Smarter Sustainable Dubuque Pilot Project on Smarter DiscardsMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Smarter Sustainable Dubuque Smarter Discards: Follow -Up
DATE: January 29, 2013
Dubuque
kital
All- America City
II h/
2012
Smarter Sustainable Dubuque is the research component of the Sustainable Dubuque
Initiative, in partnership with IBM Research, and designed to provide Dubuque residents
and City Departments with the information and tools they need to make smarter choices
about resource consumption. The initiative is engaging the Dubuque community
through advanced technology and fostering sustainable behavior to reduce costs and
better manage resources.
The City Council approved a Joint Development Agreement with IBM Research on
January 22, 2013, to test a "Proof of Concept" related to developing an "Intelligent
Discard Management" module as part of IBM's Smarter City suite of software services.
In the Proof of Concept, the City, IBM Research and selected vendor partners from the
residential discard collection, materials management/ tracking industries would focus on
research which will:
• Over a period of twelve months improve and measure trend lines in landfill
diversion rates and curbside recycling rates of anonymized residential collection
customers.
• Establish the long term cost effectiveness of pilot diversion strategies.
• Inform the City's needs related to current as well as future policy, staffing and
equipment issues related to discard management.
In the Proof of Concept, the City would identify two residential collection areas, each
with relatively the same number of trash and recycling customers, totaling
approximately 400 households, to participate in this project ( "Aggregated Customers ").
In addition, the City will identify 250 to 400 volunteers among its municipal collection
customers ( "City Volunteers "). The City Volunteers will specifically authorize their
discard (landfill, recycle and compost) data to be provided to IBM by the City in
anonym ized form for use in the smarter discards portal. The communitywide metric
information generated by this project, using only anonymous data from volunteer
households, may be used by the City to begin estimating discard baselines and
beneficial use choices. The combined City Volunteer anonym ized data, with each
Volunteer's permission, will also be shared with the City Volunteers so that they may
compare and benchmark their personal usage with that of a comparable subgroup of
the City Volunteer community. IBM will develop the tools and will make a portal
available to the City Volunteers. The Volunteer Portal is being planned to provide
functionalities that include diversion tips for beneficial use, household goal challenges,
available incentives, the ability to visualize data over a period of time, analytics that offer
insights into discard patterns, analytics that compare consumption with other
households with similar profiles, and track performance changes over time. Access to
the Portals will be provided for twelve months. City live data collection would start by
April 1, 2013. The Proof of Concept portion would start May 1, 2013. The Proof of
Concept portion of the project would be completed on April 30, 2014.
In order to undertake this Smarter Discard Management Proof of Concept, the City will
need to enter into contracts and make purchases from vendors to provide Radio
Frequency Identification (RFID) technology, data collection software, and engagement
and project management assistance. Recycling tipper carts will be needed this summer
and are included in a Fiscal Year 2014 Improvement Increment Request.
Five major industry leaders responded to our Request for Information and Cost
Estimate. Each proposal was evaluated on successful experience with similar systems,
expertise of project personnel, response to follow -up questions and cost for the
products offered. Resource Management Coordinator Paul Schultz is recommending
contracts be approved with:
Sonrai Systems is a discard management technology company. It would provide two
Radio Frequency Identification (RFID) technology systems installed in City rear - packer
collection trucks, along with collecting and transmitting container and location collection
data from two research areas in selected census tracts. The cost of this component is
the lowest quoted price and most comprehensive proposal at $23,500. There is an on-
going cost for the period of the pilot of $40 per month for two installed communications
units (modems) using cellular transmissions, equaling $960 per year.
Location Technologies, Inc. is a wireless data transmission company. It would provide
modification of the City's existing Automatic Vehicle Location (AVL) technology to
record and transmit data collected citywide from Volunteers in the Proof of Concept.
The cost of this component is quoted at $3,500.
Camelot is a holistic local company providing improved software functionalities, RFID
materials management, and engagement consulting services. It would provide project
management /implementation support to help structure the Proof of Concept outcomes
to meet the vision and goals of the City. The cost of this component addresses some of
the shortage of City staff availability and is recommended not to exceed $10,000.
Cascade Engineering is an environmental services company which also manufactures
tipper carts and RFID tags. It would provide RFID tags to be retrofitted by Resource
Management staff onto City tipper carts and recycling bins in the two aggregated areas
of the Proof of Concept before the start of the Proof of Concept. The cost of this
2
component for 2,000 RFID tags is $2,000. The recycling tipper carts enabled with RFID
tags needed in the second half of the Proof of Concept are recommended to be funded
as part of a Fiscal Year 2014 Improvement Increment Request and are estimated to
cost $20,000 for 400 carts.
Other implementation costs for staff time and materials are expected to be managed
within the Fiscal Year 2013 and Fiscal Year 2014 operating budgets.
The total of the recommended Fiscal Year 2013 Proof of Concept costs that are the
responsibility of the City is $39,960.
This Proof of Concept was proposed to the City by IBM in June of 2012, and was
therefore not able to be included in the Fiscal Year 2013 budget process. Sources of
funds to pay for this POC have been identified from within savings in the Resource
Management CIP and operating budgets.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Paul Schultz, Resource Management Coordinator
Don Vogt, Public Works Director
3
THE CFI Y OF
DUB E
Masterpiece on the Mississippi
Dubuque
kettd
All- America City
III/
2012
TO: Michael C. Van Milligen, City Manager
FROM: Paul Schultz, Resource Management Coordinator
SUBJECT: Smarter Sustainable Dubuque: Follow Up on Vendor Selection for the
Council Approved Smarter Discards JDA with IBM Research
DATE: January 30, 2013
INTRODUCTION
City Council approved a Joint Development Agreement ODA) with IBM Research on
January 22, 2013 to testa "Proof of Concept" (POC) related to developing an "Intelligent
Discard Management" module as part of IBM's Smarter City suite of software services.
Smarter Sustainable Dubuque is designed to provide Dubuque residents and City
Departments with the information and tools they need to make smarter choices about
resource consumption. The initiative is engaging the Dubuque community through
advanced technology and fostering sustainable behavior to reduce costs and better
manage resources. This POC is a valuable addition to the Smarter Sustainable
Dubuque "Living Lab" research effort and provides access to technology, analytics and
insights unavailable by other means.
BACKGROUND
In the POC, the City, IBM Research and selected vendor partners from the residential
discard collection, materials management/ tracking industries would focus on research
which will:
• Over a period of twelve months improve and measure trend lines in landfill
diversion rates and curbside recycling rates of anonymized residential collection
customers.
• Establish the long term cost effectiveness of pilot diversion strategies.
• Inform the City's needs related to current as well as future policy, staffing and
equipment issues related to discard management.
In the POC, the City would identify two residential collection areas, each with relatively
the same number of trash and recycling customers, totaling approximately 400
households, to participate in this project ( "Aggregated Customers "). In addition, the City
will identify 250 to 400 volunteers among its municipal collection customers ( "City
Volunteers "). The City Volunteers will specifically authorize their discard (landfill, recycle
and compost) data to be provided to IBM by the City in anonymized form for use in the
smarter discards portal. The communityvvide metric information generated by this
project, using only anonymous data from volunteer households, may be used by the City
to begin estimating discard baselines and beneficial use choices. The combined City
Volunteer anonymized data, with each Volunteer's permission, will also be shared with
the City Volunteers so that they may compare and benchmark their personal usage with
that of a comparable subgroup of the City Volunteer community. IBM will develop the
tools and will make a portal available to the City Volunteers. The Volunteer Portal is
being planned to provide functionalities that include diversion tips for beneficial use,
household goal challenges, available incentives, the ability to visualize data over a
period of time, analytics that offer insights into discard patterns, analytics that compare
consumption with other households with similar profiles, and track performance changes
over time. Access to the Portals will be provided for twelve months. City live data
collection would start by April 1, 2013. The Proof of Concept portion would start May 1,
2013. The Proof of Concept portion of the project would be completed on April 30, 2014.
DISCUSSION
In order to undertake this Smarter Discard Management POC, the City will need to enter
into contracts and make purchases from vendors to provide Radio Frequency
Identification (RFID) technology, data collection software, and engagement and project
management assistance. Recycling tipper carts will be needed this summer and are
included in a FY14 Improvement Increment Request.
Five major industry leaders responded to our Request for Information and Cost Estimate
(attached). Each proposal was evaluated on successful experience with similar systems,
expertise of project personnel, response to follow -up questions and cost for the products
offered. I am recommending contracts be approved with:
Sonrai Systems is a discard management technology company. It would provide two
RFID technology systems installed in City rear - packer collection trucks, along with
collecting and transmitting container and location collection data from two research areas
in selected census tracts. The cost of this component is the lowest quoted price and
most comprehensive proposal at $23,500. There is an on -going cost for the period of
the pilot of $40 per month for two installed communications units (modems) using cellular
transmissions, equaling $960 per year.
