Contract-Bond_Portzen Construction, Inc. for Phase 1 17th St. Stormsewer i
SECTION 00 05 20
AGREEMENT
THIS AGREEMENT is by and between City of Dubuque
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(hereinafter called OWNER) and
Portzen Construction, Inc.
(hereinafter called CONTRACTOR).
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OWNER and CONTRACTOR, in consideration of the mutual covenants set forth herein, agree as
follows:
Article 1. WORK j
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1.01 CONTRACTOR shall complete all Work as specified or indicated in the Contract
Documents. The Work is generally described as follows:
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Article 2. THE PROJECT
2.01 The Project for which the Work under the Contract Documents may be the whole or only a
part is generally described as follows:
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Project consists of construction of 215 linear feet of 12-foot by 7-foot concrete box culvert, local storm k
sewer and intakes, roadway reconstruction, 10-inch watermain relocation, and miscellaneous
restoration, erosion control, traffic control, and dewatering.
Article 3. ENGINEER
3.01 The Project has been designed by Strand Associates, Inc.' (hereinafter called ENGINEER),
who is to act as OWNER's representative, assume all duties and responsibilities, and have the
rights and authority assigned to ENGINEER in the Contract Documents in connection with
completion of the Work in accordance with the Contract Documents.
Article 4. CONTRACT TIMES
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4.01 Time of the Essence
A. All time limits for Milestones, if any, Substantial Completion, and completion and
readiness for final payment as stated in the Contract Documents are of the essence of the
Contract.
4.02 Dates for Substantial Completion and Final Payment
A CONTRACTOR agrees that the Work will be substantially complete and ready for final
payment in accordance with Paragraph 14.07 of the General Conditions on or before June 1,
2018.
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In addition to the required substantial and final completion times, there are milestones by which
certain items of work must be completed. See General Requirements for milestone requiremetns.
Milestone 1 December 1, 2017
Milestone 2 January 1, 2018
4.03 Agreed Costs of Delay
A. CONTRACTOR and OWNER recognize that time is of the essence of this Agreement and
that OWNER will suffer financial loss if the Work is not completed within the times specified in
Paragraph 4.02 above, plus any extensions thereof allowed in accordance with Article 12 of the
General Conditions. The parties also recognize the delays, expense and difficulties involved in proving
in a legal or arbitration proceeding the actual loss suffered by OWNER if the Work is not completed on
time. Accordingly, instead of requiring any such proof, OWNER and CONTRACTOR agree that as
agreed costs of delay that does not result in adjustment of the contract time pursuant to Section 12.03
of the General Conditions (but not as a penalty), CONTRACTOR shall pay to OWNER the following
daily charge:
CONTRACTOR shall pay to OWNER agreed costs of delay of$1,000 per day.
Agreed costs of delay shall be applied separately to each of the milestone and final completion
date.
B. The CONTRACTOR and the CONTRACTOR's surety shall be liable for and shall pay the
OWNER for any extra costs for engineering or architectural services, construction observation services
and related expenses, and attorney's fees necessitated by the delayed prosecution of the work by the
CONTRACTOR beyond the date of Final Completion required by the Agreement. Such costs are in no
way a penalty, but represent additional expenses to the OWNER caused by the CONTRACTOR's delay
in completing the Work.
C. Agreed costs of delay will be assessed as follows:
1. Completion Date Contracts.
The amount of agreed costs of delay specified in the proposal form will be assessed, not as a
penalty but as predetermined and agreed cost of delay, for each calendar day that any work
remains uncompleted beyond the Completion Date or any extension authorized by OWNER.
Assessment of cost of delay will be based only on the number of calendar days required to
complete the contract beyond the completion date, plus authorized extensions.
The final payment will be withheld until the amount of agreed costs of delay are agreed
upon.
This provision for the assessment of the agreed costs of delay for failure to complete work
within the contract period does not constitute a waiver of the OWNER's right to collect any
additional damages other than time delays which the OWNER may sustain by failure of the
CONTRACTOR to carry out the terms of the contract.
4.04 Delays to Contractor and Extension of Time
A. If CONTRACTOR is delayed in the performance or progress of the Work by fire, flood,
epidemic, abnormal weather conditions, acts of God, acts or failures to act of utility owners not under
the control of OWNER, or other causes not the fault of and beyond control of OWNER and
CONTRACTOR, then CONTRACTOR shall be entitled to an equitable adjustment in Contract Times, if
such adjustment is essential to CONTRACTOR's ability to complete the Work within the Contract
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Times. Such an adjustment shall be CONTRACTOR's sole and exclusive remedy for the delays
described in this Paragraph.
Article 5. CONTRACT PRICE
5.01 OWNER shall pay CONTRACTOR for completion of the Work in accordance with the
Contract Documents an amount in current funds as follows:
$1,176,885.00
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A. For all Work, at the prices stated in CONTRACTOR's Bid, attached hereto as an
exhibit.
Article 6. PAYMENT PROCEDURES
6.01 Submittal and Processing of Payments
A. CONTRACTOR shall submit Applications for Payment in accordance with Article 14 of the j
General Conditions. Applications for Payment will be processed by ENGINEER as provided in the j
General Conditions.
6.02 Progress Payments; Retainage j
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A. Progress Payments: OWNER shall make progress payments on account of the Contract
Price on the basis of CONTRACTOR's Applications for Payment as established at the preconstruction
conference during performance of the Work as provided below. All such payments will be measured by
the number of units completed multiplied by the unit costs of the various units.
B. Retainage: OWNER shall retain an amount equal to 5% of each progress payment
application. The 5% retainage shall be withheld from all applications for progress payments until
100% of the work is complete. All punchlist items shall be finished before the work shall be
deemed 100% complete. CONTRACTOR shall not submit an application for progress payment that
indicates a work item as being 100% complete based on a claim that the retainage withholding
amount covers the cost of the outstanding work included on the punchlist.
1. Retained funds shall be retained by OWNER for a period of 30 calendar days after
the completion and final acceptance of the improvements by OWNER. If at the end of the
30 calendar day period claims are on file as provided in Iowa Code Ch. 573, OWNER shall
also continue to retain from the unpaid funds, a sum equal to double the total amount of all
claims on file. The remaining balance of the unpaid fund, or if no claims are on file and the
Work is complete, the entire unpaid fund shall be released and paid to CONTRACTOR.
2. Upon Substantial Completion of all Work, however, and in accordance with Iowa
Code 26.13, CONTRACTOR may request the release of all or part of the retained funds
owed. The request shall be accompanied by a sworn statement of CONTRACTOR that, ten
calendar days prior to filing the request, notice was given as required to all known
subcontractors, sub-subcontractors, and suppliers.
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a. Prior to applying for release of retained funds, CONTRACTOR shall send a
notice to all subcontractors, sub-subcontractors, and suppliers that provided labor or
materials for the public improvement project. the notice shall be substantially similar to
the following:
"NOTICE OF CONTRACTOR'S REQUEST FOR EARLY RELEASE OF RETAINED FUNDS
You are hereby notified that [name of CONTRACTOR] will be requesting an early release of
funds on a public improvement project designated as [name of project] for which you have
or may have provided labor or materials. The request will be made pursuant to Iowa Code
section 26.13. The request may be filed with the [name of governmental entity or
department] after ten calendar days from the date of this notice. The purpose of the request
is to have [name of governmental entity or department] release and pay funds for all work �
that has been performed and charged to [name of governmental entity or department] as of l
the date of this notice. This notice is provided in accordance with Iowa Code
section 26.13."
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b. If at the time of the request for the release of the retained funds labor or
material are yet to be provided, an amount equal to two hundred percent of the value
of the labor or materials yet to be provided, as determined by ENGINEER, may be
withheld until such labor or materials are provided.
3. CONTRACTOR shall release retained funds to subcontractor or subcontractors in
the same manner as retained funds are released to CONTRACTOR by OWNER. Each
subcontractor shall pass through each lower tier subcontractor all retained fund payments r
from CONTRACTOR.
6.03 Final Payment
A. OWNER shall pay the remainder of the Contract Price as recommended by
ENGINEER as provided in said Paragraph 14.07. r
Article 7. HIERARCHY I
7.01 In resolving inconsistencies among two or more sections of the Contract Documents, f
precedence shall be given in the following order:
First: WRITTEN AMENDMENTS
Second: AGREEMENT
Third: CHANGE ORDERS
Fourth: ADDENDA f
Fifth: GENERAL CONDITIONS
Sixth: SPECIFICATIONS
Seventh: DRAWINGS
Figure dimensions (numerical) on Drawings shall take precedence over dimensions measured utilizing
a scale. [
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Article 8. CONTRACTOR'S REPRESENTATIONS
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8.01 In order to induce OWNER to enter into this Agreement, CONTRACTOR makes the following
representations:
A. CONTRACTOR has examined and carefully studied the Contract Documents and the
other related data identified in the Bidding Documents.
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B. CONTRACTOR has visited the Site and become familiar with and is satisfied as to the k
general, local, and Site conditions that may affect cost, progress, and performance of the Work.
C. CONTRACTOR is familiar with and is satisfied as to all federal, state, and local Laws
and Regulations that may affect cost, progress and performance of the Work.
D. CONTRACTOR has carefully studied (1) all reports of explorations and tests of subsurface
conditions at or contiguous to the Site and all drawings of physical conditions in or relating to existing
surface or subsurface structures at or contiguous to the Site (except Underground Facilities) which
have been identified in Paragraph 4.02 of the General Conditions and (2) reports and drawings of a
Special Environmental Condition, if any, at the Site which has been identified in Paragraph 4.06 of the f
General Conditions.
E. CONTRACTOR has obtained and carefully studied (or accepts consequences of not f
doing so) all additional or supplementary examinations, investigations, explorations, tests, studies,
and data concerning conditions (surface, subsurface, and Underground Facilities) at or contiguous
to the Site that may affect the cost, progress, or performance of the Work or which relate to any
aspect of the means, methods, techniques, sequences, and procedures of construction to be
employed by CONTRACTOR, including any specific means, methods, techniques, sequences, and
procedures of construction expressly required by the Contract Documents and safety precautions
and programs incident thereto.
