HomeMy WebLinkAbout06.18.2025 Telecom Board AgendaTELECOMMUNICATIONS UTILITY
BOARD OF TRUSTEES
City Council Chambers
May 21, 2025
4:00 p.m.
1. Members present: Mr. Van Fleet, Mr. Kurtenbach, Mr. Young and Mr. Batemon. Ms.
Wienands was absent.
2. Moved by Kurtenbach seconded by Young that the agenda as presented, be
approved. Voice vote-Ayes: Four. Motion carried.
3. Moved by Batemon seconded by Young approving the minutes of May 9, 2025,
Special Session, as proposed. Voice vote-Ayes: Four. Motion carried.
4. Moved by Kurtenbach seconded by Young approving a resolution authorizing
payment of bills for April 2025. Roll Call vote-Ayes: Four. Motion carried. Resolution
No. 2025-010.
5. Moved by Kurtenbach seconded by Batemon approving Addendum No. 4, in the
amount of $124,210.00, with Entrust Solutions Group, of Denver, Colorado, in
conjunction with the FY 2023 Construction of a Fiber-to-the-Premise
Feeder/Distribution and Backbone Network Project, Contract No. 1088, and
authorizing the Board Chair to execute said document. Voice vote-Ayes: Four.
Motion carried.
Eric Lage, General Manager, shared that this amendment is for the backbone only,
so none of these costs will hit our budget. He explained that the city added some
additional sites they wanted attached to the backbone.
6. Moved by Kurtenbach seconded by Young approving Addendum No. 5, in the
amount of $14,210.00, with Entrust Solutions Group, of Denver, Colorado, in
conjunction with the FY 2023 Construction of a Fiber-to-the-Premise
Feeder/Distribution and Backbone Network Project, Contract No. 1088, and
authorizing the Board Chair to execute said document. Voice vote-Ayes: Four.
Motion carried.
Eric Lage, General Manager, shared that this addendum is also backbone only and
is just to connect the new city hall location.
Mr. Kurtenbach questioned when the downtown area would be scheduled.
Eric explained that the next task order includes downtown, and it would likely be
sometime in the summer.
7. Moved by Kurtenbach seconded by Young approving Addendum No. 6, in the
amount of $3,155.00, with Entrust Solutions Group, of Denver, Colorado, in
conjunction with the FY 2023 Construction of a Fiber-to-the-Premise
Page 2
Feeder/Distribution and Backbone Network Project, Contract No. 1088, and
authorizing the Board Chair to execute said document. Voice vote-Ayes: Four.
Motion carried.
Eric Lage, General Manager, commented that this addendum is one-hundred
percent utility. He explained that there is a levy crossing in the current task order
which they have been waiting for permits from the Army Corps of Engineers. This
addendum will allow us to move forward with arial installation and avoid the permits.
Board members discussed the use of arial lines with Eric Lage.
8. Update from general manager and consultants.
Eric Lage, General Manager, shared various upcoming events that they will be
attending or participating in and stated that the ribbon cutting event for the new office
space will happen in June. The job description for the marketing position was just
posted and the sales position will follow shortly. He further shared that staff have
been busy getting ready for the upcoming audit with Creative Planning. He
commented that Chris Wendland no longer practices law at his firm, so they have
chosen to work with Dustin Zeschke of Swisher & Cohrt.
Mr. Kurtenbach shared a citizen’s concerns about where our fiber and boxes are
being placed on Huntington Road. He commented that Irish Fest wanted to know if
Waterloo Fiber would be interested in helping on a few things during the festival.
Eric Lage commented that he will investigate the request.
Maggie Burger, Speer Financial, provided an update on the proforma packets that
will be going out next week and intends to have a bond anticipation note in place by
the end of the city’s fiscal year ending June 30, 2025. A virtual meeting will likely
need to be held in June to approve the packet so that the funding is in place by June
30. Those funds will be funneled to the city of Waterloo to cover the construction
costs that they have been carrying. Work on the second round of funding will begin
over the summer months.
Mr. Van Fleet questioned who she was working with on the proforma.
Maggie Burger shared that her primary contract is Courtney Violette but has also
been working with Joe Carella. She shared her high level of confidence in the
accuracy of the forthcoming proforma.
Mr. Kurtenbach questioned the timeline for Hut 2 and 3.
Eric Lage provided an update on the process and that Hut 2 will probably be early to
mid-summer.
Page 3
Mr. Van Fleet questioned if Ahlers and Cooney are still utilized.
Eric Lage confirmed, stating that it is mostly for RFP’s and like items.
Steve Jakab, Entrust, provided an update on task order 17 has been released for
construction which will begin next month.
9. Closed session pursuant to Iowa Code Section 388.9(1) to discuss marketing and
pricing strategies or proprietary information if its competitive position would be
harmed by public disclosure not required of potential or actual competitors, and if no
public purpose would be served by such disclosure. Roll Call vote-Ayes: Four.
Motion carried.
Moved by Kurtenbach seconded by Young to enter into Closed Session at 4:27 p.m.
Roll Call vote-Ayes: Four. Motion carried.
Moved by Kurtenbach seconded by Young to adjourn Closed Session at 4:57 p.m.
Roll Call vote-Ayes: Four. Motion carried.
10. Adjourn.
With no further business before the board, it was moved by Kurtenbach seconded by
Young that the meeting be adjourned at 4:57 p.m. Voice vote-Ayes: Four. Motion
carried.
Kelley Felchle
Board Secretary
ACP INTERNATIONAL OSP:SUPPLIES $1,662.57
ADVANTAGE ADMINISTRATORS HEALTH INSURANCE $1,585.99
AHLERS & COONEY, P.C.LEGAL $4,058.00
AMAZON CAPITAL SERVICES OFFICE SUPPLIES $ 1,227.11
AVESIS THIRD PARTY ADMIN, LLC VISION INSURANCE $138.48
CALIX SOLUTION AND SUPPORT $ 4,949.52
CAMV.IO BILLING/AR SERVICES $ 1,500.00
CEDAR FALLS UTILITIES BANDWIDTH $ 3,710.00
CEDAR RAPIDS TV, LLC/KWWL ADVERTISING $ 5,099.00
CEDAR VALLEY CATHOLIC SCHOOLS ADVERTISING $ 1,500.00
CITY OF WATERLOO FUEL AND VEHICLE MAINTENANCE $1,587.31
COMMUNITY BANK & TRUST NOTE INTEREST $ 81,952.98
COMPLIANCE SOLUTIONS, INC PROFESSIONAL SERVICES $ 450.00
CONSORTIA CONSULTING $ 2,100.00
CURTIS WAYNE DEAN CONSULTING $ 843.75
DELTA DENTAL OF IOWA DENTAL INSURANCE $ 520.70
DICKEY'S PRINTING ADVERTISING/STAFF APPAREL $ 170.00
ELAN FINANCIAL SERVICES VISA $20,289.45
EPLUS TECHNOLOGY 5 GIGAPRO TRIBAND WI-FI/SUPPLIES $2,200.23
FUSE TECHNIC, LLC CONSULTING $ 4,375.00
GROW CEDAR VALLEY ADVERTISING $ 1,000.00
HURRICANE ELECTRIC LLC INTERNET SERVICES $ 400.00
IOWA DEPARTMENT OF REVENUE SALES AND WITHHOLDING TAX $2,108.69
IPERS IPERS $ 9,294.40
KIELKOPF ADVISORY SERVICES LLC CONSULTING $ 1,963.75
LESLEY WILDER OFFICE CLEANING $1,200
LINCOLN SAVINGS BANK BANKING FORMS $ 556.00
MENARDS BUILDING MAINTENANCE/SUPPLIES $178.42
MIDAMERICAN ENERGY COMPANY NOC-HUT 1 UTILITIES $ 472.69
MUTUAL OF OMAHA LIFE INSURANCE $ 308.03
NATIONAL RURAL TELECOM COOP TECH SUPPORT $ 500.00
ONESOURCETHEBACKGROUNDCHECKCOM BACKGROUND CHECKS $ 150.10
PAYMENTUS CORPORATION BILL PAYMENT TRANSACTION FEES $220.95
PRINT INNOVATIONS OSP:CONTRACTOR TRUCK LOGOS $ 267.50
RON STEELE ADVERTISING $ 1,500.00
SEGRA DARK FIBER $ 3,000.00
SOUTH FRONT NETWORKS, LLC UPN CONNECTION $ 850.00
THE COURIER LEGAL $ 930.11
TWIN TREES, LLC OFFICE RENT $ 13,705.28
UNDERGROUND LOCATION COMPANY LOCATES $ 1,338.30
VGM GROUP, INC ENVELOPES $ 373.43
VOYANT MONTHLY PHONE SERVICE $ 420.61
WATERLOO BUCKS ADVERTISING $ 3,000.00
WELLMARK HEALTH INSURANCE $ 12,817.24
No
CR-2025-0021
ITG
Michael Regan
PM Broadband Implementation
City of Waterloo/Waterloo
Fiber/Eric Lage
Change Request Overview
Description of Change (include location)
Reason for Change
Material & Labor pricing has been provided by ITG Communication. Material Submittals/ Specifications
Due to concerns with lightning strikes near the Public Works Building & the Linden Water Tower areas,
potentially damaging the shelter and/or the equipment inside, the City and the Utiity requested a new
location for the former Linden Shelter. As a result, the City had acquired a parcel of land located at 1700
Idaho St. This new location was amended into the original engineering and designs.
The following Change Order has been created to account for labor and material with the new shelter location
on 1700 Idaho St.
Change Order Request
Clayton Johnston
VP of Construction
Client/Owner
5/13/2025
$105,537.82Change Order Name:
Construction Contractor Name (Attn)
Magellan Project Manager:
Client/Owner (Attn)
Change Order Type
Change Order Cost:
Request Date:
Requested By:
Entrust Sign-Off
Design/Engineering
Will Be Subject To The Withholdings and Release Set Forth In The
Contract Sections 6.2(f)(i) and (ii)Retainage
Location
Work Order #
Labor
Underground - Buried Labor 442 $ 11.95 $ 5,281.90
Underground - Buried Labor 60 $ 20.25 $ 1,215.00
Underground - Buried Labor 6 $ 40.00 $ 240.00
Underground - Buried Labor 1 $ 300.00 $ 300.00
Underground - Buried Labor 32 $ 32.00 $ 1,024.00
Underground - Buried Labor 482 $ - $ -
Underground - Buried Labor 2 $ 52.00 $ 104.00
Underground - Buried Labor 2 $ 65.00 $ 130.00
Underground - Buried Labor 1,400 $ 1.20 $ 1,680.00
Underground - Buried Labor 2 $ 540.00 $ 1,080.00
Splicing Labor 2 $ 200.00 $ 400.00
Splicing Labor 1,872 $ 25.00 $ 46,800.00
Patch Panel and Cabinet Labor 6 $ 115.00 $ 690.00
Patch Panel and Cabinet Labor 1 $ 400.00 $ 400.00
*** $ 59,344.90
Materials
Fiber Material 542 $ 2.00 $ 1,084.00
Underground Material 482 $ 0.11 $ 53.02
Underground Material 2 $ 16.24 $ 32.48
Underground Material 2 $ 2,270.43 $ 4,540.86
Underground Material 2 $ 31.55 $ 63.10
Underground Material 442 $ 0.48 $ 212.16
Underground Material 300 $ 1.46 $ 438.00
Underground Material 12 $ 6.54 $ 78.48
Underground Material 6 $ 6.37 $ 38.22
Underground Material 60 $ 2.23 $ 133.80
Underground Material 6 $ 82.25 $ 493.50
Underground Material 1 $ 1,695.00 $ 1,695.00
Closure Material 2 $ 336.06 $ 672.12
Closure Material 12 $ 25.91 $ 310.92
Patch Panels & Cabinets Material 1 $ 36,347.26 $ 36,347.26
*** $ 46,192.92
*** $ 105,537.82
2" SCH-40 90 degree Sweep
#12 AWG Solid Thhn Insulated Tracer Wire -->[FT]
Extra Large Vault 33" x 60" (Split Lid) -->[EA]
3.5" Dia PVC Round Locate Posts with Orange "Top Hat", 8 ft. in length
with shorting straps -->[EA]
5/8"x8' Copper Clad Ground Rod -->[EA]
Clearfield FieldSmart Fiber Crossover Distribution System (FxDS)
Hammond aluminum box
2" Expansion Coupler
2" SCH-40 (10' sticks cost per foot)
FOSC 450 D Closure -->[EA]
D Size splice Tray -->[EA]
2" SCH-40 45 degree Elbow
2" SCH 80 PVC
CR Materials Subtotal
TOTAL CR COST
Amount
Install Hammond aluminum box on POP (Includes cutting back of box
and SCH-40 couplers)
Install #12 AWG Insulated Tracer Wire -->[LF]
Install 5/8"x8' Copper Clad Ground Rod -->[EA]
Install 3.5" Dia PVC Round Marker Posts with Orange Dome Top with
Test Station -->[EA]
Itemized Breakdown of Work
Sawcut, Remove and Replace Concrete 6" Thick -->[SqrFt]
Quantity Unit Price
Directional Bore (0) 1", (0) 2", (1) 1.25" -->[LF]
Trench (6) 2" SCH-40 Conduit
Install 2" SCH-80 Conduit vertical and attach to building
CR Labor Subtotal
1.25” HDPE Roll Conduit, Orange – SDR 11 -->[FT]
Description
Installation, Underground Fiber Cable - Including Slack (Regular Loose
Tube Fiber) -->[LF]
Installation, Extra Large Vault 33" x 60" -->[EA]
Install New Splice Case & Prep Cable -->[EA]
Splicing Fusion, Single fiber Pigtail at panel -->[EA]
Install rack mounted patch panel (Any Size) and tails -->[EA]
Install 7ft Rack for patch panels -->[EA]
288ct Fiber Cable(s) -->[FT]
Frame w/door kit, 288 Panels (6), 12-port cassettes (144), 7' x 23"
Frame, Isolation Pad, Floor Mount Kit, Cable Tray w/Endguard,
Cable Tray w/o Guard, 5' x23" Trough
Print Name / Title:
Signature:
Date:
Print Name / Title:
Signature:
Date:
Print Name / Title:
Signature:
Date:
**End**
Clayton Johnston VP of Construction
Charles Smith Regional Manager
Approvals
Magellan Sign-Off
Client/Owner (Attn)
Contractor Manager (not needed for design change requests)
5/13/24
5/19/2025
No
CR-2025-0022
ITG
Michael Regan
PM Broadband Implementation
City of Waterloo/Waterloo
Fiber/Eric Lage
Change Request Overview
Description of Change (include location)
Reason for Change
Labor & material pricing came from the original BoM pricing approved by Waterloo Fiber and the City of
Waterloo.Material Submittals/ Specifications
Due to Right of Way constraints for underground construction in the Chatauqua Park neighborhood (Task
Order 14 / LCP 106) and the costs associated with an aerial solution far surpassed the potential demand
revenue from interested households, the Waterloo Fiber Telecom Board decided to have this area removed
from the project, and may consider constructing as part of a future project, timeframe unknown.
The following Change Order has been created to deduct labor and material costs associated with the removal
of the Chatauqua Park neighborhood from the project.