Location Technologies, Inc. is a wireless data transmission company. It would provide
modification of the City's existing Automatic Vehicle Location (AVL) technology to record
and transmit data collected citywide from Volunteers in the POC. The cost of this
component is quoted at $3,500.
Camelot is a holistic local company providing improved software functionalities, RFID
materials management, and engagement consulting services. It would provide project
management /implementation support to help structure the POC outcomes to meet the
vision and goals of the City. The cost of this component addresses some of the shortage
of City staff availability and is recommended not to exceed $10,000.
2
Cascade Engineering is an environmental services company which also manufactures
tipper carts and RFID tags. It would provide RFID tags to be retrofitted by Resource
Management staff onto City tipper carts and recycling bins in the two aggregated areas
of the POC before the start of the POC. The cost of this component for 2,000 RFID tags
is $2,000. The recycling tipper carts enabled with RFID tags needed in the 2nd half of the
POC are recommended to be funded as part of a FY14 Improvement Increment Request
and are estimated to cost $20,000 for 400 carts.
Other implementation costs for staff time and materials are expected to be managed
within the FY13 and FY14 operating budgets.
The total of the recommended FY13 POC costs that are the responsibility of the City is
$39,960.
This POC was proposed to the City by IBM in June of 2012 and was therefore not able to
be included in the FY13 budget process. Sources of funds to pay for this POC have
been identified from within savings in the Resource Management CIP and operating
budgets: $41,026 in savings in FY13 collection truck purchases and $21,394 savings in
reduced FY13 requests for recycling bins and lids. There are other potential sources of
support funds if so needed. These two sources total $62,420.
RECOMMENDATION
I respectfully request that you and the City Council authorize staff to finalize solutions
and negotiate contract details with the recommended vendors noted above.
CC: David Lyons, Smarter Sustainable Dubuque Project Manager
Chris Kohlmann, Information Services Manager
Jenny Larson, Budget Director
Don Vogt, Public Works Director
Cori Burbach, Sustainable Community Coordinator
Chuck Goddard, DMASWA Administrator
Attachment
3
City of Dubuque, Iowa
Smarter Discard Management Pilot Project
Request for Information and Cost Estimate
Introduction
The City of Dubuque and IBM Research are considering a partnership to test a "Proof of Concept"
(POC) related to developing an "Intelligent Discard Management" module as part of IBM's Smarter
City suite of software services.
The Pilot has two primary goals:
• Over a period of 12 months improve and measure trend lines in landfill diversion rates and
curbside recycling rates of residential discards to help achieve Dubuque's sustainability
commitments.
• Establish the long term cost effectiveness of Pilot diversion strategies due to city and customer
access to diversion data, using carts, RFID, customer communications, incentive utilization
and campaigns, changes in collection frequencies and potentially new targeted materials.
Following the Pilot, the City of Dubuque will consider implementation of citywide landfill diversion and
collection efficiency strategies beginning in fiscal year 2015. The Pilot will be critical in determining
the City of Dubuque's needs related to current as well as future policy, staffing and equipment issues
related to discard management and curbside collection.
The City of Dubuque is interested in identifying interested vendors for data collection, transfer and
tracking who can provide quality services and support. The focus of the vendor should be customer
satisfaction through consistent quality of all services provided and a commitment to continuous
improvement of their products and services.
In this document the term "City" will be used interchangeably with "City of Dubuque." Both reference
the same entity.
This is a request for information and cost estimates (RFI) not a formal bid, offer or request for
proposal. The City is evaluating solutions and how those solutions best fit with referenced
integrations. Therefore the City may deploy more than one vendor solution for all or part of this pilot.
Information submitted for this proposal will assist staff and the Dubuque City Council in determining
next steps for the smarter discards initiative.
Community Profile
Dubuque, Iowa is a progressive community in the upper Midwest. Located along the Mississippi
River at the intersection of Iowa, Illinois, and Wisconsin, Dubuque has a population of 58,000 and
serves as a metropolitan service area for seven surrounding counties. Recent recognitions include
being named one of the seven Most - Connected Locales in the U.S. by Connected World magazine,
one of 2010's Ten Smartest Cities on the Planet by Fast Company, the Best Small City to Raise a
Family for 2010 by Forbes, the Most Livable Small City in the U.S. for 2008 by the U.S. Conference of
Mayors, and one of the 100 Best Communities for Young People, the Most Livable Small City, and a
2007 and 2012 All- America City by the National Civic League. Dubuque, Iowa is truly a "Masterpiece
on the Mississippi."
In 2006 and every year since, the Mayor and City Council identified becoming a more Sustainable
City as one of their top priorities for Dubuque. Implementation of a community - defined sustainability
plan (Sustainable Dubuque) is an on -going focus. The Sustainable Dubuque model is a holistic
approach to making Dubuque sustainable, and involves a three -part approach that addresses
Environmental and Ecological Integrity, Economic Prosperity and Social and Cultural Vibrancy .
There are eleven principles included, with several specifically impacting this Smarter Discard
Management pilot, including Smart Resource Use, Healthy Air and Regional Economy.
Connected with the Sustainable Dubuque model is a unique public /private partnership between the
City of Dubuque and IBM Research, the division of IBM responsible for its "Smarter Planet"
campaign. The project, known as Smarter Sustainable Dubuque was initiated in September 2009
when the City of Dubuque and IBM announced their intentions to make Dubuque one of the first
"smarter" sustainable cities in the U.S.
Plans include the development of new "smarter" technologies and implementation strategies to create
a replicable, international model of sustainability for communities of 200,000 and under, where over
40 percent of the U.S. population resides. The model will integrate community engagement and
education, more energy- efficient ways of operating municipal services and buildings, decreased
carbon emissions, new job creation, increased financial savings, and a higher quality of life for the
entire community.
Smarter Sustainable Dubuque is designed to provide Dubuque residents with the information and
tools they need to make smarter choices about resource consumption. The initiative is engaging
Dubuque residents and businesses who, through advanced technology, will be able to voluntarily
better manage their use of resources like water, electricity, oil, natural gas, wellness and hopefully,
with the help of this Smarter Discard Management Pilot, materials management.
The City's municipal collection system serves 20,500 customers collected five days a week on six
refuse and five recycling routes. The current base collection fee combined for refuse and recycling is
$11.69 per month. The average household's discards to landfill (including furniture and move outs)
weighs 21 pounds per week. The average household's discards to curbside recycling weighs 9
pounds per week. Dubuque has a robust Pay As You Throw program, strong curbside recycling,
year -round bulky item and organics collections, including a six year old subscription option for food
scrap collection, event recycling and zero waste programming. It has a very favorable revenue
sharing contract for collected recyclables that incentivizes greater diversion to recycling. The
Dubuque Metropolitan Area Solid Waste Agency has a policy supporting a progressive 2% per year
reduction in landfilling being diverted to identifiable beneficial uses.
The City and been assessing local government and community Green House Gas (GHG) emissions,
has set a target of a 50% reduction in GHG by 2030, and is near completion with a draft Climate
Action and Resiliency Roadmap to facilitate meeting that target. The 2007 GHG assessment
identified the solid waste management as 69% of our local government carbon footprint.
Response Submission
Interested vendors should be careful to completely read the requirements and description of this RFI.
All inquiries concerning this RFI should be submitted in writing via e-mail to Paul Schultz Resource
Management Coordinator pschultz a(�.cityofdubuque.org
The proposed timeline for this project is as follows:
Proposed Timeline
Event
Date(s)
RFI Issue to Vendors
January 3, 2013
RFI Webinar for Vendors
January 7, 2013 10:00am CST
RFI Due
January 11, 2013
City Council consideration and decision
on IBM Joint Development Agreement
and decision to proceed with vendor
contract negotiations
January 22, 2013
City council consideration and approval
of Final Vendor Selection and Scope of
Deliverables and budget
February 4, 2013
Implementation and Training
February — March 2013
Go Live
March — April 2013
Data Transfer begins to IBM
April 2013
Responses to this RFI are to be received by 4:00 PM on January 11, 2013. Firms whose
qualifications and information are determined to be best suited to leadership of such a Pilot may be
invited to an interview /presentation meeting for further evaluation after a council assessment and
decision on the IBM Joint Development Agreement .
Responses should be sent to:
Paul Schultz
Resource Management Coordinator
Municipal Services Center
925 Kerper Court
Dubuque, IA 52001
563.589.4249
Responses (a printed original) must be received by 4:00 pm on January 11, 2013. Vendors should
insure that their responses arrive at the correct location on or before the stated deadline. Late
responses or responses delivered to the incorrect location may not be considered.
Responses must be submitted in sealed packages marked "Smarter Discard Management Pilot
Project." Proposed costs for the pilot should be included in a separate envelope titled "Costs for
Smarter Discard Management Pilot Project."