F. CONTRACTOR does not consider that any further examinations, investigations,
explorations, tests, studies, or data are necessary for the performance of the Work at the Contract
Price, within the Contract Times, and in accordance with the other terms and conditions of the
Contract Documents.
G. CONTRACTOR is aware of the general nature of work to be performed by OWNER
and others at the Site that relates to the Work as indicated in the Contract Documents.
H. CONTRACTOR has correlated the information known to CONTRACTOR, information
and observations obtained from visits to the Site, reports and drawings identified in the Contract
Documents, and all additional examinations, investigations, explorations, tests, studies, and data
with the Contract Documents.
I. CONTRACTOR has given ENGINEER written notice of all conflicts, errors, ambiguities,
or discrepancies that CONTRACTOR has discovered in the Contract Documents, and the written
resolution thereof by ENGINEER is acceptable to CONTRACTOR.
J. The Contract Documents are generally sufficient to indicate and convey understanding
of all terms and conditions for performance and furnishing of the Work.
K. The CONTRACTOR must make frequent inspections during the progress of the Work
to confirm that Work previously performed by the CONTRACTOR is in compliance with the
Contract Documents and applicable laws and regulations bearing on the performance of the Work
and Referenced Standards and that portion of Work previously performed by the CONTRACTOR
or by others are in proper condition to receive subsequent Work.
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Article 9. CONTRACT DOCUMENTS
9.01 Contents
A. The Contract Documents consist of the following:
1. This Agreement(pages 00520-1 through 00520- 12 , inclusive);
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2. Performance, Payment, and Maintenance Bond (pages to 00600-1 through
00600-5, inclusive);
3. Other bonds I'
a. (pages to , inclusive); I
b. (pages to , inclusive);
C. (pages to , inclusive);
4. General Conditions ( pages 1 through 91 inclusive);
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5. Specifications as listed in the table of contents of the Project Manual;
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6. Drawings—Sheets No.0000 through No. C058
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inclusive incorporated herein by reference with each sheet bearing the following
general title:
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Phase 1 - 17th Street Storm Sewer Improvements Project
as well as drawings listed in the table of contents that are bound at the back of these
specifications.
7. Addenda ( Numbers 1 through 3 ),
8. Exhibits to this Agreement(enumerated as follows:)
a. CONTRACTOR's Bid (pages 00 04 00 -5 to 00 04 00-7);
b. Documentation submitted by CONTRACTOR prior to Notice of Award
9. Special Attachments as follows:
a. Sales Tax Instruction.
b. Out of State Bond Requirements.
C. Schedule B Insurance Requirements.
d. Requirements e t on 3 C ause ddendum 1
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e. Permits.
10. The following may be delivered or issued on or after the Effective Date of the
Agreement:
a. Notice to Proceed (pages {00 05 50-11 to f 00 05 50-1 ), inclusive);
b. Work Change Directives (not attached to this Agreement);
C. Change Order(s) (not attached to this Agreement).
B. The documents listed in Paragraph 9.01.A are attached to this Agreement (except
as expressly noted otherwise above).
C. There are no Contract Documents other than those listed above in this Article 9.
D. The Contract Documents may only be amended, modified, or supplemented as
provided in Paragraph 3.04 of the General Conditions.
Article 10. MISCELLANEOUS
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10.01 Terms
A. Terms used in this Agreement will have the meanings stated in the General Conditions.
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10.02 Assignment of Contract
A. No assignment by a party hereto of any rights under or interests in the Contract will be
binding on another party hereto without the written consent of the party sought to be bound; and
specifically but without limitation, monies that may become due and monies that are due may not
be assigned without such consent (except to the extent that the effect of this restriction may be
limited by law), and unless specifically stated to the contrary in any written consent to an
assignment, no assignment will release or discharge the assignor from any duty or responsibility
under the Contract Documents.
10.03 Successors and Assigns
A. OWNER and CONTRACTOR each binds itself, its partners, successors, assigns and
legal representatives to the other party hereto, its partners, successors, assigns and legal
representatives in respect of all covenants, agreements, and obligations contained in the Contract
Documents.
10.04 Severability
A. Any provision or part of the Contract Documents held to be void or unenforceable
under any Law or Regulation shall be deemed stricken, and all remaining provisions shall continue
to be valid and binding upon OWNER and CONTRACTOR, who agree that the Contract
Documents shall be reformed to replace such stricken provision or part thereof with a valid and
enforceable provision that comes as close as possible to expressing the intention of the stricken
provision.
10.05 Nonwaiver
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A. No provision of the Contract Documents will be deemed waived by reason of one party
failing to enforce the provision on one or more occasions.Any such waiver must be in writing.
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10.06 Integration
A. The parties' entire agreement is contained in the Contract Documents, and the
provisions of the Contract Documents supersede all prior discussions or writings between the parties.
10.07 Attorney's Fees
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A. In the event the Owner should prevail in any legal action arising out of the performance
or non-performance of this Agreement, the Contractor shall
p g pay, in addition to any damages, all
expenses of such action including reasonable attorney's fees, all expert witness fees, costs, and
litigation expenses incurred by the Owner, including those incurred on appeal. The term "legal action"
shall be deemed to include any arbitration, administrative proceedings, and all actions at law or in
equity, including appeals.
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INSTRUCTIONS FOR EXECUTING CONTRACT
The full name and business address of CONTRACTOR should be inserted and the Agreement should
be signed with CONTRACTOR's official signature. Please have the name of the signing party printed
under all signatures to the Agreement.
If CONTRACTOR is operating as a partnership, each partner should sign the Agreement. If the
Agreement is not signed by each partner, there should be attached to the Agreement a duly
authenticated power of attorney evidencing the signer's (signers') authority to sign such Agreement for
and on behalf of the partnership.
If CONTRACTOR is an individual, the trade name (if CONTRACTOR is operating under a trade name)
should be indicated in the Agreement and the Agreement should be signed by such individual. If signed
by other than CONTRACTOR, there should be attached to the Agreement a duly authenticated power
of attorney evidencing the signer's authority to execute such Agreement for and on behalf of
CONTRACTOR.
If CONTRACTOR is operating as a limited liability company, and it is member-managed, each member
should sign the Agreement, or an authorized member should sign. If the LLC is manager-managed,9 g g g aged, an
authorized manager should sign. If the Agreement is not signed by each member, there should be
attached to the Agreement a duly authenticated power of attorney evidencing the signer's (signers')
authority to sign such Agreement for and on behalf of the LLC.
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IN WITNESS WHEREOF, OWNER and CONTRACTOR have signed this Agreement in quadruplicate.
One counterpart each has been delivered to OWNER, CONTRACTOR, and ENGINEER. All portions of
the Contract Documents have been signed or identified by OWNER and CONTRACTOR or identified
by ENGINEER on their behalf.
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This Agreement will be effective on August 9, 2017
(which is the Effective Date of the Agreement).
OWNER City of Dubuque
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Signa ure and Tiffe
ATTEST:
By:
Signature andXitle
Address for Giving Notices:
Name: City of Dubuque - Engineering
Street: 50 W 13th St
City, State, Zip Code: Dubuque, IA 52001
Phone: 563-589-4270
Facsimile:
E-mail: dmuehrin@cityofdubuque.org
Designated Representative: Deron Muehring
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CONTRACTOR Portzen Construction, .Inc.
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Michael J Portzen, Vice President
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(Seal)
Signature and Title
ATTEST:
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By: Adam E Portzen, Corporate Secretary
Signature and Title ;I
Address for Givinq Notices:
Company Name: Portzen Construction, Inc.
Street: 205 Stone Valley Drive !i
City, State, Zip Code: Dubuque, Iowa 52003
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Phone: (563) 557 7642
Facsimile: (563) 557 9048
E-mail: jrportzen @ pci-dbq.com ti
Designated Representative: Michael J Portzen, Vice President a
(For Purposes of Notices)
License No.: C099538 (State of Iowa Contractor License) 1
(Where applicable)
(IF CONTRACTOR is a corporation, limited liability company, or a partnership, attach evidence of
authority to sign.)
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If CONTRACTOR is a corporation, the Secretary of the corporation should sign the certificate below. If
the Agreement itself is signed by the Secretary of the corporation, the certificate below should be
executed by some other officer of the corporation, under the corporate seal. In lieu of the following N
certificate, there may be attached to the Agreement copies of so much of the records of the corporation
which will show the official character and authority of the officers signing, duly certified by the Secretary
or Assistant Secretary under the corporate seal to be true copies.
Adam E Portzen , certify that I am the Corporate Secretary
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{l'rtnf Name} (rifle of Officer Signing Certificate) II
of the corporation named as CONTRACTOR herein above; that Michael J Portzen
(Print Name of Officer Signing Agreement) �I
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who signed the foregoing Agreement on behalf of CONTRACTOR was then
Vice President of said corporation; that said Agreement was duly signed
(Title of Officer Signing Agreement)
for and on behalf of said Corporation by authority of its governing body, and is within the scope of its
corporate powers.
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(Corporate Seal
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END OF SECTION
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MINUTES OF THE
BOARD OF DIRECTORS MEETING
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PORTZEN CONSTRUCTION, INC.
Pursuant to notice, a special meeting of the Board of Directors of the above
corporation was hold on December 2, 2015 at 8:15 am. at the corporation's
place of business.
The purpose of the meeting was to change Officers of the Corporation: Michael
E. Port en remains as President, Michael J. Port en remains as Vice President
and Jayme Kluesner remains as Treasurer. Adam E. Portzen added the title of
Corporate Secretary from Jayme Kluesner,
L QUORUM. A quorum was declared present based on the presence of
the following directors/officers:
Michael E. Porten
Michael J. port zen
Adam E. Portzen
Jayme Kluesner
The following corporate actions were taken by appropriate motions
duly made, seconded, and adopted by the majority vote of the Michael
E. Portzen entitled to vote (unless a higher voting approval is stated).
The appointment of Adam E. Port en as Corporate, Secretary.