Change Order Request
Clayton Johnston
VP of Construction
Client/Owner
5/30/2025
($215,078.15)Change Order Name:
Construction Contractor Name (Attn)
Magellan Project Manager:
Client/Owner (Attn)
Change Order Type
Change Order Cost:
Request Date:
Requested By:
Entrust Sign-Off
Design/Engineering
Will Be Subject To The Withholdings and Release Set Forth In The
Contract Sections 6.2(f)(i) and (ii)Retainage
Location
Work Order #
Labor
Underground - Buried Labor -2,193 $ 11.95 $ (26,206.35)
Underground - Buried Labor -6,518 $ 11.95 $ (77,890.10)
Underground - Buried Labor -8,723 $ - $ -
Underground - Buried Labor -10 $ 52.00 $ (520.00)
Underground - Buried Labor -10 $ 45.00 $ (450.00)
Underground - Buried Labor -12,841 $ 1.20 $ (15,409.20)
Underground - Buried Labor -64 $ 150.00 $ (9,600.00)
Underground - Buried Labor -19 $ 240.00 $ (4,560.00)
Underground - Buried Labor -2 $ 28.00 $ (56.00)
Underground - Buried Labor -2 $ 32.00 $ (64.00)
Underground - Buried Labor -1 $ 28.00 $ (28.00)
Underground - Buried Labor -2 $ 30.00 $ (60.00)
Underground - Buried Labor -2 $ 33.00 $ (66.00)
Underground - Buried Labor -2 $ 31.00 $ (62.00)
Underground - Buried Labor -2 $ 34.00 $ (68.00)
Splicng Labor -80 $ 200.00 $ (16,000.00)
*** $ (151,039.65)
Materials
Fiber Material -4,318 $ 0.49 $ (2,115.82)
Fiber Material -2,758 $ 0.57 $ (1,572.06)
Fiber Material -2,277 $ 0.90 $ (2,049.30)
Fiber Material -3,488 $ 2.15 $ (7,499.20)
Underground Material -6,518 $ 0.38 $ (2,476.84)
Underground Material -2,193 $ 1.00 $ (2,193.00)
Underground Material -8,723 $ 0.11 $ (959.53)
Underground Material -10 $ 16.24 $ (162.40)
Underground Material -64 $ 339.52 $ (21,729.28)
Underground Material -19 $ 699.76 $ (13,295.44)
Underground Material -10 $ 46.05 $ (460.50)
Closures Material -14 $ 282.02 $ (3,948.28)
Closures Material -14 $ 17.31 $ (242.34)
Closures Material -4 $ 40.73 $ (162.92)
Closures Material -2 $ 336.06 $ (672.12)
Closures Material -2 $ 25.91 $ (51.82)
Closures Material -1 $ 22.13 $ (22.13)
Closures Material -49 $ 65.23 $ (3,196.27)
Closures Material -15 $ 81.95 $ (1,229.25)
*** $ (64,038.50)
*** $ (215,078.15)
FOSC 450 D Closure -->[EA]
Slack Basket for D-Gel Closure -->[EA]
Small Vault, 13” x 24” - Composite -->[EA]
FOSC 450 B Closure -->[EA]
Splice Tray for B-Gel Closure (SM12) -->[EA]
Slack Basket for B-Gel Closure -->[EA]
D Size splice Tray -->[EA]
NEPTCO #TS19-IS-2 (TS 2 POLE ISOLATION SWITCH, PLUS
GROUND) -->[EA]
48 CT Micro Fiber Cable -->[FT]
288 CT Micro Fiber Cable -->[FT]
2” HDPE Roll Conduit, Orange – SDR 11 -->[FT]
#12 AWG Solid Thhn Insulated Tracer Wire -->[FT]
Vault, 24" x 36" -->[EA]
1” HDPE Roll Conduit, Orange – SDR 11 -->[FT]
Commscope CSC100 Micro Closure -->[EA]
CR Materials Subtotal
TOTAL CR COST
Commscope CSC150 Micro Closure -->[EA]
Amount
Install 5/8"x8' Copper Clad Ground Rod -->[EA]
Installation, Underground Fiber Cable - Including Slack (Micro fiber
must be blown in) -->[LF]
Installation, Small Vault, 13” x 24” (Composite) -->[EA]
Installation, Vault 24" x 36" -->[EA]
Itemized Breakdown of Work
Install Isolation Switch 2 pole or 5 pole -->[EA]
Quantity Unit Price
Directional Bore (0) 1", (1) 2", (0) 1.25" -->[LF]
Directional Bore (1) 1", (0) 2", (0) 1.25" -->[LF]
Install #12 AWG Insulated Tracer Wire -->[LF]
Description
Sawcut, Remove and Replace Asphalt 6" Thick -->[SqrFt]
Sawcut, Remove and Replace Concrete 6" Thick -->[SqrFt]
Remove and Replace Brick Pavers -->[SqrFt]
Sawcut, Remove and Replace Asphalt 8" Thick -->[SqrFt]
Sawcut, Remove and Replace Concrete 8" Thick -->[SqrFt]
CR Labor Subtotal
5/8"x8' Copper Clad Ground Rod -->[EA]
Sawcut, Remove and Replace Asphalt 10" Thick -->[SqrFt]
12 CT Micro Fiber Cable -->[FT]
Sawcut, Remove and Replace Concrete 10" Thick -->[SqrFt]
Install New Splice Case & Prep Cable -->[EA]
24 CT Micro Fiber Cable -->[FT]
Print Name / Title:
Signature:
Date:
Print Name / Title:
Signature:
Date:
Print Name / Title:
Signature:
Date:
**End**
Clayton Johnston VP of Construction
Charles Smith Regional Manager
Approvals
Magellan Sign-Off
Client/Owner (Attn)
Contractor Manager (not needed for design change requests)
5/30/2025
6/3/2025
No
CR-2025-0023
ITG
Michael Regan
PM Broadband Implementation
City of Waterloo/Waterloo
Fiber/Eric Lage
Change Request Overview
Description of Change (include location)
Reason for Change
Labor & material pricing came from the original BoM pricing approved by Waterloo Fiber and the City of
Waterloo.Material Submittals/ Specifications
In order to accommodate a 160 trailer park ports along Idaho St between French St & Butler Ave on the east
side of the street, the current design and 144ct fiber will need to be swapped out for a 288ct fiber. Waterloo
Fiber submitted the request to modify the FTTP design.
The following Change Order has been created to add labor and material costs associated with removing 144 ct
fiber and replace with 288 ct fiber along Idaho St between French St & Butler Ave (Task Order 12 / LCP 099)
Will Be Subject To The Withholdings and Release Set Forth In The
Contract Sections 6.2(f)(i) and (ii)
Change Order Request
Clayton Johnston
VP of Construction
Client/Owner
5/28/2025
$5,373.40Change Order Name:
Construction Contractor Name (Attn)
Magellan Project Manager:
Client/Owner (Attn)
Change Order Type
Change Order Cost:
Request Date:
Requested By:
Entrust Sign-Off
Design/Engineering
Retainage
Location
Work Order #
Labor
Underground - Buried Labor 1,072 $ 1.35 $ 1,447.20
Underground - Buried Labor 1,172 $ 2.15 $ 2,519.80
*** $ 3,967.00
Materials
Underground Material 1,172 $ 1.20 $ 1,406.40
*** $ 1,406.40
*** $ 5,373.40
288 CT Micro Fiber Cable -->[FT]
CR Materials Subtotal
TOTAL CR COST
Amount
Itemized Breakdown of Work
Quantity Unit Price
Remove existing cable - i.e. coax/twisted pair in street light conduits to
replace with fiber -->[LF]
Installation, Underground Fiber Cable - Including Slack (Micro fiber
must be blown in) -->[LF]
Description
CR Labor Subtotal
Print Name / Title:
Signature:
Date:
Print Name / Title:
Signature:
Date:
Print Name / Title:
Signature:
Date:
**End**
Clayton Johnston VP of Construction
Charles Smith Regional Manager
Approvals
Magellan Sign-Off
Client/Owner (Attn)
Contractor Manager (not needed for design change requests)
5/28/2025
6/3/2025
PROJECT MANUAL
FOR
F.Y. 2025 PREFABRICATED SHELTER AT 512 UNIVERSITY AVE
CONTRACT NO. 1113
NOTICE OF HEARING CONTRACT NO. 1113 Page 1 of 1
F.Y. 2025 PREFABRICATED SHELTER AT 512
UNIVERSITY AVE
CONTRACT NO. 1113
CONTRACT DOCUMENTS TABLE OF CONTENTS
Highlighted items must be included with bid.
1. NOTICE OF PUBLIC HEARING
2. NOTICE TO BIDDERS
3. INSTRUCTIONS TO BIDDERS
7. EQUAL OPPORTUNITY CLAUSE
8. TITLE VI CIVIL RIGHTS
10. AFFIRMATIVE ACTION PROGRAM
11. POTENTIAL ITEMS OF WORK FOR MBE/WBE PARTICIPATION
A. SUBCONTRACTOR'S BID REQUEST FORM,
B. LETTER FORM FOR SUBCONTRACTOR QUOTES (CCO-3)
C. MBE/WBE SCOPE LETTER, (CCO-4)
D. MBE AND/OR WBE PREBID CONTACT INFORMATION FORM (CCO-4A)
E. MBP/WBE LETTER OF INTENT TO BID (CCO-5)
12. WATERLOO/CEDAR FALLS MINORITY AND WOMEN BUSINESSES
ENTERPRISE CONSTRUCTION AND MAINTENANCE
CONTRACTOR'S GUIDE
13. STATEMENT OF BIDDER'S QUALIFICATIONS
14. GENERAL SPECIAL PROVISIONS
15. SPECIAL PROVISIONS
16. GENERAL SPECIFICATIONS FOR CONSTRUCTION
17. SUPPLEMENTAL GENERAL SPECIFICATIONS FOR CONSTRUCTIONS
18. FORM OF CONTRACT
19. FORM OF PERFORMANCE, PAYMENT, AND MAINTENANCE BOND
ATTACHMENT A – Conceptual Shelter Layout
ATTACHMENT B – Equipment Rack Elevations
ATTACHMENT C – Estimated Power and Cooling Specifications
ATTACHMENT D – Site Location
ATTACHMENT E – Prefabrications Data Center Bid Specs
4. FORM OF BID OR PROPOSAL
5. FORM OF BID BOND
6. NON-COLLUSION AFFIDAVITS
9. BIDDER STATUS FORM
NOTICE OF HEARING CONTRACT NO. 1113 Page 1 of 1
NOTICE OF PUBLIC HEARING
On Proposed Plans, Specifications, Form of
Contract, And Estimate of Cost
For the
F.Y. 2025 PREFABRICATED SHELTER AT 512
UNIVERSITY AVE
In the City of Waterloo,
Iowa CONTRACT NO. 1113
PUBLIC HEARING
The City Council of Waterloo, Iowa, will hold a public hearing on the proposed Plans,
Specifications, Form of Contract, and Estimate of Costs for the construction of said
improvements at 5:30 p.m. on the 7th day of July 2025, in the Harold E. Getty Council Chambers
in City Hall, 715 Mulberry Street, Waterloo, Iowa. At said hearing, any interested person may
appear and file objections thereto or to the cost of the improvements.
The Board of Trustees of the Municipal Telecommunications Utility will hold a public hearing on
the proposed Plans, Specifications, Form of Contract, and Estimate of Costs for the construction
of said improvements at 4:00 p.m. on July 16, 2025 in the Harold E. Getty Council Chambers in
City Hall, 715 Mulberry Street, Waterloo, Iowa. At said hearing, any interested person may
appear and file objections thereto or to the cost of the improvements.
The City of Waterloo (Owner) is seeking bids from contractors who can supply and install a
prefabricated concrete communication shelter that will securely house the network equipment,
power systems, and supporting environmental components required to operate the Waterloo
Fiber FTTU network for the Owner. The shelter will be located at 512 University Ave, Waterloo,
IA 50701.
Published pursuant to the provisions of Chapter 26 of the City Code of Iowa and upon order to
the City Council of said Waterloo, Iowa, on the day of , .
CITY OF WATERLOO, IOWA
BY:
Kelley Felchle City Clerk
NOTICE TO BIDDERS CONTRACT NO. 1113
NOTICE TO BIDDERS
For the Taking of Bids for the F.Y. 2025
PREFABRICATED SHELTER AT 512
UNIVERSITY AVE
REQUEST FOR QUOTE
In the City of Waterloo,
Iowa CONTRACT NO. 1113
RECEIVING OF BIDS
On behalf of the City of Waterloo and the Municipal Telecommunications Utility of the City of
Waterloo, notice is hereby given that sealed proposals will be received by the City Clerk of the
City of Waterloo, Iowa, at her office in the City Hall of the said City on the 3rd day of July 2025
until 1:00 p.m. for the construction of the F.Y. 2025 PREFABRICATED SHELTER AT 512
UNIVERSITY AVE. CONTRACT NO. 1113, as described in detail in the plans and
specifications now on file in the Office of the City Clerk. Proposals received after the deadline for
submission of bids as stated herein shall not be considered and shall be returned to the late
bidder unopened.
OPENING OF BIDS
All proposals received will be opened in the City Council Chambers at City Hall, in the City of
Waterloo, Iowa, on the 3rd day of July 2025 at 1:00 p.m.
Proposals will be considered by the Board of Trustees of the Municipal Telecommunications
Utility at its meeting at 4:00 P.M. on July 16, 2025, in the Harold E. Getty Council Chambers in
City Hall, 715 Mulberry Street, Waterloo, Iowa. The Board may approve awarding a Contract at
said meeting, or at such other time and place as shall then be announced.
Proposals will be considered by the City of Waterloo City Council at its meeting at 5:30 P.M. on
July 7th, 2025, in the Harold E. Getty Council Chambers in City Hall, 715 Mulberry Street,
Waterloo, Iowa. The City Council anticipates making the award of Contract at its meeting at
5:30 P.M. on July 21, 2025, or at such other time and place as shall then be announced.
PUBLIC HEARING
The City Council of Waterloo, Iowa, will hold a public hearing on the proposed Plans,
Specifications, Form of Contract, and Estimate of Costs for the construction of said
improvements at 5:30 p.m. on the 7th day of July 2025, in the Harold E. Getty Council Chambers
in City Hall, 715 Mulberry Street, Waterloo, Iowa. At said hearing, any interested person may
appear and file objections thereto or to the cost of the improvements.
The Board of Trustees of the Municipal Telecommunications Utility will hold a public hearing on
the proposed Plans, Specification, Form of Contract, and Estimate of Costs for the construction of
said improvements at 4:00 p.m. on July 16, 2025, in the Harold E. Getty Council Chambers in
City Hall, 715 Mulberry Street, Waterloo, Iowa. At said hearing, any interested person may
appear and file objections thereto or to the cost of the improvements.
SCOPE OF WORK
The City of Waterloo (Owner) is seeking bids from contractors who can supply and install a
prefabricated concrete communication shelter that will securely house the network equipment,
power systems, and supporting environmental components required to operate the Waterloo
NOTICE TO BIDDERS CONTRACT NO. 1113
Fiber FTTU network for the Owner (the Project). The shelter will be located at 512 University
Ave, Waterloo, IA 50701 (See Attachment D – Site Location).
The Owner is seeking a Base Bid for a new concrete shelter and an Alternate Bid for a
refurbished concrete shelter. The Total of either the Base Bid or the Alternate Bid, as selected by
the Owner, shall be used for comparison of bids. The Total of the Base Bid or the Alternate Bid,
whichever is higher, shall be used for determining the sufficiency of the bid security.
BEGINNING AND COMPLETION DATES
The work under the proposed contract shall be commenced within ten (10) working days after
receipt of "Notice to Proceed." The “Notice to Proceed” is expected to be issued on or about July
22, 2025. The Project shall be substantially completed on or before January 7, 2026.
METHOD OF PAYMENT TO CONTRACTOR
Payments will be made on the basis of estimates prepared by the Contractor and approved by
the Engineer, solely for the purpose of payment; approval by the Engineer, or the City Council,
shall not be deemed as approval or acceptance of the workmanship or materials. The Contractor
will be compensated for 95% of the work completed during a payment period, with the remaining
5% being retained in accordance with the Iowa Code. Regular payments approved by the
Engineer will be made following the next scheduled City Council meeting. Final payment will be
made thirty-one (31) days after completion of the work and final acceptance by the Council.
