB) or the U.S. Environmental Protection Agency (EPA). For the Clean Water and Drinking Water SRF programs, this requirement applies only to the following projects: Construction projects identified as “equivalency projects” for base SRF capitalization grants; Construction projects identified as “equivalency projects” for BIL general supplemental capitalization grants; All construction projects funded with BIL emerging contaminants capitalization grants; All construction projects funded with BIL lead service line replacement capitalization grants. Note: The American Iron & Steel (AIS) requirement continues to apply for all Clean Water and Drinking Water SRF projects except when superseded by the BABA requirement. BABA requires that all projects receiving direct federal financial assistance from the State Revolving Fund after May 14, 2022 must comply with the following requirement: 1. All iron and steel used in the project are produced in the United States. This means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. 2. All manufactured products used in the project are produced in the United States. This means the manufactured product was manufactured in the United States, and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation. 3. All construction materials are manufactured in the United States. This means that all manufacturing processes for the construction material occurred in the United States. Initial Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure can be found here: M-22-11 (whitehouse.gov) Additional information, including any published waivers, is posted on the EPA website, https://www.epa.gov/cwsrf/build-america-buy-america-baba. Sample “Build America, Buy America” Contract Language In order to fulfill the requirements, the assistance recipient must in good faith design the project and solicit bids for construction with U.S.-made iron and steel products, manufactured products and construction materials. The following information will be included in any contracts resulting from this request for bids: The Contractor acknowledges to and for the benefit of the ________________________ (“Owner”) and the ________________________ (“Funding Authority”) that it understands the goods and services under this Agreement are being funded with federal monies and have statutory requirements commonly known as “Build America, Buy America;” that requires all of the iron and steel, manufactured products, and construction materials used in the project to be produced in the United States (“Build America, Buy America Requirements”) including iron and steel, manufactured products, and construction materials provided by the Contactor pursuant to this Agreement. The Contractor hereby represents and warrants to and for the benefit of the Owner and Funding Authority (a) the Contractor has reviewed and understands the Build America, Buy America Requirements, (b) all of the iron and steel, manufactured products, and construction materials used in the project will be and/or have been produced in the United States in a manner that complies with the Build America, Buy America Requirements, unless a waiver of the requirements is approved, and (c) the Contractor will provide any further verified information, certification or assurance of compliance with this paragraph, or information necessary to support a waiver of the Build America, Buy America Requirements, as may be requested by the Owner or the Funding Authority. Notwithstanding any other provision of this Agreement, any failure to comply with this paragraph by the Contractor shall permit the Owner or Funding Authority to recover as damages against the Contractor any loss, expense, or cost (including without limitation attorney’s fees) incurred by the Owner or Funding Authority resulting from any such failure (including without limitation any impairment or loss of funding, whether in whole or in part, from the Funding Authority or any damages owed to the Funding Authority by the Owner). If the Contractor has no direct contractual privity with the Funding Authority, as a lender or awardee to the Owner for the funding of its project, the Owner and the Contractor agree that the Funding Authority is a third-party beneficiary and neither this paragraph (nor any other provision of this Agreement necessary to give this paragraph force or effect) shall be amended or waived without the prior written consent of the Funding Authority. BABA Covered and Non Covered Items Iron and steel + manufactured products + construction materials Items should only be classified into ONE of the three categories Applies to items consumed in, incorporated into or affixed to an infrastructure project (aka permanently incorporated) Does not apply to items brought to and removed from the construction site prior to the completion of the infrastructure project (e.g., temporary scaffolding) Does not apply to equipment and furnishings that are used at or within the finished infrastructure project (e.g., movable chairs, desks, portable computer equipment) Definition of Iron and Steel - Items that are predominantly iron or steel, unless another standard applies under law or regulation All manufacturing processes, from the initial melting stage through the application of coatings, must occur in the U.S. Definition of Manufactured Products - Manufactured in the U.S. Cost of components that are mined, produced, or manufactured in the U.S. is greater than 55 percent of the total cost of all components of the manufactured product Unless another standard for determining the minimum amount of domestic content has been established under applicable law or regulation Construction Materials - Includes: Non-ferrous metals Plastic and polymer-based products (including PVC, composite building materials, and polymers used in fiber optic cables) Glass (including optic glass) Lumber Drywall Excludes: Items made primarily of iron or steel Manufactured products Cement and cementitious materials Aggregates such as stone, sand, or gravel Aggregate binding agents/additives Sample Certifications As indicated in the contract language, it will be the responsibility of the Contractor to obtain certifications that the products and materials used in the project are U.S.