There being no further business, the meeting was duly adjourned.
Michael E. Port en
President
HUD Requirements(Section 3 Clause)
A. The work to be performed under this contract is subject to the requirements of section 3 of the
Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The
purpose of section 3 is to ensure that employment and other economic opportunities generated by
HUD assistance or HUD-assisted projects covered by section 3,shall,to the greatest extent feasible,
be directed to low-and very low-income persons,particularly persons who are recipients of HUD
assistance for housing. !
B. The parties to this contract agree to comply with HUD's regulations in 24 CFR part 135, which
implement section 3. As evidenced by their execution of this contract, the parties to this contract
certify that they are under no contractual or other impediment that would prevent them from
complying with the part 135 regulations.
C. The contractor agrees to send to each labor organization or representative of workers with which
the contractor has a collective bargaining agreement or other understanding, if any, a notice j
advising the labor organization or workers' representative of the contractor's commitments under
this section 3 clause,and will post copies of the notice in conspicuous places at the work site where
both employees and applicants for training and employment positions can see the notice.The notice
shall describe the section 3 preference, shall set forth minimum number and job titles subject to
hire, availability of apprenticeship and training positions,the qualifications for each;and the name
and location of the person(s)taking applications for each of the positions; and the anticipated date
the work shall begin.
D. The contractor agrees to include this section 3 clause in every subcontract subject to compliance
with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an
applicable provision of the subcontract or in this section 3 clause, upon a finding that the f
subcontractor is in violation of the regulations in 24 CFR part 135. The contractor will not p
subcontract with any subcontractor where the contractor has notice or knowledge that the ,
subcontractor has been found in violation of the regulations in 24 CFR part 135. G
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E. The contractor will certify that any vacant employment positions,including training positions,that f
are filled(1)after the contractor is selected but before the contract is executed,and(2)with persons
other than those to whom the regulations of 24 CFR part 135 require employment opportunities to
be directed,were not filled to circumvent the contractor's obligations under 24 CFR part 135.
F. Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, termination
of this contract for default,and debarment or suspension from fixture HUD assisted contracts.
G. With respect to work performed in connection with section 3 covered Indian housing assistance,
section 7(b) of the Indian Self-Determination and Education Assistance Act(25 U.S.C.450e)also
applies to the work to be performed under this contract. Section 7(b)requires that to the greatest
extent feasible (i) preference and opportunities for training and employment shall be given to
Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian
organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to
the provisions of section 3 and section 7(b) agree to comply with section 3 to the maximum extent
feasible,but not in derogation of compliance with section 7(b).
H. Terms outlined in Addendum 1 if applicable.
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HUD REQUIREMENTS: ADDENDUM I
CIVIL RIGHTS
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DISCRIMINATION IN EMPLOYMENT. The Consultant shall not discriminate against any
qualified employee or applicant for employment because of race, color,religion, sex,national
origin, age, sexual orientation, gender identity, familial status,physical or mental disability. The u
Consultant may take affirmative action to ensure that applicants are employed and that
employees are treated without regard to their race color,religion, sex national origin, age,
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sexual orientation, familial status, gender identity, or physical or mental disability. Such action
shall include, but may not be limited to, the following: employment, upgrading,promotion,
demotion or transfers; recruitment or recruitment advertising; lay-off or termination; rates of pay
or other forms of compensation; and selection for training, including an apprenticeship. The
Consultant agrees to post notices setting forth the provisions of the nondiscrimination clause in
conspicuous places so as to be available to employees Upon the State's written request, the
Consultant shall submit to the State a copy of its affirmative action plan, containing goals and
time specifications, and accessibility plans and policies as required under Iowa Administrative
Code chapter 11-121.
CONSIDERATION FOR EMPLOYMENT. The Consultant shall, in all solicitations or
advertisements for employees placed by or on behalf of the Consultant, state that all qualified
applicants will receive consideration for employment without regard to race, color, religion, sex,
national origin, age, sexual orientation, gender identity,physical or mental disability, or familial
status.
SOLICITATION AND ADVERTISEMENT. The Consultant shall list all suitable employment
openings in the State Employment Service local offices.
CIVIL RIGHTS COMPLIANCE IN EMPLOYMENT. The Consultant shall comply with all
relevant provisions of the Iowa Civil Rights Act of 1965 as amended; Chapter 1913.7 and Chapter
216, Code of Iowa; Federal Executive Order 11246, as amended; Title VI of the U.S. Civil E
Rights Act of 1964 as amended(42 U.S.C. Section 2000d et seq.); the Fair Labor Standards Act
(29 U.S.C. Section 201 et seq.); The Americans with Disabilities Act, as applicable, (P.L. 101
336, 42 U.S.C. 12101-12213); Section 504 of the Rehabilitation Act of 1973 as amended(29
U.S.C. Section 794); and the Age Discrimination Act of 1975 as amended(42 U.S.C. Section
6101 et seq.). The Consultant will furnish all information and reports requested by the State of j
Iowa or required by or pursuant to the rules and regulations thereof and will permit access to
payroll and employment records by the State of Iowa to investigate compliance with these rules
and regulations.
CIVIL RIGHTS COMPLIANCE IN EMPLOYMENT. The Consultant shall comply with all
relevant provisions of the Iowa Civil Rights Act of 1965 as amended; Chapter 19B.7 and Chapter
216, Code of Iowa; Federal Executive Order 11246, as amended; Title VI of the U.S. Civil
Rights Act of 1964 as amended(P.L. 88-42 352, 42 U.S.C. Section 2000d et seq.); the Fair Labor
Standards Act(29 U.S.C. Section 201 et seq.); The Americans with Disabilities Act, as
applicable, (P.L. 101336, 42 U.S.C. 12101-12213); Section 504 of the Rehabilitation Act of j
1973 as amended(P.L. 93-112, 29 U.S.C. Section 794); and the Age Discrimination Act of 1975
as amended (42 U.S.C. Section 6101 et seq.). The Consultant will furnish all information and
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HUD ADD 1,PAGE 1 of 6
reports requested by the State of Iowa or required by or pursuant to the rules and regulations
thereof and will permit access to payroll and employment records by the State of Iowa to
investigate compliance with these rules and regulations.
CERTIFICATION REGARDING GOVERNMENT-WIDE RESTRICTION ON
LOBBYING. The Consultant certifies, to the best of his or her knowledge and belief, that:
i No Federal appropriated funds have been aid or will be aid b or on behalf of the
(�) P � P � � Y
Consultant,to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an employee of a j
Member of Congress in connection with awarding any Federal contract, making any Federal
grant, making any Federal loan, entering into any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or
cooperative agreement.
(ii) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the Consultant
shall complete and submit Standard Form-LLL, "Disclosure Form to Report Federal
Lobbying" in accordance with its instruction.
(iii)The Consultant shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subcontractors shall certify and
disclose accordingly.
(iv)This certification is a material representation of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be subject to a civil
penalty of not less than$10,000 and not more than$100,000 for each such failure.
PROGRAM NONDISCRIMINATION. The Consultant shall conform with requirements of
Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.) and HUD regulations issued
pursuant thereto contained in 24 CFR Part 1. No person in the United States shall,on the basis k
of race, color,national origin, sex or religion or religious affiliation, be excluded from
participation in,be denied the benefits of, or be subjected to discrimination under any program or
activity funded in whole or in part with funds made available through this Contract. Any
prohibition against discrimination on the basis of age under the Age Discrimination Act of 1975
(42 U.S.C. 6101 et. seq.) or with respect to an otherwise qualified individual with a disability as
provided in the Americans with Disabilities Act, as applicable, (P.L. 101336, 42 U.S.C. 12101
12213) or Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. Section 794) shall also apply
to any such program or Project.
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HUD ADD 1,PAGE 2 of 6
c
7.6 Fair Housing-The Consultant shall comply with Title VIII of the Civil Rights Act of 1968
(42 U.S.C. 3601 et seq.), generally known as the Fair Housing Act, and with HUD regulations f
found at 24 CFR Part 107, issued in compliance with Federal Executive Order 11063, as
amended by Federal Executive Order 12259. The Consultant shall also comply with Section f
109, Title I of the Housing and Community Development Act of 1974, as amended(42 U.S.C.
5309).
SECTION 3 COMPLIANCE. The Consultant shall comply with provisions for training,
employment, and contracting in accordance with 24 CFR part 135, Section 3 of the Housing and
Urban Development Act of 1968 (12 U.S.C. 1701u). All section 3 covered contracts shall
include the following clause(referred to as the section 3 clause):
A. The work to be performed under this contract is subject to the requirements of section 3 of the
Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 170lu(section 3). The
purpose of section 3 is to ensure that employment and other economic opportunities
generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the
greatest extent feasible,be directed to low- and very low-income persons,particularly
persons who are recipients of HUD assistance for housing.
B. The parties to this contract agree to comply with HUD's regulations in 24 CFR part 135,
which implement section 3. As evidenced by their execution of this contract, the parties to
this contract certify that they are under no contractual or other impediment that would
prevent them from complying with the part 135 regulations.
C. The Consultant agrees to send to each labor organization or representative of workers with
which the Consultant has a collective bargaining agreement or other understanding, if any, a
notice advising the labor organization or workers' representative of the Consultant's
commitments under this section 3 clause, and will post copies of the notice in conspicuous
places at the work site where both employees and applicants for training and employment
positions can see the notice. The notice shall describe the section 3 preference, shall set forth
minimum number and job titles subject to hire, availability of apprenticeship and training
positions, the qualifications for each; and the name and location of the person(s)taking
applications for each of the positions; and the anticipated date the work shall begin.
D. The Consultant agrees to include this section 3 clause in every subcontract subject to
compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as
provided in an applicable provision of the subcontract or in this section 3 clause,upon a
finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The
Consultant will not subcontract with any subcontractor where the Consultant has notice or
knowledge that the subcontractor has been found in violation of the regulations in 24 CFR
part 135.