Before final payment is made, vouchers showing that all subcontractors and workmen and all
persons furnishing materials have been fully paid for such materials and labor will be required
unless the City is satisfied that material, men, and laborers have been paid.
PLANS AND SPECIFICATIONS
Plans and Specifications governing the construction of the proposed improvements have been
prepared by the City of Waterloo which plans and specifications and also the prior proceedings
of the City Council referring to and defining said proposed improvements are hereby made a part
of this notice, and the proposed contract by reference shall be executed in compliance therewith.
Plans and Specifications are available for review only from the Engineering Department.
Complete digital Plans and Specifications are available at:
https://www.cityofwaterlooiowa.com/government/municipalgovermentbids.php .
Please DO NOT obtain Bid Documents from any source other than the City of Waterloo, Iowa.
Obtaining documents through any other source could prevent Bidder from being included on the
official Plan Holders List, which, in turn, may cause the Bidder to not receive addenda or other
time-sensitive / bid-critical documents. The City has the right to reject any bids that do not have
current bidding documents included in the proposal.
Upon award of project, the prime contractor, subcontractors and suppliers shall be supplied with
the needed number of plans and specifications at no additional cost.
Project Calendar Anticipated Events Dates:
• Proposal Submission Date July 3, 2025
• City consideration of bids July 7, 2025
• City public hearing on Plans, Specifications, Form of Contract
NOTICE TO BIDDERS CONTRACT NO. 1113
& Estimate of Cost July 7, 2025
• Utility public hearing on Plans, Specifications, Form of Contract
& Estimate of Cost July 16, 2025
• Utility consideration of bids & approval of award of contract July 16, 2025
• City Award of Contract July 21, 2025
• Contract Signed July 22, 2025
• Shelter Delivered and Offloaded by seller October 28, 2025
• All Contracts Must Have Obligations Complete by January 7, 2026
NOTICE TO BIDDERS CONTRACT NO. 1113
CONTRACT AWARD
A contract will be awarded to the lowest responsive, responsible bidder. The lowest responsive,
responsible bidder will be determined based on the sum of either the Base Bid or the Alternate Bid
as selected by the Owner.
The City reserves the right to reject any or all bids, re-advertise for new bids, and to waive
informalities in the bids submitted.
Bids may be held by the City of Waterloo, Iowa, for a period not to exceed thirty (30) days from
the day of the opening of bids for the purpose of reviewing the bids and investigating the
responsibility of bidders, prior to awarding the contract.
By virtue of statutory authority, a preference will be given to products and provisions grown and
coal produced with the State of Iowa and preference will be given to local domestic labor in the
construction of the improvement.
PROPOSALS SUBMITTED
The bidder shall submit bids on the items listed in the proposal.
The bidder has the option to submit a computer-generated spreadsheet in lieu of the portion of
the Form of Bid or Proposal, which includes the Bid Item Number, Description, Unit, Estimated
Quantity, Unit Bid Price, Total Bid Price and Total Bid. The computer-generated spreadsheet shall
include all of the information listed in that portion of the Form of Bid or Proposal as well as bear
the signature of the Prime Contractor submitting the bid. For the bidders who submit a computer-
generated spreadsheet, the TOTAL BID (with alternates, if applicable) shall also be indicated in
the space(s) provided on the Form of Bid or Proposal.
BID SECURITY REQUIRED
All bids must be accompanied in a separate envelope by a certified or cashier's check drawn on
an Iowa bank, or a bank chartered under the laws of the United States, a certified share draft
drawn on a credit union in Iowa or chartered under the laws of the
United States, or bid bond, (on the form furnished by the City) payable to the City of
Waterloo, Iowa, in the sum of not less than five percent (5%) of the bid submitted, which certified
check, certified share draft or bid bond will be held as security that the Bidder will enter into a
Contract for the construction of the work and will furnish the required bonds, and in case the
successful Bidder shall fail or refuse to enter into the Contract and furnish the required bonds, his
bid security may be retained by said City as agreed upon liquidated damages. If bid bond is used,
it must be signed by both the Bidder and the surety or surety's agent. Signature of surety's agent
must be supported by accompanying Power of Attorney.
PERFORMANCE & PAYMENT BONDS
The successful bidder will be required to furnish a “Performance Bond” and a “Payment Bond”
within ten (10) days after forms are presented to him in an amount equal to one hundred percent
(100%) of the contract price, said bond to be issued by a responsible
surety approved by the City Council and shall guarantee the faithful performance of the contract
and the terms and conditions therein contained, and shall guarantee the
prompt payment of all materials and labor and protect and save harmless the City from claims of
any kind caused by the operations of the contractor.
NOTICE TO BIDDERS CONTRACT NO. 1113
MAINTENANCE BOND
Before the Contractor shall be entitled to receive final payment for work done under this contract,
it shall execute and file a bond in the penal sum of not less than 100% of the
total amount of the contract guaranteeing the maintenance of the improvement caused by failures
in materials and construction for a period of two (2) years from and after final acceptance of the
Project.
CONTRACT COMPLIANCE PROGRAM / SUBCONTRACTING
The program proposes numerical projections regarding utilization of Minority Business Enterprise
(MBE) and Women Business Enterprise (WBE) as Subcontractors, vendors
and suppliers in the performance of Contracts awarded by the City of Waterloo, Iowa.
A goal of at least ten percent (10%) for MBE participation on all City funded construction projects
that are estimated at $50,000.00 or more. A goal of at least two percent (2%) for WBE participation
on all City funded construction projects that are estimated at $50,000.00 or more. Any project
funded in part or in total with federal funds shall follow the respective agencies contract
compliance program and goals. The
Prime Contractor shall make "good-faith efforts" to meet the Contract Compliance MBE/WBE
goals. The MBE/WBE subcontractors, suppliers or vendors must provide the Prime Contractor a
reasonably competitive price for the service being rendered or the Contractor is not required to
accept their bid.
LIQUIDATED DAMAGES
Time is an essential element of this contract. It is important that the work be diligently pursued to
completion. If the work is not completed within the specified contract period, plus authorized
extensions, the contractor shall pay to the City Liquidated Damages in the amount of one
thousand dollars ($1,000.00) per day, for each day, as further described herein, in excess of the
authorized time.
Days beyond the specified contract period for which Liquidated Damages will be charged will be
working days that the contractor does, or could have worked, from Monday through Saturday.
Sundays will be counted only if work is performed. Partial working days will be considered as a
full working day. Days not chargeable for Liquidated Damages will include rain days, Sunday if
no work is done, and legal holidays.
Working days will cease to be charged when only punch list items remain to be completed. Punch
list items do not include contract bid items or approved change/extra work orders.
When the Contractor believes the project to be substantially completed, a written notice stating
the same shall be submitted to the Engineer and a request made for a Punch List. If the work
under the Contract extends beyond the normal construction season for
such work the Contractor shall submit to the Engineer in writing a request that working days
counted toward the project be suspended until work is resumed the following construction season.
This amount is not construed as a penalty. These damages are for the cost to the City of providing
the required additional inspection, engineering and contract administration.
PRE-CONSTRUCTION CONFERENCE
Before the work is commenced on this contract, a conference shall be held for the purpose of
discussing the contract. The conference shall be attended by the prime contractor, subcontractors
and City Officials.
NOTICE TO BIDDERS CONTRACT NO. 1113
BIDDER STATUS
Attention of bidders is called to compliance with the provisions of the Resident Bidder/Non-
Resident Bidder requirements.
Each bidder submitting a bid shall execute and include with the bid, a Bidder Status Form in the
form herein provided.
Failure to submit a fully completed Bidder Status Form with the bid may result in the bid being
deemed nonresponsive and rejected.
SALES TAX EXEMPTION CERTIFICATES
This project is subject to sales tax. The Contractor will keep track of sales tax as required by the
State of Iowa. The City may apply for a sales tax refund on portions of the project after City
Council acceptance.
Posted pursuant to the provisions of Chapter 26 of the City Code of Iowa.
CITY OF WATERLOO, IOWA
INSTRUCTIONS TO BIDDERS
INSTRUCTIONS TO BIDDERS
1. EXPLANATIONS TO BIDDERS
Any explanation desired by a bidder regarding the meaning or interpretation of the Notice to Bidders, Plans,
Specifications, etc., must be requested in writing on or before May 9, 2025. Any interpretation made will be in the form
of an addendum to the Notice to Bidders, Plans, Specifications, etc., and will be furnished to all prospective bidders. Its
receipt by the bidder must be acknowledged in the space provided on the Proposal Form. Oral explanations or
instructions given before the award of the contract will not be binding.
2. EXAMINATION OF PROPOSED WORK
Bidders should visit the site and take such other steps as may be reasonably necessary to ascertain the nature and
location of the work, and the general and local conditions which can affect the work or the cost thereof. Failure to do
so will not relieve bidders from responsibility for estimating properly the difficulty or cost of successfully performing
the work. The owner will assume no responsibility for any understanding or representation concerning conditions made
by any of its officers or agents prior to the execution of the contract, unless included in the Notice to Bidders, the
Specifications or related documents, or any addenda thereto.
3. PREPARATION OF BIDS
a. Bids shall be submitted on the forms furnished, or copies thereof, and must be manually signed. If erasures or
other changes appear on the forms, each erasure or change must be initialed by the person signing the bid.
The bidder has the option to submit a computer-generated spreadsheet in lieu of the portion of the Form of Bid
or Proposal, which includes the Bid Item Number, Description, Unit, Estimated Quantity, Unit Bid Price, Total
Bid Price, and Total Bid. The computer-generated spreadsheet shall include all of the information listed in that
portion of the Form of Bid or Proposal as well as bear the signature of the Prime Contractor submitting the bid.
For the bidders who submit a computer-generated spread- sheet, the TOTAL BID (with alternates, if
applicable) shall also be indicated in the space(s) provided on the Form of Bid or Proposal.
b. The Bid Form may provide for submission of a price or prices for one or more items, which may be lump sum
bids, alternate prices, schedule items resulting in a bid on a unit of construction or a combination thereof, etc.
When the Bid Form explicitly requires that the bidder bid on all items, failure to do so will disqualify the bid.
When submission of a price on all items is not required, bidders should insert the words "no bid" in the space
provided for any item on which no price is submitted.
c. Unless called for, alternate bids will not be considered.
d. In preparing his bid, the bidder shall specify the price, written legibly in ink or with the typewriter, at which he
proposes to do each item of work. The unit price shall be stated in figures in the blank space provided (i.e.,
$7.14). In items where unit price is required, the total amount of each item shall be computed at the unit prices
bid for the quantities given on the Bid Form and stated in figures in the blank space provided.
If the bidder chooses to submit the unit prices, total bid price, and total bid on a computer -generated
spreadsheet, all numbers shall be easily legible.
e. Any changes or alterations made in the Bid Form, or any addition thereto, may cause the rejection of the bid.
No bid will be considered which contains a clause in which the contractor reserves the right to accept or reject
a contract awarded him by the city Council of Waterloo. Bids in which the unit prices are obviously unbalanced
INSTRUCTIONS TO BIDDERS
may be rejected.
f. If the bidder does not qualify as a resident bidder, the nonresident bidder shall specify on the project proposal
whether any preference to resident bidders, including but not limited to any preference to bidders, the
imposition of any type of labor force preference, or any other form of preferential treatment to bidders or
laborers from that state or foreign country is in effect in the nonresident bidder’s state or country of domicile
at the time of a bid submittal.
4. SUBMISSION OF BIDS
a. A bid must be sealed in a separate envelope and marked to indicate its contents and be accompanied by the bid
security in a separate envelope. If forwarded by mail, the two envelopes shall be placed in a third and mailed
to the City Clerk. All bids must be filed with the City Clerk of the City of Waterloo at h er office in the City
Hall before the time specified for closing bids.
b. Bids received prior to the advertised hour of opening will be securely kept sealed. The officer whose duty it is
to open them will decide when the specified time has arrived, and no bid received thereafter will be considered.
5. LATE BIDS AND MODIFICATIONS OR WITHDRAWALS
Bids and withdrawals thereof received at the office designated in the Notice to Bidders after the exact time set for
closing of bids will not be considered. Bids may be withdrawn by written request received from bidders prior to the
time set for closing of bids.
6. PUBLIC OPENING OF BIDS
Bids will be publicly opened at that time and place set for opening in the Notice to Bidders. Their content will be made
public for the information of bidders and others interested who may be present either in person or by representative.
7. BID SECURITY REQUIRED
All bids must be accompanied in a separate envelope by a certified or cashier's check drawn on an Iowa bank, or a
bank chartered under the laws of the United States, a certified share draft drawn on a credit union in Iowa or chartered
under the laws of the United States, or bid bond (on the form furnished by the City) payable to the City of Waterloo,
Iowa, in the sum of not less than five percent (5%) of the bid submitted, which certified check, certified share draft or
bid bond will be held as security that the Bidder will enter into a Contract for the construction of the work and will
furnish the required bonds, and in case the successful Bidder shall fail or refuse to enter into the Contract and furnish
the required bond, his bid security may be retained by said City as agreed upon liquidated damages. If bid bond is used,
it must be signed by both the bidder and the surety or surety's agent. Signature of surety's agent must be supported by
accompanying Power of Attorney.
INSTRUCTIONS TO BIDDERS
8. COLLUSIVE AGREEMENTS
a. Each bidder submitting a bid shall execute and include with the bid, a Non -Collusion Affidavit in the form
herein provided, to the effect that he has not colluded with any other person, firm, or corporation in regard to
any bid submitted.
b. Each bidder submitting a bid shall have each proposed subcontractor, if any, execute and submit to the City
Contract Compliance Officer by 5:00 P.M. the business day following the day bids on this project are due, a
Non-Collusion Affidavit in the form herein provided, to the effect that he has not colluded with any other
person, firm, or corporation in regard to any bid submitted. Before executing any subcontract, the successful
bidder shall submit the name of any proposed subcontractor for approval by the City.
9. MINORITY AND/OR WOMEN BUSINESS ENTERPRISE SUBCONTRACTORS
a. CITY OF WATERLOO AND/OR WOMEN BUSINESS ENTERPRISE PRE-BID CONTACT
INFORMATION FORM
The City of Waterloo Minority and/or Women Business Enterprise Pre-Bid Contact Information Form shall be
submitted with the Form of Bid or Proposal. Failure to do so shall be grounds for the bid being rejected if
subcontracting is proposed by the prime contractor.
10. MBE/WBE CONTRACT COMPLIANCE PROGRAM
PURPOSE
The purpose of the Contract Compliance Program (hereinafter called Program) is to act as an impetus for
increasing the participation of minority and women disadvantaged business enterprise (MBE/WBE) in City
awarded construction contracts.
The Program does not propose to eliminate any bonafide contractor or subcontractor from bidding on City
contracts, but it will hopefully serve as a needed stimulus to help local MBE/WBE’s grow and eventually
become mainstream contractors and subcontractors.
This Contract Compliance Program does not propose to include any set-aside or quotas, but only flexible goals
where “good-faith efforts” are required by the contractor to use MBE/WBE subcontractors.
This Program shall not eliminate the need for contractors to continue their “good-faith efforts” in using
MBE/WBE subcontractors on City contracts estimated at less than $50,000.
The City of Waterloo will make every effort to reduce in-house construction and maintenance work that would
be more cost effectively performed by the private sector and, thus, would allow additional bidding
opportunities for MBE/WBE firms.
The City Contract Compliance Officer shall be advised of all City of Waterloo awarded construction contracts.