-made. EPA recommends the use of a step certification process for documenting compliance with BABA requirements, similar to one used by the Federal Highway Administration. Step certification creates a paper trail which documents the location of the manufacturing process involved with the production of steel and iron materials. Each handler (supplier, fabricator, manufacturer, processor, coater, etc.) of the iron and steel products certifies that their step in the process was domestically performed. The following information is provided as a sample letter of step certification for BABA compliance. Documentation must be provided on company letterhead. In this example, there may be multiple letters from different manufacturers if one manufacturer did not perform all of the steps. Date Company Name Company Address City, State Zip Subject: Build America, Buy America Step Certification for Project (XXXXXXXXXX) I, (company representative), certify that the (melting, bending, coating, galvanizing, cutting, etc.) process for (manufacturing or fabricating) the following products and/or materials shipped or provided for the subject project is in full compliance with the Build America, Buy America requirement as mandated in EPA’s State Revolving Fund Programs. Item, Products and/or Materials: 1. Xxxx 2. Xxxx 3. Xxxx Such process took place at the following location: _____________ If any of the above compliance statements change while providing material to this project we will immediately notify the prime contractor and the engineer. Signed by company representative Alternatively, the final manufacturer that delivers the iron or steel product to the worksite, vendor, or contractor, may provide a certification asserting that all manufacturing processes occurred in the U.S. and providing detailed information on the steps involved. The following is a template for this type of final certification. Build America, Buy America Procurement List In consultation with their contractors, assistance recipients should determine the items to be covered by this waiver and must retain relevant documentation (i.e. invoices) as to those items. Assistance recipients must summarize in reports to the State of Iowa the types and/or categories of items to which this waiver is applied, the total cost of incidental components for each type or category, and the calculations by which they determined the total cost of materials used in and incorporated into the project. The successful bidder will fill out the materials spreadsheet (shown below) and submit it to the assistance recipient to indicate iron and steel items proposed to be procured for the project. Build America, Buy America De Minimis Waiver Section 70914(b)(1) of the Infrastructure Investment and Jobs Act authorizes the Administrator to waive the requirements of Build America, Buy America if implementation would be inconsistent with the public interest. Due to the critical need to reduce the administrative burden for recipients and agencies and to ensure recipients can effectively carry out the EPA funded activity in a timely manner, it is in the public interest to waive Build America, Buy America requirements for products used in and incorporated into a project that cumulatively comprise no more than five percent of the total project cost. This waiver is not additive with the existing American Iron and Steel national de minimis waiver. The EPA will review this waiver every five years after the date on which the waiver is issued. This waiver advances Build America, Buy America by reducing the administrative burden to potential assistance recipients where the costs of compliance could distract from the focus on higher value compliant items. Failure to provide recipients such flexibilities could delay the award for infrastructure projects as assistance recipients must exert considerable effort accounting for the sourcing for miscellaneous, low-cost items. In consultation with their contractors, assistance recipients should determine the items to be covered by this waiver and must retain relevant documentation (i.e. invoices) as to those items. Assistance recipients must summarize in reports to the State of Iowa the types and/or categories of items to which this waiver is applied, the total project cost for each type or category, and the calculations by which they determined the total cost of materials used in and incorporated into the project. The successful bidder will fill out the materials spreadsheet (shown below) and submit it to the assistance recipient to indicate items proposed to be procured for the project. At the end of construction, the contractor will submit a final list showing covered items being claimed as incidental components