E. The Consultant will certify that any vacant employment positions, including training
positions, that are filled(1) after the Consultant is selected but before the contract is
executed, and(2)with persons other than those to whom the regulations of 24 CFR part 135
HUD ADD 1,PAGE 3 of 6
require employment opportunities to be directed, were not filled to circumvent the
Consultant's obligations under 24 CFR part 135.
F.Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, h
termination of this contract for default, and debarment or suspension from future HUD
assisted contracts.
G. With respect to work performed in connection with section 3 covered Indian housing
assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act(25
U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b)
requires that to the greatest extent feasible (i)preference and opportunities for training and
employment shall be given to Indians, and(ii)preference in the award of contracts and
i{
subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises.
Parties to this contract that are subject to the provisions of section 3 and section 7(b) agree to
comply with section 3 to the maximum extent feasible, but not in derogation of compliance
with section 7(b).
i.
NONCOMPLIANCE WITH THE CIVIL RIGHTS LAWS. In the event of the Consultant's y'
noncompliance with the nondiscrimination clauses of this Contract or with any of the aforesaid
1
rules, regulations, or requests, this Contract may be canceled, terminated, or suspended either r
wholly or in part. In addition, the State of Iowa may take further action, imposing other 4i
sanctions and invoking additional remedies as provided by the Iowa Civil Rights Act of 1965 V'
(Chapter 216, Code of Iowa) or as otherwise provided by law.
i
INCLUSION IN SUBCONTRACTS. The Consultant will include the provisions of the
preceding paragraphs of Section 14 in every subcontract unless exempt by the State of Iowa, and
said provisions will be binding on each subcontractor. The Consultant will take such action with �
respect to any subcontract as the State of Iowa may direct as a means of enforcing such i
provisions, including sanctions for noncompliance. In the event the Consultant becomes j
involved in or is threatened by litigation with a subcontractor or vendor as a result of such
direction by the State of Iowa, the Consultant may request the State of Iowa to enter into such
litigation to protect the interests of the State of Iowa.
�I
OTHER REQUIREMENTS
In connection with the carrying out of this agreement, Consultant agrees to comply with any and all
rules and regulations of the Iowa Economic Development Authority and the Department of Housing
and Urban Development concerning third party contracts.
In connection with the carrying out of this agreement,Consultant and City acknowledge that there
may be third part contracts which apply to said project. Should there be third party contracts which
apply to this contract for services Consultant shall be performing,City agrees to provide Consultant
with notice of said third party contracts and copies thereof,within five(5) days of this agreement, or
City's receipt thereof. Failure to do so shall void any requirement(s)by Consultant to comply with
any rules and regulations of third parties pertaining to this project.
HUD ADD 1,PAGE 4 of 6
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c
LEAD SAFE HOUSING REGULATIONS
In connection with the carrying out of this agreement, Consultant agrees to comply with the U.S.
Department of Housing and Urban Development Lead Safe Housing Regulations—24 CFR Part 35,
et. al. "Requirement for Notification,Evaluation and Reduction of Lead-Based Paint Hazards in
Federally Owned Residential Property and Housing Receiving Federal Assistance: Final Rule."
ALL CONTRACT'S IN EXCESS OF $100,000
In addition to the preceding provisions, contracts in excess of$100,000 shall require compliance
with the following laws and regulations:
Section 306 of the Clean Air Acts(42 U.S.C. 1857(h)).
Section 508 of the Clean Water Act(33 U.S.C. 1368).
Executive Order 11738.
EPA Regulations—40 CFR, Part 15.
Clean Air and Water Acts -required clauses:
This clause is required in all third party contracts involving projects subject to the Clean Air Act
(42 U.S.C. 1857 et seq.), the Federal Water Pollution Control Act(33 U.S.C. 1251 et seq.), and
the regulations of the Environmental Protection Agency with respect to 40 CFR Part 15, as
amended. It should also be mentioned in the bid document.
During the performance of this contract, the Consultant agrees as follows:
(1) Consultant will certify that any facility to be utilized in the performance of any nonexempt
contract or subcontract is not listed on the Excluded Party Listing System pursuant to 40
CFR 32.
(2) Consultant agrees to comply with all the requirements of Section 114 of the Clean Air Act,
as amended, (42 U.S.C. 1857c-8) and Section 308 of the Federal Water Pollution Control
Act, as amended(33 U.S.C. 1318) relating to inspection, monitoring, entry,reports, and
information, as well as all other requirements specified in said Section 114 and Section
308, and all regulations and guidelines issued thereunder.
(3) Consultant agrees that as a condition for the award of the contract,prompt notice will be
given of any notification received from the Director, Office of Federal Activities,
Environmental Protection Agency, indicating that a facility utilized or to be utilized for the
contract is under consideration to be listed on the Excluded Party Listing System.
(4) Consultant agrees that it will include or cause to be included the criteria and requirements
in Paragraph(1) through(4) of this section in every nonexempt subcontract and require
every subcontractor to take such action as the Government may direct as a means of
enforcing such provisions. Environmental Protection Agency, indicating that a facility
utilized or to be utilized for the contract is under consideration to be listed on the Excluded
Party Listing System.
(5) The Consultant will certify that any facility to be utilized in the performance of any
nonexempt contract or subcontract is not listed on the Excluded Party Listing System
pursuant to 40 CFR 32.
(6) The Consultant agrees to comply with all the requirements of Section 114 of the Clean Air
Act, as amended, (42 U.S.C. 1857c-8) and Section 308 of the Federal Water Pollution
Control Act, as amended(33 U.S.C. 1318)relating to inspection,monitoring, entry,
HUD ADD 1, PAGE 5 of 6
reports, and information, as well as all other requirements specified in said Section 114 and
Section 308, and all regulations and guidelines issued thereunder.
(7) Consultant agrees that as a condition for the award of the contract,prompt notice will be 4
given of any notification received from the Director, Office of Federal Activities,
Environmental Protection Agency, indicating that a facility utilized or to be utilized for the
contract is under consideration to be listed on the Excluded Party Listing System. '
(8) Consultant agrees that it will include or cause to be included the criteria and requirements '
in Paragraph(1) through(4) of this section in every nonexempt subcontract and require
every subcontractor to take such action as the Government may direct as a means of �!
enforcing such provisions. Environmental Protection Agency, indicating that a facility
utilized or to be utilized for the contract is under consideration to be listed on the Excluded
Party Listing System. G
(9) Consultant will certify that any facility to be utilized in the performance of any nonexempt
contract or subcontract is not listed on the Excluded Party Listing System pursuant to 40
CFR 32. C
(10) Consultant agrees to comply with all the requirements of Section 114 of the Clean Air Act,
as amended, (42 U.S.C. 1857c-8) and Section 308 of the Federal Water Pollution Control
Act, as amended(33 U.S.C. 1318) relating to inspection, monitoring, entry, reports, and
information,as well as all other requirements specified in said Section 114 and Section
308, and all regulations and guidelines issued thereunder.
(11) Consultant agrees that as a condition for the award of the contract,prompt notice will be
given of any notification received from the Director, Office of Federal Activities,
Environmental Protection Agency, indicating that a facility utilized or to be utilized for the
contract is under consideration to be listed on the Excluded Party Listing System.
(12) Consultant agrees that it will include or cause to be included the criteria and requirements
in Paragraph(1)through(4) of this section in every nonexempt subcontract and require
every subcontractor to take such action as the Government may direct as a means of
E
enforcing such provisions. Environmental Protection Agency, indicating that a facility c
utilized or to be utilized for the contract is under consideration to be listed on the Excluded
Party Listing System. t
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4
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M
V
HUD ADD 1,PAGE 6 of 6
I
f
I
Federal Labor Standards Provisions U.S. Department of Housing
And Urban Development f
Office of Labor Relations 4
f
Applicability and HUD or its designee agree on the classification and wage
The Project or Program to which the construction work covered rate (including the amount designated for fringe benefits where
by this contract pertains is being assisted by the United States of appropriate), a report of the action taken shall be sent by HUD or
America and the following Federal Labor Standards Provisions its designee to the Administrator of the Wage and Hour Division,
are included in this Contract pursuant to the provisions Employment Standards Administration, U.S. Department of
applicable to such Federal assistance. Labor, Washington, D.C. 20210. The Administrator, or an
authorized representative, will approve, modify, or disapprove
A.1. (i) Minimum Wages.All laborers and mechanics employed every additional classification action within 30 days of receipt,
or working upon the site of the work, will be paid unconditionally and so advise HUD or its designee or will notify HUD or its
and not less often than once a week, and without subsequent designee within the 30-day period that additional time is
deduction or rebate on any account (except such payroll necessary. (Approved by the Office of Management and Budget
deductions as are permitted by regulations issued by the under OMB control number 1215-0140.)
