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Home My WebLink AboutSAK,s* SX CONSTRUCTION 864 HOFF RD. OFALLON MO 63366 UNITED SATES US To CITY CLERK AT CITY HALL CITY OF WATERLOO, IA 715 MULBERRY ST IIVV1. I.VVLO CAD: 107796334/INET3850 BILL SENDER WATERLOO IA 50703 (319) 2914323 REF SEALED BID ENCLOSED P0: DEPT: 546J311i B53C1 11111111111111111111101111111111111110 111111111111111 Express E REL# 3785346 ITR" 7785 3362 5594 2 30 Q 5 05 a2 i THU - 02 MAR 10:30A PRIORITY OVERNIGHT i 41-13Z1. ENCLOSElyt aumwer- Align bottom of peel -and -stick airbill or pouch here. SAK' Pipeline Infrastructure. Solved.'" BID ENCLOSED FY 2017 CIP Pipelining Phase IIIA City Contract No. 919 Deliver Bid to: City of Waterloo City Clerk, City Hall 715 Mulberry Street Waterloo, IA 50703 March 2, 2017 at 1:00 PM 636.385.1000 tel 636.385.1100 fax 864 Hoff Road O'Fallon, MO 63366 www.sakcon.com SAK 1M Pipeline Infrastructure. Solved. FY 2017 CIP Pipelining Phase IIIA City Contract No. 919 BID SECURITY 636.385.1000 tel 636.385.1100 fax 864 Hoff Road O'Fallon, MO 63366 www.sakcon.com BID BOND KNOW ALL MEN BY THESE PRESENTS, that we, SAK Constructions, LLC, 864 Hoff Road, O'Fallon, MO 63366 as Principal, and Travelers Casualty and Surety Company of America, One Tower Square, Hartford, CT 06183 as Surety are held and firmly bound unto the hereinafter called CITY OF WATERLOO , Iowa, "OWNER." In the penal sum Five Percent of Amount Bid Dollars ($ 5% of Amount Bid ) lawful money of the United States, for the payment of which sum will and truly be made, we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally, firmly by these presents. The condition of this obligation is such that whereas the Principal has submitted the accompanying bid dated the 2day of March ,20 17 , for City Contract No. 919, FY 2017 CIP Pipelining Phase IIIA NOW, THEREFORE, (a) If said Bid shall be rejected, or in the alternate, (b) If said Bid shall be accepted and the Principal shall execute and deliver a contract in the form specified and shall furnish a bond for his faithful performance of said contract, and for the payment of all persons performing labor or furnishing materials in connection therewith, and shall in all other respects perform the agreement created by the acceptance of said Bid, Then this obligation shall be void, otherwise the same shall remain in force and effect; it being expressly understood and agreed that the liability of the Surety for any and all claims hereunder shall, in no event, exceed the penal amount of this obligation as herein stated. By virtue of statutory authority, the full amount of this bid bond shall be forfeited to the Owner in liquidation of damages sustained in the event that the Principal fails to execute the contract and provide the bond as provided in the specifications or by law. The Surety, for value received, hereby stipulates and agrees that the obligations of said Surety and its bond shall be in no way impaired or affected by any extension of the time within which the Owner may accept such Bid or execute such contract; and said Surety does hereby waive notice of any such extension. IN WITNESS WHEREOF, the Principal and the Surety, have hereunto set their hands and seals, and such of them as are corporations, have caused their corporate seals to be hereto affixed and these pres- ents to be signed by their proper officers this 2 day of March , A.D. 20 17 . arbara Budibold, W' ness BID BOND AECOM 60504645 SAK Construction, • (Seal) Pri tp=I By `3ot� Travelers Casualty at Surety By ice?reit e.Y1� Surety Com'my of America (Seal) Attorney-in-fact Debra A. Woodard, Attorney -in -Fact CONTRACT NO. 919 BB -1 OF 2 ACKNOWLEDGEMENT FOR CONTRACTOR ACKNOWLEDGEMENT FOR CONTRACTOR, IF LIMITED LIABILITY COMPANY STATE OF Missouri } COUNTY OF St. Charles } ON THE and DAY OF M arch , 20 17 , BEFORE ME PERSONALLY APPEARED Boyd Hirtz TO ME KNOWN AND KNOWN TO ME TO BE THE Vice President OF SAK Construction, LLC, A LIMITED LIABILITY COMPANY, DESCRIBED IN AND WHO EXECUTED THE FOREGOING INSTRUMENT AND ACKNOWLEDGED TO ME THAT HE EXECUTED THE FOREGOING INSTRUMENT AND ACKNOWLEDGED TO ME THAT HE EXECUTED THE SAME AS AND FOR THE ACT AND DEED OF SAID LIMITED LIABILITY COMPANY. THERESA H. MESSER My Commission Expires March 30, 2019 St. Charles County Commission #15634377 Notary Public State of Missouri County of St. Louis On 3/02/2017, before me, a Notary Public in and for said County and State, residing therein, duly commissioned and sworn, personally appeared Debra A. Woodard known to me to be Attorney -in - Fact of TRAVELERS CASUALTY AND SURETY COMPANY OF AMERICA the corporation described in and that executed the within and foregoing instrument, and known to me to be the person who executed the said instrument in behalf of said corporation, and he duly acknowledged to me that such corporation executed the same. IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal, the day and year stated in this certificate above. t 1 kt_P\ i'A tWo Lai( arbara B Buchhold, Notary I blic My Commission Expires: BARBARA BUCHHOLD Notary Public - Notary Seal STATE OF MISSOURI St. Charles County My Commission Expires: Sept. 7. 2018 Commission # 14430636 TRAVELERS J Attorney -In Fact No. WARNING: THIS POWER OF ATTORNEY IS INVALID WITHOUT THE RED BORDER POWER OF ATTORNEY Farmington Casualty Company Fidelity and Guaranty Insurance Company Fidelity and Guaranty Insurance Underwriters, Inc. St. Paul Fire and Marine Insurance Company St. Paul Guardian Insurance Company 231637 St. Paul Mercury Insurance Company Travelers Casualty and Surety Company Travelers Casualty and Surety Company of America United States Fidelity and Guaranty Company Certificate No. 007092 968 KNOW ALL MEN BY THESE PRESENTS: That Farmington Casualty Company, St. Paul Fire and Marine Insurance Company, St. Paul Guardian Insurance Company, St. Paul Mercury Insurance Company, Travelers Casualty and Surety Company, Travelers Casualty and Surety Company of America, and United States Fidelity and Guaranty Company are corporations duly organized under the laws of the State of Connecticut, that Fidelity and Guaranty Insurance Company is a corporation duly organized under the laws of the State of Iowa, and that Fidelity and Guaranty Insurance Underwriters, Inc., is a corporation duly organized under the laws of the State of Wisconsin (herein collectively called the "Companies"), and that the Companies do hereby make, constitute and appoint Andrew P. Thome, Dana A. Johnessee, Peter J. Mohs, Debra A. Woodard, Barbara Buchhold, Michael D. Wiedemeier, Amanda L. Williams, Georgina Fink, and Andrea McCarthy of the City of Chesterfield , State of Missouri , their true and lawful Attorney(s)-in-Fact, each in their separate capacity if more than one is named above, to sign, execute, seal and acknowledge any and all bonds, recognizances, conditional undertakings and other writings obligatory in the nature thereof on behalf of the Companies in their business of guaranteeing the fidelity of persons, guaranteeing the performance of contracts and executing or guaranteeing bonds and undertakings required or permitted in any actions or proceedings allowed by law. IN WITNESS WHEREOF, the Companies have caused this instrument to be signed and their corporate seals to be hereto affixed, this 5th day of January , 2017 State of Connecticut City of Hartford ss. Farmington Casualty Company Fidelity and Guaranty Insurance Company Fidelity and Guaranty Insurance Underwriters, Inc. St. Paul Fire and Marine Insurance Company St. Paul Guardian Insurance Company St. Paul Mercury Insurance Company Travelers Casualty and Surety Company Travelers Casualty and Surety Company of America United States Fidelity and Guaranty Company By: Robert L. Raney, Senior Vice President On this the 5th day of January 2017, before me personally appeared Robert L. Raney, who acknowledged himself to be the Senior Vice President of Farmington Casualty Company, Fidelity and Guaranty Insurance Company, Fidelity and Guaranty Insurance Underwriters, Inc., St. Paul Fire and Marine Insurance Company, St. Paul Guardian Insurance Company, St. Paul Mercury Insurance Company, Travelers Casualty and Surety Company, Travelers Casualty and Surety Company of America, and United States Fidelity and Guaranty Company, and that he, as such, being authorized so to do, executed the foregoing instrument for the purposes therein contained by signing on behalf of the corporations by himself as a duly authorized officer. In Witness Whereof, I hereunto set my hand and official seal. My Commission expires the 30th day of June, 2021. 58440-5-16 Printed in U.S.A. V\_$3.A.4)4 C . Marie C.1'etreault, Notary Public WARNING: THIS POWER OF ATTORNEY IS INVALID WITHOUT THE RED BORDER WARNING: THIS POWER OF ATTORNEY IS INVALID WITHOUT THE RED BORDER This Power of Attorney is granted under and by the authority of the following resolutions adopted by the Boards of Directors of Farmington Casualty Company, Fidelity and Guaranty Insurance Company, Fidelity and Guaranty Insurance Underwriters, Inc., St. Paul Fire and Marine Insurance Company, St. Paul Guardian Insurance Company, St. Paul Mercury Insurance Company, Travelers Casualty and Surety Company, Travelers Casualty and Surety Company of America, and United States Fidelity and Guaranty Company, which resolutions are now in full force and effect, reading as follows: RESOLVED, that the Chairman, the President, any Vice Chairman, any Executive Vice President, any Senior Vice President, any Vice President, any Second Vice President, the Treasurer, any Assistant Treasurer, the Corporate Secretary or any Assistant Secretary may appoint Altomeys-in-Fact and Agents to act for and on behalf of the Company and may give such appointee such authority as his or her certificate of authority may prescribe to sign with the Company's name and seal with the Company's seal bonds, recognizances, contracts of indemnity, and other writings obligatory in the nature of a bond, recognizance, or conditional undertaking, and any of said officers or the Board of Directors al any time may remove any such appointee and revoke the power given hint or her; and it is FURTHER RESOLVED, that the Chairman, the President, any Vice Chairman, any Executive Vice President, any Senior Vice President or any Vice President may delegate all or any part of the foregoing authority to one or more officers or employees of this Company, provided that each such delegation is in writing and a copy thereof is filed in the office of the Secretary; and it is FURTHER RESOLVED, that any bond, recognizance, contract of indemnity, or writing obligatory in the nature of a bond, recognizance, or conditional undertaking shall be valid and binding upon the Company when (a) signed by the President, any Vice Chairman, any Executive Vice President, any Senior Vice President or any Vice President, any Second Vice President, the Treasurer, any Assistant Treasurer, the Corporate Secretary or any Assistant Secretary and duly attested and sealed with the Company's seal by a Secretary or Assistant Secretary; or (b) duly executed (under seal, if required) by one or more Attorneys -in -Fact and Agents pursuant to the power prescribed in his or her certificate or their certificates of authority or by one or more Company officers pursuant to a written delegation of authority; and it is FURTHER RESOLVED, that the signature of each of the following officers: President, any Executive Vice President, any Senior Vice President, any Vice President, any Assistant Vice President, any Secretary, any Assistant Secretary, and the seal of the Company may be affixed by facsimile to any Power of Attorney or to any certificate relating thereto appointing Resident Vice Presidents, Resident Assistant Secretaries or Attorneys -in -Fact for purposes only of executing and attesting bonds and undertakings and other writings obligatory in the nature thereof, and any such Power of Attorney or certificate bearing such facsimile signature or facsimile seal shall be valid and binding upon the Company and any such power so executed and certified by such facsimile signature and facsimile seal shall be valid and binding on the Company in the future with respect to any bond or understanding to which it is attached. 