As an alternative, vendors are invited and encouraged to submit their responses electronically via the
City's ftp site. If your organization would be interested in doing such, please contact Chris Kohlmann
via e-mail at ckohlmanacitvofdubuque.orq no later than 5:00pm January 10, 2013 to receive
submittal instructions and access information for the ftp site.
RFI Pre - Proposal Webinar
An RFI Webinar — Pre - proposal Meeting will be held on January 7, 2013 at 10:00am CST. Online
and conference phone connection is:
https : / /www2.gotomeetinq.com /joi n/843346914
Use your microphone and speakers (VoIP) - a headset is recommended. Or, call in using your
telephone.
Dial +1 (213) 493 -0601
Access Code: 843 - 346 -914
Audio PIN: Shown after joining the meeting
Meeting ID: 843 - 346 -914
The purpose of this meeting is to review the project, to provide clarification and respond to questions
Smarter Discard Management Pilot Project Description and Expectations
There is an expectation of contributed /donated and discounted products, such as tipper carts, and
services as part of the relationship in this research. Within the parameters identified below, please
describe the end -to -end capacity you would deliver for this Pilot.
1. The City of Dubuque and IBM Research are looking to target and measure the components of the
two goals within two pre- determined aggregated discrete route areas each totaling approximately
400 -600 households. Collection would occur on two separate collection days and each day would
have the same overlapping refuse and recycling customers. These areas are expected to include
both single and multi - family (2 -6) housing units. Minimally it is expected that one refuse truck and
one recycling truck would need to have equipment installed to record and transmit the data from all
containers collected with RFID tags or similar. There will also be a need for a procedure and
equipment to manually report "exceptions" — collected containers without RFID tags. There will also
be RFID tags needed for installation on city containers: recycling bins and tipper carts. There should
be a backup strategy for if and when the RFID data collection system is disabled or if the City opts to
not use RFID tags and instead wishes to pursue use of AVL data integration to obtain location.
• One of the two aggregated areas, as finally determined by the city, is targeted to be in a lower
income census demographic (lower income person or family is defined as having a total
income which falls between the fifty (50) percent and eighty (80) percent median for the area,
adjusted for size) that already has a significant deployment of city refuse carts.
• The second area, as finally determined by the City, is targeted for an area with a higher
recycling diversion rate. This area could likely both increase diversion to recycling and reduce
collection costs with deployment of optional recycling tipper carts of varying sizes. After base
line data is collected on weekly recycling, this area would collect all recyclables, both yellow
18- gallon bins and newly deployed recycling tipper carts, every other week.
2. The selected vendor would enable Dubuque to automatically read collection data via a push /pull web
service or provide collection data via a CSV file. Please be sure to note alternative approaches
and design considerations needed with the use of RFID tags or the use of on board AVL
giving the location of the pickup of the container.
The vendor will also provide API, WSDL, schema or data format information for the data being
provided.
The following data will be collected, assembled and transmitted to the City of Dubuque for the Pilot:
o Daily customer curbside collection participation data for landfill (trash) & recycling
collection
o Daily container types (tipper carts, recycling bins, etc) collected by address
o Daily total content weights from Landfill and MRF scaling for each aggregated area
o Monthly participation rate and setout frequencies for both landfill & recycling collection
per customer
o Monthly participation rate and setout frequencies for both landfill & recycling collection
for the Pilot route as a whole
o Addresses & Geocoding for each customer referenced within the City's GIS
o Address mapping for RFID tags and non -RFID containers
o Whether the collected setout is from a multiplex
o Whether multiple households are using a common container.
3. Dubuque live data collection would start by April 1, 2013 or sooner. The Proof of Concept portion
would start May 1, 2013. The Proof of Concept would be completed on April 30, 2014.
PILOT COMPONENTS, DESIRED OUTCOMES AND LONGER TERM POTENTIAL EXPANSION
IMPLICATIONS:
• Identify and document needed technology, equipment, carts, RFID tags and services
• Identify any cost and resource requirements
• Identify appropriate /needed staffing levels and City of Dubuque support
• Identify, test out and measure potential incentives /disincentives, crew supportive
actions, social media approaches, customer communications, tips, self reporting buy -in,
gamification, carbon footprint calculations, environmental impacts, personal goal
diversion progress /achievement, and any other components suggested to foster
sustainable behavior changes to reduce the Pilot customer's landfilling materials and
increase the curbside recyclable and compostable materials
• Describe collaboration with other companies /partners /sub contractors
• Provide an initial review and evaluation of the likely process that will be designed
• Identify potential strengths /weaknesses for the plan
• Identify potential sustainability /resiliency impacts
• Identify measure and project I changes in landfill and recycling tonnages
• Identify measure and project change in costs, cost savings, revenues
NEXT STEPS and Response: City may choose to request additional information and design input
from parties describing a complete set of services, sufficient for it to be able to complete such Pilot.
Important to that consideration will be:
1. Level of expertise for the project
2. Previously involvement in similar research, studies or projects.
3. Past record of performances on similar projects
4. Project organization and management
5. Qualifications of any personnel that would be made available to such a Pilot.
Potential vendor /partners are requested to respond with an answer to the following:
1. Is this project one that your company would wish to participate?
2. What would your organization think is reasonable /available to be contributed to this project by
your company?
3. What issues /concerns does your company have with the described approach in the RFI /RFQ
and from your knowledge of this project? What do you see as missing components or needs
to be considered?
4. Please provide a narrative of your firm's approach to partnering on this project.
5. Please provide projected budgetary costs for the pilot and long term project. Please provide
proposed costs for the pilot in a separate envelope titled "Costs for Smarter Discard
Management Pilot Project" or folder titled "Costs for Smarter Discard Management Pilot
project" if submitting information electronically.
Masterpiece on the Mississippi
Dubuque
kretal
Al-America City
I I I I I F
2012
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Smarter Sustainable Dubuque Pilot Project on Smarter Discards: Joint
Development Agreement W1259816
DATE: January 16, 2013
Sustainable Dubuque Project Manager David Lyons recommends City Council approval
of a Joint Development Agreement with IBM to test a Proof of Concept related to
developing an Intelligent Discard Management module as part of IBM's Smarter City
suite of software services.
Smarter Sustainable Dubuque is designed to provide Dubuque residents with the
information and tools they need to make smarter choices about resource consumption.
The initiative is engaging Dubuque residents and businesses who, through advanced
technology and active community engagement, can save money and be able to
voluntarily better manage their use of resources like water, electricity, oil, natural gas,
health services and others.
In the proposed Pilot, the City, IBM Research and other partners from the discard
management, waste management and recycling industries would focus on research
which could:
• Over a period of 12 months improve and measure trend lines in landfill diversion
rates and curbside recycling rates of residential discards to help achieve
Dubuque's sustainability commitments.
• Establish the long term cost effectiveness of Pilot diversion strategies due to City
and customer access to diversion data, using carts, Radio Frequency
Identification Device, customer communications, incentive utilization and
campaigns, changes in collection frequencies and potentially new targeted
materials.
• Inform the City of Dubuque's needs related to current as well as future policy,
staffing and equipment issues related to discard management and curbside
collection.
• Support the City's Greenhouse Gas Emissions reduction targets (the 2007 GHG
assessment identified solid waste management as 69% of the City's local
government carbon footprint).
In the Pilot the City would identify two waste management (landfill and recycle) routes of
the City totaling 400 -600 households each to participate in this project. In addition, the
City will identify up to 400 volunteers among the waste management customers in the
City to participate in this project. The City Volunteers will specifically authorize their
waste discard (landfill, recycle and compost) information to be provided to IBM by
Dubuque in anonymized form for use in the Portals. The community -wide metric
information generated by this project may be used by the City to begin estimating waste
discard baselines, and the combined City Volunteer data will also be shared with the
City Volunteers so that they may compare and benchmark their personal usage with
that of an appropriate subgroup of the City Volunteer community. IBM will develop the
Tools and will make the Portals available to the City Volunteers. The Portals are
intended to provide functionality including the ability to visualize data over a period of
time, analytics that offer insights into discard patterns, analytics that compare
consumption with other households with similar profiles, and track performance
changes over time. Access to the Portals will be provided for a duration of 12 months.
Dubuque live data collection would start by April 1, 2013. The Proof of Concept portion
would start May 1, 2013. The Proof of Concept would be completed on April 30, 2014.
As part of the City of Dubuque's on -going sustainability research with IBM there exist
strong requirements and prohibitions on the use of data. Individually identifiable data
can never be shared, and even anonymized data is only available from volunteers who
have provided their permission. IBM is allowed only certain prescribed uses of data.