Secretary of Labor under the Copeland Act(29 CFR Part 3), the
full amount of wages and bona fide fringe benefits (or cash (c)In the event the contractor, the laborers or mechanics to be
equivalents thereof) due at time of payment computed at rates employed in the classification or their representatives, and HUD j
not less than those contained in the wage determination of the or its designee do not agree on the proposed classification and
Secretary of Labor which is attached hereto and made a part wage rate (including the amount designated for fringe benefits,
hereof, regardless of any contractual relationship which may be where appropriate), HUD or its designee shall refer the
alleged to exist between the contractor and such laborers and questions, including the views of all interested parties and the
mechanics. Contributions made or costs reasonably anticipated recommendation of HUD or its designee, to the Administrator for
for bona fide fringe benefits under Section I(b)(2) of the Davis- determination. The Administrator, or an authorized
Bacon Act on behalf of laborers or mechanics are considered representative, will issue a determination within 30 days of
wages paid to such laborers or mechanics, subject to the receipt and so advise HUD or its designee or will notify HUD or
provisions of 29 CFR 5.5(a)(1)(iv); also, regular contributions its designee within the 30-day period that additional time is
made or costs incurred for more than a weekly period (but not necessary. (Approved by the Office of Management and Budget
less often than quarterly)under plans,funds, or programs,which under OMB Control Number 1215-0140.)
cover the particular weekly period, are deemed to be
constructively made or incurred during such weekly period. (d)The wage rate (including fringe benefits where appropriate)
Such laborers and mechanics shall be paid the appropriate wage determined pursuant to subparagraphs (1)(ii)(b) or (c) of this
rate and fringe benefits on the wage determination for the paragraph, shall be paid to all workers performing work in the
classification of work actually performed, without regard to skill, classification under this contract from the first day on which work
except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics is performed in the classification.
performing work in more than one classification may be
compensated at the rate specified for each classification for the (Iii)Whenever the minimum wage rate prescribed in the contract
time actually worked therein: Provided, that the employer's for a class of laborers or mechanics includes a fringe benefit
payroll records accurately set forth the time spent in each which is not expressed as an hourly rate, the contractor shall
classification in which work is performed. The wage either pay the benefit as stated in the wage determination or
determination (including any additional classification and wage shall pay another bona fide fringe benefit or an hourly cash
rates conformed under 29 CFR 5.5(a)(1)(ii)and the Davis-Bacon equivalent thereof.
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 (iv)lf the contractor does not make payments to a trustee or
accessible, place where it can be easily seen by the workers. other third person, the contractor may consider as part of the
wages of any laborer or mechanic the amount of any costs
(ii)(a) Any class of laborers or mechanics which is not listed in reasonably anticipated in providing bona fide fringe benefits
the wage determination and which is to be employed under the under a plan or program, Provided, That the Secretary of Labor
contract shall be classified in conformance with the wage has found, upon the written request of the contractor, that the
determination. HUD shall approve an additional classification applicable standards of the Davis-Bacon Act have been met.The
and wage rate and fringe benefits therefor only when the Secretary of Labor may require the contractor to set aside in a
following criteria have been met: separate account assets for the meeting of obligations under the
plan or program. (Approved by the Office of Management and
(1)The work to be performed by the classification requested is Budget under OMB Control Number 1215-0140.)
not performed by a classification in the wage determination;and
2.Withholding.HUD or its designee shall upon its own action or
(2)The classification is utilized in the area by the construction upon written request of an authorized representative of the
industry; and Department of Labor withhold or cause to be withheld from the
contractor under this contract or any other Federal contract with
(3)The proposed wage rate, including any bona fide fringe the same prime contractor, or any other Federally-assisted
benefits, bears a reasonable relationship to the wage rates contract subject to Davis-Bacon prevailing wage requirements,
contained in the wage determination. which is held by the same prime contractor so much of the
accrued payments or advances as may be considered necessary
(b)lf the contractor and the laborers and mechanics to be to pay laborers and mechanics, including apprentices, trainees
employed in the classification(if known), or their representatives, and helpers, employed by the contractor or any subcontractor
IOWA 2016 CDBG MANAGEMENT GUIDE-APPENDIX 2 PAGE. 74
the full amount of wages required by the contract In the event of or its designee,the contractor, or the Wage and Hour Division of
failure to pay any laborer or mechanic, including any apprentice, the Department of Labor for purposes of an investigation or audit
trainee or helper, employed or working on the site of the work,all of compliance with prevailing wage requirements. It is not a
ti
or part of the wages required by the contract, HUD or its violation of this subparagraph for a prime contractor to require a
designee may, after written notice to the contractor, sponsor, subcontractor to provide addresses and social security numbers
applicant, or owner, take such action as may be necessary to to the prime contractor for its own records, without weekly
cause the suspension of any further payment, advance, or submission to HUD or its designee. (Approved by the Office of
guarantee of funds until such violations have ceased. HUD or its Management and Budget under OMB Control Number 1215-
designee may, after written notice to the contractor, disburse 0149.)
such amounts withheld for and on account of the contractor or
subcontractor to the respective employees to whom they are (b) Each payroll submitted shall be accompanied by a
due. The Comptroller General shall make such disbursements in "Statement of Compliance," signed by the contractor or
the case of.direct Davis-Bacon Act contracts. subcontractor or his or her agent who pays or supervises the
payment of the persons employed under the contract and shall j
3. (i) Payrolls and basic records. Payrolls and basic records certify the following: l
relating thereto shall be maintained by the contractor during the
course of the work preserved for a period of three years (1)That the payroll for the payroll period contains the information I
thereafter for all laborers and mechanics working at the site of required to be provided under 29 CFR 5.5 (a)(3)(ii), the
the work. Such records shall contain the name, address, and appropriate information is being maintained under 29 CFR
social security number of each such worker, his or her correct 5.5(a)(3)(i), and that such information is
classification, hourly rates of wages paid (including rates of correct and complete;
contributions or costs anticipated for bona fide fringe benefits or
cash equivalents thereof of the types described in Section (2) That each laborer or mechanic (including each helper,
I(b)(2)(B) of the Davis-bacon Act), daily and weekly number of apprentice, and trainee) employed on the contract during the
hours worked, deductions made and actual wages paid. payroll period has been paid the full weekly wages earned,
Whenever the Secretary of Labor has found under 29 CFR 5.5 without rebate, either directly or indirectly, and that no
(a)(1)(iv) that the wages of any laborer or mechanic include the deductions have been made either directly or indirectly from the
amount of any costs reasonably anticipated in providing benefits full wages earned,other than permissible deductions as set forth
under a plan or program described in Section I(b)(2)(B) of the in 29 CFR Part 3;
Davis-Bacon Act, the contractor shall maintain records which
show that the commitment to provide such benefits is (3) That each laborer or mechanic has been paid not less than
enforceable, that the plan or program is financially responsible, the applicable wage rates and fringe benefits or cash equivalents
and that the plan or program has been communicated in writing for the classification of work performed, as specified in the
to the laborers or mechanics affected, and records which show applicable wage determination incorporated into the contract.
the costs anticipated or the actual cost incurred in providing such
benefits. Contractors employing apprentices or trainees under (c) The weekly submission of a properly executed certification
approved programs shall maintain written evidence of the set forth on the reverse side of Optional Form WH-347 shall
registration of apprenticeship programs and certification of satisfy the requirement for submission of the "Statement of
trainee programs, the registration of the apprentices and Compliance"required by subparagraph A.3.(ii)(b).
trainees, and the ratios and wage rates prescribed in the
applicable programs. (Approved by the Office of Management (d)The falsification of any of the above certifications may subject
1
and Budget under OMB Control Numbers 1215-0140 and 1215- the contractor or subcontractor to civil or criminal prosecution
0017.) under Section 1001 of Title 18 and Section 231 of Title 31 of the
United States Code.
(ii)(a)The contractor shall submit weekly for each week in which
any contract work is performed a copy of all payrolls to HUD or (Iii) The contractor or subcontractor shall make the records I
its designee if the agency is a party to the contract, but if the required under subparagraph A.3.(i) available for inspection,
agency is not such a party,the contractor will submit the payrolls copying, or transcription by authorized representatives of HUD or
to the applicant sponsor, or owner, as the case may be, for its designee or the Department of Labor, and shall permit such f
transmission to HUD or its designee. The payrolls submitted representatives to interview employees during working hours on
shall set out accurately and completely all of the information the job. If the contractor or subcontractor fails to submit the
required to be maintained under 29 CFR 5.5(a)(3)(i) except that required records or to make them available, HUD or its designee
full social security numbers and home addresses shall not be may, after written notice to the contractor, sponsor, applicant or
included on weekly transmittals. Instead the payrolls shall only owner, take such action as may be necessary to cause the
need to include an individually identifying number for each suspension of any further payment, advance, or guarantee of
employee (e.g., the last four digits of the employee's social funds. Furthermore, failure to submit the required records upon
security number). The required weekly payroll information may request or to make such records available may be grounds for 4
be submitted in any form desired. Optional Form WH-347 is debarment action pursuant to 29 CFR 5.12.
available for this purpose from the Wage and Hour Division Web
site at http://www.dol.gov/esa/whd/forms/wh347fnstr.htm or its 4.Apprentices and Trainees.
successor site. The prime contractor is responsible for the (1) Apprentices. Apprentices will be permitted to work at less f
submission of copies of payrolls by all subcontractors. than the predetermined rate for the work they performed when
Contractors and subcontractors shall maintain the full social they are employed pursuant to and individually registered in a
security number and current address of each covered worker, bona fide apprenticeship program registered with the U.S.
and shall provide them upon request to HUD or its designee if Department of Labor, Employment and Training Administration,
the agency is a party to the contract, but if the agency is not such Office of Apprenticeship Training, Employer and Labor Services,
a party, the contractor will submit the payrolls to the applicant or with a State Apprenticeship Agency recognized by the Office,
sponsor, or owner, as the case may be,for transmission to HUD or if a person is employed in his or her first 90 days of
IOWA 2016 CDBG MANAGEMENT GUIDE—APPENDIX 2 PAGE: 75
i
i
probationary employment as an apprentice in such an trainee performing work on the job site in excess of the ratio
apprenticeship program, who is not individually registered in the permitted under the registered program shall be paid not less
program, but who has been certified by the Office of than the applicable wage rate on the wage determination for the
Apprenticeship Training, Employer and Labor Services or a State work actually performed. In the event the Employment and
Apprenticeship Agency (where appropriate) to be eligible for Training Administration withdraws approval of a training
probationary employment as an apprentice, The allowable ratio program, the contractor will no longer be permitted to utilize
of apprentices to journeymen on the job site in any craft trainees at less than the applicable predetermined rate for the
classification shall not be greater than the ratio permitted to the work performed until an acceptable program is approved.
contractor as to the entire work force under
(iii) Equal employment opportunity. The utilization of
apprentices,trainees and journeymen under 29 CFR Part 5 shall
the registered program. Any worker listed on a payroll at an be in conformity with the equal employment opportunity
apprentice wage rate, who is not registered or otherwise requirements of Executive Order 11246, as amended, and 29
employed as stated above, shall be paid not less than the CFR Part 30.
applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any 5. Compliance with Copeland Act requirements. The
apprentice performing work on the job site in excess of the ratio contractor shall comply with the requirements of 29 CFR Part 3
permitted under the registered program shall be paid not less which are incorporated by reference in this contract
than the applicable wage rate on the wage determination for the
work actually performed. Where a contractor is performing 6. Subcontracts. The contractor or subcontractor will insert in
construction on a project in a locality other than that in which its any subcontracts the clauses contained in subparagraphs 1
program is registered, the ratios and wage rates (expressed in through 11 in this paragraph A and such other clauses as HUD
percentages of the journeyman's hourly rate) specified in the or its designee may by appropriate instructions require, and a
contractor's or subcontractor's registered program shall be copy of the applicable prevailing wage decision, and also a
observed. Every apprentice must be paid at not less than the clause requiring the subcontractors to include these clauses in
rate specified in the registered program for the apprentice's level any lower tier subcontracts. The prime contractor shall be
of progress, expressed as a percentage of the journeymen responsible for the compliance by any subcontractor or lower tier
hourly rate specified in the applicable wage determination. subcontractor with all the contract clauses in this paragraph.
Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program. If the apprenticeship 7. Contract termination; debarment. A breach of the contract
program does not specify fringe benefits, apprentices must be clauses in 29 CFR 5.5 may be grounds for termination of the
paid the full amount of fringe benefits listed on the wage contract and for debarment as a contractor and a subcontractor
determination for the applicable classification. If the as provided in 29 CFR 5.12.
Administrator determines that a different practice prevails for the
applicable apprentice classification, fringes shall be paid in 8. Compliance with Davis-Bacon and Related Act
accordance with that determination. In the event the Office of Requirements. All rulings and interpretations of the Davis-
Apprenticeship Training, Employer and Labor Services, or a Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5
State Apprenticeship Agency recognized by the Office, are herein incorporated by reference in this contract
withdraws approval of an apprenticeship program, the contractor
will no longer be permitted to utilize apprentices at less than the 9. Disputes concerning labor standards. Disputes arising out
applicable predetermined rate for the work performed until an of the labor standards provisions of this contract shall not be
acceptable program is approved, subject to the general disputes clause of this contract. Such
disputes shall be resolved in accordance with the procedures of
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will the Department of Labor set forth in 29 CFR Parts 5, 6, and 7.
not be permitted to work at less than the predetermined rate for Disputes within the meaning of this clause include disputes
the work performed unless they are employed pursuant ',to and between the contractor(or any of its subcontractors)and HUD or
individually registered in a program which has received prior its designee, the U.S. Department of Labor, or the employees or
approval, evidenced by formal certification by the U.S. their representatives.
Department of Labor, Employment and Training Administration.
The ratio of trainees to journeymen on the job site shall not be 10. (1) Certification of Eligibility. By entering into this contract
greater than permitted under the plan approved by the the contractor certifies that neither it (nor he or she) nor any
Employment and Training Administration. Every trainee must be person or firm who has an interest in the contractor's firm is a
paid at not less than the rate specified in the approved program person or firm ineligible to be awarded Government contracts by
for the trainee's level of progress, expressed as a percentage of virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR
the journeyman hourly rate specified in the applicable wage 5.12(a)(1)or to be awarded HUD contracts or participate in HUD
determination. Trainees shall be paid fringe benefits in programs pursuant to 24 CFR Part 24.
accordance with the provisions of the trainee program. If the (ii) No part of this contract shall be subcontracted to any person
trainee program does not mention fringe benefits, trainees shall or firm ineligible for award of a Government contract by virtue of
be paid the full amount of fringe benefits listed on the wage Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to
determination unless the Administrator of the Wage and Hour be awarded HUD contracts or participate in HUD programs
Division determines that there is an apprenticeship program pursuant to 24 CFR Part 24.
associated with the corresponding journeyman wage rate on the (iii) The penalty for making false statements is prescribed in the
wage determination which provides for less than full fringe U.S. Criminal Code, 18 U.S.C. 1001. Additionally, U.S. Criminal
benefits for apprentices. Any employee listed on the payroll at a Code, Section 1 01 0, Title 18, U.S.C., "Federal Housing
trainee rate who is not registered and participating in a training Administration transactions", provides in part: "Whoever, for the
plan approved by the Employment and Training Administration purpose of... influencing in any way the action of such
shall be paid not less than the applicable wage rate on the wage Administration... makes, utters or publishes any statement
determination for the work actually performed. In addition, any
IOWA 2016 G®BG MANAGEMENT GUIDE—APPENDIX 2 PAGE. 76
I
knowing the same to be false... shall be fined not more than
$5,000 or imprisoned not more than two years,or both." C. Health and Safety. The provisions of this paragraph C are
applicable where the amount of the prime contract exceeds
11. Complaints, Proceedings, or Testimony by Employees. $100,000.
No laborer or mechanic to whom the wage, salary, or other labor
standards provisions of this Contract are applicable shall be (1) No laborer or mechanic shall be required to work in
discharged or in any other manner discriminated against by the surroundings or under working conditions which are unsanitary,
Contractor or any subcontractor because such employee has hazardous, or dangerous to his health and safety as determined
filed any complaint or instituted or caused to be instituted any under construction safety and health standards promulgated by
proceeding or has testified or is about to testify in any the Secretary of Labor by regulation.
proceeding under or relating to the labor standards applicable
under this Contract to his employer. (2)The Contractor shall comply with all regulations issued by the
Secretary of Labor pursuant to Title 29 Part 1926 and failure to
B. Contract Work Hours and Safety Standards Act. The comply may result in imposition of sanctions pursuant to the
provisions of this paragraph B are applicable where the amount Contract Work Hours and Safety Standards Act, (Public Law 91-
of the prime contract exceeds $100,000. As used in this 54, 83 Stat 96).40 USC 3701 et seq.
paragraph, the terms "laborers" and "mechanics" include
watchmen and guards. (3) The contractor shall include the provisions of this paragraph
in every subcontract so that such provisions will be binding on
(1) Overtime requirements. No contractor or subcontractor each subcontractor. The contractor shall take such action with
contracting for any part of the contract work which may require or respect to any subcontractor as the Secretary of Housing and
involve the employment of laborers or mechanics shall require or Urban Development or the Secretary of Labor shall direct as a j
permit any such laborer or mechanic in any workweek in which means of enforcing such provisions.
the individual is employed on such work to work in excess of 40
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 40
hours in such workweek.
(2)Violation; liability for unpaid wages; liquidated damages.
In the event of any violation of the clause set forth in
subparagraph (1) of this paragraph, 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 subparagraph (1) of this
paragraph, 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 40 hours without payment of the
overtime wages required by the clause set forth in sub paragraph
(1)of this paragraph.
(3) Withholding for unpaid wages and liquidated damages.
HUD or its designee 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 i
subcontractor under any such contract or any other Federal
contract with the same prime contract, 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 j
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
subparagraph(2)of this paragraph.
(4) Subcontracts.The contractor or subcontractor shall insert in
any subcontracts the clauses set forth in subparagraph (1)
through (4) of this paragraph 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 subparagraphs (1) through (4) of this
paragraph.