DEFINITIONS
Goals:
A flexible numerically expressed objective which contractors are required to make “good-faith efforts.” The
key to the requirement is to make documented efforts. Goals are neither set-a-sides nor a device to achieve
proportional representation or equal results. Numerical goals do not create set-a-sides for specific groups,
nor are they designed to achieve proportional representation or equal results. Rather, the goal-setting process
in affirmative action planning is used to target and measure the effectiveness of affirmative action efforts to
eradicate and prevent discrimination.
INSTRUCTIONS TO BIDDERS
Quota:
A flat numerical requirement that the contractor is required to meet in order to obtain the benefit or be in
compliance. The numerical goal component of affirmative action programs is not designed to be, nor may it
properly or lawfully be interpreted as, permitting unlawful preferential treatment and quotas with respect to
persons of any race, color, religion, sex, or national origin. The regulations at 41 CFR 60-2.12(a), 60-2.15
and 60-2.30, specifically prohibit discrimination and the use of goals as quotas. (U.S. Department of Labor)
Set-Aside:
An arrangement in which a particular contract is reserved for competition solely among minority and women
business enterprises.
Contractor:
As used in this document means contractor, subcontractor, supplier, vendor, and professional service
provider.
Minority Business Enterprise (MBE)
Any business, which is at least 51%, owned by one or more minorities and whose management and daily
business operations are controlled by one or more such individuals and is on the current State Unified
Certification List, or were listed on the City of Waterloo Certified MBE/WBE Contractors list.
Women Business Enterprise (WBE):
Any business which is at least 51% owned by one or more women and whose management and daily
business operations are controlled by one or more such individuals and is on the current State Unified
Certification List, or were listed on the City of Waterloo Certified MBE/WBE Contractors list as of July 1,
2002
Minority:
Any person or persons who are considered as socially and economically disadvantaged because of their
identity as a group member without regard to their individual qualities. The groups include Black American,
Hispanic American, Native Americans, Eskimos, Aleuts, and Asian-Pacific Americans. 13 C.F.R. 124-
1.1(c)(3)(ii) (1983).
Lowest Responsible Bidder:
Bidder who has offered the lowest bid and who has exhibited skill relative to the type of work bid on,
judgment, financial responsibility, and evidence of working with the Affirmative Action Employment
Program and the Contract Compliance Program.
Broker:
One buying or selling for others on commission or other fee basis without maintaining a warehouse or other
similar inventory storage facility.
Good Faith Efforts:
The successful bidder shall be selected on the basis of having submitted the lowest responsible bid. The
obligation of the bidder is to make good faith efforts. The bidder can demonstrate that it has done so by the
following:
1. The Prime Contractor met the project goal - No Action necessary
2. If the Prime Contractor failed to meet the goal, they must submit documentation of good faith
efforts.
INSTRUCTIONS TO BIDDERS
CONTRACT COMPLIANCE PROGRAM SUBCONTRACTING
The program proposes numerical projections or goals regarding utilization of Minority Business Enterprise
(MBE) and Women Business Enterprise (WBE) as subcontractors in the performance of contracts awarded
by the City of Waterloo, Iowa.
A goal of at least 10% for MBE participation on all City funded construction projects that are estimated at
$50,000 or more and projects under $50,000 where applicable at the Contract Compliance Officer’s
discretion. There is at least 2% WBE goal on City funded projects. Any project which is funded solely or in
part with Federal funds shall follow the respective agencies contract compliance program and goals. Any
project which is funded solely or in part with State funds shall follow the respective agencies contract
compliance program and goals. The City of Waterloo Contract Compliance Program is for City awarded
construction contracts only. The prime contractor shall make “good-faith efforts” to meet the Contract
Compliance MBE/WBE goals. The MBE/WBE subcontracts must provide the prime contractor a reasonably
competitive price for the service being rendered or the contractor is not required to accept the bid.
Administrative Reconsideration:
As part of this reconsideration, the bidder will have the opportunity to provide written documentation or
arguments concerning the issue of whether they made adequate good faith efforts to meet the goals. The
bidder will have the opportunity to meet in person with the City of Waterloo's Administrative
Reconsideration Committee to discuss the issue of whether they made adequate good faith efforts. The
Administrative Reconsideration Committee will forward a written decision on reconsideration to the Mayor
and City Council, explaining the basis for finding that the bidder did or did not meet the goal or make
adequate good faith efforts to do so.
Documentation required will include but is not limited to the following:
* Making portions of the work available for MBE/WBE subcontracting
* Evidence of negotiating with MBE/WBE firms
* MBE/WBE quotes obtained and non-MBE/WBE quotes used
* Reasons agreements were not reached
* Follow-up after initial solicitations
* Efforts to assist in obtaining equipment, supplies and materials (at competitive prices), bonding, lines of
credit, insurance, etc.
* Evidence of past compliance or non-compliance by same 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.
RESPONSIBILITIES
1. City of Waterloo
A. The City Contract Compliance Officer has the responsibility to assure the City’s compliance with
Federal, State and Municipal regulations.
B. The City Contract Compliance Officer is responsible for maintaining a current directory of certified
firms. Certification of MBE/WBE/DBE contractors is through the Iowa Department of
Transportation and its Unified Certification Program. Only firms certified based on guidelines
prescribed in 49 CFR Part 26 and provisions of this agreement, shall be recognized as certified by
the City of Waterloo.
C. The City Contract Compliance Officer is responsible for making available a list of future project
information notices to MBE/WBE firms.
INSTRUCTIONS TO BIDDERS
D. The City Contract Compliance Officer shall send notices to appropriate MBE/WBE firms in the
directory of each bid solicitation with opening date.
E. The City Contract Compliance Officer will receive MBE/WBE Letter(s) of Intent to Bid and within
two (2) business days forward the complete list of MBE/WBE bidders who submitted a Letter of
Intent to Bid to prime contractors.
Prime Contractors
In order to be in compliance with the guidelines of this program, the prime contractor must show good-faith
efforts in following the MBE/WBE Contract Compliance Program. Good-faith efforts include, but are not
limited to, the following:
A. Prime contractors shall send solicitation letters (Form CCO-3) to appropriate MBE/WBE (those
certified in directory prepared by City Contract Compliance Officer) at least seven (7) working days
prior to bid date. Letters should identify specific items to be subcontracted. A minimum of three (3)
disadvantaged business contacts must be made and documented, if there are at least three
disadvantaged businesses offering services in the area to be subcontracted (See City of Waterloo
MBE/WBE Certification 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 the Prime Contractor
submits a MBE/WBE contact not on the City's MBE/WBE list, attach a copy of the MBE/WBE/DBE
Certifications from another government agency.
B. If a prime contract bidder is unable to identify MBE/WBE firms to perform portions of the work, the
City Contract Compliance Officer should be contacted for assistance immediately.
C. Prime contract bidders may solicit MBE/WBE proposals by telephone or personal interviews, but all
such contacts shall be confirmed by Certified Mail, or subcontract bid request forms (Form CCO-2).
D. If any MBE/WBE business submitting bids is not selected for subcontract award, documentation
must accompany the "MBE/WBE Business Enterprise Pre-Bid Contact Information Form" (Form
CCO-4 and CCO-4A) on why the MBE/WBE was not selected. These reasons could include:
a. Not low bid. Copies of the competing bids may be required for verification.
b. MBE/WBE did not bid, withdrew bid or non-responsive.
c. Documentation of other business-related reason for not selecting the MBE/WBE business for a
subcontract.
d. Prime contractor self performs work.
e. Any other reason relied on by prime.
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.
II. MBE/WBE Firms
A. MBE/WBE firms shall be certified by the Iowa Department of Transportation as owners and
controllers of their respective businesses or were listed on the City of Waterloo Certified
MBE/WBE Contractors list as of July 1, 2002.
B. MBE/WBE firms must perform the work on the project; they cannot act as a broker by
subcontracting the work out to others.
C. Each MBE/WBE 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 MBE/WBE firm is interested in bidding.
INSTRUCTIONS TO BIDDERS
If sufficient Letters of Intent to Bid are not received by the City Contract Compliance Officer seven
(7) working days prior to bid opening, goals on subject project will be reduced accordingly.
Agreements between the bidder/proposer and a MBE/WBE in which the MBE/WBE promises not to
provide subcontracting quotations to other bidders/proposers are prohibited.
NON-COMPLIANCE OF CONTRACTORS
A. Noncompliance exists when the contractor’s actions are not consistent with the requirements of the
Contract Compliance Program in the areas of employment and subcontracting.
B. A bidder’s failure to show good-faith efforts to meet project goals or a failure to use certified
MBE/WBE firms may be grounds for finding its bid not responsible.
C. The Contract Compliance Officer shall submit to City Council his/her recommendation on any non-
compliant contract in writing.
NOTICE TO PROCEED
Notice to proceed on any project with goals will not be issued until City Contract Compliance Officer
determines the lowest responsible bidder has used good-faith efforts to comply with this Compliance Program
and the bid was responsive.
CONCLUSION
This program repeals or revises all sections of previous Waterloo Contract Compliance Programs.
11. EMPLOYMENT AND BUSINESS OPPORTUNITY
To the greatest extent feasible, suppliers, subcontractors, and low-income workers owning businesses or living in the
Waterloo area must be given priority in supplying materials, bidding for subcontract work, or applying for employment
by the contractor on this project. Opportunities for training and for employment arising in connection with this project,
shall to the greatest extent feasible be made available to lower income persons residing in the project area. The contract
area is the City of Waterloo.
The City of Waterloo will require the contractor to document his efforts in securing lower income workers living in
the project area and in purchasing supplies from, and awarding subcontracts to, businesses owned by persons residing
in the project area.
12. STATEMENT OF BIDDER'S QUALIFICATIONS
The apparent lowest bidder shall, upon request of the City of Waterloo, Iowa, submit on the form furnished for
that purpose (a copy of which is included in the contract documents), a statement of bidder's qualifications, his
experience record in constructing the type of improvements embraced, and his organization and equipment
available for the work contemplated; and, when specifically requested, a detailed financial statement. The City of
Waterloo, Iowa, shall have the right to take such steps as it deems necessary to determine the ability of the bidder
to perform his obligations under the contract, and the bidder shall furnish the City of Waterloo, Iowa, all such
information and data for this purpose as it may request. The right is reserved to reject any bid where an investigation
of the available evidence or information does not satisfy the City of Waterloo, Iowa, that the bidder is qualified to
carry out properly the terms of the contract.
13. AWARD OF CONTRACT
a. Award of contract will be made to the lowest responsive, responsible bidder. The intention is to award the
contract at the City Council meeting on July 21, 2025, but the right is reserved to postpone such action for a
reasonable time, not exceeding thirty (30) days.
INSTRUCTIONS TO BIDDERS
b. The City Council reserves the right to reject any or all bids or waive any informality in bids received.
c. The bidder shall submit bids on all the items listed in the proposal and shall state the unit bid price in words in
the blank spaces provided beneath the item description. Should there be any discrepancy between the unit bid
price in words and listed numeral unit bid price, the City of Waterloo shall consider the unit bid price in words
as being the valid unit bid price. A computer-generated spreadsheet as herein provided shall also be acceptable.
Proposals requiring mathematical computations to determine unit prices or totals will be rejected. A contract
will be awarded to the lowest responsive, responsible bidder submitting the lowest total bid, or for the BASE
BID plus ALTERNATE(S), as applicable, chosen by the City as indicated in the NOTICE TO BIDDERS.
d. A resident bidder shall be allowed a preference as against a nonresident bidder from a state or foreign country
if that state or foreign country gives or requires any preference to bidders from that state or foreign country,
including but not limited to any preference to bidders, the imposition of any type of labor force preference, or
any other form of preferential treatment to bidders or laborers from that state or foreign country. The
preference allowed shall be equal to the preference given or required by the state or foreign country in which
the nonresident bidder is a resident. In the instance of a resident labor force preference, a nonresident bidder
shall apply the same resident labor force preference to a public improvement in this state as would be required
in the construction of a public improvement by the state or foreign country in which the nonresident bidder is
a resident.
14. EXECUTION OF AGREEMENT, BONDS, AND CERTIFICATE OF INSURANCE
a. Subsequent to the award and within ten (10) days after the prescribed forms are presented for signature, the
successful bidder shall execute and deliver to the City of Waterloo, Iowa, an agreement in the form included
in the contract documents in such number of copies as the City of Waterloo, Iowa, may require.
b. Having satisfied all conditions of award as set forth elsewhere in these documents, the successful bidder shall,
within the period specified in paragraph "a" above, furnish a performance bond and a payment bond in a penal
sum not less than the amount of the contract as awarded, as security for the faithful performance of the contract
and terms and conditions therein contained and shall guarantee the prompt payment of all persons, firms, or
corporations to whom the contractor may become legally indebted for labor, materials, tools, equipment, or
services of any nature including utility and transportation services, employed or used by him in performing the
work. The bonds shall protect and save harmless the City from claims and damages of any kind caused by the
operations of the contractor and shall also guarantee the maintenance of the contract improvements for the
period stated in the Notice to Bidders from and after completion of said improvements and their acceptance
by the City. Such bonds shall be in the same form as that included in the contract documents and shall bear the
same date as, or a date subsequent to that of the agreement. The current Power of Attorney for the person who
signs for any surety company shall be attached to such bonds.
c. The successful bidder shall, within the period specified in paragraph "a" above, furnish a certificate of
insurance for approval in amounts of not less than the amounts specified in the General Specifications for
Construction, Section F. No. 4 "Liability Insurance" Pages 11 to 12 of 14 Pages. The certificate of insurance
shall be furnished in such number of copies as the City of Waterloo may require. The City of Waterloo shall
be named as an "Additional Insured." The contractor shall similarly submit his subcontractor's certificates of
insurance in the amounts for approval before each commences work. The contractor shall carry or require that
there be Workmen's Compensation Insurance for all his employees and those of his subcontractors engaged in
work at the site, in accordance with State Workmen's Compensation Laws.
d. In case the successful Bidder shall fail or refuse to enter into the Contract and furnish the required bonds, his
bid security may be retained by said City as agreed upon liquidated damages.
15. BIDDER STATUS
INSTRUCTIONS TO BIDDERS
Attention of bidders is called to the requirement of complying with the provisions of the Resident Bidder/Non-Resident
Bidder requirement.
Each bidder submitting a bid shall execute and include with the bid, a Bidder Status Form in the form herein
provided. Failure to submit a fully completed Bidder Status Form with the bid may result in the bid being deemed
nonresponsive and rejected.
FORM OF BID CONRACT NO. 1113 Page 1 of 3
FORM OF BID OR PROPOSAL
F.Y. 2025 PREFABRICATED SHELTER AT
512 UNIVERSITY AVE
CONTRACT NO. 1113
CITY OF WATERLOO, IOWA
Honorable Mayor and City Council
Waterloo, Iowa
Gentlemen:
1. The undersigned, being a Corporation existing under the laws of the State of , a Partnership
consisting of the following partners:
, 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 F.Y. 2025 PREFABRICATED SHELTER AT
512 UNIVERSITY AVE, CONTRACT NO. 1113, all in accordance with the above-listed documents and for the lump sum for
work in place for the following items and quantities:
F.Y. 2025 PREFABRICATED SHELTER AT 512 UNIVERSITY AVE, CONTRACT NO. 1113
Description Total Cost
BASE BID (NEW CONCRETE SHELTER) $
ALTERNATE BID (REFURBISHED CONCRETE SHELTER) $
FORM OF BID CONRACT NO. 1113 Page 2 of 3
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. 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 Dollars ($
) in the form of , 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 Bidder Status Form.