under the De Minimis Waiver. Assistance recipients will complete a De Minimis Waiver Incidental Components List for the entire project to demonstrate compliance with the De Minimis Waiver cost requirements outlined above. The following form is provided to submit a list of items the SRF funding recipient would like to claim as de minimis for this project. Attachment 10 SRF Required Front-End Specifications (This form must be completed and signed by Prime Contractor and submitted with the bid.) PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR EQUIPMENT This term and condition implements 2 CFR 200.216 and is effective for obligations and expenditures of EPA financial assistance funding on or after 8/13/2020. EPA recipients and subrecipients, including borrowers under EPA funded revolving loan fund programs, are prohibited from obligating or expending loan or grant funds to: (a) Procure or obtain, extend or renew a contract to procure or obtain; (b) Enter into a contract (or extend or renew a contract) to procure; or (c) Obtain the equipment, services, or systems that use “covered telecommunications equipment or services” identified in the regulation as a substantial or essential component of any system, or as critical technology as part of any system. Certain equipment, systems, or services, including equipment, systems, or services produced or provided by entities subject to the prohibition are recorded in the System for Award Management exclusion list, website: https://sam.gov. (1) As described in Public Law 115-232, section 889, covered telecommunications equipment or services includes: (i) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities). (ii) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities). (iii) Telecommunications or video surveillance services provided by such entities or using such equipment. (iv) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country. (2) Consistent with 2 CFR 200.471, costs incurred for telecommunications and video surveillance services or equipment such as phones, internet, video surveillance, and cloud servers are allowable except for the following circumstances: (i) Obligating or expending EPA funds for covered telecommunications and video surveillance services or equipment or services to procure (enter into, renew or extend contracts) or obtain the equipment, services, or systems as described in 2 CFR 200.216. I understand the above prohibitions and certify that the project will be in compliance with all the requirements. Signature Date Printed Name Title Attachment 11 SRF Required Front-End Specifications (This form must be completed and signed by the Prime Contractor and submitted with the bid.) Construction Method Limitations for Lead Service Line Replacement Projects Service Line Replacement Techniques and Specifications* 1.Pull-Through Technique: a. Replacement of privately-owned water lines shall be done using pull through technique, replacing the service lines at the same depth as the originals with connecting pits limited to 10 feet by 10 feet, unless safety standards warrant a marginal increase in pit size. 2.Boring Technique: a. Replacement of privately-owned water lines shall be done using boring with connecting pits limited to 10 feet by 10 feet relating to connecting to utility lines, unless safety standards warrant a marginal increase in pit size. 3.Directional Boring Technique: a. Replacement of privately-owned water lines shall be done using directional boring with sending and receiving pits limited to 10 feet by 10 feet (or connecting pits relating to directional boring for utility lines no bigger than 10 feet by 10 feet), unless safety standards warrant a marginal increase in pit size OR 4. If for some reason the above construction methods cannot be used for an approved lead service line address, proceed with replacement using an equivalent construction method that will limit the disturbance to the construction area to not greater than described in techniques 1-3. *If the above construction methods (1-3) or equivalent (4) cannot be used, contact SRF for further guidance on how to proceed with replacement at that address. Protection and Restoration of Above-Ground Structures 1. The applicant shall not cause impacts to above ground structures, except where there are no other reasonable means to proceed with the lead service line replacement. 2. If the lead service line replacement will result in impacts to the material, position, and/or integrity of above ground structures (including, but not limited to: lampposts, brick streets, brick sidewalks, retaining walls, railings), the applicant shall repair the affected structure to its previous condition or better using original materials to the extent practicable. Lead Service Line Disposal 1. Lead service line replacement does not require a water supply construction permit. However, other regulations, such as plumbing codes and local ordinances, remain applicable. 2. All lead pipes must either be: a.Abandoned in place and physically disconnected from the active distribution system, or b.Physically removed in their entirety. 