1, Kevin E. Hughes, the undersigned, Assistant Secretary, of Farmington Casualty Company, Fidelity and Guaranty Insurance Company, Fidelity and Guaranty Insurance Underwriters, Inc., St. Paul Fire and Marine Insurance Company, St. Paul Guardian Insurance Company, St. Paul Mercury Insurance Company, Travelers Casualty and Surety Company, Travelers Casualty and Surety Company of America, and United States Fidelity and Guaranty Company do hereby certify that the above and foregoing is a true and correct copy of the Power of Attorney executed by said Companies, which is in full force and effect and has not been revoked. IN TESTIMONY WHEREOF, I have hereunto set my hand and affixed the seals of said Companies this 2 day of March 20 17. Kevin E. Hughes, Sec To verify the authenticity of this Power of Attorney, call 1-800-421-3880 or contact us at www.travelersbond.com. Please refer to the Attorney -In -Fact number, the above-named individuals and the details of the bond to which the power is attached. WARNING: THIS POWER OF ATTORNEY IS INVALID WITHOUT THE RED BORDER TRAVELERS CASUALTY ANO SURETY COMPANY OF AMERICA HARTFORD, CONNECTICUT 05163 FINANCIAL STATEMENT AS OF DECEMBER 31, 2015 CAPITAL STOCK $ 6480000 ASSETS LIABILITIES & SURPLUS CASH AND INVESTED CASH BONDS STOCKS INVESTMENT INCOME DUE AND ACCRUED . OTHER INVESTED ASSETS PREMIUM BALANCES NET DEFERRED TAX ASSET REINSURANCE RECOVERABLE SECURITIES LENDING REINVESTED COLLATERAL ASSETS RECEIVABLES FROM PARENT, SUBSIDIARIES AND AFFILIATES OWER ASSETS TOTAL ASSETS $ 54 550,081 3,500,572,638 245,901,111 43,905,720 3,580,975 200,990.913 65.751,196 22,532,968 11,772,178 29,659.492 5,685,697 $ 4,184 903,769 UNEARNED PREMIUMS LOSSES LOSS ADJUSTMENT EXPENSES COMMISSIONS TAXES, LICENSES AND FEES OTHER EXPENSES CURRENT FEDERAL ANO FOREIGN INCOME TAXES REMITTANCES AND ITEMS NOT ALLOCATED AMOUNTS WITHHELD! RETAINED DY COMPANY FOR OTHERS RETROACTIVE REINSURANCE RESERVE ASSUMED POLICYHOI.DER DIVIDENDS PROVISION FOR REINSURANCE ADVANCE PREMIUM PAYABLE FOR SECURDIES PAYABLE FOR SECURITIES LENDING CEDED REINSURANCE NET PREMIUMS PAYADLE ESCHEAT LIABILITY OTHER ACCRUED EXPENSES AND LIABILITIES TOTAL LIABILITIES CAPITAL STOCK PAID IN SURPLUS OTHER SURPLUS TOTAL SURPLUS TO POLICYHOLDERS TOTAL LIABILITIES & SURPLUS $ 862,633,464 735,725,171 278 900,106 35,398,814 11,351,717 30,466,867 15,156,620 4,995,722 33,959,553 898,144 9,080,181 3,834,904 1,572,635 8,000,000 11,772,178 26,036.328 664,927 1,858,650 $ 2081,307,981 $ 6,480,000 433,803,760 1,663,312028 $ 2,103,595,788 $ 4.184 903,769 STATE OF CONNECTICUT COUNTY OF HARTFORD CITY OF HARTFORD ) ) 5S. MICHAEL J. DOODY. BEING DULYSWORN. SAYS THAT HEIS SECOND VICE PRESIDENT, OF TRAVELERS CASUALTY AND SURETY COMPANY OF AMERICA, AND THAT TO THE BEST OF HIS KNOWLEDGE AND BELIEF, THE FOREGOING IS ATRUE AND CORRECT STATEMENT OF THE FINANCIAL CONDITION OF SAID COMPANY AS OF THE 31ST DAY OF DECEMBER, 2015. SUBSCRIBED AND SWORN TO BEFORE ME THIS 18TH DAY OF MARCH, 2016 LC4a.CJ w0 SECOND VICE PRESI 1 NOTARY PUBLIC SUSAN M. WEISSLEUER Notary Pubic A5 Commission Expires November 30, 2017 FY 2017 CIP PIPELINING PHASE IIIA CITY OF WATERLOO, IOWA CITY CONTRACT NO. 919 Item Description Unit Estimated Quantiles Unit Price Total Amount 1 8 -Inch Diameter CIP Pipe Lining LF 12,740.0 $ 0„.6 . 00 $ 33111-40 .00 2 10 -Inch Diameter CIP Pipe Lining LF 2,665.0 $ 31 , i5 $ 83,1,21.-2,5 3 12 -Inch Diameter CIP Pipe Lining LF 2,630.0 $ 19.25 $ _% fie ci 27. co 4 18 -Inch Diameter CIP Pipe Lining LF 281.0 $ 19 ,'5 0 $ 22,1 339, 39, co 5 21 -Inch Diameter CIP Pipe Lining LF 326.0 $ 17,2C $ 25t 183_5o 6 24 -Inch Diameter CIP Pipe Lining LF 706.0 $ `®5, 00 $ 1if, 13o„co 7 36 -Inch Diameter CIP Pipe Lining LF 766.0 $'140. 00 $ 1Z 3,4340, op 8 Pipe Televising - 8” LF 25,480.0 $ 1 10 0 $ 1),_0 ). Ob 9 Pipe Televising - 10" LF 5,330.0 $ 1.. ®c.) $ 51.a D. 00 10 Pipe Televising - 12" LF 5,260.0 $ 1.0 o $ S12-1.0.00 .00 11 Pipe Televising - 18" LF 562.0 $ t, 0o $ GC,2„ 00 12 Pipe Televising - 21" LF 652.0 $ l , ®o $ 652 . ti® 13 Pipe Televising - 24" LF 1,412.0 $ `, 0 0 $ 1,q12.0 0 14 Pipe Televising - 36" LF 1,532.0 $ (, 00 $ b g32 , pc, 15 Pipe Cleaning - 8" LF 12,740.0 $ 3 , co $ 3g ,22,0, 00 16 Pipe Cleaning - 10" LF 2,665.0 $ 3, 00 $ 7, 945 00 17 Pipe Cleaning - 12" LF 2,630.0 $ 3, 00 $ 7, $q O, 00 18 Pipe Cleaning - 18" LF 281.0 $ 4,00 $ /dill. 00 19 Pipe Cleaning - 21" LF 326.0 $ s.,00 $/36,3o. Oo 20 Pipe Cleaning - 24" LF 706.0 $ ta, 00 $ c't(®t,l e ®o 21 Pipe Cleaning - 36" LF 766.0 $ 1,00 $ (,stg9tt•oc• Revised Per Addendum No. 1 - 2/24/2017 FORM OF BID OR PROPOSAL FY 2017 CIP PIPELINING PHASE IIIA CITY OF WATERLOO, IOWA CITY CONTRACT NO. 919 Honorable Mayor and City Council Waterloo, Iowa Gentlemen: Limited Liability Company The undersigned, being a Corporation existing under the laws of the State of Missouri , a Partnership consisting of the following partners: SAK Construction, LLC having familiarized (himself) (themselves) (itself) with the existing conditions on the project area affecting the cost of the work, and with all the contract documents listed in the Table of Contents and Addenda (if any), as prepared by the City Engineer of the City of Waterloo now on file in the office of the City Clerk, City Hall, Waterloo, Iowa, hereby proposes to furnish all supervision, technical personnel, labor, materials, machinery, tools, appurtenances, equipment, and services, including utility and transportation services required to construct and complete this FY 2017 CIP PIPELINING PHASE IIIA, CITY CONTRACT NO. 919, all in accordance with the above -listed documents and for the unit prices for work in place for the following items and quantities: FORM OF BID AECOM 60504645 CONTRACT NO. 919 BF -1 OF 4 Revised Per Addendum No. 1 - 2/24/2017 Item Description Unit Estimated Quantiles Unit Price Total Amount 22 Type C Root Removal - 8"-10" LF 1,154.0 $ 3.1s $ '3 (.35.10 23 Type C Root Removal - 12" LF 196.0 $ 3,7S $ 13S. o 24 Type C Root Removal - 18"-24" LF 98.0 $ 5,s 0 $ 531 25 Type C Root Removal - 36" LF 57.0 $ 6,5 0 $ 110,,S0 26 Lateral Reinstatement EA 368.0 $ SO. o® $ I Silt> )„00 27 3 -FT Lateral Grouting EA 368.0 $ 385, 00 $ (L 1,(080. co 28 Manhole Inspection EA 649.0 $ 40 ,Qt, $ 1.t Ici G , o® 29 Internal Chimney Seal EA 391.0 $ 2q5, co $ Y (5e34.5, 00 30 Manhole Barrel Joint Leak Repair EA 257.0 $ 175.00 $ (7-21 v7Soa 31 Manhole Lining EA 211.0 $ q oo, oo $ t w 4l i ou,®® 32 Grout Work EA 78.0 $ 475. 00 $ 3 7® o6'6,®o 33 Miscellaneous Manhole Work LS 1.0 $ 30► ow $ 3 d, ®bo, o0 DWG 36 - MH 08-09-05 — Wet Well i i; »u $2,31o�2 $ 2.3, COO, ®® TOTAL BID $ /d 415B 2,60. 'C 2. It is understood that the quantities set forth are approximate only and subject to variation and that the unit bid price for the work done shall govern in the actual payment to Contractor. 3. In submitting this bid, the bidder understands that the right is reserved by the City of Waterloo, Iowa, to reject any or all bids. If written notice of the acceptance of this bid is mailed, telegraphed, or delivered to the undersigned within thirty (30) days after the opening thereof, or at any time thereafter before this bid is withdrawn, the undersigned agrees to execute and deliver an agreement in the prescribed form and furnish the required bond and certificate of the insurance within ten (10) days after the agreement is presented to him for signature, and start work within ten (10) days after "Notice to Proceed" is issued. 4. Security in the sum of Five Percent of Proposal Price Dollars ($ 5% of PP ) in the form of Bid Bond , is submitted herewith in accordance with the INSTRUCTIONS TO BIDDERS. 5. Attached hereto is a Non -Collusion Affidavit of Prime Contractor. 6. Attached hereto is a Resident Bidder Certification ( ) or Non -Resident Bidder Certification ( X ). (Mark one.) 7. The bidder is prepared to submit a financial and experience statement upon request. 8. The Prime Contractor and Subcontractor(s), which have performed an aggregate of $10,000.00 in work for the City in the current calendar year, are prepared to submit an AAP or Update and an EOC, within ten (10) days of notification that the bid submitted is lowest and acceptable. 9. The bidder has received the following Addendum or Addenda: Addendum No. FORM OF BID AECOM 60504645 1 Date 02/24/17 CONTRACT NO. 919 BF -2 OF 4 Revised Per Addendum No. 1 - 2/24/2017 10. The bidder shall list the MBE/WBE subcontractor(s), amount of subcontracts and bid items on the City of Waterloo Minority and/or Women Business Pre-bid Contact Information Form submitted with this Form of Bid or Proposal. The apparent low Bidder shall submit a list of all other Subcontractor(s) to be used on this Project to the City of Waterloo by 5:00 p.m. the business day following the day Bids on this Project are due along with the Non -Collusion Affidavits of All Subcontractor(s). The Contractor shall submit information on subcontractors on "SUBCONTRACTOR REQUEST AND APPROVAL" Form to be provided by City prior to approval of contract. The subcontractors listed on this proposal and/or submitted to the Contract Compliance Officer cannot be changed except for the following reasons: 1) The City of Waterloo does not approve the subcontractors. 2) The subcontractors submit in writing that they cannot fulfill their subcontracts. 11. The bidder has filled in all blanks on this proposal. Those blanks not applicable are marked "none" or "NA". 12. The bidder has attached all applicable forms. 