The agreement also sets out that each party would be responsible for its own costs in
the Proof of Concept, which means IBM will contribute all technology, analysis and staff
time while City and its partners will contribute the costs for collection equipment, data
transfer and staff time.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Don Vogt, Public Works Director
Cori Burbach, Sustainable Community Coordinator
David Lyons, Sustainable Dubuque Project Manager
Paul Schultz, Resource Management Coordinator
2
THE CITY OF
Masterpiece on the Mississippi
Dubuque
All-America City
2012
TO: Michael C. Van Milligen, City Manager
FROM: David Lyons, Sustainable Dubuque Project Manager
SUBJECT: Smarter Sustainable Dubuque pilot project on Smarter Discards: Joint
Development Agreement W1259816
DATE: January 14, 2013
INTRODUCTION
Smarter Sustainable Dubuque is designed to provide Dubuque residents with the
information and tools they need to make smarter choices about resource consumption.
The initiative is engaging Dubuque residents and businesses who, through advanced
technology and active community engagement, can save money and be able to
voluntarily better manage their use of resources like water, electricity, oil, natural gas,
health services and others.
The City of Dubuque and IBM Research are considering a partnership to test a "Proof of
Concept" (POC) related to developing an "Intelligent Discard Management" module as
part of IBM's Smarter City suite of software services, and thereby hopefully adding
smarter discard management to the City's sustainability efforts.
BACKGROUND
In the proposed Pilot the City, IBM Research and other partners from the discard
management, waste management and recycling industries would focus on research
which could:
• Over a period of 12 months improve and measure trend lines in landfill diversion
rates and curbside recycling rates of residential discards to help achieve
Dubuque's sustainability commitments.
• Establish the long term cost effectiveness of Pilot diversion strategies due to city
and customer access to diversion data, using carts, RFID, customer
communications, incentive utilization and campaigns, changes in collection
frequencies and potentially new targeted materials.
• Inform the City of Dubuque's needs related to current as well as future policy,
staffing and equipment issues related to discard management and curbside
collection.
• Support the City's Greenhouse Gas Emissions reduction targets (the 2007 GHG
assessment identified solid waste management as 69% of the City's local
government carbon footprint).
In the Pilot the City would identify two waste management (landfill and recycle) routes of
the City totaling 400 -600 households each to participate in this project ( "Aggregated
Customers "). In addition, City will identify up to 400 volunteers among the waste
management customers in City to participate in this project ( "City Volunteers "). The City
Volunteers will specifically authorize their waste discard (landfill, recycle and compost)
information to be provided to IBM by Dubuque in anonymized form for use in the
Portals. The communitywide metric information generated by this project may be used
by City to begin estimating waste discard baselines, and the combined City Volunteer
data will also be shared with the City Volunteers so that they may compare and
benchmark their personal usage with that of an appropriate subgroup of City Volunteer
community. IBM will develop the Tools and will make the Portals available to the City
Volunteers. The Portals are intended to provide functionality including the ability to
visualize data over a period of time, analytics that offer insights into discard patterns,
analytics that compare consumption with other households with similar profiles, and
track performance changes over time. Access to the Portals will be provided for a
duration of 12 months.
Dubuque live data collection would start by April 1, 2013. The Proof of Concept portion
would start May 1, 2013. The Proof of Concept would be completed on April 30, 2014.
As part of the City of Dubuque's on -going sustainability research with IBM there exist
strong requirements and prohibitions on the use of data. Individually identifiable data
can never be shared, and even anonymized data is only available from volunteers who
have provided their permission. IBM is allowed only certain prescribed uses of data.
DISCUSSION
In order to undertake this Smarter Discard Management POC, the City will need to enter
into a Joint Development Agreement (JDA) with IBM to structure and oversee the POC.
Attached is a proposed JDA that sets out the Objective, Description, Responsibilities of
the Parties, Schedule and Term. It also sets out that each party would be responsible
for its own costs in the POC, which means IBM will contribute all technology, analysis
and staff time while City and its partners will contribute the costs for collection
equipment, data transfer and staff time.
RECOMMENDATION
The Smarter Discard Management POC proposed by IBM and other key industry
partners would be a logical extension of the City's Sustainable Dubuque Initiative, a
valuable addition to the Smarter Sustainable Dubuque research efforts and provide
2
access to technology, analytics and insights unavailable by other means. I respectfully
request Council approve JDA W1259816.
3
THE CITY OF
Masterpiece on the Mississippi
Dubuque
All-America City
2012
TO: Michael C. Van Milligen, City Manager
FROM: Paul Schultz, Resource Management Coordinator
SUBJECT: Smarter Sustainable Dubuque Smarter Discards:
Responses Received and Cost Ranges for a Potential Project
DATE: January 15, 2013
INTRODUCTION
Smarter Sustainable Dubuque is designed to provide Dubuque residents and City
Departments with the information and tools they need to make smarter choices about
resource consumption. The initiative is engaging the Dubuque community through
advanced technology and fostering sustainable behavior to reduce costs and better
manage their use of resources.
The City of Dubuque and IBM Research are considering a partnership to test a "Proof of
Concept" (POC) related to developing an "Intelligent Discard Management" module as
part of IBM's Smarter City suite of software services, and thereby hopefully adding
Smarter Discard Management to the City's sustainability efforts. This POC with key
industry partners would be a logical extension of the City's Sustainable Dubuque
Initiative, a valuable addition to the Smarter Sustainable Dubuque research efforts and
provide access to technology, analytics and insights unavailable by other means.
BACKGROUND
In the proposed Pilot, the City, IBM Research and other partners from the residential
discard collection, materials management/ tracking industries would focus on research
which could:
• Over a period of 12 months improve and measure trend lines in landfill diversion
rates and curbside recycling rates of anonymized residential discards to help
achieve Dubuque's sustainability commitments.
• Establish the long term cost effectiveness of pilot diversion strategies due to city
and customer access to diversion data, using carts, customer communications,
incentive utilization and campaigns, and changes in collection frequencies.
• Inform the City's needs related to current as well as future policy, staffing and
equipment issues related to discard management and curbside collection.
• Support the City's Greenhouse Gas Emissions reduction targets (the 2007 GHG
assessment identified solid waste management as 69% of the City's local
government carbon footprint).
In the Pilot the City would identify two residential collection areas, each with the same
trash and recycling customers totaling 400 -600 households, to participate in this project
( "Aggregated Customers "). In addition, City will identify 250 to 400 volunteers among
city -wide municipal collection customers to participate in this project ( "City Volunteers ").
The City Volunteers will specifically authorize their discard (landfill, recycle and compost)
information to be provided to IBM by Dubuque in anonymized form for use in the Portals.
The communitywide metric information generated by this project, using only anonymous
data from volunteer households, may be used by the City to begin estimating discard
baselines and beneficial use choices. The combined City Volunteer anonymized data,
with each Volunteer's permission, will also be shared with the City Volunteers so that
they may compare and benchmark their personal usage with that of an appropriate
subgroup of City Volunteer community. IBM will develop the Tools and will make the
Portals available to the City Volunteers. The Portals are being planned to provide
functionality including diversion tips for beneficial use, household goal challenges,
available incentives and perks, the ability to visualize data over a period of time,
analytics that offer insights into discard patterns, analytics that compare consumption
with other households with similar profiles, and track performance changes over time.
Access to the Portals will be provided for 12 months. Dubuque live data collection would
start by April 1, 2013. The Proof of Concept portion would start May 1, 2013. The Proof
of Concept would be completed on April 30, 2014.
DISCUSSION
In order to undertake this Smarter Discard Management POC, the City will need to enter
into contracts with vendors to provide Radio Frequency Identification (RFID) technology,
recycling tipper carts and data collection software. Five major industry leaders have
responded very positively to our Request for Information and Cost Estimate issued in
early January 2013 (attached). The estimated contract costs and recommended
purchases ranged between $55,000 and $80,000 which were within anticipated
estimates. At last report in November 2012, there would be an estimated unbudgeted
$408,778 in Fund 670's year -end balance to support this project in the 4Q of FY13.
Most of these proposed expenses were for purchases of long -term assets: carts and
RFID technology. Reasonable city staff time would be needed to implement and operate
the POC pilot, which are within established FY13 budgets and proposed FY14
maintenance budgets. The POC was reported as able to be implemented with an April
1, 2013 start date.
RECOMMENDATION
I respectfully request Council approve staff to move forward to further review vendor
solutions, make recommendations and negotiate draft contract details with vendors.
Staff will bring back a detailed workplan and proposed contracts for decision for the
February 4, 2013 Council Meeting. The Council agenda would have consideration and
approval of Final Vendor Selection and Scope of Deliverables, budget impact, an outline
of roles and responsibilities and a more detailed implementation schedule.