IOWA 2016 CDBG MANAGEMENT GUIDE—APPENDIX 2 PAGE: 77
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PHASE 1-17TH STREET STORM SEWER IMPROVEMENTS PROJECT
CIP#2642690,PROJECT#1X0005
CONTRACT 1-2017
CITY OF DUBUQUE,IOWA
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Unit Total
No. Descri tion Quanti Unit Price Price
1. Mobilization 1 LS $ 85,000.00 $ 85,000.00 j
2. Construction Waste Management and 1 LS $ 5,000.00 $ 5,000.00
Disposal
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3. Site Security Fencing 1 LS $ 5,500.00 $ 5,500.00
4. Common Excavation 1 LS $ 65,000.00 $ 65,000.00
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5. Dewatering 1 LS $ 100,000.00 $ 100,000.00
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6. Temporary Stormwater Management 1 LS $ 95,000.00 $ 95,000.00
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7. Erosion Control 1 LS $ 15,000.00 $ 15,000.00
8. Temporary Traffic Control/Signage 1 LS $ 30,000.00 $ 30,000.00
9. Seed,Topsoil,Mulch Restoration 1 LS $ 8,500.00 $ 8,500.00
10. Demolition and Pavement Removal 1 LS $ 16,500.00 $ 16,500.00
11, Temporary Soil Retention 1 LS $ 100,000.00 $ 100,000.00
12. Asphaltic Concrete Pavement-Binder, 400 T $ 86.00 $ 34,400.00
Intermediate,and Surface Course
13. Excavation Below Subgrade(EBS) 50 CY $ 25.00 $ 1,250.00
14. Crushed Stone Class A—EBS Backfill 100 T $ 19.00 $ 1,900.00
15. Crushed Stone Class B—Lower Street 750 T $ 17.00 $ 12,750.00
Layer
R\Bids12017\City of Dubuque-17th Street Storm Sewer Improvements\Bid Forms\Copy of Dubuque 1-2017 Bid Items Spreadsheet ADD No.3 1 of 4
Unit Total
No. Descri tion Quantity Unit Price Price
16. Crushed Stone Class C-Upper Street 550 T $ 16.00 $ 8,800.00
Layer,Aprons and Sidewalks
17. Geotextile for Subgrade Stabilization 150 SY $ 10.00 $ 1,500.00
18. 4-IN Concrete Sidewalk 1,350 SF $ 4.25 $ 5,737.50
19. 6-IN Concrete Sidewalk-Pedestrian 180 SF $ 10.00 $ 1,800.00
Ramp
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20. 4-IN(H)by 6-IN(W)Integral Pedestrian 55 LF $ 32.00 $ 1,760.00
Ramp Curb Head I
21. 8-IN Concrete Sidewalk-Driveway 90 SF $ 20.00 $ 1,800.00
22. Concrete Driveway Apron-Type A or B 100 SF $ 25.00 $ 2,500.00
Commercial(8-IN)
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23. Detectable Warning Field-Truncated 40 SF $ 40.00 $ 1,600.00
Dome Panel(2-FT by 2-FT)
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24. 30-IN Concrete Curb and Gutter 325 LF $ 25.00 $ 8,125.00
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25. Tall Concrete Curb Head 160 LF $ 75.00 $ 12,000.00
26. Remove and Reset Existing Street Signs 2 EA $ 200.00 $ 400.00
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27. Pavement Marking Waterborne 6-IN 240 LF $ 1.10 $ 2664.00
Cross Walk(White)
28. Pavement Marking Waterborne 18-IN 20 LF $ 3.30 $ 66.00
Stop Bar(White)
29. Pavement Marking Epoxy 4-IN 35 LF $ 1.10 $ 38.50
Centerline Dash(Yellow)
30. Imported Compacted Granular Backfill 5,500 T $ 16.00 $ 88,000.00
31. Native Compacted Granular Backfill 1,500 CY $ 12.00 $ 18,000.00
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32. 6-IN DI Water Main-Restrained Joint 30 LF $ 135.00 $ 4,050.00
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Unit Total
No. Description Quantity Unit Price Price
33. 6-IN Gate Valve W/Road Box and 1 EA $ 1,500.00 $ 1,500.00
Valve Adapter
34. Fire Hydrant 1 EA $ 3,300.00 $ 3,300.00
35. 20-IN DI Water Main with 85 LF $ 300.00 $ 25,500.00
Fittings—Restrained Joint
36. 36-IN Steel Casing Pipe W/Spacers 22 LF $ 180.00 $ 3,960.00
and End Seals
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37. 20-IN Butterfly Valve W/Road Box and 2 EA $ 5,200.00 $ 10,400.00
Valve Adapter
38, Water Main Connections to Existing 2 EA $ 3,500.00 $ 7,000.00
20-IN Water Main
39. Existing Water Main Removals 1 LS $ 1,500.00 $ 1,500.00
40. Provide Temporary Water to Affected 1 LS $ 5,000.00 $ 5,000.00
Buildings and Fire Watch
41, 4-IN Thick Insulation—Water Main 400 SF $ 3.00 $ 1,200.00
42. 12-IN Thick Insulation Over Existing 160 SF $ 9.00 $ 1,440.00
Sanitary Sewer
43. Storm Inlet—Type SW-501 W/Base 17 EA $ 2,400.00 $ 40,800.00
Section and Casting
44. 4-FT DIA Storm Manhole W/Cover and 2 EA $ 3,200.00 $ 6,400.00
Casting
45. 6-FT DIA Storm Manhole W/Cover and 2 EA $ 5,400.00 $ 10,800.00
Casting
46. 15-IN RCP Storm Sewer 55 LF $ 78.00 $ 4,290.00
47. 18-IN RCP Storm Sewer 65 LF $ 81.00 $ 5,265.00
48. 21-IN RCP Storm Sewer 25 LF $ 92.00 $ 2,300.00
49. 24-IN RCP Storm Sewer 105 LF $ 105.00 $ 11,025.00
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Unit Total
No. Description T—Quantity I Unit I Price I Price
50. 6-IN Perforated Drain Tile with Sock 230 LF $ 14.00 $ 3,220.00
51. 12-FT by 7-FT Concrete Box Culvert 215 LF $ 965.00 $ 207,475.00
(GIP or Precast)
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52. CIP 12-FT by 7-FT Concrete Box 1 LS $ 19,500.00 $ 19,500.00
Culvert Connection–Eastside
53. CIP 12-FT by 7-FT Concrete Box 1 LS $ 28,500.00 $ 28,500.00
Culvert Connection–Westside
54. Existing Storm Sewer Removals and 1 LS $ 20,000.00 $ 20,000.00
Abandonments
55. 7-Way Future Path Conduit 460 LF $ 10.50 $ 4,830.00
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56. HDPE Conduit-2-IN 920 LF $ 8.00 $ 7,360.00
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57. Tracer Wire 460 LF $ 1.15 $ 529.00
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58. Fiber Vault 2 EA $ 3,900.00 $ 7,800.00 h
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59. Electrical Handhole 3 EA $ 750.00 $ 2,250.00
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60. Agency Construction Sign 1 LS $ 1;500.00 $ 1,500.00
COMPUTED TOTAL $ 1,176,885.00
ITEMS NO.1 THROUGH 60
0 ne,,M all ovv oti--,Iucnclt-ed,seventy stp thousa+ub eight Yu*ut#-e&et jk fwe,aoacwk
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City of Dubuque Insurance Requirements for General,Artisan or Trade Contractors,
Subcontractors or Sub-Subcontractors f
INSURANCE SCHEDULE B
Class A:
Asbestos Removal Fiber Optics Sanitary Sewers
Asphalt Paving Fire Protection Sheet Metal
Concrete Fireproofing Site Utilities
Construction Managers General Contractors Shoring
Cranes HVAC Special construction
Culverts Mechanical Steel
Decking Paving &Surfacing Storm sewers
Demolition Piles &Caissons Structural Steel
Deconstruction Plumbing Trails
Earthwork Retaining Walls Tunneling
Electrical Reinforcement Water main
Elevators Roofing
Class B:
Chemical Spraying Landscaping Rough Carpentry
Doors, Window& Masonry Stump Grinding j
Glazing Vehicular Snow Removal Tank Coating
Drywall Systems Painting &Wall Covering Tree Removal
Fertilizer Application Pest Control Tree Trimming
Geotech Boring Scaffolding Tuckpointing
Insulation Sidewalks Waterproofing
Finish Carpentry Plastering Well Drilling
Class C:
Carpet Cleaning General Cleaning Power Washing
Carpet&Resilient Grass Cutting Tile &Terrazzo Flooring
Flooring Janitorial Window Washing
Caulking &Sealants Non Vehicular Snow&
Acoustical Ceiling Ice Removal
Filter Cleaning Office Furnishings
Page 1 of 6 Schedule B, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors April 2017
City of Dubuque Insurance Requirements for General,Artisan or Trade Contractors,
Subcontractors or Sub Subcontractors
INSURANCE SCHEDULE B (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 j
equivalent approved by the Finance Director. The certificate must clearly indicate the project
number, project name, or project description for which it is being provided Eg: Project#1-2017 f
Project name: Phase 1-17th Street Storm Sewer Improvements Project or Project Location at
or construction of [
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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 Contracting 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.
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5. Contractor shall require all subcontractors and sub-subcontractors to obtain and maintain during 11
the performance of work insurance for the coverages described in this Insurance Schedule and u
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 to various policies shall be attached to the certificate of insurance.
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 B. 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. j
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Page 2 of 6 Schedule B, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors April 2017
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City of Dubuque Insurance Requirements for General,Artisan or Trade Contractors,
Subcontractors or Sub Subcontractors
INSURANCE SCHEDULE B (continued)
N
EXHIBIT
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 C
liability coverage shall be written in accord with ISO form CG0001 or business
owners form BP0002. All deviations from the standard ISO commercial general
liability form CG 0001 or business owners form BP 0002 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 an endorsement that deletes any fellow employee exclusion.
6) 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 l
their board members, employees and volunteers. Use ISO form CG 20 10
(Ongoing operations).
7) The additional insured endorsement shall include completed operations under k
ISO form CG 2037 during the project term and for a period of two years after the
completion of the project.
8) Policy shall include Waiver of Right to Recover from Others endorsement.
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B) AUTOMOBILE LIABILITY
Combined Single Limit $1,000,000
C) 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.
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Page 3 of 6 Schedule B, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors April 2017
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City of Dubuque Insurance Requirements for General,Artisan or Trade Contractors,
Subcontractors or Sub Subcontractors
Insurance Schedule B (continued)
EXHIBIT I
Coverage B limits shall be greater if required by the umbrella/excess insurer.
Nonelection of Workers' Compensation or Employers' Liability Coverage under Iowa
Code sec. 87.22
yes _form attached
D) UMBRELLA/EXCESS LIABILITY
Umbrella liability coverage must be at least following form with the underlying policies included
herein.
II
All Class A contractors with contract values in excess of$10,000,000 must have
umbrella/excess liability coverage of$10,000,000. 1
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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. j
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All Class A and B contractors with contract values less than $500,000 must have j
umbrella/excess liability coverage of$1,000,000.
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All Class C contractors are not required to have umbrella/excess liability coverage.
E) ENVIRONMENTAL IMPAIRMENT LIABILITY OR POLLUTION LIABILITY
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Coverage required: X yes _no
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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.
Each Occurrence $2,000,000
Policy Aggregate $4,000,000 G,
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1) Policy to include premises 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)as stated in A(6)above.
3) Include Preservation of Governmental Immunities Endorsement.
4) Provide evidence of coverage for 5 years after completion of project.
F) RAILROAD PROTECTIVE LIABILITY
Coverage required: X yes _no
Any contract for construction or demolition work on or within fifty feet(50')from the edge
of the tracks of a railroad or effecting any railroad bridge or trestle, tracks, roadbeds,
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Page 4 of 6 Schedule B, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors April 2017
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City of Dubuque Insurance Requirements for General,Artisan or Trade Contractors,
Subcontractors or Sub Subcontractors
tunnel, underpass, or crossing for which an easement or license or indemnification of the
railroad is required, shall require evidence of the following additional coverages.
Railroad Protective Liability:
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$2,000,000 each occurrence(per limits required by Railroad)
$4,000,000 policy aggregate (per limits required by Railroad)
OR
An endorsement to the Commercial General Liability policy equal to ISO CG 2417
(Contractual Liability-Railroads). A copy of this endorsement shall be attached to the
certificate of insurance.