13. The Owner reserves the right to select alternates, delete line items, and/or to reduce quantities prior to the award of a contract due to budgetary limitations. BY: SAK Construction, ame((off} id el Official Address: 864 Hoff Road ode): March 1, 2017 (Date) Title Boyd Hirtz, Vice President O'Fallon, MO 63366 I.R.S. No. 20-4193988 FORM OF BID AECOM 60504645 CONTRACT NO. 919 BF -3 OF 4 FORM OF BID AECOM 60504645 THIS PAGE LEFT BLANK INTENTIONALLY CONTRACT NO. 919 BF -4 OF 4 Mayor QUENTIN M. HART COUNCIL MEMBERS TOM POWERS Ward 1 BRUCE JACOBS Ward 2 PATRICK MORRISSEY Ward 3 JEROME AMOS, JR. Ward 4 RON WELPER Ward 5 TOM LIND At -Large STEVEN SCHMITT At -Large SALES TAX EXEMPTION AECOM 60504645 CITY OF WATERLOO, IOWA WATERLOO ENGINEERING DEPARTMENT 715 Mulberry St. ' Waterloo, IA 50703 • (319) 291-4312 Fax (319) 291-4262 ERIC THORSON, P.E. • City Engineer INFORMATION NEEDED FOR IOWA CONSTRUCTION SALES TAX EXEMPTION CERTIFICATE CONTRACTOR NAME: SAK Construction, LLC ADDRESS: 864 Hoff Road O'Fallon, MO 63366 (Check One) PRIME: X FEDERAL ID#: 20-4193988 SUBCONTRACTOR: PROJECT NAME: FY 2017 CIP Pipelining Phase IIIA PROJECT CONTRACT NO.: City Contract No. 919 DESCRIPTION OF WORK: ❑ Brickwork ❑ Carpentry ❑ Concrete O Drywall -Plaster -Insulation O Electrical O Excavation/Grading O Flooring ❑ Heavy Construction ❑ Heating -Ventilating -Air Cond. O Landscaping ❑ Painting ❑ Paving ❑ Plumbing ❑ Roofing -Siding -Sheet Metal O Windows O Wrecking -Demolition ® Other (Please Specify) ❑ Cured In Place Pipe Lining WE'RE WORKING FOR YOU! An Equal Opportunity/Affirmative Action Employer CONTRACT NO. 919 Page STE-1 OF 2 SALES TAX EXEMPTION AECOM 60504645 THIS PAGE LEFT BLANK INTENTIONALLY CONTRACT NO. 919 Page STE-2 OF 2 NON -COLLUSION AFFIDAVIT OF PRIME BIDDER State of Missouri County of St. Charles )ss Boyd Hirtz being first duly sworn, deposes and says that: Vice 1. He is President(Owner, Partner, Officer, Representative, or Agent) , of SAK Construction, LLC the Bidder that has submitted the attached Bid; 2. He is fully informed respecting the preparation and contents of the attached Bid and of all pertinent circumstances respecting such Bid; 3. Such Bid is genuine and is not a collusive or sham Bid; 4. Neither the said Bidder nor any of its officers, partners, owners, agents, representatives, employees, or parties in interest, including this affiant, has in any way colluded, conspired, connived or agreed, directly or indirectly, with any other Bidder, firm or person to submit a collusive or sham Bid in connection with the Contract for which the attached Bid has been submitted or to refrain from bidding in connection with such Contract, or has in any manner, directly or indirectly, sought by agreement or collusion or communication or conference with any other Bidder, firm or person to fix the price or prices in the attached Bid or of any other Bidder, or, to fix any overhead, profit or cost element of the bid price or the bid price of any other Bidder, or to secure through any collusion, conspiracy, connivance, or unlawful agreement any advantage against the City of Waterloo, Iowa, or any person interested in the Proposed Contract; and 5. The price or prices quoted in the attached Bid are fair and pr a andarenot tainted by any collusion, conspiracy, connivance or unlawful agreement on th pa e Bidder or any of its agents, representatives, owners, employees, or pa ' in interes in I In th}s affiant. (Signed) Boyd Hirtz, Vice Pre Title Subscribed and sworn to before me this 1st IIy'' dayo'ffff� March 2017 (/I{,.-��////��'''' '''' v / Theresa H. Messer, Notary Public Title My commission expires March 30, 2019 11, NOTMY:a: --13.%. SEAL THERESA H. MESSER My Commission Expires March 30, 2019 SL Charles County Commission #15634377 NON -COLLUSION CONTRACT NO. 919 NCA -1 OF 2 AECOM 60504645 EQUAL OPPORTUNITY CLAUSE (As provided in Executive Order No. 11246) All contractors, subcontractors, vendors and suppliers of goods and services doing business with the City and value of said business equals or exceeds ten thousand dollars ($10,000.00) annually agree as follows: 1. The contractors, subcontractor, vendor and supplier of goods and services will not discriminate against any employee or applicant for employment because of race, color, creed, sex, national origin, economic status, age, mental or physical handicap, political opinions or affiliations. The contractor, subcontractor, vendor and supplier will develop an Affirmative Action program to ensure that applicants are employed and that employees are treated during employment without regard to their race, creed, color, sex, national origin, religion, economic status, age, mental or physical disability, political opinions or affiliations. Such actions shall include but not be limited to the following: a. Employment b. Upgrading c. Demotion or Transfer d. Recruitment and Advertising e. Layoff or Termination f. Rates of Pay or Other Forms of Compensation g. Selection for Training Including Apprenticeship 2. The contractor, subcontractor, vendor and supplier of goods and services will, in all solicitations or advertisements for employees, state that all qualified applicants will receive consideration for employment without regard to race, creed, color, sex, national origin, religion, economic status, age, mental or physical disabilities, political opinion or affiliations. 3. The contractor, subcontractor, vendor and supplier or his/her collective bargaining representative will send to each labor union or representative of workers which he/she has a collective bargaining agreement or other contract or understanding, a notice advising said labor union or workers' representative of the contractor's commitment under this section. 4. The contractor, subcontractor, vendor and supplier of goods and services will comply with all published rules, regulations, directives, and order of the City of Waterloo Affirmative Action Program Contract Compliance Provisions. 5. The contractor, subcontractor, vendor and supplier of goods and services will furnish and file compliance reports within such time and upon such forms as provided by the Affirmative Action Officer. Said forms will elicit information as to the policies, procedures, patterns, and practices of each subcontractor as well as the contractor himself/herself and said contractor, subcontractor, vendor and supplier will permit access to his/her employment books, records and accounts to the City's Affirmative Action Officer, for the purpose of investigation to ascertain compliance with this contract and with rules and regulations of the City's Affirmative Action Program—Contract Compliance Provisions relative to Resolution No. 24664. 6. In the event of the contractor's non-compliance with the non-discrimination clauses of this contract or with any of such rules, regulations and orders, this contract may be canceled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further contracts in accordance with procedures authorized by the City Council. 7. The contractor, subcontractor, vendor and supplier of goods and services will include, or incorporate by reference, the provisions of the non-discrimination clause in every contract, EQUAL OPPORTUNITY CLAUSE AECOM 60504645 CONTRACT NO. 919 EOC-1 of 2 subcontract or purchase order unless exempted by the rules, regulations or orders of the City's Affirmative Action Program, and will provide in every subcontract, or purchase order that said provisions will be binding upon each contractor, subcontractor, or supplier. 8. We, the undersigned, recognize that we are morally and legally committed to non-discrimination in employment. Any person who applies for employment with our company will not be discriminated against because of race, creed, color, sex, national origin, econyc status, age, mental or physical disabilities. (Signed) a, prop ate 0 icialt Boyd Hirtz, Vice President EQUAL OPPORTUNITY CLAUSE AECOM 60504645 (Title) March 1, 2017 (Date) CONTRACT NO. 919 EOC-2 of 2 Not Applicable CONTRACT NO: PROJECT NAME: DATE OF LETTING: RESIDENT BIDDER CERTIFICATION To be a qualified resident bidder, the bidder shall be a person or entity authorized to transact business in this state and having a business for at least three years prior to the date of the first advertisement for the public improvement. If another state or foreign country has a more stringent definition of a resident bidder, the more stringent definition is applicable as to bidders from that state or foreign country. This qualification as resident bidder shall be maintained by the contractor and his subcontractors at the work site until this project is completed. I hereby certify that I am a resident bidder as defined above. RESIDENT BIDDER AECOM 60504645 COMPANY NAME CORPORATE OFFICER TITLE DATE CONTRACT NO. 919 RB -2 OF 4 NON-RESIDENT BIDDER CERTIFICATION CONTRACT NO.: 919 PROJECT NAME: FY 2017 CIP Pipelining Phase IIIA DATE OF LETTING: March 2, 2017 I hereby certify that I am an Iowa non-resident bidder. COMPANY NAME: SAK Construction, I,L CORPORATE OFFICER: TITLE: DATE: Boyd Hirtz, Vice President March 1, 2017 STATE/COUNTRY OF RESIDENCY: Missouri / United States Stated below are the preference(s) to resident bidders in the state/country of N/A (Preference to bidders, labor force, or other preferential treatment to bidders or laborers, etc. RESIDENT BIDDER AECOM 60504645 CONTRACT NO. 919 RB -3 OF 4 RESIDENT BIDDER AECOM 60504645 THIS PAGE LEFT BLANK INTENTIONALLY CONTRACT NO. 919 RB -4 OF 4 Revised February 2003 CONTRACTOR'S OR SUBCONTRACTOR'S AFFIRMATIVE ACTION PROGRAM Check box that applies to party completing program: ( ( x ) General Contractor ) Subcontractor Section A to be completed by GENERAL CONTRACTORS only: A. Name of Company SAK Construction, LLC Address of Company 864 Hoff Road, O'Fallon, MO Telephone Number ( 636 ) 385-1000 Zip 63366 Federal ID Number (if no Federal ID Number, Owner/President's Social Security Number) 20-4193988 Name of Project FY 2017 GIP Pipelining Phase IIIA Project Contract Number 919 Estimated Construction Work Dates *1 1'5 kl1 / I0115 k (7 tart nish CC( Section B to be completed by SUBCONTRACTORS only: S LE A++44,,() �c B. Name of General or Prime Contractor Name of Subcontractor Subcontractor's Address Zip Subcontractor's Telephone Number ( ) Subcontractor's Federal ID Number (if no Federal ID Number Owner/President's Social Security Number) Name of Equal Employment Officer C. Remainder of program to be completed by party completing program, either Prime or Subcontractor. -1 - 1. The Owners and/or Principals of your company: Name Ethnic Address Position Sex Origin Jerome P. Shaw, Jr.; 864 Hoff Road, O'Fallon, MO 63366; President; Male; White Boyd Hirtz.; 864 Hoff Road, O'Fallon, MO 63366; Vice President; Male; White Roger Archibald.; 864 Hoff Road, O'Fallon, MO 63366; Secretary and Treasurer; Male; White 2. Other Areas of Interest: If your company has branches or subsidiaries, or if your company is a branch or subsidiary of a parent organization, give the following information: Type of Name Address Affiliation Degree N/A II. EMPLOYER'S POLICY (Please read carefully.) A. We, the undersigned, recognize that we are morally and legally committed to nondiscrimination in employment. Any person who applies for employment with our company will not be discriminated against because of race, color, creed, sex, national origin, economic status, age, mental or physical handicap. B. The employment policies and practices of the undersigned are to recruit and hire employees without discrimination, and to treat them equally with respect to compensation and opportunities for advancement, including training, upgrading, promotion, and transfer. However, we realize the inequities associated with employment training, upgrading, contracting and subcontracting for minorities and women and we will direct our efforts to correcting any deficiencies to the maximum extent possible. The same will be required of our SUBCONTRACTORS and suppliers. C. We submit this program to assure compliance with Executive Order 11246, as amended, and other subsequent orders that may pertain to equal employment opportunity and merit employment policies, fully realizing that our qualification and/or merit system should be evaluated and revised, if necessary. D. We agree to put forth the maximum effort to achieve full employment and utilization of capabilities and productivity of all our citizens without regard to race, creed, color, sex, national origin, economic status, age, and mental or physical handicap. E. SAK Construction, LLC (Name of Company) will give training and employment opportunities to local residents of Waterloo, Iowa, to