2
CC: David Lyons, Smarter Sustainable Dubuque Project Manager
Chris Kohlmann, Information Services Manager
Jenny Larson, Budget Director
Don Vogt, Public Works Director
Cori Burbach, Sustainable Community Coordinator
Chuck Goddard, DMASWA Administrator
JOINT DEVELOPMENT AGREEMENT
Agreement No. W1259816
License Reference No. L126744
This Joint Development Agreement ( "Agreement ") is between City of Dubuque, Iowa.
with an address at 50 W. 13th Street, Dubuque, IA 52001 ( "City "), and International
Business Machines Corporation, a New York corporation, through its T. J. Watson
Research Center, with a location at 1101 Kitchawan Road. Route 134, Yorktown Heights,
NY 10598 ( "IBM ").
WHEREAS, IBM would like to work on developing a prototype platform for tracking
and managing individual and aggregated waste disposal activities ( "Smarter Waste
Platform "), and enable two web portals to access the Smarter Waste Platform running on
IBM servers, that would provide City management an aggregated city view of discard
activities ( "Smarter Discard Aggregated Portal "), and offer waste management customers
an understanding of their household discard patterns ("Smarter Discard Subscriber
Portal ", together with the Smarter Discard Aggregated Portal, the "Portals "); and
WHEREAS, City is willing to identify volunteers among its residents to participate in
this project; City is willing to additionally identify two waste management routes to
participate in this project: provide Data (as defined in Article 1.3) to IBM in an
anonymized form; interface with the volunteers to answer questions about the Portals;
work with IBM to analyze the results, and provide IBM with feedback on the results
( "Feedback "); and
WHEREAS, IBM is willing to work on developing the software tools for transferring,
updating and processing the Data provided by the volunteers (who are selected by City)
participating in the project and for the aggregated areas for use on the Smarter Waste
Platform ( "Tools "); provide intermittent written reports to City on the progress and
results of the project; and demonstrate the Portals to City agencies as agreed by the
parties;
NOW, THEREFORE, for good and valuable consideration as stated herein. City and
IBM agree as follows:
1.0 Scope of Work
1.1
The parties will perform the scope of work in any Statement of Work ( "SOW ")
that incorporates by reference this Agreement; the initial SOW is attached hereto
as Appendix A. In the event of any conflict between the terms and conditions of
this Agreement and any SOW, the terms and conditions of the SOW will control.
Joint Development Agreement W1259816 Page 1 of 12
License Reference No. L126744
1.2
All components of the Platform, the Portals and the Feedback will be owned by
IBM and will be considered IBM Confidential Information in accordance with the
provisions of Article 7.0.
1.3 "Data" shall include the following information anonymized for the individual and
aggregated participants by City: GIS location; RFID tag numbers; container type;
household type; route number; setout information; street and/or neighborhood
name associated with a GIS location; weight information for trash, compost,
recycling, and for bins of the volunteers; household profile data as provided by
volunteers; tipping fees; recycling revenue rate; and volunteer userids for logging
into the Smarter Discard Subscriber Portal.
2.0 Technical Coordinators
David Lyons for City, and Heather Achilles for IBM, are the Technical
Coordinators for this Agreement. Their responsibilities will include exchanging
information with the other party, coordinating any visits, and arranging all other
matters pertinent to this Agreement. Each party may change its Technical
Coordinator by giving written notice to the other party.
3.0 Costs and Expenses
3.1 Payments shall be made as specified in each SOW. All Payments (as defined in
the applicable SOW) will be paid in U.S. Dollars and are nonrefundable.
3.2. Payment will be made by wire transfer to the following account:
Director of Licensing
International Business Machines Corporation
PNC Bank
500 First Avenue
Pittsburgh, PA 15219
Bank Account Number: 1017306369
ABA Routing Number: 043000096
3.3 The License Reference Number shown on the first page of this Agreement must
be included in all communications, including wire transfer payments, tax credit
certificates, letters, faxes and e -mail messages pertaining to the payments made
under Article 3.1.
3.4 IBM will be entitled to late payment fees on payments due but not received within
thirty (30) days after the due date. Late payment fees are defined as the lesser of
one percent (1 %) of the amount due, compounded each subsequent thirty (30) day
period that payments remain unpaid, or the highest rate permitted by law.
Joint Development Agreement W1259816 Page 2 of 12
License Reference No. L126744
3.5 City will bear and pay all taxes (including, but not limited to, sales, property and
value added taxes) imposed by any governmental entity of any country in which
City is doing business as the result of the existence of this Agreement or the
exercise of rights hereunder, except that City will not be liable for any taxes based
on IBM's net income. Taxes paid by City will not be deducted from or credited
against payments due IBM.
4.0 Copyrights
4.1 "Software" means computer programs, computer program changes, computer
program enhancements, and/or any documentation related to computer programs.
The parties agree that no Software will be delivered by either party to the other
party under this Agreement.
4.2 IBM grants to City an irrevocable, nonexclusive, worldwide and fully paid -up
license to do all of the following internally: use, reproduce and distribute any
copyrightable materials (other than Software) furnished or developed by IBM
under this Agreement.
4.3 City grants to IBM an irrevocable, nonexclusive, worldwide, and fully paid -up
license for any copyrightable materials other than the Data and Software.
furnished or developed by City under this Agreement. This license includes the
right to use, execute, display, reproduce, perform, disclose, prepare derivative
works from, and distribute and transmit (internally and externally) such
copyrightable materials and their derivative works and to sublicense others to do
any or all of the foregoing.
City grants to IBM an irrevocable, nonexclusive, worldwide, and fully paid -up
license to use, reproduce and distribute the Data furnished by the City under this
Agreement: (i) as necessary to perform the work described in this Agreement; (ii)
to demonstrate the Portals to third parties; (iii) to publish the results of the work
under this Agreement in scientific journals, and periodicals, and in conference
papers and presentations; (iv) for internal use for research purposes; and (v) to
include as sample information in IBM products and services so long as IBM does
not identify the City as the source of the Data that created the sample information.
For IBM to identify the City as the source of the data for sample information, or
for IBM to release information that a reasonable person would consider the City to
be the source of data for sample information, IBM shall obtain City's prior
approval. IBM may not sublicense the Data to any third party.
IBM will not take ownership interests in the Data or in any other copyrightable
materials other than the Feedback, furnished or developed by City under this
Agreement. City hereby assigns to IBM all its rights in the Feedback provided by
City to IBM. City agrees to execute any documents necessary to perfect IBM's
rights in Feedback.
Joint Development Agreement W1259816 Page 3 of 12
License Reference No. L126744
5.0 Inventions
5.1 "Invention" means any idea, design, concept, technique, invention, discovery or
improvement, whether or not patentable, conceived or first reduced to practice
solely by one or more employees of a party hereto ( "Sole Invention "), or jointly by
one or more employees of one party with one or more employees of the other party
( "Joint Invention "), in the performance of work under this Agreement.
5.2 Each party will promptly provide to the other party a written description of each
Invention. The other party agrees to delay making public, by publication or
otherwise, until the earlier of (1) the first filing of a patent application claiming the
Invention by the owning party or (2) six months after the date the Invention is
disclosed to the other party, for any Invention for which the disclosing party has
decided, or is in the process of deciding, to seek patent protection.
5.3 Any Sole Invention of either party will be the property of IBM. Any Joint
Invention will be owned by IBM, and title to all patents issued on it will be owned
by IBM.
IBM will grant City a license granting City the right to do any of the following
internally: use, execute, display, reproduce, perform, disclose, prepare derivative
works from, and distribute and transmit City Sole Inventions and Joint Inventions
which are not Software.
6.0 Term and Termination
6.1 This Agreement will begin on the date it is signed by the last signatory ( "Effective
Date "), and remain in effect unless terminated by either party as provided in
Article 6.2 or 6.3 below.
6.2 City may terminate this Agreement and/or any SOW at the end of any calendar
quarter with written notice to IBM sent not less than thirty (30) days prior to the
end of that quarter. on condition that City pay IBM any payment due at the
beginning of the next calendar quarter commencing after the effective date of the
termination.
6.3 IBM may terminate this Agreement and/or any SOW at the end of any calendar
quarter with written notice to City sent not less than thirty (30) days prior to the
end of that quarter.
7.0 Confidentiality
Joint Development Agreement W1259816 Page 4 of 12
License Reference No. L126744
7.1 "IBM Confidential Information" means the Feedback and any technical or
business information about the Platform or the Portals (including user
documentation).
7.2 For five (5) years from the date of disclosure, City agrees to hold IBM
Confidential information in trust and confidence for IBM. City will limit
disclosure of the IBM Confidential Information to those of its employees who
have a need to know it. City will use IBM's Confidential Information only for
the purposes of this Agreement.
7.3 Disclosure of Confidential Information will not be precluded if the disclosure is
required by law, but City will give IBM reasonable notice to allow IBM an
opportunity to obtain a protective order. The obligations of Article 7.2 above will
not apply to information that is: (a) already in the possession of City without
obligation of confidence: (b) independently developed by City; (c) publicly
available, or becomes publicly available through no fault of City; (d) disclosed by
IBM without obligation of confidence; or (e) disclosed with the permission of
IBM.