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 $10,000.00 in work for
the City in the current calendar year, are prepared to submit an AAP or Update and an EOC, within ten
(10) days of notification that the bid submitted is lowest and acceptable.
9. The bidder has received the following Addendum or Addenda:
Addendum No. Date
10. The bidder shall list the MBE/WBE subcontractor(s), amount of subcontracts and bid items on the City of
Waterloo Minority and/or Women Business Pre-bid Contact Information Form submitted with this Form of Bid or
Proposal. The apparent low Bidder shall submit a list of all other Subcontractor(s) to be used on this Project to
the City of Waterloo by 5:00 p.m. the business day following the day Bids on this Project are due along with the
Non-Collusion Affidavits of All Subcontractor(s).
The Contractor shall submit information on subcontractors on “SUBCONTRACTOR REQUEST AND
APPROVAL” Form to be provided by City prior to approval of contract.
The subcontractors listed on this proposal and/or submitted to the Contract Compliance Officer cannot be
changed except for the following reasons:
1) The City of Waterloo does not approve the subcontractors.
2) The subcontractors submit in writing that they cannot fulfill their subcontracts.
11. The bidder has filled in all blanks on this proposal. Those blanks not applicable are marked "none" or "NA".
12. The bidder has attached all applicable forms.
(Name of Bidder) (Date)
BY: Title
FORM OF BID CONRACT NO. 1113 Page 3 of 3
Official Address: (Including Zip Code):
I.R.S. No.
1
BID BOND
Sample Bid Bond Form
KNOW ALL BY THESE PRESENTS:
That we, , as Principal, and
, as Surety, are held and firmly bound
unto , as Obligee, (hereinafter
referred to as “the Jurisdiction”), in the penal sum of
dollars ($ ), or _______ percent of the amount
bid in lawful money of the United States, for which payment said Principal and Surety bind themselves, their heirs,
executors, administrators, successors, and assigns jointly and severally, firmly by these presents.
The condition of the above obligation is such that whereas the Principal has submitted to the Jurisdiction a certain proposal,
in a separate envelope, and hereby made a part hereof, to enter into a contract in writing, for the following described
improvements;
F.Y. 2025 PREFABRICATED SHELTER AT 512 UNIVERSITY AVE, CONTRACT NO. 1113
The City of Waterloo (Owner) is seeking bids from contractors who can supply and install a prefabricated concrete
communication shelter that will securely house the network equipment, power systems, and supporting environmental
components required to operate the Waterloo Fiber FTTU network for the Owner (the Project). The shelter will be
located at 512 University Ave, Waterloo, IA 50701 (See Attachment D – Site Location).
(CONT. BID BOND) Project Name
The Surety 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 Jurisdiction may accept such bid or execute such Contract; and said
Surety does hereby waive notice of any such extension.
In the event that any actions or proceedings are initiated with respect to this Bond, the parties agree that the venue thereof
shall be Black Hawk County, State of Iowa. If legal action is required by the Jurisdiction against the Surety or Principal
to enforce the provisions of the bond or to collect the monetary obligation incurring to the benefit of the Jurisdiction, the
Surety or Principal agrees to pay the Jurisdiction all damages, costs, and attorney fees incurred by enforcing any of the
provisions of this Bond. All rights, powers, and remedies of the Jurisdiction hereunder shall be cumulative and not
alternative and shall be in addition to all rights, powers and remedies given to the Jurisdiction, by law. The Jurisdiction
may proceed against Surety for any amount guaranteed hereunder whether action is brought against Principal or whether
Principal is joined in any such action or actions or not.
NOW, THEREFORE, if said proposal by the Principal be accepted, and the Principal shall enter into a contract with
Jurisdiction in accordance with the terms of such proposal, including the provision of insurance and of a bond as may be
specified in the contract documents, with good and sufficient surety for the faithful performance of such contract, for the
prompt payment of labor and material furnished in the prosecution thereof, and for the maintenance of said improvements
as may be required therein, then
this obligation shall become null and void; otherwise, the Principal shall pay to the Jurisdiction the full amount of the bid
bond, together with court costs, attorney’s fees, and any other expense of recovery.
Signed and sealed this day of , 20 .
SURETY: PRINCIPAL:
Surety Company Bidder
By By
Signature Attorney-in-Fact/Officer Signature
Printed Name of Attorney-in-Fact/Officer Printed Name
Company Name Title
Company Address Address
City, State, Zip Code City, State, Zip Code
Company Telephone Number Telephone Number
NOTE: All signatures on this bid bond must be original signatures in ink; copies, facsimile, or electronic signatures will
not be accepted. This bond must be sealed with the Surety’s raised, embossing seal. The Certificate or Power of Attorney
accompanying this bond must be valid on its face and sealed with the Surety’s raised, embossing seal.
NON-COLLUSION AFFIDAVIT OF PRIME BIDDER
State of )
County of )
) ss
, being first duly sworn, deposes and says that:
1. He is (Owner, Partner, Officer, Representative, or Agent) , of
, 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 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, or parties in interest, including this affiant.
(Signed)
Title
Subscribed and sworn to before me this day of , 20 .
Title
My commission expires .
NON-COLLUSION AFFIDAVIT OF SUBCONTRACTOR
State of )
County of )
) ss:
, being first duly sworn, deposes and says that:
1. He is (Owner, Partner, Officer, Representative, or Agent) , of
hereinafter referred to as the "Subcontractor;"
2. He is fully informed respecting the preparation and contents of the subcontractor's proposal submitted by
the subcontractor to , contract pertaining to the
project in
;
(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 connivanc e 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, co nnivance 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, or parties in interest, including this affiant.
(Signed)
Title
Subscribed and sworn to before me this day of , 20 .
Title
My commission expires .
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 f o l l o w s :
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, 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, economic status, age, mental or physical disabilities.
(Signed)
(Appropriate Official)
(Title) (Date)
TITLE VI CIVIL RIGHTS Page 1 of 2
TITLE VI CIVIL RIGHTS
During the performance of this contract, the contractor (for itself), its assignees, and successors
in interest (hereinafter referred to as the “contractor”) agrees as follows:
1. Compliance with Regulations: The contractor shall comply with the Regulations relative
to non-discrimination in Federally assisted programs of the DOT Title 49, Code of
Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter
referred to as the Regulations), which are herein incorporated by reference and made a
part of this contract.
2. Nondiscrimination: The contractor, with regard to the work performed by it during the
contract, shall not discriminate on the grounds of race, color, national origin, sex, age, or
disability in the selection and retention of subcontractors, including procu rement of
materials and leases of equipment. The contractor shall not participate either directly or
indirectly in the discrimination prohibited by section 21.5 of the Regulations, including
employment practices when the contract covers a program set forth in Appendix B of the
Regulations.
3. Solicitations for Subcontracts, Including Procurement of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by the contractor for work
to be performed under a subcontract, including procurement of materials or leases of
equipment, each potential subcontractor or supplier shall be notified by the contractor of
the contractor’s obligations under this contract and the Regulations relative to non -
discrimination on the grounds of race, color, national origin, sex, age, or disability.
4. Information and Reports: The contractor shall provide all information and reports
required by the Regulations or directives issued pursuant there to, and shall allow
access to its books, records, accounts, other sources of information, and its facilitie s as
may be determined by the Contracting Authority, the Iowa DOT, or FHWA to be pertinent
to ascertain compliance with such Regulations, orders and instructions. Where any
information required of a contractor is in the exclusive possession of another who fails or
refuses to furnish this information the contractor shall so certify to the Contracting
Authority, the Iowa DOT, or the FHWA as appropriate, and shall set forth what efforts it
has made to obtain the information.
5. Sanctions for Noncompliance: In the event of the contractor’s noncompliance with the
nondiscrimination provisions of this contract, the Contracting Authority, the Iowa DOT, or
the FHWA shall impose such contract sanctions as they may determine to be
appropriate, including, but not limited to:
a. Withholding of payments to the contractor under the contract until the contractor
complies, and/or
b. Cancellation, termination, or suspension of the contract, in whole or in part.
6. Incorporation of Provisions: The contractor shall include the provisions of paragraphs
(1) through (6) in every subcontract, including procurement of materials and leases of
equipment, unless exempt by the Regulations, or directives issued pursuant thereto.
The contractor shall take such action with respect to any subcontract or procurement as
the Contracting Authority, the Iowa DOT, or the FHWA may direct as a means of
enforcing such provisions including sanctions for non -compliance: Provided, however,
TITLE VI CIVIL RIGHTS Page 2 of 2
that, in the event of a contractor becomes involved in, or it threatened with, litigation with
a subcontractor or supplier as a result of such direction, the contractor may request the
Contracting Authority or the Iowa DOT to enter into such litigation to protect the interests
of the Contracting Authority or the Iowa DOT; and, in addition, the contractor may
request the United States to enter into such litigation to protect the interest of the United
States.
Bidder Status Form
To be completed by all bidders
Please answer “Yes” or “No” for each of the following:
Part A
Yes No
Yes No
Yes No
Yes No
Yes No
My company is authorized to transact business in Iowa.
(To help you determine if your company is authorized, please review the worksheet on the next page).
My company has an office to transact business in Iowa.
My company’s office in Iowa is suitable for more than receiving mail, telephone calls, and e-mail.
My company has been conducting business in Iowa for at least 3 years prior to the first request for
bids on this project.
My company is not a subsidiary of another business entity, or my company is a subsidiary of
another business entity that would qualify as a resident bidder in Iowa.
If you answered “Yes” for each question above, your company qualifies as a resident bidder. Please
complete Parts B and D of this form.
If you answered “No” to one or more questions above, your company is a nonresident bidder. Please
complete Parts C and D of this form.
To be completed by resident bidders
My company has maintained offices in Iowa during the past 3 years at the following addresses:
Part B
Dates: / / to / / Address:
City, State, Zip:
Dates: / / to / / Address:
City, State, Zip:
Dates: / / to / / Address:
You may attach additional sheet(s) if needed.
To be completed by non-resident bidders
City, State, Zip:
Part C
1. Name of home state or foreign country reported to the Iowa Secretary of State:
2. Does your company’s home state or foreign country offer preferences to resident bidders, resident labor
force preferences or any other type of preference to bidders or laborers?
Yes No
3. If you answered “Yes” to question 2, identify each preference offered by your company’s home state or foreign country
and the appropriate legal citation.
To be completed by all bidders
You may attach additional sheet(s) if needed.
Part D
I certify that the statements made on this document are true and complete to the best of my knowledge and I know that my
failure to provide accurate and truthful information may be a reason to reject my bid.
Firm Name:
Signature: Date:
You must submit the completed form to the governmental body requesting bids per 875 Iowa Administrative Code
Chapter 156. This form has been approved by the Iowa Labor Commissioner.
309-6001 (09-15)
Worksheet: Authorization to Transact Business
This worksheet may be used to help complete Part A of the Resident Bidder Status form. If at least one of the following
describes your business, you are authorized to transact business in Iowa.
Yes No
Yes No
Yes No
Yes No
Yes No
My business is currently registered as a contractor with the Iowa Division of Labor.
My business is a sole proprietorship, and I am an Iowa resident for Iowa income tax purposes.
My business is a general partnership or joint venture. More than 50 percent of the general
partners or joint venture parties are residents of Iowa for Iowa income tax purposes.
My business is an active corporation with the Iowa Secretary of State and has paid all fees
required by the Secretary of State, has filed its most recent biennial report, and has not filed
articles of dissolution.
My business is a corporation whose articles of incorporation are filed in a state other than Iowa,
the corporation has received a certificate of authority from the Iowa secretary of state, has filed
its most recent biennial report with the secretary of sta te, and has neither received a certificate of
withdrawal from the secretary of state nor had its authority revoked.
Yes No
Yes No
Yes No
Yes No
Yes No
Yes No
My business is a limited liability partnership which has filed a statement of qualification in this
state and the statement has not been canceled.
My business is a limited liability partnership which has filed a statement of qualification in a
state other than Iowa, has filed a statement of foreign qualification in Iowa and a statement of
cancellation has not been filed.
My business is a limited partnership or limited liability limited partnership which has filed a
certificate of limited partnership in this state and has not filed a statement of termination.
My business is a limited partnership or a limited liability limited partnership whose certificate of
limited partnership is filed in a state other than Iowa, the limited partnership or limited liability
limited partnership has received notification from the Iowa secretary of state that the application
for certificate of authority has been approved and no notice of cancellation has been filed by the
limited partnership or the limited liability limited partnership.
My business is a limited liability company whose certificate of organization is filed in Iowa and has
not filed a statement of termination.
My business is a limited liability company whose certificate of organization is filed in a state other
than Iowa, has received a certificate of authority to transact business in Iowa and the certificate
has not been revoked or canceled.
309-6001 (09-15)
AFFIRMATIVE ACTION PROGRAM Page 1 of 8
Revised February 2003
CONTRACTOR’S OR SUBCONTRACTOR’S AFFIRMATIVE ACTION PROGRAM
Check box that applies to party completing program:
( ) General Contractor
( ) Subcontractor
I. Section A to be completed by GENERAL CONTRACTORS only:
A.
Name of Company
Address of Company Zip
Telephone Number ( )
Federal ID Number (if no Federal ID Number, Owner/President’s Social Security Number)
Name of Equal Employment Officer
Name of Project
Project Contract Number
Estimated Construction Work Dates /
Start Finish
Section B to be completed by SUBCONTRACTORS only:
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
AFFIRMATIVE ACTION PROGRAM Page 2 of 8
A. Remainder of program to be completed by party completing program, either Prime or Subcontractor.
1. The Owners and/or Principals of your company:
Ethnic
Name Address Position Sex Origin
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
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 stat us, 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 shoul d 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. will give training
(Name of Company )
and employment opportunities to local residents of Waterloo, Iowa, to the greatest extent feasible.
AFFIRMATIVE ACTION PROGRAM Page 3 of 8
III. AFFIRMATIVE ACTION
A. recognizes that the effective application of a policy of
(Name of Company)
merit employment involves more than just a policy statement, and
(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. will undertake the following six (6) steps to improve
(Name of Company)
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. will take whatever steps are necessary to
(Name of Company)
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. will seek qualified minority, female, and local group applicants
(Name of Company )
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. will encourage other companies, with whom we are
(Name of Company)
associated and/or do business, to do the same and we will assist them in their efforts.
AFFIRMATIVE ACTION PROGRAM Page 4 of 8
H. has taken the following Affirmative Action to ensure that
(Name of Company)
minority, female, local contractors and/or suppliers were provided opportunities to negotiate and/or
bid on this project: (if none, write "NONE")
1.
2.
I. 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.
2.
J. will require approved Affirmative Action Programs from
(Name of Company )
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. will keep records of specific actions relative
to (Name of Company)
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.
(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 20 , 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: %
Goals for Women: %
*Your affirmative action goals should be between 1% and 10% or more for minorities and 1% and
5% or more for women.
AFFIRMATIVE ACTION PROGRAM Page 5 of 8
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 20 . 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).
CONTRACTOR’S TOTAL WORK FORCE
(WATERLOO)
NAME AND ADDRESS
JOB CATEGORY
RACE
SEX
HOURLY
WAGE
INDICATE: DISABLED VETERAN: DV
VIETNAM ERA VETERAN: VV
HANDICAPPED: H
AFFIRMATIVE ACTION PROGRAM Page 6 of 8
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,
By:
Company Executive
Date
By:
Equal Employment
Opportunity Officer
Date
City of Waterloo Affirmative Action Officer
Approved
Disapproved Reason:
By:
Date:
AFFIRMATIVE ACTION PROGRAM Page 7 of 8
DESCRIPTION OF JOB CATEGORIES
1. Officials/Manager: Occupations in which employees set broad policies, exercise overall responsibility for
execution of all policies, or direct individual departments or special phases of the agency’s operations or
provide specialized consultation on a regional, district or area basis. Includes: department heads, bureau
chiefs, division chiefs, directors, deputy directors, controllers, examiners, wardens, superintendents, unit
supervisors, sheriffs, police and fire chiefs and inspectors and kindred workers.