the greatest extent feasible. III. AFFIRMATIVE ACTION A. SAK Construction, LLC recognizes that the (Name of Company) effective application of a policy of merit employment involves more than just a policy statement, and SAK Construction, LLC (Name of Company) will, therefore, re-evaluate our Affirmative Action Program to ensure that equal employment opportunities are available on the basis of individual merit, and to actively encourage minorities, women and local residents to seek employment with our company on this basis. B. SAK Construction, LLC will undertake the (Name of Company) following six (6) steps to improve our Affirmative Action Program: 1. Minority Recruitment and Employment; 2. Local Recruitment and Employment; 3. Disabled Veteran and Vietnam Era Veteran Recruitment and Employment; 4. Handicapped Recruitment and Employment; 5. Female Recruitment and Employment; and 6. Training, Upgrading and Promotional Opportunities. C. SAK Construction, LLC will take (Name of Company) whatever steps are necessary to ensure that our total work force has adequate minority, female, and local representation. We will utilize the following methods in our recruitment attempts: 1. Local advertising media (newspapers, radio, TV); 2. Community organizations (churches, clubs, schools); 3. Public and private institutions in the area (UNI, Hawkeye Community College); 4. Job Service of Iowa; and 5. Other. D. SAK Construction, LLC will seek qualified minority, (Name of Company) female, and local group applicants for all job categories and will make asserted efforts to increase minority, female and group representation in occupations at the higher levels or skill and responsibility. E. All sources of employment used shall be aware that we are an Equal Employment Opportunity Employer. Labor organizations representing our employees will be notified of our Equal Employment Opportunity Policy and Affirmative Action Program. F. Training, upgrading, promotion and transfer activities at all levels will be monitored to ensure that full consideration has been given to qualified minority, female, and local group employees. G. SAK Construction, LLC will encourage other (Name of Company) companies with whom we are associated and/or do business, to do the same and we will assist them in their efforts. H. SAK Construction, LLC has taken the following (Name of Company) Affirmative Action to ensure that minority, female, local contractors and/or suppliers were provided opportunities to negotiate and/or bid on this project: (if none, write "NONE") 1. Contacted minority subcontractors that typically perform this type of work 2. As a result of the above efforts, we have involved minority, female, and local contractors and/or suppliers in the following areas of subcontracting: (if none, write "NONE") 1. NoWE 2. j, SAK Construction, LLC will require approved (Name of Company) Affirmative Action Programs from all nonexempt contractors who propose to work on this project and will take whatever steps are necessary to ensure that non - minority contractors have adequate representation of minority, female and local persons in their total work force. K. In further accordance with rules and guidelines issued pursuant to Executive Order 11246 as amended, we establish the goals for our company, based on parity percentages supplied by the City, and we realize these goals will be reviewed on an annual basis. L. SAK Construction, LLC will keep records of (Name of Company) specific actions relative to recruitment, employment, training, upgrading and promotion and will provide the City of Waterloo with any information relative to same, including activities of our SUBCONTRACTORS and suppliers as necessary or when requested. M. Parity figures for companies located in Waterloo are as follows: Minority Parity = .08 (8%) N. SAK Construction, LLC (Name of Company) Affirmative Action Employment Goals: The definition of Affirmative Action Goals is as follows: "Goals may not be rigid and inflexible quotas which must be met, but must be targets, reasonably attainable by means of applying every good faith effort to make all aspects of the entire Affirmative Action Program work." For the year 2017 , please submit percentage targets for employing minorities and women. If you already have reached your target for hiring minorities and women, please submit that percentage. *Goals for Minorities: 15 Goals for Women: 7 *your affirmative action goals should be between 1% and 10% or more for minorities and 1% and 5% or more for women. Please be advised that the goals or targets are purely your estimation of how many women and minorities your company can reasonably expect to hire in 2017 . Note, that none of the goals are rigid or inflexible. They are targets that your company calculates as reasonably attainable. This will help the City in its monitoring procedures as required by City of Waterloo Resolution No. 1984- 142(4). -5 - CONTRACTOR'S TOTAL WORK FORCE (WATERLOO) NAME AND ADDRESS JOB CATEGORY RACE SEX HOURLY WAGE James F.; Troy, MO Foreman C M $33.18 Thomas R.; Troy, MO Laborer C M $31.18 Shelly D.; Festus, MO Laborer C F $31.12 David H.; Troy, MO Laborer C M $31.18 Clifford W.; St. Peters, MO Laborer C M $31.12 Barret W.; Moscow Mills, MO Laborer C M $31.12 INDICATE: DISABLED VETERAN: DV VIETNAM ERA VETERAN: W HANDICAPPED: H We hereby certify that we are in compliance with all City and Federal Affirmative Action Regulations and agree to accept all liability for failure to comply. Respectfully submitted, (,t Angela irtz, Human Res Equal Employment Opportunity Officer March 1, 2017 Date City of Waterloo Affirmative Action Officer Approved Disapproved Reason: By: Date: MBE/WBE BUSINESS ENTERPRISE PRE-BID CONTACT INFORMATION FORM INSTRUCTIONS Prime Contractor Responsibilities: Prime Contractors bidding on City of Waterloo contract work are required to ensure that MBENVBE businesses are provided the opportunity to participate in the performance of contracts and subcontracts. Prime contractors are required to assist MBENVBE businesses in overcoming barriers to participation, and must make good faith efforts to secure bids from, and award subcontracts to, MBENVBE businesses. For all contract bids of $50,000 or more, the following is required to demonstrate good faith efforts in accordance with this policy: 1. "MBENVBE BUSINESS ENTERPRISE PRE-BID CONTACT INFORMATION FORM" submitted with the prime contractor bid, properly completed and signed on Form CCO-4 (Rev. 06-20-02). Please note that this document must include all subcontractor contacts, bids received, and awarded - not just those related to disadvantaged business enterprise vendors. 2. A minimum of three (3) MBEM/BE business contacts must be made and documented, if there are at least three (3) MBENVBE businesses offering services in the areas to be subcontracted (see City of Waterloo MBENVBE Certified List). If less than three (3) are offering the services to be subcontracted, then a contact is required for any that are listed as providing that service. If you have submitted a MBENVBE contact not on the City's MBENVBE list, attach a copy of the certification from another government agency. 3. Contacts to each MBENVBE businesses are required to be a minimum of seven (7) working days prior to the date the prime contractor submits the bid to the City of Waterloo. 4. The following documentation must accompany the "MBENVBE BUSINESS ENTERPRISE PRE-BID CONTACT INFORMATION FORM" for each MBENVBE business contacted: a. A copy of the bid received from the MBEMVBE, OR b. If no bid was received, a copy of correspondence received from the MBENVBE with a "no bid" response, OR c. If no response was received, a copy of the solicitation sent to the MBENVBE with proof of mailing attached. 5. If any MBENVBE business submitting bids are not selected for subcontract award, documentation must accompany the "MBENVBE BUSINESS ENTERPRISE PRE-BID CONTACT INFORMATION FORM" on why the MBENVBE was not selected. These reasons could include: a. Not low bid. Copies of the competing bids may be required for verification. b. MBENVBE did not bid, withdrew bid or was non-responsive. c. Documentation of other business-related reason for not selecting the MBENVBE business for a subcontract. d. Prime contractor self performs work. e. Any other reason relied on by the Prime Contractor. The Contract Compliance Officer will determine the weight to be given to each item listed above (supported by appropriate documentation) based on overall program goals. Subcontractors Responsibilities: 1. Each MBENVBE firm planning to submit quotes on construction projects with goals, shall submit a Letter of Intent to Bid (Form CCO-5) to the City Contract Compliance Officer seven (7) working days prior to bid opening, listing specific items which the MBENVBE firm is interested in bidding. If the City Contract Compliance Officer does not receive sufficient scope letters seven (7) working days prior to bid opening, goals on subject project will be reduced accordingly. Agreements between the bidder/proposer and an MBENVBE in which the MBENVBE promises not to provide subcontracting quotations to other bidders/proposers are prohibited. Form CCO-4A Rev. 07-08-02 MBENVBE PARTICIPATION AECOM 60504645 CONTRACT NO. 919 M-5 OF 6 MBE/WBE BUSINESS ENTERPRISE PRE-BID CONTACT INFORMATION FORM Prime Contractor Name: SAK Construction, LLC Project: No. 919 Letting Date: March 2, 2017 NO MBE/WBE SUBCONTRACTORS: 1 : u are NOT using any MBEiWBE subcontractors to complete this project, sign below. Attach a brief explanation as to why subcontracting w ible h this'•rgject. If any MBE/WBE subcontractors will be used, please use the bottom portion of this form. SUBCONTRACTORS APPLICA: E: You equired, in order for your bid to be considered responsive, to provide the information on this form showing ALL of your MBEWBE subcontractor contacts ma •- for your bid submission. This information is subject to verification. Any questions should be directed to Contract Compliance Office 319-291-4429. You are required, in order for your bid to be considered responsive, to provide the information on this Form showing your MBE/WBE Business Enterprise contacts made prior to your bid submission. This information is subject to verifications and confirmation. If you are unable to identify MBEANBE firms to perform portions of the work, please contact Louis Starks, Contract Compliance Officer, for assistance at (319) 291- 4429. Contractor Signature: de: Boyd Hirtz, Vice President Date: March 1, 2017 In the event it is determined that the MBE/VVBE Business Enterprise goals are not met, then before awarding the contract the City of Waterloo will make a determination as to whether or not the apparent successful low bidder made good faith efforts to meet the goals. TABLE OF INFORMATION SHOWING BIDDER'S PRE-BID MBEIWBE BUSINESS ENTERPRISE CONTACTS Quotes Received Quotation Used in Bid MBE/WBE Subcontractors Dates Contacted Yes/No Dates Contacted Yes/No Dollar Amount Proposed to be Subcontracted p � 5 a a . C,FIA.0t spm-d0-S‘P•e- ta-A— (Form CCO-4) Rev. 06-20-02 MBENVBE PARTICIPATION AECOM 60504645 CONTRACT NO. 919 M-6 OF 6 Attachment 1 SRF Required Front -End Specifications (This form must be completed and signed by Prime Contractor and submitted with the bid.) U.S. Environmental Protection Agency Certification of Non -Segregated Facilities (Applicable to contracts, subcontracts, and agreements with applicants who are themselves performing Federally assisted construction contracts, exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity clause.) By the submission of this bid, the bidder, offeror, applicant, or subcontractor certifies that he does not maintain or provide for his employees any segregated facilities at any of his establishments, and that he does not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. He certifies further that he will not maintain or provide for his employees any segregated facilities at any of his establishments, and that he will not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. The bidder, offeror, applicant, or subcontractor agrees that a breach of this certification is a violation of the Equal Opportunity clause in this contract. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, creed, color, or national original, because of habit, local custom, or otherwise. He further agrees that (except where he has obtained identical certifications from proposed subcontractors for specific time periods) he will obtain identical certifications from proposed subcontractors prior to the award of subcontracts exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity clause; that he will retain such certifications in his files; and that he will forward the following notice to such proposed subcontractors (except where the proposed subcontractors have submitted identical certifications for specific time periods): NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OF NON -SEGREGATED FACILITIES A Certification of Non -segregated Facilities, as required by the May 9, 1967, order (33 F.R. 7808, May 28, 1968) on Elimination of Segregated Facilities, by the Secretary of Labor, must be submitted prior to the award of a subcontract exceeding $10,000 which is not exempt from the provisions of the Equal Opportunity clause. The certification may be submitted either for each subcontract or for all Gi con (raq(s during a period (i.e., quarterly, semiannually, or annually). Signature Boyd Hirtz, Vice President March 1, 2017 Date Name and Title of Signer (Please Type) NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. EPA -7 5720-4.2 SRF -2 May 2015 Attachment 2 SRF Required Front -End Specifications (This form must be completed and signed by the Prime Contractor and submitted with the bid.) Debarments and Suspensions Any bidder or equipment supplier whose firm or affiliate is listed in on the U.S. General Services Administration Excluded Parties List System web site at http://www.epls.gov/ will be prohibited from the bidding process. Anyone submitting a bid who is listed on this web site will be determined to be a non-responsive bidder in accordance with 40 CFR Part 31. United States Environmental Protection Agency Washington, DC 20460 Certification Regarding Debarment, Suspension, and Other Responsibility Matters The prospective participant certifies to the best of its knowledge and belief that it and the principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission o f fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction: violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1) (b) of this certification; and (d) Have not within a three-year period preceding this application/proposal had one or more public transaction s (Federal, State, or local) terminated or cause or default. I understand that a false statement on this certification may be ground for rejection of this proposal or termination of the award. In addition, under 18 U SC Sec. 10 01, a false statement ma y result in a fine of up to $10,000 or imprisonment for up to 5 years, or both. Boyd Hirtz, Vice President Typed Name & Title of Authorized Rpesentli tivej March 1, 2017 Signature of Authorized Re rellsentive Date ❑ I am unable to certify to the above statementsy explanation is attached. EPA Form 5700-49 (11-88) SRF -3 May 2015 Attachment 3 SRF Required Front -End Specifications (This form must be completed and signed by Prime Contractor and submitted with the bid.) Disadvantaged Business Enterprise (DBE) Solicitation It is EPA's policy that recipients of EPA financial assistance through the State Revolving Fund programs award a "fair share" of subagreements to small, minority and women -owned businesses, collectively know as Disadvantaged Business Enterprises (DBEs). Iowa's Fair Share goals are: Only work performed by certified DBEs can be counted toward the goals. In Iowa, DBEs must be certified through the Iowa Department of Transportation (IDOT). Information on certification requirements and a list of certified DBEs is on the IDOT website at http://www.iowadot.gov/contracts/contracts eeoaa,htm. Prime contractors' DBE requirements for SRF projects include: • Taking affirmative steps for DBE participation • Documenting the efforts and the proposed utilization of certified DBEs PROJECT INFORMATION SRF Applicant: Minority -Owned Business Enterprise (MBE) Goal Women -Owned Business Enterprise (WBE) Goal Construction 1.7% 2.2% Supplies 0.6% 5.6% Services 2.5% 11.3% Goods/Equipment 2.5% 10.4% Average 1.8% 7.4% Only work performed by certified DBEs can be counted toward the goals. In Iowa, DBEs must be certified through the Iowa Department of Transportation (IDOT). Information on certification requirements and a list of certified DBEs is on the IDOT website at http://www.iowadot.gov/contracts/contracts eeoaa,htm. Prime contractors' DBE requirements for SRF projects include: • Taking affirmative steps for DBE participation • Documenting the efforts and the proposed utilization of certified DBEs PROJECT INFORMATION SRF Applicant: City of Waterloo, Iowa Bidder: SAK Construction, LLC Address: 864 Hoff Road, O'Fallon, MO 63366 Contact Person: Boyd Hirtz )\`/ Signature: ; `/� % Phone Number: ` (636) 385-100 A E -Mail Address: �\ bidcippc@sakcon.com Check if Prime Contractor is: ❑ Minority -Owned ❑ Women -Owned N/A SRF -4 May 2015 GOOD FAITH EFFORTS CHECKLIST Please complete the checklist to determine if you have complied with the requirement to make good faith efforts to ensure that certified DBEs have the opportunity to compete for procurements funded by EPA financial assistance funds. Bidders/offerers must make good faith efforts prior to submission of bids/proposals. 1. Did you ensure that DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities? X❑ Yes ❑ No 2. Did you make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by DBEs in the competitive process? This includes, whenever possible, posting solicitation for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing date. x❑ Yes ❑ No 3. Did you consider in the contracting process whether firms competing for large contracts could subcontract with DBEs? This will include dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process. ❑x Yes ❑ No 4. Did you encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually? x❑ Yes ❑ No 5. Did you use the services of the Small Business Administration and the Minority Business Development Agency of the Department of Commerce to identify potential subcontractors? Yes ❑ No 6. List the potential DBE subcontractors that were contacted. Only list those that are certified through the Iowa Department of Transportation. Name How Contacted (e.g. letter, phone call, fax, e-mail) Response (e.g. did not respond, not interested, not competitive) See attached Good Faith documentation PROPOSED UTILIZATION OF DBE SUBCONTRACTORS Please include Attachments 4 and 5 to document the proposed utilization of certified DBE subcontractors. SRF -5 May 2015 CONTRACT ADMINISTRATION PROVISIONS Several contract provisions are required to prevent unfair practices that adversely affect DBEs. These include: 1. Prime Contractor must pay its Subcontractor for satisfactory performance no more than 30 days from the Prime Contractor's receipt of payment from the SRF loan recipient. 2. Prime Contractor must notify the SRF loan recipient in writing prior to termination of a DBE subcontractor for convenience. 3. Prime Contractor must employ the six Good Faith Efforts to solicit a replacement subcontractor if a DBE subcontractor fails to complete work under a subcontract for any reason. SRF -6 May 2015 Attachment 4 SRF Required Front -End Specifications (This form must be completed and signed by Prime and DBE Subcontractor for each subcontract and submitted with the bid.) OMB Control No: 2090-0030 Approved 8/13/2013 Approval Expires 8/31/2015 United States Environmental Protection Agency Disadvantaged Business Enterprise Program DBE Subcontractor Performance Form This form is intended to capture the DBE' subcontractor's2 description of work to be performed and the price of the work submitted to the prime contractor. An EPA Financial Assistance Agreement recipient must require its prime contractor to have its DBE subcontractors complete this form and include all completed forms in the prime contractors bid or proposal package. Subcontractor Name Project Name FY 2017 CIP Pipelining Phase IIIA Bid/Proposal No. City Contract No. 919 Assistance Agreement ID No. (if known) Point of Contact Address Telephone No. Email Address Prime Contractor Name SAK Construction, LLC Issuing/Funding Entity Contract Item Number Description of Work Submitted to he Prime Contractor Involving Construction, Services, Equipment or Supplies Price of Work Submitted to the Prime Contractor DBE Certified by DOT SBA Meets/exceeds EPA certification standards? YES NO Unknown Other: 1A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certification as described in 40 CFR 33.204-33.205 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an EPA award of financial assistance. EPA Form 6100-3 (DBE Subcontractor Performance Form) — Page 1 SRF -7 May 2015 OMB Control No: 2090-0030 Approved 8/13/2013 Approval Expires 8/31/2015 United States Environmental Protection Agency Disadvantaged Business Enterprise Program DBE Subcontractor Performance Form I certify under penalty of perjury that the forgoing statements are true and correct. Signing this form does not signify a commitment to utilize the subcontractors above. I am aware of that in the event of a replacement of a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302 (c). Prime Contractor i n, t o / Print Name l Boyd Hirtz itle Date Vice President March 1, 2017 Subcontractor Signature Print Name Title Date The public reporting and recordkeeping burden for this collection of information is estimated to average three (3) hours per response. Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address. EPA Form 6100-3 (DBE Subcontractor Performance Form) — Page 2 SRF -8 May 2015 Attachment 5 SRF Required Front -End Specifications (This form must be completed and signed by Prime Contractor and submitted with the bid if utilizing DBE subcontractors.) OMB Control No: 2090-0030 Approved 8/13/2013 Approval Expires 8/31/2015 United States Environmental Protection Agency Disadvantaged Business Enterprise Program DBE Subcontractor Utilization Form This form is intended to capture the prime contractor's actual and/or intended use of identified certified DBE1 subcontractors2 and the estimated dollar amount of each subcontract. An EPA Financial Assistance Agreement Recipient must require its prime contractors to complete this form and include it in the bid or proposal package. Prime contractors should also maintain a copy of this form on file. Prime Contractor Name SAK Construction, LLC Project Name FY 2017 CIP Pipelining Phase IIIA Bid/Proposal No. City Contract No. 919 Assistance Agreement ID No. (if known) Point of Contact Boyd Hirtz Address 864 Hoff Road, O'Fallon, MO 63366 Telephone No. (636) 385-1000 Email Address bhirtz@sakcon.com Issuing/Funding Entity I have identified potential DBE certified subcontractors If yes, please complete the table below. If no, please explain: YES x NO Subcontractor Name/Company Name Company Address/Phone/Email Estimated Dollar Amount Currently DBE Certified? Continue on back if needed 1A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certification as described in 40 CFR 33.204-33.205 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an EPA award of financial assistance. EPA Form 6100-4 (DBE Subcontractor Utilization Form) — Page 1 SRF -9 May 2015 OMB Control No: 2090-0030 Approved 8/13/2013 Approval Expires 8/31/2015 United States Environmental Protection Agency Disadvantaged Business Enterprise Program DBE Subcontractor Utilization Form I certify under penalty of perjury that the forgoing statements are true and correct. Signing this form does not signify a commitment to utilize the subcontractors above. I am aware of that in the event of a replacement of a subcontractor, 1 will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302 (c). Prime Contractor Siatu�\ / Print Name 4/ r\ I . Ivlj, J Boyd Hirtz Title Date Vice President March 1, 2017 The public reporting and recordkeeping burden for this collection of information is estimated to average three (3) hours per response. Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address. EPA Form 6100-4 (DBE Subcontractor Utilization Form) — Page 2 SRF -10 May 2015 Revised February 2003 CONTRACTOR'S OR SUBCONTRACTOR'S AFFIRMATIVE ACTION PROGRAM Check box that applies to party completing program: X ) General Contractor ) Subcontractor Section A to be completed by GENERAL CONTRACTORS only: A, Name of Company SAK Construction, LLC Address of Company 864 Hoff Road, O'Fallon, MO Telephone Number ( 636 ) 385-1000 Zip 63366 Federal ID Number (if no Federal ID Number, Owner/President's Social Security Number) 20-4193988 Name of Project FY 2017 CIP Pipelining Phase IIIA Project Contract Number 919 Estimated Construction Work Dates / Start Finish Section B to be completed by SUBCONTRACTORS only: Name of General or Prime Contractor c_.7 t L mh I)t 1) LLL_ Name of Subcontractor \b',c1 (t t�Cle. NVrA L� 1v f y t ,yjQ t j1 `-r r rS Subcontractor's Address 2-I Z 399 /`fvt..IV l✓tj '& Zip 5a-M.2-- Subcontractor's -2 Subcontractor's Telephone Number (Ste 3) 2 13- -1 C (-3 3 Subcontractor's Federal ID Number (if no Federal ID Number Owner/President's Social Security Number) t-12- I51)(ot-lci Name of Equal Employment Officer c )eET' Q.Ar c -2,r C. Remainder of program to be completed by party completing program, either Prime or Subcontractor. 1 NON -COLLUSION AFFIDAVIT OF SUBCONTRACTOR State of /0uJa County of Cy( (v ) ss: n ,e -fie t� M' He is (OwnerlPJartner Officer, Representative, or Agent) of �c P S'- aivi'r hereinafter referred to as the "Su contractor;" being first duly sworn, deposes and says that: 2. He is fully informed respecting the preparation and contents of the subcontractor's proposal submitted by the subcontrasttor to S' contract pertaining to the -re Zt i'l CA Pt peA i ✓ p e l ' pro ect 1i In akif 1001 ) c t (City or County and State) 3. Such subcontractor's proposal is genuine and is not a collusive or sham proposal; 4. Neither the subcontractor nor any of its officers, partners, owners, agents, representatives, employees, or parties in interest, including this affiant, has in any way colluded, conspired, connived, or agreed, directly or indirectly, with any other bidder, firm or person to submit a collusive or sham proposal in connection with such contract or to refrain from submitting a proposal in connection with such contract, or has in any manner, directly or indirectly, sought by unlawful agreement or connivance with any other bidder, firm or person to fix the price or prices in said subcontractor's proposal, or to fix any overhead, profit or cost element of the price of prices in said subcontractor's proposal, or to secure through collusion, conspiracy, connivance or unlawful agreement any advantage against the City of Waterloo, Iowa, or any person interested in the proposed contract; and 5. The price or prices quoted in the subcontractor's proposal are fair and proper and are not tainted by any collusion, conspiracy, connivance or unlawful agreement on the part of the bidder or any of its agents, representatives, owners, employees r rtiep in interest, including this affiant. (Signed) Subscribed and sworn to before me this Z My commission expires (NW JESSICA SNYDER Notarial Seal • lowa Commission # 76501 My Commission Expires U I NON -COLLUSION AECOM 60604645 Title 20/7 CONTRACT N0. 919 NCA -2 OF 2 Revised February 2003 CONTRACTOR'S OR SUBCONTRACTOR'S AFFIRMATIVE ACTION PROGRAM Check box that applies to party completing program: ( ( X ) General Contractor ) Subcontractor I. Section A to be completed by GENERAL CONTRACTORS only: A. Name of Company SAK Construction, LLC Address of Company 864 Hoff Road, O'Fallon, MO Telephone Number ( 636 ) 385-1000 Zip 63366 Federal ID Number (if no Federal ID Number, Owner/President's Social Security Number) 20-4193988 Name of Project FY 2017 CIP Pipelining Phase IIIA Project Contract Number 919 Estimated Construction Work Dates / Start Finish Section B to be completed by SUBCONTRACTORS only: B. i Name of General or Prime Contractor SA - Y_ Co hstoko"p'o h Name of Subcontractor Ar.G mid- LC, C - Subcontractors Address ) ?155 3 Ave. Subcontractor's Telephone Number (6)5 ),3101.1'•-• • a Zip 60aa b Subcontractor's Federal ID Number (if no Federal ID Number Owner/President's Social Security Number) '7`{-3I47I u $ Name of Equal Employment Officer I 1 U,Y 0(1K C. Remainder of program to be completed by party completing program, either Prime or Subcontractor, --77-- NON -COLLUSION AFFIDAVIT OF SUBCONTRACTOR State of Ow a- ) ) ss: County of 3a -1,1c -S ) being first duly sworn, deposes and says that: He is (Owner, Partner, 6ificenRepresentative, or Agent) , of Tier LGG "Subcontractor;" hereinafter referred to as the 2. He is fully informed respecting the preparation and contents of the subcontractor's proposal submitted by the subcontractor to $w V- Cc..sk..4;,,„ contract pertaining to the FY 2ot-t or? 'Wpa\:A.7 w5 pl,nsa ILA project in (t r\eo , (City or County and State) 3. Such subcontractor's proposal is genuine and is not a collusive or sham proposal; 4. Neither the subcontractor nor any of its officers, partners, owners, agents, representatives, employees, or parties in interest, including this affiant, has in any way colluded, conspired, connived, or agreed, directly or indirectly, with any other bidder, firm or person to submit a collusive or sham proposal in connection with such contract or to refrain from submitting a proposal in connection with such contract, or has in any manner, directly or indirectly, sought by unlawful agreement or connivance with any other bidder, firm or person to fix the price or prices in said subcontractor's proposal, or to fix any overhead, profit or cost element of the price of prices in said subcontractors proposal, or to secure through collusion, conspiracy, connivance or unlawful agreement any advantage against the City of Waterloo, Iowa, or any person interested in the proposed contract; and 5. The price or prices quoted in the subcontractor's proposal are fair and proper and are not tainted by any collusion, conspiracy, connivance or unlawful agreement on the part of the bidder or any of its agents, representatives, owners, employes, or parties i interest, including this affiant. /if1 (Signed) Title Subscribed and sworn to beton e this 1 day of I \ \US A fAJt, l OOU-- Title , 206 My commission expires oa\\k\l-CSZ0 ., DANNELLE L McDOWELL a ¶Commission Number 1b2696 My Crim Isslon Expires 0�1'{�2020 NON -COLLUSION CONTRACT NO. 919 NCA -2 OF 2 AECOM 60504645 CSAK TM Pipeline Infrastructure. Solved.'" February 22, 2016 To Whom It May Concern: 636.385.1000 fr! 636.385.1100 fax 864 Hoff Road O'Fallon, MO 63366 www.sakcon.com Boyd Hirtz, Vice President and General Manager of our CIPP Division is hereby authorized to sign bids, extend offers, submit proposals and execute contracts on behalf of SAI< Construction, LLC. ____J.ercime P. thaw, Jr. President SAK Construction, LLC State of Missouri) County of St. Charles) On this 22"d day of February, in the year 2016, before me, Theresa H. Messer, a notary public, personally appeared, Jerome P. Shaw, proved on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument, and acknowledged he executed the same. Witness my hand and official seal. NOTARY PUBLIC THERESA H. MESSER My Commission Expires March 30, 2010 St, Charles County Commission #15634377 SEAL UNANIMOUS WRITTEN CONSENT OF THE SOLE MANAGER OF SAK CONSTRUCTION, LLC Pursuant to Section 5.3 of the Operating Agreement of SAK Construction, LLC, a Missouri limited liability company (the "Company"), the undersigned, being the sole manager of the Company, hereby adopts the following resolutions for the Company and consents to the taking of the actions therein described, such consent to have the same force and effect as a unanimous vote of the managers of the Company at a meeting duly held on the date hereof: RESOLVED, that the following individuals are hereby elected as officers of the Company, to hold the offices set forth opposite their respective names below for the ensuing year or until their successors are duly elected and shall have qualified, unless sooner removed by the Manager: Thomas Kalishman Chairman and Chief Executive Officer Jerome P. Shaw, Jr. President Boyd Hirtz Vice President Roger Archibald Chief Financial Officer, Secretary and Treasurer Steve Sluice Assistant Secretary and Assistant Treasurer RESOLVED FURTHER, that any and all action heretofore taken, and any and all things heretofore done, by any director of the Company in connection with, or with respect to, the matters referred to in the foregoing Resolutions be and hereby are confunred as authorized and valid acts taken on behalf of the Company. RESOLVED FURTHER, that the foregoing resolutions shall replace and supersede any and all prior resolutions appointing officers of the Company. Dated as of January 1, 2012. 1683264.3 BEING THE SOLE MANAGER OF THE COMPANY CONFIDENTIAL LIMITED LIABILITY COMPANY OPERATING AGREEMENT OF SAK CONSTRUCTION, LLC This Limited Liability Company Operating Agreement is made as of this 21st day of November, 2006 among those Persons signatories hereto. RECITALS A. The parties have formed a limited liability company under the laws of the State of Missouri. B. The parties wish to set forth their agreement concerning the conduct of the business and affairs of such limited liability company and the relative rights and obligations of the parties in relation thereto, all as set forth herein. AGREEMENT In consideration of the foregoing, the mutual covenants herein contained and other good and valuable consideration (the receipt, adequacy and sufficiency of which are hereby acknowledged by the parties by their execution hereof), the parties agree as follows. 1. Definitions; Construction. 