7.4 Each party agrees that the disclosure of its Confidential Information pursuant to
this Agreement does not limit the assignment or reassignment of the other party's
employees.
8.0 Representations, Warranties, Disclaimers, Indemnification and Limitation of
Liability
8.1 City will be solely responsible for the collection of the Data, and for determining
what Data may and will be provided to IBM under this Agreement.
8.2 City represents and warrants that (i) it has all necessary third party consents to
provide the Data to IBM, and to permit IBM to use the Data as provided in this
Agreement and (ii) it has all necessary third party consents or licenses to permit
distribution and use of any software, including application programming
interfaces, by IBM that may be needed to obtain the Data. City further represents
and warrants that it has anonymized the Data delivered to IBM to an extent
sufficient to ensure that a person without prior knowledge of the original Data and
its collection cannot, from the anonymized Data and other publicly available
information, deduce the personal identity of the Data subjects.
8.3 Except as provided in Article 8.2, NEITHER PARTY MAKES ANY
WARRANTY, EXPRESS OR IMPLIED, CONCERNING COPYRIGHTABLE
MATERIALS, INVENTIONS, PROTOTYPES, DATA, INFORMATION, OR
OTHER DELIVERABLES SUPPLIED UNDER THIS AGREEMENT, WHICH
ARE ALL PROVIDED "AS IS." EACH PARTY EXPLICITLY DISCLALMS
THE WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A
Joint Development Agreement W1259816 Page 5 of 12
License Reference No. L126744
PARTICULAR PURPOSE, AND ANY WARRANTY OF NON -
INFRINGEMENT OF ANY THIRD PARTY'S PATENTS, COPYRIGHTS, OR
ANY OTHER INTELLECTUAL PROPERTY RIGHT.
8.4 EACH PARTY ALSO SPECIFICALLY DISCLAIMS ANY WARRANTY
REGARDING ANY PROTOTYPE(S) WHICH MAY BE DEVELOPED
PURSUANT TO THIS AGREEMENT INCLUDING THAT ANY
PROTOTYPE(S) WILL MEET ANY DEVELOPMENT OBJECTIVES, OR
ANY REQUIREMENTS OF EITHER PARTY. EACH PARTY WILL MAKE
GOOD FAITH EFFORTS TO COMPLETE THE ACTIVITIES UNDER THE
STATEMENT OF WORK. FAILURE TO COMPLETE SUCH ACTIVITIES
DOES NOT CONSTITUTE BREACH OF CONTRACT.
8.5 City will defend, indemnify and hold harmless IBM and IBM's Subsidiaries (as
defined below) for any and all claims by a third party against IBM or its
Subsidiaries where such claims are (i) related to an actual or alleged breach of
City's representations and warranties set forth in Article 8.2 or (ii) related to the
provision of rewards and incentives by City.
8.6 Except for claims arising out of Article 7.0, and indemnification obligations
arising under Article 8.5, neither party will be liable for any consequential
damages, lost profits, lost savings. loss of anticipated revenue, or any exemplary,
punitive, special or indirect damages, even if advised of their possibility.
8.7 "Subsidiary" will mean a corporation, company, or other entity;
more than 50% of whose outstanding shares or securities (representing the
right to vote for the election of directors or other managing authority) are.
now or hereafter, owned or controlled, directly or indirectly, by a party
hereto, but such corporation, company, or other entity will be deemed to be a
Subsidiary only so long as such ownership or control exists; or
ii. which does not have outstanding shares or securities, as may be the case in a
partnership, joint venture or unincorporated association, but more than 50%
of whose ownership interest representing the right to make the decisions for
such corporation, company or other entity is now or hereafter, owned or
controlled, directly or indirectly, by a party hereto, but such corporation,
company or other entity will be deemed to be a Subsidiary only so long as
such ownership or control exists.
9.0 General Provisions
9.1 Each party is an independent contractor. Neither party is, nor will claim to be, a
legal representative. partner, franchisee, agent or employee of the other. Neither
party will assume or create obligations for the other.
Joint Development Agreement W1259816 Page 6 of 12
License Reference No. L126744
9.2 Except as otherwise provided herein, this Agreement does not confer any rights to
use in advertising, publicity or other marketing activities any name, trade name,
trademark, or other designation of either party hereto, including any contraction,
abbreviation, or simulation of any of the foregoing, without prior written
agreement, and each party agrees not to use or refer to this Agreement or its terms
in any such activities without the express written approval of the other party.
9.3 All notices will be in writing and will be valid if sent by: a) registered or
certified mail, return receipt requested, postage prepaid; b) by facsimile
(provided the receipt of the facsimile is evidenced by a printed record of
completion of transmission); or, c) by express mail or courier service providing a
receipt of delivery. Notice will be effective upon receipt and addressed as
follows:
IBM
IBM Corporation
1 North Castle Drive. Office 2C -99
Armonk. NY 10504
Attn.: Manager, Business and
Government Relations
City
City of Dubuque, Iowa
50 W. 13th Street
Dubuque, IA 52001
Attn.: David Lyons
9.4 Neither party will be liable for any failure or delay in the performance of its
obligations under this Agreement if such failure or delay is due to acts of God,
acts of the other party, fire, flood, natural catastrophe, acts of any government or
of any civil or military authority, national emergencies, riots, war, insurrection,
strikes, or any occurrence beyond the reasonable control of such party.
9.5 Each party agrees to comply and to reasonably assist the other in complying with
applicable government export and import laws and regulations. Further, each
party agrees that unless authorized by applicable government license or regulation.
including but not limited to U.S. authorization, it will not directly or indirectly
export or reexport, at any time, any technology, software and/or commodities
furnished or developed under this Agreement, or any other agreement between the
parties, or its direct product, to any prohibited country (including release of
technology. software and/or commodities to nationals, wherever they may be
located, of any prohibited country) as specified in applicable export, embargo,
and sanctions regulations. This section will survive after termination or expiration
of this Agreement.
9.6 Except as expressly provided in this Agreement, neither party grants any licenses,
either directly or indirectly, by implication or estoppel or otherwise, to either party
under any patent, copyright or other intellectual property right of the other party.
Joint Development Agreement W1259816 Page 7 of 12
License Reference No. L126744
9.7 Neither party may assign, or otherwise transfer, its rights or delegate its
obligations under this Agreement without prior written consent of the other party.
Any attempt to do so is void.
9.8 Except for claims arising out of Articles 3.0, 5.2, 7.0, 8.5, or Article 5.0 of a
SOW, neither party may bring an action arising out of this Agreement, regardless
of form, more than one year after the cause of action has accrued.
9.9 Neither party relies on any promises, inducements or representations made by the
other, or expectations of more business dealings, except as expressly provided in
this Agreement.
9.10 Each party represents that it has, or will have appropriate agreements with its
employees or others whose services the party may require to enable it to comply
with all the provisions of this Agreement.
9.11 Each party may have similar agreements with others, and may design, develop,
manufacture, acquire or market competitive products and services, and conduct its
business in whatever way it chooses. Each party will independently establish
prices and terms for its products and services.
9.12 If any provision of this Agreement is held to be invalid, illegal or unenforceable,
the validity, legality and enforceability of the remaining provisions will in no way
be affected or impaired thereby so long as the intent of the parties can be
preserved.
9.13 This Agreement is governed by the laws of the State of New York, without regard
to the conflict of laws provisions thereof. Any proceedings to resolve disputes
relating to this Agreement will be brought only in a U.S. federal court if there is
federal jurisdiction over such proceeding. The parties waive the right to trial by
jury in any matter which arises under this Agreement. The United Nations'
Convention on International Sales of Goods does not apply.
9.14 Any rights and obligations which by their nature survive and continue after any
expiration or termination of this Agreement will survive and continue and will
bind the parties and their successors and assigns, until such obligations are
fulfilled.
9.15 This Agreement may only be amended by a writing signed by authorized
representatives of the parties. No approval, consent or waiver which alters the
terms of this Agreement will be enforceable unless signed by both parties. Failure
to insist on strict performance or to exercise a right when entitled does not prevent
a party from doing so later for that breach, or a future breach.
9.16 There are no intended third party beneficiaries to this Agreement.
Joint Development Agreement W1259816 Page 8 of 12
License Reference No. L126744
9,17 This Agreement and its Appendices are the complete and exclusive agreement
between the parties regarding the subject matter hereof and supersedes any prior
oral or written communications or understandings between the parties related to
the subject matter hereof.
9.18 This Agreement may be signed in one or more counterparts, each of which shall
be deemed to be an original and all of which when taken together shall constitute
the same Agreement. Any signed copy of this Agreement made by photocopy,
facsimile or PDbF Adobe format shall be considered an original.