3.For Additional Guidance - Contact Susan Johnson in the Solid Waste and Contaminated Sites section of the and Quality Bureau at 515-217-0872 or via email at susan.johnson@dnr.iowa.gov for further information on lead service line disposal regulations. I understand the above prohibitions and expectations and I certify that the project will be in compliance with all the requirements. Signature Date Printed Name Title DAVIS-BACON WAGE DETERMINATION [Page Intentionally Left Blank] BID ITEM LIST AND SPECIAL PROVISIONS [Page Intentionally Left Blank] 1/23/2025 Bid Item List and Special Provisions Lead Service Line Replacement Preliminary Design Package Origin Design Project No.: 22128 LINE NO.REFERENCE NUMBER BID ITEM DESCRIPTION BID ITEM SPECIAL PROVISIONS 1 2010-108-A-0 Clearing and Grubbing A 2 2010-108-D-1 Topsoil, On-site 6-inch depth shall be provided at all locations. 3 2010-108-J-0 Subbase, Special Backfill - Gr 30 (3/4" Dense Base Pile) 8-inch depth at all locations under Roadways and within 2-ft of these locations. 6-inch depth at all locations under Driveways. 4-inch depth at all locations under Sidewalks. 4 3010-108-D-0 Replacement of Unsuitable Backfill Material, Gr 30, (Modified Subbase Pile) All final backfill for water service piping and exposed water main under and within 5-ft of the edge of roadway shall be granular material. 5 3010-108-G-0 Class I, Bedding Material, 1" Commercial Clean Stone 6 5010-108-E-1 Water Service Stubs, Pipe, Copper, 3/4" All water service pipe shall be 3/4-in size, minimum. In the event a larger service pipe is encountered, Contractor shall notify Owner and Engineer to determine if larger size will be matched. In the event a smaller service pipe is encountered and will require a splice, Contractor shall provide a reducer (size as applicable) to connect existing service pipe to replacement service pipe. All replacement water service pipe is expected to be replaced using the techniques as described in SRF Required Front-End Attachment No. 11. The Pull-Through Technique shall be the basis first approach for replacements scheduled in this Project, with other techniques utilized if pull-through is deemed unfeasible or fails. Use of other techniques if pull-through is not successful will be considered incidental. 7 5010-108-E-2 Water Service Stubs, Corporation, 3/4" All water services require a City of Dubuque Plumbing Permit and associated tapping fee (current rate) for the service size. All water services shall be 3/4-in size, minimum. In the event a larger existing service pipe is encountered, Contractor shall notify Owner and Engineer to determine if larger size will be matched. All water services are required to be installed by a licensed plumber. The City will inspect and perform the tapping procedure, coordinated by Contractor scheduling with the Water Department. The City tapping fee includes: corporation stop saddle (if applicable), corporation stop valve, and conducting the tap. The Contractor shall provide all other labor and materials for installation and testing. The Contractor shall provide an OSHA-safe trench for City Water Department staff to conduct tapping. Refer to City Standards as detailed and specified in the Special Conditions. All corporation stops shall be lead-free ball valves with AWWA by flare style end connections, rated for service with the service pipe material and size installed. Corporation stops shall be provided and installed by the City and connected by the Contractor. All water service taps on PVC mains shall be made with service saddles. Water service taps on DIP mains shall be direct-tap. Service saddles, if required, shall be provided by the City and installed by Contractor. Contractor shall abandon-in-place the existing corporation stop as follows: excavate and expose corporation stop; turn corporation stop to the off position; cut the lead line with about a 4 to 6-in tail; remove connection nut and tail piece; place a lead slug into the end connection, up against the rubber gasket, and reinstall the connection nut back on the stop. Dubuque LSLR Special Provisions.xlsx Page 1 of 4 Special Provisions Table 1/23/2025 LINE NO.REFERENCE NUMBER BID ITEM DESCRIPTION BID ITEM SPECIAL PROVISIONS 8 5010-108-E-3 Water Service Stubs, Curb Stop and Box, 3/4" All curb stops shall be lead-free, Minneapolis-pattern ball valves with flare style end connections, rated for service with the Service pipe material and size installed. Curb stop shall be AY McDonald 76104 (5131-125), or approved equal. All water services shall be 3/4-in size, minimum. In the event a larger existing service pipe is encountered, Contractor shall notify Owner and Engineer to determine if larger size will be matched. All curb stops shall be placed on a firmly set concrete block set into the bedding material of the service pipe trench. All curb stops shall be provided with a curb box with laength as required to accomodate the bury depth of the curb stop. Curb box shall be Minneapolis pattern. The curb box lid shall have a 1-1/2-in brass pentagon plug that reads "WATER". Curb box shall be AY McDonald 5623A with 5614 Lid, or approved equal. Contractor shall coat threads at connection of curb stop valve and curb box with anti-sieze lubricant during installation. 9 7030-108-A-1 Removal of Sidewalk Remove sidewalk to nearest existing joint as required for excavation. 10 7030-108-A-3 Removal of Driveway Remove driveway to nearest existing joint as required for excavation. 11 7030-108-E-0 PCC, Sidewalk, 5" (Thickness) Unless otherwise approved by Owner and Engineer replace removed sidewalk generally to pre- existing conditions and limits, except replacement sidewalk shall be modified, if necessary, to meet requirements for new sidewalk (such as slope, line, and smoothness), as specified and minimum replacement width shall be 5-ft in all locations. Sidewalks at driveways shall be increased to 6-in thickness, minimum. 