2. Professionals: Occupations, which require specialized and theoretical knowledge, which is usually required
through college training or thorough work experience and other training which provides comparable
knowledge. Includes: personnel and labor relations workers, social workers, doctors, psychologists,
registered nurses, economists, dietitians, lawyers, system analysts, accountants, engineers, employment and
vocational rehabilitation counselors, teachers or instructors, police and fire captains and lieutenants and
kindred workers.
3. Technicians: Occupations, which require a combination of basic scientific or technical knowledge and
manual skill which can be obtained through specialized post -secondary school education and through
equivalent on-the-job training. Includes: computer programmers and operations, draftspersons, surv eyors,
licensed practical nurses, photographs, radio operators, technical illustrators, police and fire sergeants and
kindred workers.
4. Office/Clerical: Workers are responsible for internal and external communication, recording and retrieval
of data and/or information and other paper work required in an office. Includes: bookkeepers, messengers,
office machine operators, clerk -typists, stenographers, court transcribers, hearing reporters, statistical clerks,
dispatchers, license distributors, payroll clerks and kindred workers.
5. Skilled Craft Workers: Workers perform jobs, which require special manual skill and a thorough and
comprehensive knowledge of the processes involved in the work, which is acquired through on -the-job
training programs. Includes: Mechanics and repairmen, electricians, heavy equi pment operators, stationary
engineers, skilled machine occupations, carpenters, compositors and typesetters and kindred workers .
6. Sales Workers: Occupations engaging wholly and primarily in direct selling. Includes: advertising agents
and salesmen, insurance agents and brokers, real estate agents and brokers, stock and bond salesmen,
demonstrators, salesmen and sales clerks, grocery clerks and ca shier checkers, and kindred workers.
7. Operatives (semi-skilled): Workers who operate machine or processing equipment or perform other factory -
type duties of intermediate skill level which can be mastered in a few weeks and require only limited training.
Includes: apprentices (auto mechanics), plumbers, building trades, metal working trades, bricklayers,
carpenters, electricians, machinists, mechanics, printing trades, etc., operatives, attendants (auto service and
parking), plasterers, chauffeurs, deliverymen and furnacemen, heaters (metal), laundry and dry cleaning
operatives, milliners, mine operatives and laborers, motormen, oilers and greasers, (except auto painters),
(except construction and maintenance), photographic process workers, stationary fireman, truck and tractor
drivers, weavers, (textile), welders and flame cutters and kindred workers.
8. Laborers (unskilled): Workers in manual occupations, which generally require no special training. Perform
elementary duties that may be learned in few days and require the application of little or no independent
judgment. Includes: garage laborers, car washers and greasers, g ardeners (except farm) and groundskeepers,
longshoremen, and stevedores, lumbermen, raftsmen and woodchoppers, laborers performing lifting,
digging, mixing, loading and pulling operations and kindred workers.
AFFIRMATIVE ACTION PROGRAM Page 8 of 8
9. Apprentices: Persons employed in a program including work training and related instruction to learn a trade
or craft which is traditionally an apprenticeship, regardless of whether the program is registered with a
Federal or State agency .
10. Trainees (on-the-job): Production. . . persons in formal training for craftsmen when not trained under
apprentice programs --operative laborer, and service occupations.
White Collar. . . persons engaged in formal training for clerical, managerial, professional, technical, sales,
office and clerical occupations.
ITEMS OF POTENTIAL MBE/WBE PARTICIPATION
NOTICE TO PROSPECTIVE BIDDERS:
The following are items from the F.Y. 2025 PREFABRICATED SHELTER AT 512 UNIVERSITY AVE, CONTRACT
NO. 1113, that have a potential for MBE/WBE Participation. This listing, however, is not intended to be all
encompassing; to preclude MBE/WBE Contractors from bidding on any items of the Proposal as a Subcontractor or
the entire Proposal as a Prime Contractor. All listed items are eligible for bid.
MBE/WBE GOALS FOR THIS PROJECT
IMPORTANT: Prime Contract Bidders should be aware that ten percent (10%) MBE goal and a two percent (2%)
WBE goal is attached to this project. "Certified Return Receipt" letters are no longer needed with the bid showing
proof of contacting MBE or WBE Subcontractors, but the Pre-Bid Contact Information Form must be filled out
completely.
City of Waterloo Contract Compliance Officer:
Contract Compliance Officer
Community Development Board
Carnegie Annex, Suite 202
620 Mulberry Street
Waterloo, IA 50703
Phone: (319) 291-4429
ITEMS OF POTENTIAL MBE/WBE PARTICIPATIONS CONTRACT 1113 Page 1 of 1
SUBCONTRACTOR’S BID REQUEST FORM
PRIME BIDDER’S LETTERHEAD
Contract No.:
Letting Date:
I, (subcontractor’s name), hereby attest that I have been solicited for a bid on (project name) in the area of
(description of work and bid item no.).
(Prime contractor) has informed me that if I am interested in bidding, a subcontracting bid proposal must
be submitted to the company office by and
(Date) (Time).
Subcontractor’s Company Name
Subcontractor’s Signature Date
Prime Bidder’s Signature Date
LETTER TO BE USED WHEN SOLICITING FOR
SUBCONTRACTOR QUOTES
Subcontractor Company Name
Address
RE: Contract No.:
Dear :
(Prime Contractor's Company Name) is presently soliciting for the following work in connection with the
above referenced project.
(Insert bid Item Nos. and Description of Work)
(Prime Contractor's Company Name) is an Equal Opportunity Employer, and all qualified bidders will not
be discriminated against due to race, religion, color, sex, or origin.
If interested in bidding your proposal must be turned in to this office by
and .
(Date) (Time)
Sincerely,
(Prime Contractor's Representative)
Form CCO- 3 (11/28/2001)
(Form CCO-4) Rev. 06-20-02
MBE/WBE BUSINESS ENTERPRISE
PRE-BID CONTACT INFORMATION FORM
Prime Contractor Name:
Project: Letting Date:
NO MBE/WBE SUBCONTRACTORS: If you are NOT using any MBE/WBE subcontractors to complete this project,
sign below. Attach a brief explanation as to why subcontracting was not feasible with this project. If any MBE/WBE
subcontractors will be used, please use the bottom portion of this form.
Contractor Signature:
Title:
Date: -
SUBCONTRACTORS APPLICABLE: You are required, in order for your bid to be considered responsive, to provide
the information on this form showing ALL of your MBE/WBE subcontractor contacts made for your bid submission.
This information is subject to verification. Any questions may 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 MBE/WBE firms to perform portions of the work, please contact Rudy Jones, Contract
Compliance Officer, for assistance at (319) 291-4429.
In the event it is determined that the MBE/WBE 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
MBE/WBE 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
Form CCO-4A Rev. 07-08-02
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 MBE/WBE businesses are
provided the opportunity to participate in the performance of contracts and subcontracts. Prime contractors are required to
assist MBE/WBE businesses in overcoming barriers to participation, and must make good faith efforts to secure bids from,
and award subcontracts to, MBE/WBE businesses. For all contract bids of $50,000 or more, the following is required to
demonstrate good faith efforts i n accordance with this policy:
1. "MBE/WBE 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) MBE/WBE business contacts must be made and documented, if there are at least three (3)
MBE/WBE businesses offering services in the areas to be subcontracted (see City of Waterloo MBE/WBE 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 MBE/WBE contact not on the City's MBE/WBE list, attach a copy of the
certification from another government agency.
3. Contacts to each MBE/WBE 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 "MBE/WBE BUSINESS ENTERPRISE PRE -BID CONTACT
INFORMATION FORM" for each MBE/WBE business contacted:
a. A copy of the bid received from the MBE/WBE, OR
b. If no bid was received, a copy of correspondence received from the MBE/WBE with a "no bid" response, OR
c. If no response was received, a copy of the solicitation sent to the MBE/WBE with proof of mailing attached.
5. If any MBE/WBE business submitting bids are not selected for subcontract award, documentation must accompany the
"MBE/WBE BUSINESS ENTERPRISE PRE-BID CONTACT INFORMATION FORM" on why the MBE/WBE was not
selected. These reasons could include :
a. Not low bid. Copies of the competing bids may be required for verification.
b. MBE/WBE did not bid, withdrew bid or was n o n -responsive.
c. Documentation of other business-related reason for not selecting the MBE/WBE business for a subcontract.
d. Prime contractor self performs w ork .
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 MBE/WBE 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 MBE/WBE 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 MBE/WBE in which the MBE/WBE promises not to
provide subcontracting quotations to other bidders/proposers are prohibited.
LETTER OF INTENT TO BID
(MBE/WBE LETTER)
According to the Current MBE/WBE Contract Compliance Program - 2002, all MBE/WBE Contractors
interested in submitting subcontractor quotes on construction projects with goals, MUST submit a LETTER
OF INTENT TO BID to the City of Waterloo Contract Compliance Officer at least seven (7) days prior to
bid opening.
The LETTER OF INTENT TO BID must list the specific items, which the MBE/WBE Contractor is
interested in bidding.
Letter should include the following:
Name of Project:
Your Company Name:
Address:
Phone: Date:
List of Specific items to be bid:
Item No. Description:
Item No. Description:
Item No. Description:
Item No. Description:
(Subcontractor's Company Name and authorized signature)
Return this LETTER OF INTENT TO BID to:
Contract Compliance Officer
Community Development Board
620 Mulberry St.
Carnegie Annex, Suite 202
Waterloo, IA 50703
Phone: (319) 291 -4429
Form CCO-5 (06-20-2002)
CERTIFIED
MBE/WBE CONTRACTORS
CITY OF WATERLOO, IOWA
Contract Compliance Office
Community Development Board
Carnegie Annex, Suite 202
620 Mulberry Street
Waterloo, IA 50703
City WEB Site: www.ci.waterloo.ia.us
Contract Compliance
WEB Site
for listing updates: http://www.cityofwaterlooiowa.com/contractcompliance
Contact: Rudy Jones, Community Development Director
Email: rudyjones@waterloo-ia.org
Phone: (319) 291-4429
Fax: (319) 291-4431
CERTIFIED MBE CONTRACTORS
CARTER ELECTRIC
725 Adams Street
Waterloo, IA 50703
Phone: (319) 232 -9808
Pager: (319) 235-4021
Contact: Derrick Carter
Specializing in:
ELECTRICAL CONTRACTOR
CULPEPPER ELECTRIC
1731 Cottage Grove Avenue
Waterloo, IA 50707
Phone: (319) 235 -0885
Fax: (319) 236-8177
Contact: Martin Culpepper
Certified: City of Waterloo Certified MBE, Licensed Electrician
Specializing in:
ELECTRICAL CONTRACTOR
DANIELS HOME IMPROVEMENT
339 Albany Street
Waterloo, IA 50703
Phone: (319) 961 -1659
Contact: Sammy Daniels
Specializing in:
ALL TYPES OF CONCRETE FLATWORK, POURED WALLS—ALL TYPES, FOOTINGS,
LIGHT DEMOLITION
D.C. CORPORATION
426 Beech Street
Waterloo, IA 50703
Phone: (319) 493-2542
FAX: (319) 236-0515
Contact: Terry Phillips
Certified: City of Waterloo Certified MBE, Iowa DOT, TSB Certified
Specializing in:
COMMERCIAL AND RESIDENTIAL DEMOLITION, CONCRETE PAVING, DRIVEWAYS,
TRUCKING (ALL TYPES), GENERAL CONSTRUCTION
GREER'S WORKS
2003 Plainview Street
Waterloo, IA 50703
Phone: (319) 233 -4701
Contact: Willie Greer
Specializing in:
DRIVEWAYS, SIDEWALKS, CARPENTRY, ROOFING, GENERAL CONSTRUCTION
OLD GREER'S WORKS
2309 Springview Street
Waterloo, IA 50707
Phone: (319) 233 -2150
Contact: David L. Greer, Sr.
Specializing in:
ROOFING & GENERAL CONSTRUCTION
QUICK CONSTRUCTION
217 Bates Street
Waterloo, IA 50703
Phone: (319) 215 -4166
Contact: Leroy Harrington
Specializing in:
ALL TYPES OF CONCRETE FLATWORK AND GENERAL CONSTRUCTION
D & D CONSTRUCTION
1124 West Donald Street
Waterloo, IA 50703
Phone: (319) 961 -4208
Contact: Darrell E. Caldwell, Sr.
Specializing in:
ROOFING AND GENERAL CONSTRUCTION
E. CASTRO ROOFING
702 Riehl Street
Waterloo, IA 50701
Phone: (319) 215-5683
Contact: Emillio Castro
Specializing in:
ROOFING, SIDING, GENERAL CONSTRUCTION
CERTIFIED WBE CONTRACTORS
ATLAS PAINTING, INC.*
911 Sycamore Street
P.O. BOX 65
Waterloo, IA 50704
Phone: (319) 232-9164
Specializing in:
COMMERCIAL AND INDUSTRIAL PAINTING
PETERMAN & HAES CARPET ONE*
4003 University
Waterloo, IA 50701
Phone: (319) 233 -6131
Fax: (319) 233-6133
Certified: City of Waterloo WBE
Email: JR11486@cfu.net
Contact: Carol Reese
Specializing in:
FLOOR COVERING
* DENOTES WOMEN BUSINESS ENTERPRISE
STATEMENT OF BIDDERS QUALIFICATIONS Page 1 of 2
STATEMENT OF BIDDER’S QUALIFICATIONS
(To be submitted by the Bidder only upon the specific request of the City of Waterloo, Iowa.)
All questions must be answered, and the date given must be clear and comprehensive. This statement must be
notarized. If necessary, questions may be answered on separate attached sheets. The Bidder may submit any
additional information he desires.
1. Name of bidder.
2. Permanent main office address.
3. When organized.
4. If a corporation, when incorporated.
5. How many years have you been engaged in the contracting business under your present firm or trade
name?
6. Contracts on hand: (Schedule these, showing amount of each contract and the appropriate anticipated
dates of completion.)
7. General character of work performed by your company.
8. Have you ever failed to complete any work awarded to you? If so, where and why?
9. Have you ever defaulted on a contract? If so, where and why?
10. List the more important projects recently completed by your company, stating the approximate cost for
each, and the month and year completed .
11. List your major equipment available for this contract.
12. Experience in construction work similar in importance to this project.
13. Background and experience of the principal members of your organization, including the officers.
14. Credit available: $ .
15. Give bank reference: .
16. Will you, upon request, fill out a detailed financial statement and furnish any other information that may be
required by the City of Waterloo, Iowa ?
17. The undersigned hereby authorizes and requests any person, firm, or corporation to furnish any
information requested by the City of Waterloo, Iowa, in verification of the recitals comprising this
Statement of Bidder’s Qualifications.
STATEMENT OF BIDDERS QUALIFICATIONS Page 2 of 2
Dated at , this day of , 20_ _.
(Name of Bidder)
By:
Title:
State of )
County of )
) ss:
, being duly sworn deposes and says that he is
of and that the answers to the
(Name of Organization)
to the foregoing questions and all statements therein contained are true and correct.
Signature
Subscribed and sworn to before me this day of , 20 .
Notary Public
My commission expires , .
GENERAL SPECIAL PROVISIONS CONTRACT 1113 Page 1 of 4
GENERAL SPECIAL PROVISIONS
1. SCOPE OF WORK
The work covered by this contract consists of furnishing all labor, equipment, and materials and performing
all operations, in connection with THE F.Y. 2025 PREFABRICATED SHELTER AT 512 UNIVERSITY AVE,
CONTRACT NO. 1113, as shown on the contract drawings and in accordance with these specifications.