By signing below, the parties agree to the terms of this Agreement.
INTERNATIONAL BUSINESS
MACHINES CORPORATION
Name:Kev1 ■T
Title: vice 0008,0c.v7
Date: //2 wao /3
v
CITY OF DUBUQUE, IOWA
1 /f
Name: iq o y D. 13 u o 1
Tide:
Mayor
Date: 1/22/13
Joint Development Agreement W1259816 Page 9 of 12
License Reference No. L126744
APPENDIX A
STATEMENT OF WORK
This Statement of Work Number 001 (this "SOW ") adopts and incorporates by reference
the terms and conditions of the Joint Development Agreement No. W1259816
( "Agreement ") dated , between City of Dubuque, Iowa ( "City ") and
International Business Machines Corporation ( "IBM "). Work performed under this
Statement of Work will be conducted in accordance with and be subject to the terms and
conditions of this Statement of Work and the Agreement, including any Appendices or
Attachments.
1.0 Objective
The objective of the project is to provide access to the Smarter Waste Platform that may
help enable City officials and the City's customers to achieve the following goals:
• Over a period of 9 -12 months increase landfill diversion rates and beneficial
reuse, recycling, and composting of residential discards to assist in meeting City's
sustainability commitments.
• Establish the long term cost effectiveness of such pilot diversion strategies in
customer access to diversion data using carts, RFID technology, incentive
utilization and campaigns, changes in collection frequencies and new targeted
materials.
2.0 Project Description
City will identify two waste management (landfill and recycle) routes of the City totaling
400 -600 households each to participate in this project ("Aggregated Customers "). In
addition, City will identify up to 400 volunteers among the waste management customers
in City to participate in this project ( "City Volunteers "). The City Volunteers will
specifically authorize their waste discard (landfill, recycle and compost) information to be
provided to IBM by Dubuque in anonymized form for use in the Portals. The community -
wide metric information generated by this project may be used by City to begin
estimating waste discard baselines, and the combined City Volunteer data will also be
shared with the City Volunteers so that they may compare and benchmark their personal
usage with that of an appropriate subgroup of City Volunteer community.
IBM will develop the Tools and will make the Portals available to the City Volunteers.
The Portals are intended to provide functionality including the ability to visualize data
over a period of time, analytics that offer insights into discard patterns. analytics that
compare consumption with other households with similar profiles, and track performance
Joint Development Agreement W1259816 Page 10 of 12
License Reference No. L126744
changes over time. Access to the Portals will be provided for a duration of 12 months
unless this SOW is terminated earlier pursuant to Article 6 of the Agreement. IBM shall
have no responsibility (other than analysis of the Data) for any incentives or rewards
provided by City.
3.0 Responsibilities of the Parties
IBM:
1. Transfer Data and ingest it into the Smarter Waste Platform that will help:
a. City management understand the landfill and recycle discard patterns and
sustainability footprint of both the areas Aggregated Customers and the City
Volunteers participating in the project; and
b. City management understand the compostable discard patterns of the City
Volunteers participating in the project; and
c. City Volunteers visualize, interact, and understand their individual landfill,
recycle and compost discard patterns and sustainability footprint in
comparison with the combined data of the other City Volunteers participating
in the project.
2. Make available the following IBM technology for use by IBM during the project:
IBM Smarter Waste Platform running on servers owned by and located at IBM
3. Provide City with written progress reports within twenty (20) days after the end of
each calendar quarter, summarizing the work performed, and the results achieved
( "Progress Reports ").
4. Provide a final written report analyzing the citywide landfill, recycle and compost
patterns across the participating areas and volunteer customers.
City of Dubuque:
1. Define two Aggregated Customer waste management routes.
2. Recruit from two hundred fifty (250) to up to four hundred (400) City Volunteers.
3. Implement a method (either automated or manual) of measuring and recording
setouts for Aggregated Customers, and setout and discard weights for the City
Volunteers.
Joint Development Agreement W1259816 Page 11 of 12
License Reference No. L126744
4. Provide IBM with access to a data warehouse(s) that will allow for either FTP or
web service data exchange for the Data.
5. Provide personnel to interface with City Volunteers to answer questions about the
project, their service or their discard.
6. Work with IBM to analyze the results, and provide IBM with Feedback on the
results.
7. Be responsible for any rewards or incentives provided to Aggregated Customers
and/or the City Volunteers.
4.0 Estimated Schedule
The relevant milestones and estimated completion dates associated with this SOW are as
follows assuming a project start date of January 23, 2013:
1. City Data collection starts:
2. Smarter Waste Platform available:
3. City begins using Smarter Waste Platform:
4. Project completion:
5.0 Payment Terms
April 1, 2013
April 24, 2013
May 1, 2013
April 30, 2014
Each party will bear its own costs in connection with this SOW. City confirms that City's
arrangements to fund its own expenses do not conflict with the terms and conditions of
this Agreement.
6.0 Term
This Statement of Work is effective beginning January 23, 2013, and will remain in effect
until April 30, 2014 (unless earlier terminated or extended in accordance with this
Statement of Work or the Agreement) (the "Term "). If the parties mutually agree to
extend this project, an amendment may be negotiated by the parties for such extension.
END
Joint Development Agreement W1259816 Page 12 of 12
License Reference No. L126744
City of Dubuque, Iowa
Smarter Discard Management Pilot Project
Request for Information and Cost Estimate
Introduction
The City of Dubuque and IBM Research are considering a partnership to test a "Proof of Concept"
(POC) related to developing an "Intelligent Discard Management" module as part of IBM's Smarter
City suite of software services.
The Pilot has two primary goals:
• Over a period of 12 months improve and measure trend lines in landfill diversion rates and
curbside recycling rates of residential discards to help achieve Dubuque's sustainability
commitments.
• Establish the long term cost effectiveness of Pilot diversion strategies due to city and customer
access to diversion data, using carts, RFID, customer communications, incentive utilization
and campaigns, changes in collection frequencies and potentially new targeted materials.
Following the Pilot, the City of Dubuque will consider implementation of citywide landfill diversion and
collection efficiency strategies beginning in fiscal year 2015. The Pilot will be critical in determining
the City of Dubuque's needs related to current as well as future policy, staffing and equipment issues
related to discard management and curbside collection.
The City of Dubuque is interested in identifying interested vendors for data collection, transfer and
tracking who can provide quality services and support. The focus of the vendor should be customer
satisfaction through consistent quality of all services provided and a commitment to continuous
improvement of their products and services.
In this document the term "City" will be used interchangeably with "City of Dubuque." Both reference
the same entity.
This is a request for information and cost estimates (RFI) not a formal bid, offer or request for
proposal. The City is evaluating solutions and how those solutions best fit with referenced
integrations. Therefore the City may deploy more than one vendor solution for all or part of this pilot.
Information submitted for this proposal will assist staff and the Dubuque City Council in determining
next steps for the smarter discards initiative.
Community Profile
Dubuque, Iowa is a progressive community in the upper Midwest. Located along the Mississippi
River at the intersection of Iowa, Illinois, and Wisconsin, Dubuque has a population of 58,000 and
serves as a metropolitan service area for seven surrounding counties. Recent recognitions include
being named one of the seven Most - Connected Locales in the U.S. by Connected World magazine,
one of 2010's Ten Smartest Cities on the Planet by Fast Company, the Best Small City to Raise a
Family for 2010 by Forbes, the Most Livable Small City in the U.S. for 2008 by the U.S. Conference of
Mayors, and one of the 100 Best Communities for Young People, the Most Livable Small City, and a
2007 and 2012 All- America City by the National Civic League. Dubuque, Iowa is truly a "Masterpiece
on the Mississippi."
In 2006 and every year since, the Mayor and City Council identified becoming a more Sustainable
City as one of their top priorities for Dubuque. Implementation of a community - defined sustainability
plan (Sustainable Dubuque) is an on -going focus. The Sustainable Dubuque model is a holistic
approach to making Dubuque sustainable, and involves a three -part approach that addresses
Environmental and Ecological Integrity, Economic Prosperity and Social and Cultural Vibrancy .
There are eleven principles included, with several specifically impacting this Smarter Discard
Management pilot, including Smart Resource Use, Healthy Air and Regional Economy.
Connected with the Sustainable Dubuque model is a unique public /private partnership between the
City of Dubuque and IBM Research, the division of IBM responsible for its "Smarter Planet"
campaign. The project, known as Smarter Sustainable Dubuque was initiated in September 2009
when the City of Dubuque and IBM announced their intentions to make Dubuque one of the first
"smarter" sustainable cities in the U.S.
Plans include the development of new "smarter" technologies and implementation strategies to create
a replicable, international model of sustainability for communities of 200,000 and under, where over
40 percent of the U.S. population resides. The model will integrate community engagement and
education, more energy- efficient ways of operating municipal services and buildings, decreased
carbon emissions, new job creation, increased financial savings, and a higher quality of life for the
entire community.