12 7030-108-H-1 Driveway, Paved, PCC, 6" (Thickness) Unless otherwise approved by Owner and Engineer replace removed driveway generally to pre- existing conditions and limits, except replacement driveway shall be modified, in necessary, to meet requirements for new driveway (such as slope, line, and smoothness), as specified. 13 7030-108-H-1 Driveway, Paved, HMA, 6" (Thickness) Unless otherwise approved by Owner and Engineer replace removed driveway generally to pre- existing conditions and limits, except replacement driveway shall be modified, if necessary, to meet requirements for new driveway (such as slope, line, and smoothness), as specified. 14 7030-108-H-3 Driveway, Granular by Ton 15 7040-108-A-0 Full Depth Patches PCC All patches shall be full lane width unless otherwise approved. Consult with Engineer for longitudinal limits. 16 7040-108-A-0 Full Depth Patches HMA All patches shall be full lane width unless otherwise approved. Consult with Engineer for longitudinal limits. 17 7040-108-N-0 Curb and Gutter, Remove and Replace Remove curb and gutter to nearest existing joint as required for excavation. Unless otherwise approved by Owner and Engineer replace removed curb and gutter generally to pre- existing conditions. 18 8030-108-A-0 Temporary Traffic Control Traffic control shall be installed in accordance with current Iowa DOT Specification Section 2528. The Contractor shall maintain access to residences at all times, unless otherwise approved. At a minimum, the Contractor shall use Iowa DOT Standard Road Plans TC-202, TC-211, and TC-212 (on high volume roads). Additional Traffic Control measures may be necessary. The Contractor shall maintain at least one lane of travel throughout the project. Contractor shall notify City and Engineer a minimum 3 working days prior to the closure or detour of streets or alleys Contractor may request Temporary "No Parking" signs for construction access and mainating open streets through the City of Dubuque Engineering Department. Coordination of procurement and installation of signs is the responsibility of the Contractor. Contractor shall conform to provisions of the Temporary "No Parking" program and pay all fees as required. Dubuque LSLR Special Provisions.xlsx Page 2 of 4 Special Provisions Table 1/23/2025 LINE NO.REFERENCE NUMBER BID ITEM DESCRIPTION BID ITEM SPECIAL PROVISIONS 19 9010-108-A-1 Conventional - Seeding, Type 1, by SF 20 9010-108-A-2 Fertilizing, by SF 21 9010-108-A-3 Mulching, by SF 22 9030-108-A-0 Plants, By Count 23 9040-108-T-1 Inlet Protection Device, Installation Inlet protection devices are anticipated to all be drop-in intake protection, sized as required for each site. 24 9040-108-T-2 Inlet Protection Device, Maintenance 25 9070-108-A-0 Modular Block Retaining Wall 26 9071-108-A-0 Segmental Block Retaining Wall 27 9071-108-C-0 Granular Backfill Material 28 11020-108-A-0 Mobilization This bid item shall be used for ongoing mananagement of the work by a project manager assigned to the project, preparatory work associated with coordination and scheduling, and project expenses. Construction Coordination and Scheduling, includes efforts as described in the Special Conditions for Contractor to coordinate with private property owners for obtaining written authorizations and subsequent performance of the Work Expenses include bonding, permitting, fees, and other expenses not otherwise specifically addressed in the other Bid Item Descriptions and Special Provisions. 29 SP Exploratory Excavation This bid item shall be used to allow the contractor to verify and refine locations of service line main connections, curb stops, and utility crossings where not readily discernable. This is work performed in advance of excavation for service line installation, subject to Engineer's approval. This bid item shall include all manpower and equipment necessary to expose the service line or conflicts in question and to cover the excavation, if temporary or not used for excavation. Surfacing removal and restoration efforts may be covered by other Bid Items. 30 SP Protection of Existing Plant Material (Temporary Fencing) This bid item shall be used for temporary fencing around existing plants or plantings to protect them from construction damage. The Engineer shall provide approval of locations at which to provide protection of existing plant material. Temporary fencing shall be erected at or outside the root zone or designated area. Fencing shall be temporary orange construction fencing or similar quality material a minimum 4-ft high with supports at maximum 15-ft intervals. Maneuver and parking of machinery and stockpiling of materials will be prohibited within the protected area. 31 SP Minor Rock Excavation at Existing Mains This bid item shall cover minor rock excavation and backfill at water mains where installation of corporation service saddle (covered under bid item for corporation stop) is inhibited by previously undisturbed rock. All work associated with this bid item will be paid based on the rock removal location for the applicable saddle. This item will include all labor and materials to remove and dispose of rock in the trench sufficient to install the saddle. This item will also include the labor and materials to replace the removed rock with granular backfill material. Dubuque LSLR Special Provisions.xlsx Page 3 of 4 Special Provisions Table 1/23/2025 LINE NO.REFERENCE