The contract drawings, which accompany and form a part of this contract and specifications are dated June
5, 2025. They have the general title of Conceptual Shelter (Attachment A)
2. CONFLICTING SPECIFICATIONS
All requirements of other specifications contained in the contract documents, which conflict with the
provisions of the special provisions will be considered void.
3. DUMPING AREAS
Excess material resulting from construction operations shall be hauled to the County Landfill or other area
secured by the Contractor and approved by the City Engineer. Rubble, rubbish, trees, brush, and other
unsuitable backfill material, as designated by the City Engineer, shall be hauled to the County Landfill. All
Landfill charges are to be considered incidental to the contract and are the responsibility of the Contractor.
4. CONSTRUCTION DAMAGE
The Contractor shall exercise care during construction operations to ensure the safety and protection to
existing features located near or within the limits of construction. Damage caused by negligence or poor
workmanship, as determined by the Engineer, shall be considered the Contractor's responsibility.
GENERAL SPECIAL PROVISIONS CONTRACT 1113 Page 2 of 4
5. REMOVED MATERIALS
All materials removed as part of this Contract shall remain the property of the City unless the City determines
that the materials are not salvageable and the City does not want to retain ownership of the materials.
Materials designated in the field by the Engineer as nonsalvageable shall be hauled and disposed of by the
Contractor at no cost to the City. All other materials shall be transported to locations as directed by the
Engineer. No separate measurement or payment will be made for hauling or disposing of removed materials
and it shall be considered incidental to applicable items.
6. OVERHAUL
Overhaul will not be paid for "surplus material" obtained from any of the items of construction under this
contract. The cost of overhaul will be considered as incidental to the items to which it applies.
7. MAILBOXES/STOP SIGNS
The Contractor shall notify the United States Postal Department of mailboxes, which interfere with any part
of the work before removing them, and the Contractor will relocate them as required by the Postmaster. The
removal and replacement of mailboxes will not be considered for direct payment but will be considered
incidental to the item to which it applies.
The removal and replacement of stop signs will not be considered for direct payment but will be considered
incidental to the item to which it applies.
8. PAY ITEMS
All pay items are listed in the proposal and shall include the purchase of all materials, delivery of these
materials, and furnishing all labor, plant and miscellaneous work needed to make the item complete. All
such cost shall be incidental to the proposed item to which it applies and shall not be considered for separate
payment.
9. BREAKDOWN OF LUMP SUM CONTRACT PRICE ITEMS
The Contractor shall, immediately upon execution and delivery of the contract, before the first estimate for
payment is made, deliver to the City Engineer a detailed estimate giving a complete breakdown of the lump
sum contract prices. The submitted breakdown shall be approved by the City Engineer prior to any payment
of any lump sum price item.
10. PERMISSION TO HAUL OVER STREETS, RAILROADS AND HIGHWAYS
The Contractor will be required to secure, from the proper authorities, permission or permit which may be
required to haul over streets, highways, railroads or private property, and any hauling operations of the
Contractor shall be subject to the requirements of such permits, permission, and to all applicable regulations,
laws, and ordinances governing hauling and movement of equipment over streets, railroads, highways and
private property. Any costs or inconvenience caused by obtaining any necessary permits or permission shall
be considered completely covered by the price bid for the items in the proposal.
11. CONSTRUCTION SCHEDULING
The City Engineer shall approve Contractor's work schedule prior to starting. All revisions shall also be
approved. The City Engineer may change the schedule to accommodate changing construction conditions.
The Contractor shall coordinate the work under this contract with contractors performing work under other
contracts which may be performed concurrently.
GENERAL SPECIAL PROVISIONS CONTRACT 1113 Page 3 of 4
The Contractor shall be responsible to notify the Police, Fire, Street and Engineering Departments of the
closing and opening of streets.
The Contractor shall commence work within ten (10) days after receipt of the "Notice to Proceed" and
diligently execute the work of the contract to completion.
12. PRE-CONSTRUCTION CONFERENCE
Before any work is started, the Contractor shall arrange with the City Engineer to hold a pre-construction
conference to discuss problems and schedules of contracts.
13. UNDERGROUND UTILITIES
It is the responsibility of the Contractor to obtain the location of gas lines, water lines, electric, telephone,
and cable television cables or wires from the various utility companies and the City electrician before starting
any excavation. The Contractor shall be responsible for any damage to any underground utilities. The
Contractor shall expose those utilities indicated on the plans so that elevations may be determined before
beginning construction. This work shall be considered incidental to other items of work.
If the Contractor believes that additional costs have been incurred due to a utility being improperly located,
the resolution of the additional costs incurred shall be made between the Contractor and the respective utility
company.
14. TRAFFIC SIGNS AND STREET SIGNS
The Contractor shall contact the City of Waterloo Traffic Operations Department to have any street sign that
will be affected by construction removed and replaced when the work has been completed.
15. TRAFFIC CONTROL DURING CONSTRUCTION
The Contractor shall, at his own expense and without further or other order, provide, erect and maintain, at
all times during the progress and suspension of the work and until completion and final acceptance thereof,
suitable and requisite barricades, signs or other adequate protection, as required by the latest edition of Part
VI of the “Manual on Uniform Traffic Control Devices” and shall provide, keep and maintain such barricades,
signs, etc., as may be required or as may be ordered by the Engineer, to ensure the safety of the public as
well as those engaged on the work. All barricading plans shall be reviewed by the Engineer.
The Contractor shall determine, provide and obtain approval from the City Engineer on all detour locations
for all street closings, barricades and posting prior to construction. These shall meet requirements of the
City Police Traffic Department. The Contractor shall notify the City Engineer's Office and the Police, Fire
and Street Departments when the street is closed for construction. All barricading shall be in accordance
with the latest edition of Part VI of the "Manual on Uniform Traffic Control Devices." Encapsulated lens
sheeting is not required on this project.
16. GRADES, LINES, LEVELS AND SURVEYS
All necessary grades, lines, levels and surveys shall be established and maintained by the Contractor.
The Contractor shall verify all grades, lines, levels and dimensions as sown on the drawings, and he shall
report any errors or inconsistencies in the same to the City Engineer before commencing work.
17. SAFETY OF WORKERS AND PUBLIC
The Contractor shall, at all times, take necessary precautions to protect the life and health of all persons
employed on this project and the public. He shall provide necessary safety devices and safeguards in
GENERAL SPECIAL PROVISIONS CONTRACT 1113 Page 4 of 4
accordance with latest and best accident prevention practices. All such protection shall be furnished
to employees without cost.
No direct measurement of payment shall be made for this protection but shall be considered
incidental to other items of work. The public shall be kept outside of any work area.
18. WORKING ON SATURDAYS, SUNDAYS AND LEGAL HOLIDAYS
The Contractor shall notify the Engineer in writing forty-eight (48) hours in advance if work on
Saturday is planned. By noon the Friday before the planned Saturday work, the Contractor shall
confirm the Saturday work schedule with the project inspector.
Work on Sunday requires prior approval of the Engineer in accordance with the Waterloo Standard
Specifications. The Contractor shall not work the following days in 2025 due to City holidays:
o January 1, 2025
o January 20, 2025
o May 26, 2025
o June 19, 2025
o July 4, 2025
o September 1, 2025
o November 11, 2025
o November 27, 2025
o November 28, 2025
o December 24, 2025
o December 25, 2025
o January 1, 2026
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113 Page 1 of 10
GENERAL SPECIFICATIONS FOR CONSTRUCTION
CITY OF WATERLOO, IOWA
Department of Engineering
SECTION A - Definitions of Terms
SECTION B - Scope of work
SECTION C - Control of Materials and Work
SECTION D - Procedure and Progress
SECTION E - Measurements and Payments
SECTION F - Legal Relations and Responsibility
SECTION A - DEFINITIONS OF TERMS
1. CITY. The City of Waterloo, Iowa, which is the Party of the First Part of the
accompanying contract, acting through its authorized representative.
2. COUNCIL. The duly elected Council of the City of Waterloo, Iowa .
3. ENGINEER. The City Engineer of Waterloo, Iowa, or his authorized
representative.
4. INSPECTOR. The authorized representative of the Engineer, assigned to the detailed
inspection of the work or materials therefor and to such other duties as may be delegated to him in
these specifications.
5. CONTRACTOR. The Party of the Second Part in the accompanying contract for the
improvement covered by these specifications, or his authorized representative.
6. SUBCONTRACTOR. Any person, firm, or corporation who has, with the approval of
the Council, contracted with the Contractor to execute and perform in his stead all or any part of
the contract.
7. BIDDER. Any individual, firm, or corporation submitting a proposal for all, or a part
of the work provided for in these specifications.
8. PROPOSAL GUARANTEE. The security designed in the Notice of Bidders or
Proposal to be furnished by the bidder as a guarantee of good faith to enter into a contract and furnish
an acceptable bond for the work contemplated if it be awarded him.
9. SURETY. The corporate body bound with and for the Contractor for the acceptable
performance of the contract.
10. PROPOSAL. The written Proposal, submitted by the bidder in the prescribed manner
and on the standard form, for the improvements covered by these specifications.
11. SPECIFICATIONS. The documents that set forth the manner in which the proposed
work is to be accomplished which have been prepared by the Engineer and approved by the City
Council, official copies of which are now on file with the City Clerk.
12. SPECIAL PROVISIONS . Clauses or memoranda not contained herein, applying to
the contract of which these specifications are a part, which change or supplement these specifications.
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113 Page 2 of 10
13. CONTRACT. The agreement entered into between the City and the Contractor, setting
forth the terms under which the work covered by the plans and specifications is to be performed. The
contract includes all conditions, definitions, and instructions set forth in the official publications
relating to the work, the official contract and specifications, the Proposal, official plans, and all
supplemental agreements entered into by the parties to the contract.
14. NOTICE TO BIDDERS. The notice called attention of bidders to the time and place
for receiving bids, containing a brief description of the work, and briefly setting forth the requirements
and conditions for submission of Proposals.
15. INSTRUCTIONS TO BIDDERS. The clauses setting forth in detail the information
relative to the proposed work and requirements for the submission of Proposals.
16. PLANS. The plans for the improvement covered by the specifications and approved
by the Council, official copies of which are on file with the City Clerk.
17. CONTRACT BOND . The bond executed by the Contractor and his surety in favor of
the City of Waterloo, Iowa, guaranteeing the complete execution of the contract in accordance with
the plans and specifications, the payment of all debts pertaining to the work, and maintenance of the
work as provided by law or by the specifications.
18. CONTRACT PERIOD. The period from the specified date for beginning the work to
the specified date of completion, both dates inclusive. The contract period may be extended by
the Council, as provided in these specifications, in which event the contract period includes the
new date of completion.
19. OFFICIAL PUBLICATIONS. The official publications are the formal resolutions
and notices relative to the proposed improvement that are required by law to be published in a
prescribed manner and that have actually been published in accordance with the statutes relating
thereto. Attention is directed to the fact that these official publications are by statute vested with
all of the force and effect of contract obligations.
20. A.S.T.M. Abbreviation for American Society for Testing Materials .
21. WORK. The term "Work" of the Contractor and Subcontractor includes labor or
materials or both, equipment, transportation, or other facilities necessary to complete the contract.
22. TIME. All time limits stated in the contract documents are of the essence in the
contract.
SECTION B - SCOPE OF WORK
1. CORRELATION AND INTENT OF DOCUMENTS. The Contract documents are
complementary, and what is called for by any one shall be as binding as if called for by all. The
intention of the documents is to include all labor, materials, equipment, and transportation necessary
for the proper execution of the work. Materials or work described in words which, so applied, have a
well-known technical or trade meaning shall be held to refer to such recognized standard.
2. DRAWINGS AND SPECIFICATIONS. Unless otherwise provided in the contract
documents, the engineer shall furnish to the Contractor, free of charge, all copies of drawings and
specifications reasonably necessary for the execution of the work.
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The Contractor shall keep one (1) copy of all drawings and specifications on the work
available to the Engineer and to his representatives.
3. CONTRACTOR’S UNDERSTANDING. It is understood and agreed that the
Contractor has, by careful examination, satisfied himself as to the nature, character and location
of the work, the conformance to the ground, the character, quality, and quantity of the materials
to be encountered, the character of the equipment and facilities needed preliminary to and during
the prosecution of the work, the general and local conditions, and all other matters which can, in
any way, affect the work under this contract. No verbal agreement or conversation with any
officer, agent, or employee of the City, either before or after the execution of the Contract, shall
affect or modify any of the terms or obligations herein contained.
4. REPORTING ERRORS AND DISCREPANCIES . If the Contractor, in the course of
the work, finds any discrepancies between the plans and the physical conditions of the locality, or
any errors of omission in plans or in the layout as given by said stakes and instructions, it shall be his
duty to inform the Engineer immediately, in writing, and the Engineer shall promptly correct the same.
5. ALTERATION OR CORRECTION OF PLANS . The plans are made up from surveys
that are presumably correct and represent the foreseen construction requirements. Any modification
of the plans which may be required by the exigencies of the construction or any corrections made
necessary because of errors in the original surveys, will be made by the Engineer. Should corrections
or modifications of the plans or specifications require a different quality or class of work than that
upon which the unit prices in the Proposal are based, or if the modifications or corrections are required
in parts of the work partially completed and such modifications result in an increased cost to the
Contractor, the amount to be paid for work resulting from such changes shall be agreed u pon in writing
at the time the changes are ordered and before the work is begun by the Contractor. No allowance
will be made for anticipated profits on work not performed.
6. CHANGES IN THE WORK. The City, without invalidating the contract, may order
extra work or make changes by altering, adding to, or deducting from the work, the contract sum
being adjusted by agreement or in accordance with the dispute resolution procedures identified
herein such changed work is undertaken. All such work shall be executed under the conditions of
the original contract, except that any claim for extension of time caused thereby shall be adjusted
at the time of ordering such change .
7. INCREASED OR DECREASED QUANTITIES. The right is reserved without
impairing the contract, to order the performance of such work of a class not contemplated in the
Proposal or to increase or decrease the quantities as may be considered necessary to complete
fully and satisfactorily the work included in the contract. However, when the work is completed
without change in the plans, and the measured quantity of any item of work varies by more than
twenty percent (20%) from the estimated quantity specified in the contract, an adjustment in price
may be made for such item of work by agreement between the Engineer and the Contractor,
subject to the approval of the City Council. Party to the contract may request such an adjustment.
8. LANDS AND RIGHT OF WAY. The City shall provide the lands upon which the
work under this contract is to be done, except that the Contractor shall provide land required for
the erection of temporary construction facilities and storage of his material, together with the right
of access to same.
9. CITY WATER. The Contractor shall be allowed to use City Water but before any
water is used, he shall make application to the Waterloo Water Works for a temporary water
connection from a fire hydrant or by some other connection method. Water usage will be charged
at the rate for temporary water service. The rules, regulations, and water rates are available at
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113 Page 4 of 10
the Waterloo Water Works offices at 325 Sycamore Street or their telephone number is 319 -232-
6280.
10. RIGHTS OF VARIOUS INTERESTS . Whenever work being done by the City’s
forces or by other Contractors is contiguous to work covered by this contract, the respective rights of
the various interests involved shall be established by the Engineer to secure the completion of the
various portions of the work in general harmony.
11. CLOSING STREETS TO TRAFFIC. The Engineer shall be the judge of how many
streets or parts of streets it is necessary for the Contractor to close at any time and may refuse to
permit the closing of additional streets until such of the work is finished and opened to traffic as
he may direct.