11.Defmitions. For purposes -of this Agreement, the following capitalized terms have the following meanings. "Act" means the Missouri Limited Liability Company Act. "Additional Member" has the meaning set forth in Section 10.1. "Adjusted Capital Account Deficit" means the negative balance in a Member's Capital Account as of the relevant time, adjusted to: (i) increase such Capital Account by: (a) the amount, if any, of such negative balance which such Member is obligated to restore under this Agreement; and (b) the amount, if any, of such negative balance which such Member is deemed to be obligated to restore under Treasury Regulation §§1.7042(g)(1) and 1.704-2(i)(5); and (ii) reduce such Capital Account with the items described in Treasury Regulation § § 1.704-1(b)(2)(ii)(d)(4), (5) and (6). "Affiliate" means: (i) any Person which, directly or indirectly, is in control of, is controlled by or is under common control with the party for whom an affiliate is being determined; or (ii) any Person who is a director or officer (or comparable position) of any Person described in clause (i) above or of the party for whom an affiliate is being determined. For purposes hereof, control of a Person means the power, direct or indirect, to: (a) vote 10% or more of the securities having ordinary voting power for the election of directors (or comparable positions) of such Person; or (b) direct or cause the direction of the management and policies of such Person, whether by contract or otherwise and either alone or in conjunction with others. "Agreement" means this Limited Liability Company Operating Agreement, including all Exhibits and Schedules hereto. "Articles of Organization" means the articles of organization filed with the Missouri Secretary of State's office pursuant to the Act, and as herein provided for the purpose of forming the Company. "Bankruptcy" has the meaning ascribed to such term in the Act. 1269360: November 29, 2006 4.5. Contributed Property. The Members agree that the fair market value of the Contributed Property on the date of its Contribution will be equal to five hundred thousand dollars ($500,000.00). In the event the IRS disagrees with such determination of fair market value by the Members, the Company will make such curative allocations of income and distributions to the Members as are necessary to achieve the same results as if such fair market valve had been respected by the IRS- 4.6. Third -Party Creditor. A Member's obligation to make a Contribution is not enforceable by a third -party creditor of the Company. 5. Management of the Company. 5.1.Manager. 5.1.1. Management of the Company. The management of the Company is vested in the Manager. Except as set forth in this Agreement, the Manager is the agent of the Company for the purpose of its ordinary business and affairs, and has complete authority over and exclusive control and management of the day-to-day affairs of the Company without the affirmative vote, approval or consent of any of the Members. The act of the Manager for carrying on the business of the Company in the usual way and in the ordinary course binds the Company, In connection with such management, the Manager may employ on behalf of the Company or on behalf of any Subsidiary any other Person to perform services for the Company, including the Manager, Members or Affiliates of any Member or Affiliates of the Manager. In furtherance of carrying on the business of the Company, the Manager may, subject to Section 5.2, do the following and bind the Company: 5.1.1.1. enter into and perform Contractual Obligations of any land necessary or desirable to the Company's or any Subsidiary's business; 5.1.1.2. establish, maintain, deposit in and withdraw from checking, savings, custodial and other accounts in the name of the Company in such banks, trust companies or other fmancial institutions as the Manager may from time to time select; 5.1.1.3. execute any notifications, statements, reports, returns or other filings that are necessary or desirable to be filed with any Governmental Authority, 5.1.1.4. bon -ow money and incur Debt on behalf of the Company or of any .Subsidiary on a nonrecourse basis to the Members and secure the same with the Company's or any Subsidiary's property, including borrowing from Members, the Manager, Affiliates of Members and Affiliates of the Manager; 5.1.1.5. take such actions and execute such documents as may be required in connection with any loan agreement, mortgage, note, bond, indemnity, security agreement, escrow, bank letter of credit or other evidence of indebtedness which may be required in connection with Debt incurred by the Company or by any Subsidiary; 5.1.1.6. establish reasonable reserve funds from revenues derived from the Company's or any Subsidiary's operations to provide for future requirements of the Company's or any Subsidiary's business;. a Subsidiary; thereto; amendments thereto; 5.1.1.7. - form, organize, acquire, sell, dispose of, reorganize or liquidate 5.1.1.8.. prepare the Budget for each Fiscal Year and any amendments 5.1.1.9. prepare the Business Plan from time to time, and any 10 5.1.1.10. invest the Company's and any Subsidiary's current assets in such investments as the Manager deems proper; • • 5.1.1.11. make loans or advances to other Persons (excluding Members, the Manager, Affiliates of Members and Affiliates of the Manager), all upon temas and with such security - as the Manager deems necessary under the circumstances; 5.1.1.12. do all acts which the Manager deems necessary or appropriate for the protection and preservation of the Company's or any Subsidiary's assets; 5.1.1.13. carry at the expense of the Company such insurance for public liability and other coverage (including directors and officers or comparable liability insurance) necessary or appropriate to the business of the Company and the Subsidiaries in such amounts and of such types as the Manager determines from time to time; 5.1.1.14. - make and revoke any election permitted to the Company by any Governmental Authority; 5.1.1.15. compromise, settle or submit to arbitration, and institute, prosecute and defend any and all actions or claims in favor of or against the Company or any Subsidiary or relating to the Company's or any Subsidiary's business; 5.1.1.16. obtain all permits and licenses, necessary for the operation of the Company's or any Subsidiary's business and the ownership of its assets; . 5.1.1.17. hire or appoint employees; agents, independent contractors or officers of the Company or of any Subsidiary; 5.1.1.18. acquire by purchase, lease or otherwise, any real or personal property (including securities of or interests in corporations, partnerships, limited partnerships, limited liability companies or other Persons) which may be necessary, convenient or incidental' to the accomplishment of the purposes of the Company or of any Subsidiary; 5.1.1.19. construct, operate, maintain, finance, improve, own, sell, dispose of, convey, assign, license, mortgage or lease any real estate and any personal property necessary, convenient or incidental to the accomplishment of the purposes of the Company or of any Subsidiary; 5.1.1.20. prepay in whole or in part, refinance, recast, increase, modify or extend any Debt or any mortgages or security agreements affecting the assets of the Company or of any Subsidiary and in connection therewith execute any extensions or renewals thereof or any mortgages on the assets of the Company or of any Subsidiary; 5.1.1.21. invest or reinvest any or all of the revenues of the Company or of any Subsidiary in new assets or existing assets of the Company or of any Subsidiary; 5.1.1.22. engage in any kind of activity necessary to, in connection with or incidental to the accomplishment of the purposes of the Company or of any Subsidiary; 5.1.1.23. employ, when and if in the Manager's sole discretion the same is deemed necessary or advisable, brokers, managers, consultants, agents, accountants, lawyers or other expert advisors, notwithstanding the fact that the Manager, an Officer, a Member or an Affiliate of any of the foregoing may have an interest in, employ or be one of the brokers, managers, consultants, agents, accountants, lawyers or other expert advisors; 11 5.1.1.24. sell, exchange, lease, license, mortgage, pledge or transfer all or substantially all or less than substantially all of the assets of the Company or of any Subsidiary either in or other than in the ordinary course of its business; 5.1.1.25. dissolve and wind up the Company; 5.1.1.26. pay all fees, compensation and reimbursements to the Manager and his Affiliates as provided for herein; 5.1.1.27. amend this Agreement or the Articles of Organization; 5.1.1.28. change the name of the Company at any time; and 5.1.1.29. take any and all actions (whether described above or not) and engage in any kind of activity and perform and cavy out all f inesons of any kind necessary to or in connection with the business of the Company or of any Subsidiary and exercise all rights and remedies of the Company or of any Subsidiary in connection with any of the foregoing. 5.1.2. Appointment of the Manager. The initial Manager is Jerome P. Shaw, Jr. Any Manager other than the initial Manager is to be appointed by the Investor Member, The Manager may, but need not be, a Member. 5.1.3. Term of the Manager. Jerome P. Shaw, Jr. will serve as the initial and sole Manager until such time as an Event of Withdrawal occurs with respect to him, Any Manager, other than the initial Manager, is to be appointed for a term of two years and occupies such position for the teen for which he is elected and until his successor has been elected and qualified or until he resigns as Manager or dies or becomes incapacitated or, if he is a Member, until the occurrence of an Event of Withdrawal with respect to him or until his removal hereunder, whichever first occurs. A Manager may be reappointed for an unlimited number of terms, 5.1.4. Resignation of the Manager. A Manager may resign as Manager at any time for any reason. Any such resignation must be in writing and must be delivered to the Investor Member. A resignation is effective upon such delivery. 5.1.5. Removal of the Manager. A Manager may be removed as Manager at any time, with or without cause, by the Investor Member. 5.1.6. Vacancies. In the case of a vacancy in the position of Manager for one of the reasons set forth above, the Investor Member is.to fill such vacancy. 5.1.7. Meetings With Investor Member Representative. The Investor Member shall appoint an Investor Member Representative. The initial Investor Member Representative is Thomas Kalishman. The Manager shall schedule quarterly meetings with the Investor Member Representative at which the Manager shall report on the financial performance of the Company and such other Company matters as the Investor Member Representative may request. The Company shalt reimburse the Investor Member Representative for travel, Iodging and other expenses incurred by him on behalf of the Company oi- in connection with the business of the Company. 