NUMBER BID ITEM DESCRIPTION BID ITEM SPECIAL PROVISIONS 32 SP Connection to Interior Plumbing This bid item shall be used for furnishing and installing all materials required to connect to the existing water plumbing on interior of home. All work shall be perfomed by a licensed plumber and in conformance with City code. The contractor shall utilize the existing penetration by the water service pipe into the building. Following routing of service pipe through the penetration, the interior and exterior of the hole shall be completely sealed with hydraulic cement. Efforts related to repairing any damage to the foundation wall or restore any items on the interior of the home that infringe upon the work shall be incidental to this bid item and the responsibility of the Contractor. The first isolation ball valve connecting the new service pipe to the interior plumbing shall be provided under this bid item. Isolation valve shall be a brass ball valve, compliant with City plumbing code. Electrical grounding connections to existing service pipe shall be reinstalled to new service pipe. 33 SP Internal Home Water Service Relocation/Penetration This bid item shall be used for providing a modification to the location of the penetration of the water service line into the serviced building if pull-through method is unsuccessful. Tthe contractor shall excavate at the foundation exterior and core drill or sawcut the existing foundation wall or floor to allow for penetration by the water service pipe. Cutting or core drilling at the interior shall only be allowed upon request and consideration with building owner. The contractor shall install a PVC sleeve and seal in the foundation to protect the copper service pipe. The remainder of the installation shall conform to and be paid according to the requirements of the bid item for "Connection to Interior Plumbing". Additional interior service line piping to reach the pre-existing meter location shall be paid under the bid item for ‘Water Service Stubs, Pipe’, size as applicable to location. Internal piping modifications requiring more than 5-ft of pipe shall be paid under the bid item for ‘Interior Plumbing Modifications, Pipe Greater than 5-ft’. 34 SP Interior Plumbing Modifications, Pipe Greater than 5-ft This bid item shall be used for interior plumbing modifications resulting from relocation of water meter or service pipe entrance into building that are greater than 5-ft. All work shall be perfomed by a licensed plumber and in conformance with City code. 35 SP Upgrades to Interior Plumbing This bid item shall be used for furnishing and installing all materials required to bring plumbing up to requirements of City Standards as detailed and specified in the Special Conditions. City will approve use of this line item on a case-by-case basis. All work shall be perfomed by a licensed plumber and in conformance with City code. If the existing meter is determined to be in need of replacement, Contractor shall install new meter provided by City, including any new meter coupling fittings. Upon completion of connection, the areas required to be disturbed during the work to make the connection to the meter inside the home shall be returned to pre ‐ construction conditions. 36 SP Flushing Procedure Contractor shall complete Contractor's Flushing Procedure, as detailed, for this Bid item. Dubuque LSLR Special Provisions.xlsx Page 4 of 4 Special Provisions Table DETAILS [Page Intentionally Left Blank] No t e : Dr a w i n g s h o w s a s t a n d a r d i n s t a l l a t i o n o f T - 1 0 p o s i t i v e d i s p l a c e m e n t m e t e r . Al l b a c k f l o w d e v i c e s a n d m e t e r s m u s t b e i n s t a l l e d a t a m i n i m u m o f 1 2 i n c h e s an d m a x i m u m o f 4 8 i n c h e s a b o v e t h e f i n i s h e d f l o o r . O n s e r v i c e s 2 i n c h e s o r la r g e r v a l v e m u s t b e R e s i l i e n t s e a t g a t e v a l v e s . P r o p e r t h e r m a l e x p a n s i o n sh a l l b e i n s t a l l e d a f t e r b a c k f l o w p r o t e c t i o n d e v i c e i f w a t e r h e a t i n g s o u r c e ex i s t s . Fl o o r Le v e l 12 ” M i n . 48 ” M a x Du a l C h e c k V a l v e Ap p r o v e d va l v e St r a i n e r , o p t i o n a l Pr e s s u r e r e d u c e r va l v e ( i f re q u i r e d ) Wa t e r Me t e r Ap p r o v e d v a l v e Wa t e r Ma i n T- 1 0 P o s i t i v e d i s p l a c e m e n t r e s i d e n t i a l m e t e r s p e c i f i c a t i o n s Gr a d e 5’ 6 ” (M i n i m u m ) Or i g i n a l d a t e : 1 / 1 5 / 1 3 La s t u p d a t e d : 1 1 / 1 4 / 2 4 Th e r m a l e x p a n s i o n t a n k i n s t a l l e d do w n s t r e a m o f d u a l c h e c k v a l v e Un m e a s u r e d Fl o w r e d u c e r (U F R ) i f r e q u i r e d Detail No. 1 [Page Intentionally Left Blank] 4' - 0" 6' 0 " Water main 1' 0 " Be h i n d m a i n 4' - 0" 8' 0 " Water main 2' 0 " Be h i n d m a i n 5' 0 " 6' 0 " For 4" to 12" Taps: 4' 0" by 8' 0" Excavation (Minimum) 2' 0" under the main for Tapping saddle Connection Trench Box shall be used whenever possible, if other utilities are causing an issue for a trench box, another type of approved shoring shall be used. Thank you. Excavation for Water Taps 1/01/2023 For 3/4" to 2" taps: 4' 0" by 6' 0" Excavation (Minimum) 1' 6" under the main for Tapping machine hook up Detail No. 2 [Page Intentionally Left Blank] CONTRACTOR’S FLUSHING PROCEDURE Complete these procedures prior to allowing resident to use fixtures. Procedures should take approximately 1 hour to complete. The procedures outlined are guidance to achieve the goal stated. Each location may require modifications to the procedure approach. Service Line Flushing Procedure: Goal: Flush service line from main to nearest point at limits of Contractor’s installation. 