Page 5 of 6 Schedule B, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors April 2017
City of Dubuque Insurance Requirements for General,Artisan or Trade Contractors,
Subcontractors or Sub Subcontractors ,
PRESERVATION OF GOVERNMENTAL IMMUNITIES ENDORSEMENT
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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.
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SPECIMEN
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Page 6 of 6 Schedule B, General, Artisan or Trade Contractors, Subcontractors or Sub Subcontractors April 2017
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Bond 54-218367
PHASE 1-17TH STREET STORM SEWER IMPROVEMENTS PROJECT
CONTRACT 1-2017
CITY OF DUBUQUE, IOWA
SECTION 00 06 00
PERFORMANCE, PAYMENT AND MAINTENANCE BOND
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KNOW ALL BY THESE PRESENTS:
That we Portzen Construction, Inc. as 'I
Principal (hereinafter the "Contractor" or "Princi al"
) and United Fire and Casualty �
Company , 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 j
One million one hundred seventy six thousand eight hundred eighty five dollars
1,176,885.00
($ ), 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 9th day of August 2017,
(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
Phase 1 - 17th Street Storm Sewer Improvement Project
Project detail the following described improvements:
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Construction of 215 linear feet of 12-foot by 7-foot concrete box culvert, cast-in-place
12-foot by 7-foot concrete box culvert connections on both the east and west sides of the
project, local storm sewer and intakes, roadway reconstruction, 20-inch watermain
replacement, temporary storm water management, temporary soil retention and excavation j
support, dewatering, mobilization, electrical conduits, fiber vaults, miscellaneous
restoration, erosion control, and traffic control.
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
Section 00 06 00-1
1154.065/1-2017
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Documents by all its subcontractors, suppliers, agents, or employees furnishing materials
or providing labor in the performance of the Contract.
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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, '!
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 I'
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:
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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;
Section 00 06 00-2
1154.065/1-2017
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.
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 fess
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,n
gly, 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 e Contract and
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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 y
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. i
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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
Section 00 06 00-3
1154.065/1-2017
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Documents, and in this Bond, then this obligation shall be null and void, otherwise it shall remain in
full force and effect. l
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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
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.
Project No. 1X0005
Witness our hands, in triplicate, this 10th day of August 2017.
SURETY COUNTERSIGNED BY: FORM AP ROVED BY:
Signature of gent Representative for Owner
Terrance J Friedman SURETY:
Printed Name of Agent
880 Locust St - Ste 200 Uni' ed Fire & Casualty Company
Company Address Surety pzpJ
Dubuque, Iowa 52001 By:
City,State,,Zip Code Sig ure Attorney-in-Fact Officer
563-556-0272 Scott A DeSousa
Company Telephone Number Printed Name of Attorney-in-Fact Officer
Friedman Insurance Inc
PRINCIPAL: Company Name
Portzen Construction Inc 880 Locust St - Ste 200
ContractorCompany Address
gy; Dubuque, Iowa 52001
Signature City,State,Zip Code
Michael J Portzen 563-556-0272
Printed Name Company Telephone Number
Vice President
Title
Section 00 06 00-4
1154.065/1-2017
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NOTE:
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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. '1
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.
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Section 00 06 00-5
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1154.065/1-2017
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UNITED FIRE&CASUAI TY COMPANY,CEDAR A-PlOS,IA,.
UNITEII FIRE IL DEMI�ITf'COMPANY, VEBSTEI2,T Inquiries Surety Depatrtment
FI .:*Ix I PACIFIC Ii'J, NCE C' ..' 'NT:`ROCK-I TN CA i'M Second Ace S .
CERTIEIEIX COPY OF POWER,OF,'TTORI E 'i 7 Cedar i,TA 5MI
(ortgmal on file at Iloine Office f Company See'Certification)
I NOWALL PERSONS BY THESE PRESENTS,That UNITED i IRE ,CASUALTY COMPANY;a corporation duly organized and'existin ;ulyder
the laws.of the State of Iowa;UNITED FIRE&.IT DENW-Y COMPANY a corporation dtkly organized and existing under the laws of the Sfiate,of
Tex s, and FINANCIAL PACIFIC I ... -I (INCE COMP.1 a corporation duly organized and e istmg ut. the laws of the State of California `
(herein collectively called;the Cornppames) axid.ktaung them:co urate beadst�c�arters iii Cedar 12a ids State of Iowa;does make;cvnstituti 'and appomt
TERRA_ i;:; FR'I, IAN SCOTT . DES011 . MARK J F�HAL�.N, DRN A 1N LL)£14<., SN.II?LEY M:; SHANNON, . aGH
III
TNDIV.IDUALLY of DUBIIQU,E IA
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their true and lawful Attorneys) iii Fact with power,and authority:Hereby Go rferred to sign seal,:,.::7gnd execute,'ti its behalf all.lawful bands,ulidertakings
and other obligatory mstriiments oI similar nature pravtdedthat no` ingle obligatiorisha11 exceed $.54,000;<OQO 00
and tq bind the:Companies thereby as folly and to,the same:extent as if such instruments were signed„by the duly autlonzed:officers'of the."Companies
and all ofxhe acts of said4ttotney pursuant to the authority I%ereby given and herebyratified acid confirmed
The Authority Hereby granted is corttinuous and shill tematp in full'I and effect until revoked by UP,ITED'FIRE Bi CASUALTY COMPANY
UNITED DIRE&INDEMNITY COMPANY .. I7 FINAI CTAL I?I FIG INSUI�'ANC :COMP.NY
This Power of tlttomey is made and executed pursuartt tv and by authority"'-Iof,._ti e following byla.W duly adopted oii May I s;.:1-'::�::.:.�4;*
,2013,.by the,Boards of
Director's of UNITED FIRE &"CASUALTY C'04'4 ANY;"UNITED FIRE'& INDEMNITI'COMv 01 NY, andFINANCIAL'PACIFIC,'INSURANCE
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COMPANY "Article VI-Surety Bonds and Undertakings"
Seetton;2,Appointment of Attorney-in-Fact. "The President or any Vice President, or any other officer of the Companies may,from time to
time appornt by written certificates attorneys-in=fact to act in behalf.of t]Te Companies 'm the execution of policies Qf insurance; bontls;,'
undertakmgs'and other obligatory instruments of like nature. The signature of any,officer authorized,hereby,and the Corporate seal;maybe
affiated b csimile to ower of attoine ors ecial ower of attorn Or certif>:cation of either authorized hereb ; such 51 nature d`seal,'
y anyp =y, P p Y g�
when so,,used,being adopted liy,the Companies as the`original`signature of;"such officer and the-original seal of the Cornpatiies to.bealid and'
binding upon the C61*anies with the same force and;effect as though manually affixed. "Such attorneys-in-fact, sub�ect`to the limitations set
forth ui their'respective certificates:of authority. shall have full;power;to bind the.Companies by their signature and execution of a iysuch'
instruments and to°attach the seaTof the Coinpaiues thereto. The President,or any:Vice President,the Board of Directors or any other officer of''
the Compani>s may at any time revoke all;power and authority:previou,f,g Ven to airy attorney-in-fact.,
`��+���. ce tSygt�lrrrr w�``Iy�tUtiv�pffi _ - ,! . .,I `
ti,�. .r ����,N-- ...I \r\NSUR I .1 WITNESS WHEREOF;the'COMPAI�IES`have each caused these presents , be stoned by its
co. , ::, �q' fo QPc oRpoRary(�, vice president`and its corporate seal to be hereto,affixed this 15th da=y' of Oot ober 201',3 J
M"
CORPORATE 3 ¢ ? 6`p ci: i!1
z wLv z2 0. UNITED"FIRE&CASUALTY COMPANY
? sEAL SEAL k a yes a_ LNITt6 FIRE&INDEMNITY COMPANY
I''' lx'Alli kt X,h %`5. " I ;P�o °q�rFOR'P<`�. FINANCIAL PACIFIC INSIJRANCE.COMPANY
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By. � w�
State of Iowa,County of Linn,ss: Vice President
do l5th< da Of October, 2013, before me personally came Dennis J. Richmann {
to me knoum,who being 17y me duly swami,dkd depose and,'say that he reslles in Gedflt Ra�tds Stare of Iowa that he is a Vice President of UNITEb: r
FIRE-GASUA TY COMPANY,a Vice President of UNITED FIRE&"INDEMNITX COlYI, ,, and a Vice Presid-if of FINANCIAL PACIFIC .
INSUR ALICE C()MPAN 'the corporations described in and which:executed the above mstrttment,that Iie knows the seal of said corporations,that'the
seal affixed to the'said instrument is such corporate seal that tt was so affixed pursuant to authority givenby.tie Board`ofDirectors of said corporations
aril that he signed his mine thereto pursuant to itke uthority and at k1w. ledges same to b":Ahe aet and deed of said corporations
E m icdt a bows
i fovea Notarial Seat
Caritmtsaion'nurttbeT lxaoai
owk ray Cpi}lrrnsstom,Exptres-04/23/241&
otary u ie'
My commission expires 04/23/2018
I,David A Lange;Secretary nrbNifiW FIRE IV,ASUALTY COMP: and Assistant Si�cretary:vf ITER FIRE&IM EMNITY COMPANX,
Pd Assistant Seecetary of 1iINANOAL PACIFIC INSVRAItICE Cl3MPAN r'�do hereby certify that:I have"compared the foregoing copy of Ylie Power
of Attorney and a#fidavit,=and the cppy oft ie Section of thebylaws and reso`ltltioxis o said Carporatto is as set forth�n'said:Powar,of Aftorney;with the':
ORIGINALS ON FILE.IN THE IItME OFFICE()F SAID;CORPORATIONS and that the same are carted transcripts thereof,and of.the whole of the
said originals,and that the said Power of Attorney'lids not been reYoked and is nown full forte and effect
In testimony whereof l have hereunto subscribedrr yname-and affixed t ,,r.. ate:seal of`tl e said=Corporations
this �10th day of. A u g u s t 20 /. .' 1
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SecretaryF&C
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