5.1.8. Optional Board of Managers. The Investor Member may at any time, in the sole and absolute discretion of the Investor Member, elect to vest the management of the Company in a Board of Managets. If the Investor Member makes such an election, the Investor Member shall have the right and authority to determine the size of the Board of Managers, appoint persons to serve as members of the Board of Managers, establish quorum and voting requirements, and set any and all rules pertaining to meetings of the Board of Managers, All members of the Board of Managers shall serve at the pleasure of the Investor Member and may be removed by the Investor Member at any time with or without cause. If the Investor Member elects to vest management of the Company in a Board of Managers, all references 12 Certificate of Standing Page 1 of 1 Date: 6/7/2011 IOWA SECRETARY OF STATE MATT SCHULTZ CERTIFICATE OF AUTHORIZATION Name: SAK CONSTRUCTION, LLC (489FLC - 360969) Authorized date: 3/28/2008 Duration: PERPETUAL State of Incorporation: MISSOURI I, Matt Schultz, Secretary of State of the State of Iowa, custodian of the records of incorporations, certify that the Limited liability company named on this certificate is authorized to transact business in this state, that all fees required by the Iowa Uniform Limited Liability Company Act have been paid by the limited liability company, and that the most recent biennial corporate report required has been filed by the Secretary of State. Certificate ID: CS55239 To validate certificates visit: www.sos. state. i a. us/ V al i dateC e r ti ficate Matt Schultz Iowa Secretary of State http://www.sos.state.ia.us/Cert/Print.aspx?cs=hodAp4F6pEsY-cEMV sOXgTUYHfEJ2j7n... 6/7/2011 K IORCE CONTRACTOR REGISTRATION CERTIFICATE STATE OF IOWA DATE ISSUED: 11/21/2016 IOWA WORKFORCE DEVELOPMENT DIVISION OF LABOR SERVICES CONTRACTOR REGISTRATION 1000 East Grand Ave. Des Moines, IA 50319-0209 Phone (515) 242 — 5871 SAK CONSTRUCTION LLC 864 HOFF RD OFALLON, MO 63366 DATE EXPIRES: 11/21/2017 REGISTRATION NUMBER: C105108 A.,_01- /9 mom` Michael A. Mauro, Commissioner Your certificate will be enforced for 1 year if you are in compliance with contractor registration, unemployment insurance, and worker's compensation regulations. Falsifying any records may result in revocation of your certificate, $500 civil penalty, and criminal prosecution. SAK t1A Pipeline Infrastructure. Solved. - 636.385.1000 tel 636.385.1100 fax 864 Hoff Road O'Fallon, MO 63366 www.sakcon.com DEMONSTRATION OF GOOD FAITH EFFORT It is the policy of SAK to provide all MBEs and WBEs an equal opportunity to participate in the performance of all SAK contracts. SAK assists agencies in implementing this policy by taking all reasonable steps to ensure that all qualified business enterprises including MBEs and WBEs have an equal opportunity to compete for and participate in agency contracts. SAK strives to meet all MBEs and WBEs goals for every agency that SAK contracts with. The following good faith efforts were performed for the City of Waterloo, IA — FY 2017 CIP Pipelining Phase IIIA project: 1) SAK provided written notice by email of its interest in receiving quotes for the City of Waterloo, IA — FY 2017 CIP Pipelining Phase IIIA project (see Attachment A) 2) List of DBE subcontractors who were contacted (see Attachment B) 3) SAK documented efforts to follow-up initial solicitation of subcontractors (see Attachment B) 4) Copy of Constant Contact Email Solicitation (see Attachment C) 5) Constant Contact Email Statistics Report (see Attachments D.1 — D.3) a. Opened Emails b. Unopened Emails c. Bounced Emails 6) SAK posted the written notice on the Small Business Administration web portal (see Attachment E ATTACHMENT A SAK Pipeline Infrastructure. Solved." February 14, 2017 RE: City of Waterloo, IA FY 2017 CIP Pipelining Phase IIIA Dear Contractor: SAK Construction, LLC is seeking minority business enterprises (MBE) and women business enterprise (WBE) for the City of Waterloo, IA — FY 2017 CIP Pipelining Phase IIIA. The project bids on March 2, 2017 at 1:00 PM local time. All negotiations must be completed by March 1, 2017. Subcontracting Opportunities include but are not limited to: 1. Sewer Cleaning 2. CCTV Inspection 3. Internal Chimney Seal 4. Manhole Barrel Joint Leak Repair 5. Manhole Lining 6. Lateral Grouting 7. Internal Tree Root Removal If your firm is interested in seeking this opportunity, please advise. Plans and Specifications are available from the AECOM office located at 501 Sycamore Street, Suite 222, Waterloo, IA 50703, upon receipt of a $25.00 deposit (check only). Said deposit is fully refundable if the Plans and Specifications are returned in good condition to AECOM by the end of the 14th consecutive day after the project has been awarded. For assistance in obtaining equipment, supplies and materials, bonding, lines of credit, insurance, etc. for this project please contact Theresa Messer at (636) 385-1034. Respectfully, Theresa Messer SAK Construction, LLC tmesser(c�sakcon.com 636.385.1000 tel 636.385.1100 fax 864 Hoff Road O'Fallon. MO 63366 www.sakcon.com ATTACHMENT B Company Address low Up Date Quote Received Dollar Amount Proposed to be Subcontracted Anne Duffield Construction, Inc. 1825 E Avenue NW 2/28/2017 No N/A Cerebral Info Tech, LLC 1454 30th Street, Ste 205 2/28/2017 No N/A Curtis Contracting Corp. 5806 Ely Road SW 2/28/2017 No N/A David Mason & Associates, Inc. 8005. Vandeventer Ave. 2/28/2017 DeLong Construction, Inc. 1320 N 8th Avenue 2/28/2017 No N/A GM Contracting, Inc. 19810 515th Avenue 2/28/2017 No N/A I&A Construction, LLP 3623 Vine Avenue 2/28/2017 No N/A 1 & 1 Boring, Inc. 41 Cardinal Hill Road 2/28/2017 No N/A Kim Construction Company, Inc. 3142 Holeman 2/28/2017 Yes $ 1,668,675.00 Phoenix Corp. of the Quad Cities 23821 66th Avenue Noth 2/28/2017 No N/A Rupert Construction Co. 8316 Blondo Street, Ste 211 2/28/2017 No N/A TCW Construction, Inc. 141 M Street 2/28/2017 No N/A Trekk Design Group, LLC 1441 East 10th Street, Ste 10' 2/28/2017 No N/A Watco Construction, Inc. 2920 Texas Street 2/28/2017 No N/A From: Douglas Woerz To: Theresa Messer Subject: FW: Your campaign City of Waterloo, IA - FY 2017 CIP Pipelining Phase IIIA has been sent Date: Tuesday, February 14, 2017 1:46:19 PM ATTACHMENT C From: Constant Contact Sent: Tuesday, February 14, 2017 1:46:11 PM (UTC -06:00) Central Time (US & Canada) To: Douglas Woerz Subject: Your campaign City of Waterloo, IA - FY 2017 CIP Pipelining Phase IIIA has been sent 51 Dear SAK Construction, Your campaign 'City of Waterloo, IA - FY 2017 CIP Pipelining Phase IIIA' was sent on 2/14/2017 around 2:46 PM EST. Below is a copy of the message your subscribers received. See how your campaign is doing by visiting Reports in your account to get real-time results and stats. Subject: City of Waterloo, IA - FY 2017 CIP Pipelining Phase IIIA SAK Construction Announcement ATTENTION MINORITY BUSINESS ENTERPRISES (MBE) AND WOMAN BUSINESS ENTERPRISES (WBE) SAK Construction, LLC is seeking minority business enterprises (MBE) and women business enterprise (WBE) for the City of Waterloo, IA - FY 2017 CIP Pipelining Phase IIIA. The project bids on March 2, 2017 at 1:00 PM local time. All negotiations must be completed by March 1, 2017. Subcontracting Opportunities include but are not limited to: 1. Sewer Cleaning 2. CCTV Inspection 3. Internal Chimney Seal 4. Manhole Barrel Joint Leak Repair 5. Manhole Lining 6. Lateral Grouting 7. Internal Tree Root Removal If your firm is interested in seeking this opportunity, please advise. Plans and Specifications are available from the AECOM office located at 501 Sycamore Street, Suite 222, Waterloo, IA 50703, upon receipt of a $25.00 deposit (check only). Said deposit is fully refundable if the Plans and Specifications are returned in good condition to AECOM by the end of the 14th consecutive day after the project has been awarded. For assistance in obtaining equipment, supplies and materials, bonding, lines of credit, insurance, etc. for this project please contact Theresa Messer at (636) 385- 1034. SAK Construction, LLC www.sakcon.com 636.385.1000 SAK Construction, LLC, 864 Hoff Road, O'Fallon, MO 63366 SafeUnsubscribeTM dwoerzCalsakcon.com Forward this email 1 Update Profile i About our service provider Sent by bidcippc@ sakcon.com in collaboration with Constant Contact Try it free today Constant Contact' Print Report Print Report SAK Construction Email Statistics 3/1/2017 Email Name: City of Waterloo, IA - FY2017 CIP Pipelining Phase III Template: - My Image I Lists: Waterloo, IA Email Run History Sending Type Sent Run Date Status Original Send 15 2/14/2017 Successfully Sent Email Stats Sent Bounces Spam Reports Unsubscribes Opens Clicks Forwards 15 33.3% (5) 0 0 30.0% (3) 0 0 Click through Stats Email Link Unique Click-throughs Click -through Distribution http://www.sakcon.com 0 0.0% Total Click-throughs 0 0% Social Stats Page Views Share Send Like Twitter Linkedln (Other) 0 0 0 0 0 0 0 Print Report ATTACHMENT D.1 Campaigns Contacts Reporting List Growth Tools Library More v .h 0 s City of Waterloo, IA- FY2017 CIP Pipelining Phase III 4 Unique Opens 40% Open rate Name Show 100 rows per page Email Date/me (CST) info@kimconstruction.com 2/28/2017 3:20pm patwatco@msn.com 2/27/2017 2:01 pm jennifer@jjboring.com 2/16/2017 9:06am iandaconstruction2013@gmail.com 2/15/2017 9:58am 1-4of4items ATTACHMENT D.2 Campaigns Contacts Reporting List Growth Tools Library More v 6 Did Not Open 60% Did not open Name Show 100 rows per page Email sharazin@gmcontractinginc.com duffield6@msn.com pkelley@southslope.net ddpatterson@iowatelecom.net jdelgado@tcwconstruction.com krobinett@trekkllc.com ATTACHMENT D.3 Campaigns Contacts Reporting List Growth Tools Library More v 5 Bounced Emails 33% Bounce rate Name Show 100 rows per page Reason Undeliverable Undeliverable Suspended Suspended Suspended Email k.v@cebrabralinfotech.com kv@cebrabralinfotech.com mevphoenixcorp@frontiernet.net rkaftantizis@davidmason.com staff@rupertconst.com ATTACHMENT E Display Solicitation Record Your solicitation has been entered in SUB -Net database. Thank you very much! Prime's Name: SAK Construction, LLC Contact: Theresa Messer Address 1: 864 Hoff Road Address 2: City: 0 FALLON State: MO Zip: 63366 Zip+4: Phone: 636-385-1000 1034 Fax: 636-385-1100 Email: bidcippc@sakcon.com Seeking: • US Department Of Transportation Disadvantaged Business Enterprise (DBE) • Small Disadvantaged Business (SDB) • Women Owned Small Business (WOSB) Description: SAK Construction, LLC is seeking minority business enterprises (MBE) and women business enterprise (WBE) for the City of Waterloo, IA - FY 2017 CIP Pipelining Phase IIIA. The project bids on March 2, 2017 at 4:00 PM local time. All negotiations must be completed by March 1, 2017. Subcontracting Opportunities include but are not limited to: 1. Sewer Cleaning 2. CCTV Inspection 3. Internal Chimney Seal 4. Manhole Barrel Joint Leak Repair 5. Manhole Lining 6. Lateral Grouting 7. Internal Tree Root Removal If your firm is interested in seeking this opportunity, please advise. Plans and Specifications are available from the AECOM office located at 501 Sycamore Street, Suite 222, Waterloo, IA 50703, upon receipt of a $25.00 deposit (check only). Said deposit is fully refundable if the Plans and Specifications are returned in good condition to AECOM by the end of the 14th consecutive day after the project has been awarded. For assistance in obtaining equipment, supplies and materials, bonding, lines of credit, insurance, etc. for this project please contact Theresa Messer at (636) 385-1034. NAICS Code: 237110 Place of performance: IA - Iowa Prime Sol. Number: Subcontract Sol. Number: WATERLOO, IA - 2017 CIP Bid Closing Date: 3/2/2017 Time: 1:00 PM CDT Back This listing is from the SBA's PRODUCTION environment. Window URL: https://ewebl.sba.gov/subnet/update/profiles/dsp_post_option.cfm Data region URL: https://ewebl.sba.gov/subnet/search/dsp_detailed_bid_record.cfm?bid_seq_num=43819&extra_msg=Y