1. After service line replacement and interior plumbing connections and prior to water use, locate an outside connection as close as possible to the house point of entry. • This connection will be downstream of the meter and could likely be an outside hose bib. An inside valve or drain may also be used if water can be directed to a drain without spilling or causing issues. • If available, turn off interior plumbing to house at location downstream of flushing outlet connection, potentially at water heater or similar location. 2. Remove impediments to flushing from service line and interior plumbing. • Remove strainer screen, if installed. • Install temporary jumper or straight pipe in place of the meter to allow for a higher velocity flush and protect the meter from potential damage. 3. Open the connection and flush water through the service line at fully opened conditions to achieve maximum flush velocity. 4. After 10 minutes, close connection. 5. Reinstall meter and strainer screen and open system for whole house flushing. Whole House Flushing Procedure: Goal: Flush existing internal house plumbing following service line replacement and flushing. Always use COLD water when you flush the pipes! 1. Find all water faucets in the house where you can run the water without the sink or tub overflowing. • Be sure to include any laundry tubs and utility sinks. • If a shower is not attached to a bathtub, take off the showerheads, if possible. • If a shower is attached to a bathtub, use the bathtub faucet, no need to take off. 2. Remove aerators from all faucets and showerheads. • If you cannot take these off, do not use the faucet for rinsing the pipes. • Make sure all drains are open and clear so water can flow freely down the drains. • Note and accommodate that after you take off aerators/screens, quickly flowing water will splash and spray. 3. Start opening faucets in the basement or on the lowest floor and proceed up. • Keep the water running from all faucets at the highest rate possible. 4. After all faucets are open fully for COLD water, leave the water to run for 30 minutes. 5. After 30 minutes, go the basement or the lowest floor and close faucets in the same order that you opened them. 6. Clean the aerators/screens and put them back on at each faucet. • If aerators /screens are old and worn, recommend resident replace them with new ones. Detail No. 3 [Page Intentionally Left Blank] 2/28/2025 FID Unique ID Exhibit Grid Service Address Interior Photo Available Notes 180 25935 C3 3395 JACKSON ST YES 115 5732 D3 16 MILWAUKEE ST YES 114 5973 D3 24 MILWAUKEE ST YES 112 6496 D3 63 MILWAUKEE ST YES 113 6900 D3 64 MILWAUKEE ST YES 111 7151 D3 54 DIAMOND ST YES 116 7299 D3 3130 JACKSON ST YES 117 7300 D3 3120 JACKSON ST YES 172 29951 D3 29 MILWAUKEE ST YES 182 26755 E3 3105 JACKSON ST YES 119 26756 E3 3107 JACKSON ST YES 177 26759 E3 3111 JACKSON ST YES 118 26760 E3 3115 JACKSON ST YES 197 29707 E3 3116 CENTRAL AVE YES 196 29708 E3 3108 CENTRAL AVE YES 195 29716 E3 3042 CENTRAL AVE YES 194 29717 E3 3030 CENTRAL AVE YES 67 7847 E4 2926 WASHINGTON ST YES 62 7956 E4 2955 WASHINGTON ST YES 60 8077 E4 2949 ELM ST YES 63 8514 E4 2943 WASHINGTON ST YES 64 22037 E4 2931 WASHINGTON ST YES 61 5155 E5 2946 ELM ST YES 59 8487 E5 2947 PINARD ST YES 65 8559 E5 2858 PINARD ST YES REMOVED FROM CONTRACT 68 8563 E5 2854 PINARD ST YES REMOVED FROM CONTRACT 71 4289 F4 2944 JACKSON AVE YES 85 4729 F4 2854 JACKSON ST YES 87 4952 F4 2850 JACKSON ST YES 66 5328 F4 2981 JACKSON ST YES REMOVED FROM CONTRACT 93 5483 F4 2831 - 2833 JACKSON ST YES 90 6049 F4 2845 JACKSON ST YES 70 6440 F4 2969 JACKSON ST YES 75 6647 F4 2915 JACKSON ST YES 80 6698 F4 2920 JACKSON ST YES 81 6699 F4 2939 JACKSON ST YES 74 6705 F4 2910 JACKSON ST YES 92 6717 F4 2837 JACKSON ST YES 79 6774 F4 2922 JACKSON ST YES 72 6775 F4 2940 JACKSON ST YES 69 8620 F4 2925 WASHINGTON ST YES 77 20391 F4 2904 JACKSON ST YES 156 27343 F4 101 - 107 E 29TH ST YES 193 29720 F4 2940 CENTRAL AVE YES 78 5157 F5 2844 ELM ST YES 73 5178 F5 2835 ELM ST YES 84 5181 F5 2839 ELM ST YES 86 5188 F5 2817 ELM ST YES 89 5200 F5 2813 ELM ST YES 76 5229 F5 2829 ELM ST YES 138 5902 F5 2822 JACKSON ST YES 82 6621 F5 2900 WASHINGTON ST YES 139 8116 F5 2810 WASHINGTON ST YES 88 8703 F5 2843 WASHINGTON ST YES 83 17675 F5 2841 ELM ST YES 91 26448 F5 2805 ELM ST YES 137 005902A F5 2820 JACKSON ST YES 122 3044 G5 2776 JACKSON ST YES 95 4709 G5 2808 JACKSON ST YES 130 4852 G5 2756 JACKSON ST YES 124 5381 G5 2768 JACKSON ST YES 126 5522 G5 2766 JACKSON ST YES REMOVED FROM CONTRACT 97 5674 G5 2804 JACKSON ST YES 98 5845 G5 2805 JACKSON ST YES 142 7173 G5 2815 JACKSON ST YES REMOVED FROM CONTRACT 125 7367 G5 2718 WASHINGTON ST YES 141 18303 G5 2736 ELM ST YES 127 20525 G5 2727 WASHINGTON ST YES 155 27054 G5 97 E 28TH ST YES 121 5249 G6 2714 ELM ST YES 1 6631 G6 2702 WASHINGTON ST YES Address Table (20241025 Export).xlsx Page 1 of 3 Address List for SC (rev1) Detail No. 4 2/28/2025 FID Unique ID Exhibit Grid Service Address Interior Photo Available Notes 140 7624 G6 2731 PINARD ST YES 128 7728 G6 2639 PINARD ST YES 120 7833 G6 2709 PINARD ST YES 94 8333 G6 2725 PINARD ST YES 123 005212A G6 2713 ELM ST YES 174 UNK1307 G6 