Smarter Sustainable Dubuque is designed to provide Dubuque residents with the information and
tools they need to make smarter choices about resource consumption. The initiative is engaging
Dubuque residents and businesses who, through advanced technology, will be able to voluntarily
better manage their use of resources like water, electricity, oil, natural gas, wellness and hopefully,
with the help of this Smarter Discard Management Pilot, materials management.
The City's municipal collection system serves 20,500 customers collected five days a week on six
refuse and five recycling routes. The current base collection fee combined for refuse and recycling is
$11.69 per month. The average household's discards to landfill (including furniture and move outs)
weighs 21 pounds per week. The average household's discards to curbside recycling weighs 9
pounds per week. Dubuque has a robust Pay As You Throw program, strong curbside recycling,
year -round bulky item and organics collections, including a six year old subscription option for food
scrap collection, event recycling and zero waste programming. It has a very favorable revenue
sharing contract for collected recyclables that incentivizes greater diversion to recycling. The
Dubuque Metropolitan Area Solid Waste Agency has a policy supporting a progressive 2% per year
reduction in landfilling being diverted to identifiable beneficial uses.
The City and been assessing local government and community Green House Gas (GHG) emissions,
has set a target of a 50% reduction in GHG by 2030, and is near completion with a draft Climate
Action and Resiliency Roadmap to facilitate meeting that target. The 2007 GHG assessment
identified the solid waste management as 69% of our local government carbon footprint.
Response Submission
Interested vendors should be careful to completely read the requirements and description of this RFI.
All inquiries concerning this RFI should be submitted in writing via e-mail to Paul Schultz Resource
Management Coordinator pschultz @cityofdubuque.org
The proposed timeline for this project is as follows:
Proposed Timeline
Event
Date(s)
RFI Issue to Vendors
January 3, 2013
RFI Webinar for Vendors
January 7, 2013 10:00am CST
RFI Due
January 11, 2013
City Council consideration and decision
on IBM Joint Development Agreement
and decision to proceed with vendor
contract negotiations
January 22, 2013
City council consideration and approval
of Final Vendor Selection and Scope of
Deliverables and budget
February 4, 2013
Implementation and Training
February — March 2013
Go Live
March — April 2013
Data Transfer begins to IBM
April 2013
Responses to this RFI are to be received by 4:00 PM on January 11, 2013. Firms whose
qualifications and information are determined to be best suited to leadership of such a Pilot may be
invited to an interview /presentation meeting for further evaluation after a council assessment and
decision on the IBM Joint Development Agreement .
Responses should be sent to:
Paul Schultz
Resource Management Coordinator
Municipal Services Center
925 Kerper Court
Dubuque, IA 52001
563.589.4249
Responses (a printed original) must be received by 4:00 pm on January 11, 2013. Vendors should
insure that their responses arrive at the correct location on or before the stated deadline. Late
responses or responses delivered to the incorrect location may not be considered.
Responses must be submitted in sealed packages marked "Smarter Discard Management Pilot
Project." Proposed costs for the pilot should be included in a separate envelope titled "Costs for
Smarter Discard Management Pilot Project."
As an alternative, vendors are invited and encouraged to submit their responses electronically via the
City's ftp site. If your organization would be interested in doing such, please contact Chris Kohlmann
via e-mail at ckohlman @cityofdubuque.org no later than 5:00pm January 10, 2013 to receive
submittal instructions and access information for the ftp site.
RFI Pre - Proposal Webinar
An RFI Webinar — Pre - proposal Meeting will be held on January 7, 2013 at 10:00am CST. Online
and conference phone connection is:
https:// www2 .gotomeetinq.com /join/843346914
Use your microphone and speakers (VoIP) - a headset is recommended. Or, call in using your
telephone.
Dial +1 (213) 493 -0601
Access Code: 843 - 346 -914
Audio PIN: Shown after joining the meeting
Meeting ID: 843 - 346 -914
The purpose of this meeting is to review the project, to provide clarification and respond to questions
Smarter Discard Management Pilot Project Description and Expectations
There is an expectation of contributed /donated and discounted products, such as tipper carts, and
services as part of the relationship in this research. Within the parameters identified below, please
describe the end -to -end capacity you would deliver for this Pilot.
1. The City of Dubuque and IBM Research are looking to target and measure the components of the
two goals within two pre- determined aggregated discrete route areas each totaling approximately
400 -600 households. Collection would occur on two separate collection days and each day would
have the same overlapping refuse and recycling customers. These areas are expected to include
both single and multi - family (2 -6) housing units. Minimally it is expected that one refuse truck and
one recycling truck would need to have equipment installed to record and transmit the data from all
containers collected with RFID tags or similar. There will also be a need for a procedure and
equipment to manually report "exceptions" — collected containers without RFID tags. There will also
be RFID tags needed for installation on city containers: recycling bins and tipper carts. There should
be a backup strategy for if and when the RFID data collection system is disabled or if the City opts to
not use RFID tags and instead wishes to pursue use of AVL data integration to obtain location.
• One of the two aggregated areas, as finally determined by the city, is targeted to be in a lower
income census demographic (lower income person or family is defined as having a total
income which falls between the fifty (50) percent and eighty (80) percent median for the area,
adjusted for size) that already has a significant deployment of city refuse carts.
• The second area, as finally determined by the City, is targeted for an area with a higher
recycling diversion rate. This area could likely both increase diversion to recycling and reduce
collection costs with deployment of optional recycling tipper carts of varying sizes. After base
line data is collected on weekly recycling, this area would collect all recyclables, both yellow
18- gallon bins and newly deployed recycling tipper carts, every other week.
2. The selected vendor would enable Dubuque to automatically read collection data via a push /pull web
service or provide collection data via a CSV file. Please be sure to note alternative approaches
and design considerations needed with the use of RFID tags or the use of on board AVL
giving the location of the pickup of the container.
The vendor will also provide API, WSDL, schema or data format information for the data being
provided.
The following data will be collected, assembled and transmitted to the City of Dubuque for the Pilot:
o Daily customer curbside collection participation data for landfill (trash) & recycling
collection
o Daily container types (tipper carts, recycling bins, etc) collected by address
o Daily total content weights from Landfill and MRF scaling for each aggregated area
o Monthly participation rate and setout frequencies for both landfill & recycling collection
per customer
o Monthly participation rate and setout frequencies for both landfill & recycling collection
for the Pilot route as a whole
o Addresses & Geocoding for each customer referenced within the City's GIS
o Address mapping for RFID tags and non -RFID containers
o Whether the collected setout is from a multiplex
o Whether multiple households are using a common container.
3. Dubuque live data collection would start by April 1, 2013 or sooner. The Proof of Concept portion
would start May 1, 2013. The Proof of Concept would be completed on April 30, 2014.
PILOT COMPONENTS, DESIRED OUTCOMES AND LONGER TERM POTENTIAL EXPANSION
IMPLICATIONS:
• Identify and document needed technology, equipment, carts, RFID tags and services
• Identify any cost and resource requirements
• Identify appropriate /needed staffing levels and City of Dubuque support
• Identify, test out and measure potential incentives /disincentives, crew supportive
actions, social media approaches, customer communications, tips, self reporting buy -in,
gamification, carbon footprint calculations, environmental impacts, personal goal
diversion progress /achievement, and any other components suggested to foster
sustainable behavior changes to reduce the Pilot customer's landfilling materials and
increase the curbside recyclable and compostable materials
• Describe collaboration with other companies /partners /sub contractors
• Provide an initial review and evaluation of the likely process that will be designed
• Identify potential strengths /weaknesses for the plan
• Identify potential sustainability /resiliency impacts
• Identify measure and project I changes in landfill and recycling tonnages
• Identify measure and project change in costs, cost savings, revenues
NEXT STEPS and Response: City may choose to request additional information and design input
from parties describing a complete set of services, sufficient for it to be able to complete such Pilot.
Important to that consideration will be:
1. Level of expertise for the project
2. Previously involvement in similar research, studies or projects.
3. Past record of performances on similar projects
4. Project organization and management
5. Qualifications of any personnel that would be made available to such a Pilot.
Potential vendor /partners are requested to respond with an answer to the following:
1. Is this project one that your company would wish to participate?
2. What would your organization think is reasonable /available to be contributed to this project by
your company?
3. What issues /concerns does your company have with the described approach in the RFI /RFQ
and from your knowledge of this project? What do you see as missing components or needs
to be considered?
4. Please provide a narrative of your firm's approach to partnering on this project.
5. Please provide projected budgetary costs for the pilot and long term project. Please provide
proposed costs for the pilot in a separate envelope titled "Costs for Smarter Discard
Management Pilot Project" or folder titled "Costs for Smarter Discard Management Pilot
project" if submitting information electronically.