2708 WASHINGTON ST YES 132 3085 H5 2655 JACKSON ST YES 2 4930 H5 2668 JACKSON ST YES 154 27167 H5 2665 WHITE ST YES 133 4082 H6 2650 JACKSON ST YES 134 4385 H6 2631 WASHINGTON ST YES 135 4422 H6 2638 JACKSON ST YES 131 4953 H6 2646 JACKSON ST YES 0 7882 H6 2615 PINARD ST YES 136 19527 H6 2624 JACKSON ST YES 148 18286 I5 2608 CENTRAL AVE YES REMOVED FROM CONTRACT 143 23176 I5 2644 CENTRAL AVE YES 146 2444 I6 2575 - 2577 JACKSON ST YES 144 3985 I6 2576 JACKSON ST YES 99 4980 I6 2521 JACKSON ST YES 110 5298 I6 2549 JACKSON ST YES 96 5639 I6 2536 JACKSON ST YES 147 6430 I6 2564 JACKSON ST YES 150 6446 i6 2560 JACKSON ST YES 151 6468 I6 2540 JACKSON ST YES 173 30624 I6 2543 WASHINGTON ST YES 109 UNK1753 I6 2552 JACKSON ST YES 149 22409 I7 2538 WASHINGTON ST YES 145 24371 I7 2551 ELM ST YES 199 30628 I7 2539 ELM ST YES 103 2459 J6 2491 JACKSON ST YES 100 3546 J6 2508 JACKSON ST YES 106 4118 J6 2473 JACKSON ST YES 105 5528 J6 96 E 25TH ST YES 101 6021 J6 2511 JACKSON ST YES 102 6022 J6 2509 JACKSON ST YES 167 27050 J6 2422 WHITE ST YES 169 27059 J6 2487 WHITE ST YES REMOVED FROM CONTRACT 168 27172 J6 2429 WHITE ST YES 192 29680 J6 2512 - 2510 CENTRAL AVE YES 34 4346 J7 2439 JACKSON ST YES 33 4502 J7 2443 JACKSON ST YES 36 4560 J7 2431 JACKSON ST YES 35 5075 J7 2435 JACKSON ST YES 104 2876 J8 2307 WINDSOR AVE YES 107 3915 J8 2301 - 2303 WINDSOR AVE YES 108 5583 J8 2305 QUEEN ST YES 205 30970 J8 2316 PRINCE ST YES 170 3616 J9 720 E 22ND ST YES 38 8289 J9 710 PROVIDENCE ST YES 40 24570 J9 716 LINCOLN AVE YES 39 24594 J9 724 - 726 LINCOLN AVE YES 171 UNK1146 J9 716 E 22ND ST YES 46 21211 K10 715 GARFIELD AVE YES 163 27043 K6 2404 WHITE ST YES 164 27045 K6 2410 WHITE ST YES 165 27047 K6 2414 WHITE ST YES 166 27048 K6 2416 WHITE ST YES 191 29663 K6 2418 CENTRAL AVE YES 14 5098 K7 2368 JACKSON ST YES 26 5899 K7 2303 WASHINGTON ST YES 15 5905 K7 2352 WASHINGTON ST YES 18 5974 K7 2279 JACKSON ST YES 25 5975 K7 2329 JACKSON ST YES 20 5986 K7 2265 JACKSON ST YES 17 5992 K7 2331 JACKSON ST YES 19 5995 K7 2271 JACKSON ST YES 27 6092 K7 2290 WASHINGTON ST YES 159 26979 K7 2310 WHITE ST YES 162 26982 K7 2344 WHITE ST YES 160 27011 K7 2323 WHITE ST YES Address Table (20241025 Export).xlsx Page 2 of 3 Address List for SC (rev1) Detail No. 4 2/28/2025 FID Unique ID Exhibit Grid Service Address Interior Photo Available Notes 161 27012 K7 2327 WHITE ST YES 187 31065 K7 2258 JACKSON ST YES 188 31071 K7 2337 WASHINGTON ST YES 4 2731 K8 618 E 22ND ST YES 37 3283 K8 622 E 22ND ST YES 13 5448 K8 616 E 22ND ST YES 183 30830 K8 527 E 22ND ST YES 181 30976 K8 2260 PRINCE ST YES 43 2100 K9 2111 WINDSOR AVE YES 41 4720 K9 2126 WINDSOR AVE YES 50 5414 K9 617 GARFIELD AVE YES 49 5575 K9 1911 WINDSOR AVE YES 48 5781 K9 606 LINCOLN AVE YES 42 7519 K9 2124 WINDSOR AVE YES 47 16779 K9 610 LINCOLN AVE YES 16 19361 K9 616 PROVIDENCE ST YES 45 24561 K9 702 LINCOLN AVE YES 44 25288 K9 717 RHOMBERG AVE YES 51 25292 K9 611 RHOMBERG AVE YES 158 26990 L7 2227 WHITE ST YES 152 26992 L7 2243 WHITE ST YES 153 27004 L7 2281 WHITE ST YES 189 29651 L7 2222 CENTRAL AVE YES 190 29652 L7 2234 CENTRAL AVE YES 184 31060 L7 205 E 22ND ST YES 185 31061 L7 207 E 22ND ST YES 186 31062 L7 2218 - 2220 JACKSON ST YES 31 3369 L8 2099 ELM ST YES 29 4664 L8 2130 WASHINGTON ST YES 24 7080 L8 2113 ELM ST YES 28 7081 L8 2109 ELM ST YES 23 7082 L8 2130 ELM ST YES 22 7083 L8 2141 ELM ST YES 21 7296 L8 2169 ELM ST YES 30 23150 L8 2138 JACKSON ST YES 157 28247 L8 419 LINCOLN AVE YES 54 5617 L9 518 LINCOLN AVE YES 52 5630 L9 530 LINCOLN AVE YES REMOVED FROM CONTRACT 53 18144 L9 606 RHOMBERG AVE YES 55 25296 L9 526 - 528 RHOMBERG AVE YES 179 30785 L9 2011 KNIEST ST YES 178 30786 L9 2007 KNIEST ST YES 11 10919 M7 2128 - 2130 WHITE ST YES 201 30682 M7 2109 JACKSON ST 1 YES 12 30683 M7 2109 JACKSON ST 2 YES 202 30686 M7 2123 JACKSON ST YES 203 30687 M7 2107 JACKSON ST YES 9 4458 M8 1925 WASHINGTON ST YES 7 4645 M8 2006 JACKSON ST YES 5 4764 M8 2036 JACKSON ST YES 3 5540 M8 2051 WASHINGTON ST YES 32 5712 M8 2055 ELM ST YES 6 22170 M8 2034 JACKSON ST YES 8 25306 M8 2002 WHITE ST YES 175 30130 N8 1776 JACKSON ST YES 176 30131 N8 1786 JACKSON ST YES 204 30695 N8 1903 JACKSON ST YES 56 UNK0228 N8 1842 CENTRAL AVE YES 10 5111 N9 1839 ELM ST YES 58 1822 O8 1733-1735 WHITE ST YES 57 18727 O8 1763 - 1765 WHITE ST YES 198 30314 O8 145 E 17TH ST YES Address Table (20241025 Export).xlsx Page 3 of 3 Address List for SC (rev1) Detail No. 4 [Page Intentionally Left Blank] EXHIBITS [Page Intentionally Left Blank] Exhibit No. 1 Exhibit No. 2 Exhibit No. 3 Exhibit No. 4 Exhibit No. 5 Exhibit No. 6 Exhibit No. 7 007299 29951 Exhibit No. 8 Exhibit No. 9 026755 Exhibit No. 10 Exhibit No. 11 REMOVED FROM CONTRACT REMOVED FROM CONTRACT Exhibit No. 12 Exhibit No. 13 REMOVED FROM CONTRACT Exhibit No. 14 005902A Exhibit No. 15 Exhibit No. 16 Exhibit No. 17 REMOVED FROM CONTRACT REMOVED FROM CONTRACT Exhibit No. 18 Exhibit No. 19 Exhibit No. 20 Exhibit No. 21 Exhibit No. 22 Exhibit No. 23 REMOVED FROM CONTRACT Exhibit No. 24 Exhibit No. 25 Exhibit No. 26 6022 REMOVED FROM CONTRACT Exhibit No. 27 Exhibit No. 28 Exhibit No. 29 Exhibit No. 30 Exhibit No. 31 27048 27047 Exhibit No. 32 Exhibit No. 33 5448 Exhibit No. 34 7519 5575 Exhibit No. 35 Exhibit No. 36 Exhibit No. 37 31060 31061 Exhibit No. 38 7081 Exhibit No. 39 5630, REMOVED FROM CONTRACT Exhibit No. 40 Exhibit No. 41 30683 Exhibit No. 42 22170 25306 Exhibit No. 43 Exhibit No. 44 Exhibit No. 45 Exhibit No. 46 Exhibit No. 47 Exhibit No. 48 Exhibit No. 49 30314