12. OBSTRUCTION OF STREETS. The work is to be carried on in such manner as
to obstruct the streets, highways, and alleys as little as possible. The Contractor shall carry on the
different parts of the work so as to complete the whole, as nearly as practicable, at the same time.
In doing the work, the Contractor shall follow the directions of the Engineer as to the place or
places where work shall be started or be carried on and the direction in which it shall be done.
13. SHANTIES AND BUILDINGS. Shanties or other buildings shall not be erected in
or upon any street, highway, or alley without permission of the Engineer. If such permission be
granted, it may be upon any reasonable terms prescribed by the person or body granting such
permission.
14. SANITARY CONVENIENCES. The Contractor shall furnish the necessary
sanitary conveniences, properly secluded, for the laborers on the work, and these shall be
maintained in a manner that will be inoffensive to the public.
15. CLEANING UP. The Contractor shall, as directed by the Engineer, remove from
the City’s property and from all public and private property, at his own expense, all temporary
structures, rubbish, and waste materials resulting from his operations before work can be
considered completed. The Contractor shall also renew or replace any and all fences, sidewalks,
or other property damaged or disturbed by his work.
16. OMISSION OF PARTS OF GENERAL SPECIFICATIONS . Parts of the General
Specifications deemed not to apply to some particular work may be omitted by special reference in
other parts of the contract documents.
SECTION C - CONTROL OF MATERIALS AND WORK
1. SUPERVISION AND INSPECTION. The Engineer shall have supervision of the
construction provided for in this Contract and shall decide any and all questions which may arise
as to the quality and acceptability of materials furnished, work performed, manner of performance,
rate of progress on the work, and all questions regarding the acceptable fulfillment of the terms
of the Contract. Materials and construction work shall, at all times, be subject to the inspection of
the Engineer or his representatives. The Contractor shall be held strictly to the true intent of these
specifications as regards the quality of materials, workmanship, and the diligent prosecution of
the work.
The Engineer and his representatives shall, at all times, have access to the work wherever
it is in preparation of progress, and the Contractor shall provide proper facilities for such access
and for inspection.
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113 Page 5 of 10
If the specifications, the Engineer’s instructions, law ordinances, or any public authority
require any work and/or materials to be especially tested or approved, the Contractor shall give the
Engineer timely notice of readiness for inspection. If the inspection is to be made by authority other
than the Engineer, the Contractor shall notify the engineer of the date fixed for inspection. Inspections
by the Engineer will be promptly made and, where practicable, at the source of supply. If any work
should be covered up without the approval or consent of the Engineer, it must, if required by the
Engineer, be uncovered for examination at the Contractor’s expense.
Re-examination of questioned work may be ordered by the Engineer, and, if so ordered, the
work must be uncovered by the Contractor. If such work be found in accordance with the Contract,
the City shall pay the cost of re -examination and replacement. If such work be found not in
accordance with the Contract, the Contractor shall pay such cost unless he shall show that the defect
in the work was caused by another Contractor, and, in that event, the City shall pay the cost.
2. AUTHORITIES AND DUTIES OF INSPECTORS . Inspectors may be stationed on
the work to report to the Engineer as to the progress of the work and the manner in which it is being
performed; also, to report whenever it appears that materials furnished and work performed by the
Contractor fail to fulfill the requirements of the specifications and Contract, and to direct the
attention of the Contractor to such failure or infringement; but such inspection shall not relieve the
Contractor from any obligations t o furnish acceptable materials or to provide completed construction
that is satisfactory in every particular.
In case of any dispute arising between the Inspector and the Contractor as to materials
furnished or the manner of performing the work, the Inspector shall have the authority to reject
materials or suspend the work until the question at issue can be referr ed to and decided by the Engineer.
Inspectors are not authorized to revoke, alter, enlarge, relax, or release any requirements of these
specifications. The Inspector shall, in no case, act as foreman or perform other duties for the
Contractor, or interfere with the management of the work by the latter.
3. STATUS OF THE ENGINEER . The Engineer shall have general supervision and
direction of the work. He has authority to stop the work whenever such stoppage may be necessary
to insure the proper execution of the Contract. He shall also have authority to reject any work
and/or materials which do not conform to the specifications, to direct the application of forces to any
portion of the work as, in his judgment, is required, and to order the force increased or diminished,
and to decide questions which arise in the execution of the work.
4. ENGINEER’S DECISIONS. The Engineer shall, within a reasonable time, make
decisions on all claims of the Contractor and on all other matters relating to the execution and progress
of the work or the interpretation of the contract documents.
All such decisions of the Engineer shall be final except as to the element of time and financial
consideration involved, which, if no agreement in regard thereto is reached, shall be subject to the
dispute resolution procedures identified herein .
5. STAKES AND INSTRUCTIONS. The Contractor shall provide reasonable and
necessary opportunities and facilities for setting stakes and making measurements. The
Contractor shall not furnish stakes or men to set them. He shall not proceed until he has received
from the Engineer such stakes and instructions as may be necessary to the progress of the work.
The Contractor shall carefully preserve bench marks , reference points, and stakes, and in
case of willful or careless destruction, he shall be charged with the resulting extra expense and
shall be responsible for any mistakes that may be caused, by their loss or disturbance.
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113 Page 6 of 10
6. SUPERINTENDENCE . The Contractor shall keep on his work during its progress
a competent superintendent and any necessary assistants, all satisfactory to the Engineer. The
Superintendent shall not be changed except with the consent of the Engineer, unless the
Superintendent proves to be unsatisfactory to the Contractor and ceases to be in his employ. The
Superintendent shall represent the Contractor in his absence, and all directions given to him shall
be as binding as if given to the Contractor. Important decisions shall be confirmed in writing to
the Contractor. Other directions shall be so confirmed on written request in each case.
The Contractor shall give efficient supervision to the work using his best skill and attention.
He shall carefully study and compare all drawings, specifications, and other instructions, and shall
report at once to the Engineer any error, inconsistency, or omission which he may discover.
7. REMOVAL OF UNAUTHORIZED WORK. Work done without lines and grade
being give, work done beyond lines shown on the plans or as given, except as herein provided, or
any extra or additional work done without authority, will be considered as unauthorized and at the
expense of the Contractor and will not be paid for under the provisions of the Contract. Work so
done may be ordered removed and replaced at the Contractor’s expense.
8. REMOVAL OF DEFECTIVE MATERIALS OR WORK . The Contractor shall
promptly remove from the premises all materials condemned by the engineer as failing to conform
to the Contract; whether incorporated in the work or not, and the Contractor shall promptly replace
and re-execute his own work in accordance with the contract and without expense to the City, and
shall bear the expense of making good all work of other Contractors destroyed or damaged by
such removal or replacement.
If the Contractor does not remove such condemned work and materials within a reasonable
time, fixed by written notice, the City may remove them and may store the material at the expense
of the Contractor. If the Contractor does not pay the expense of such removal within a reasonable
time thereafter, the City may, upon ten (10) days’ written notice, sell such materials at auction or
at private sale and shall account for the net proceeds thereof, after deducting all the costs and
expense that should have been borne by the Contractor; or, if the net proceeds of such sale are
insufficient to pay the expenses of removal, the City may deduct the balance from any amounts
due the Contractor.
9. MATERIALS, EQUIPMENT, APPLIANCES, AND FACILITIES . Unless otherwise
stipulated, the Contractor shall provide and pay for all materials, labor, water, tools, equipment,
light, power, transportation, and other facilities necessary for the execution and completion of the
work. Materials shall be of the quality specified for each particular part of the work.
Whenever, in construction of the work or in the manufacture of any article of appliance
necessary for the construction or operation of the work, it is necessary to use any material that is not
fully specified in these specifications, it shall be of good quality and shall meet with the approval of
the Engineer.
Any appliance that is necessary for the construction or operation of the work and is commonly
recognized as a part of the work, shall be furnished by the Contractor as part of the work, whether or
not it is specifically called for in the plans and specif ications, and such appliance shall be of good
quality and standard make and shall meet with the approval of the Engineer.
10. MATERIAL SAMPLES. Before the contract is awarded, the bidder may be
required to furnish a statement of the origin, composition, and manufacture of any and all materials
proposed for use in the performance of the Contract, together with samples of the material. These
samples will be considered as representative and typical of the material to be obtained from any
particular source.
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113 Page 7 of 10
11. CHARACTER OF WORKMEN AND EQUIPMENT. The Contractor shall employ
competent and efficient workmen for every kind of work. Any person employed on the work who
shall refuse or neglect to obey the directions of the engineer or Inspector, or who shall be deemed
incompetent or disorderly, or who shall commit trespass upon public or private property in the
vicinity of the work, shall be dismissed when the Engineer so orders, and shall not be re-employed
unless express permission be given by the Engineer. The Contractor shall, at all times, enforce
discipline and good order among his employees.
The methods, equipment, and appliances used on the work, and the labor employed, shall
be such as will produce a satisfactory quality of work and shall be adequate to complete the
contract within the specified time limit.
12. HIRING CITY EMPLOYEES. The Contractor shall not employ and hire any of the
City’s employees without the permission of the Engineer.
13. LABOR. Local labor shall be given preferences so far as practicable.
14. THE CITY’S RIGHT TO DO WORK. If the Contractor should
neglect to prosecute the work properly or fail to perform any provision of this Contract, the City of
Waterloo, after three (3) days’ written notice to the Contractor may, without prejudice to any other
remedy he may have, make good such deficiencies and may deduct t he cost thereof from the payment
then or thereafter due the Contractor, provided, however, that the Engineer shall approve both
such action and the amount charged to the Contractor.
SECTION D - PROCEDURE AND PROGRESS
1. ORDER OF COMPLETION - USE OF COMPLETED PORTIONS. The Contractor
shall complete any portion or portions of the work in such order or time as the Engineer may
require. The City shall have the right to take possession of a use completed or partially completed
portion of the work at any time, but such taking possession and use shall not be deemed an
acceptance of work so taken or used, or any part thereof. If such prior use increases the cost of or
delays the work, the Contractor shall be entitled to such extra compensation or extension of time,
or both, as the Engineer may determine.
2. WEATHER. During stormy or inclement weather, all work shall be suspended,
except such as can be done in an acceptable manner. Permission to work during freezing, stormy,
or inclement weather shall in no way be construed as a release of the Contractor’s responsibi lity
regarding the quality of the finished work at such time.
3. SUNDAYS AND LEGAL HOLIDAYS. Except for such work as may be required
to properly maintain or protect completed or partially completed construction or to maintain lights
and barricades, no work will be permitted on Sundays or legal holidays without specific permission
of the Engineer.
4. DELAYS AND EXTENSION OF TIME. If the Contractor be delayed in the
completion of the work by an act of neglect of the City, or its employees; or by any other Contractor
employed by the City; or by changes ordered in the work; or by strikes, lockouts, fire, unusual
delays in transportation, unavoidable casualties, or any cause beyond the Contractor’s control; or
by delay authorized by the Engineer pending dispute resolution procedures; or by any cause which
the Engineer shall decide justifies the delay, then the time of completion shall be extended for
such reasonable time as the Engineer may decide will compensate for such delay.
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No such extension shall be made for delay occurring more than thirty (30) days before
claim therefor is made in writing to the Engineer. In the case of a continuing cause of delay, only
one claim is necessary.
This article does not exclude the recovery of damages for delay by either party under
provisions in the contract documents.
5. TEMPORARY SUSPENSION OF WORK. The Engineer shall have authority to
suspend the work, wholly or in part, for such period or periods of time as he may deem necessary,
due to unsuitable weather or such other conditions as are considered unfavorable for the suitable
prosecution of the work, or for such time as is necessary due to the failure to the Contractor to
carry out orders given or to perform any or all provisions of the Contract.
6. NOTICES - HOW SERVED. Any notice to be given by the City to the Contractor
under this contract shall be deemed to be served if the same be delivered to the man in charge of
any office used by the Contractor or his foreman or agent at or near the work, or deposited in the
post office, postpaid, addressed to the Contractor at his last known place of business.
7. PROGRESS OF WORK. The progress of the work shall be such that, at the
expiration of one-fourth (1/4) of the contract period, one-eighth (1/8) of the work shall be
completed; at the expiration of one-half (1/2) of the contract period, three-eighths (3/8) of the work
shall be completed; at the expiration of three -fourths (3/4) of the contract period, the work shall
be three-fourths (3/4) completed, and the whole work shall be completed at the expiration of the
contract period.
If, at any time the above schedule is not being maintained, the Council may give written notice
to the Contractor and his sureties that the specifications are not being complied with. Such notice shall
state what action on the part of the Contractor is req uired to bring the work within the requirements of
the specifications. If the Contractor fails, within ten (10) days, to proceed as directed in the said notice,
then the Council shall have authority to annul this contract without process or action at law a nd take
over the prosecution and completion of the work, as provided under the article covering City’s right
to terminate contract.
8. CITY’S RIGHT TO TERMINATE CONTRACT. If the Contractor should be
adjudged a bankrupt; or if he should make a general assignment for the benefit of this creditor; or
if a Receiver should be appointed on account of his insolvency; or if he should persistently or
repeatedly refuse or should fail, except in cases for which extension of time is provided, to supply
enough skilled workmen or proper materials; or if he should fail to make prompt payment to
Subcontractors or for materials or labor; or if he should persistently disregard laws, ordinances,
or the instructions of the Engineer; or if he should otherwise be guilty of a substantial violation of
any provision of the contract, then the City, upon the certificate of the Engineer that sufficient
cause exists to justify such action, may, without prejudice to any other rights or remedy, and after
giving the Contractor seven (7) days’ written notice, terminate the employment of the Contractor
and take possession of the premises and of all materials, tools and appliances thereon and finish
the work by whatever method he may deem expedient. In such cases, the Contractor shall not be
entitled to receive any further payment until the work is finished.
If the unpaid balance of the contract price shall exceed the expenses of finishing the work,
including compensation for additional managerial and administration services, such excess shall
be paid to the Contractor. If such expense of finishing the work shall exceed such unpaid balance,
the Contractor shall pay the difference to the City. The expense incurred by the City as herein
provided and the damage incurred through the Contractor’s default shall be certified by the
Engineer.
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9. REMOVAL OF EQUIPMENT . In the case of annulment of this contract before
completion, from any cause whatsoever, the Contractor, if notified to do so by the City; shall
promptly remove any part or all of his equipment and supplies from the property of the City, failing
which, the City shall have the right to remove such equipment and supplies at the expense of the
Contractor.
SECTION E - MEASUREMENTS AND PAYMENT
1. STANDARD OF MEASUREMENT. All work completed under the contract shall
be measured by the Engineer according to the United States standard measures.
2. SCOPE OF PAYMENTS. The Engineer’s measurements of quantities shall be the
basis for final payment for the work performed under this Contract. After the work is completed,
the Engineer will make measurements and computations of the number of units of each of the
various items of work completed, and the Contractor will be paid for the actual amount of work
performed at the rates specified in his Proposal. Before final settlement is made, the Council may
require the Contractor to submit a list of all persons furnishing labor or materials, with evidence
that such persons have been paid in full. Payment shall be made in the manner set forth in official
publications and Council Proceedings relative thereto.
3. PAYMENT FOR EXTRA WORK. Such extra work as may have been ordered by
the Engineer and performed by the Contractor shall be compensated for as provided herein. If
work is to be done or materials are to be furnished by the Contractor which cannot properly be
classified under unit prices included in the Proposal, the Contractor shall be paid therefor the
actual reasonabl e cost of the labor and materials entering permanently in such work, plus fifteen
percent (15%) of the cost thereof. In computing the labor cost on such extra work, the following
items shall be included:
(a) Actual payroll expenditures for labor at the current rate therefor, and cost of
materials.
(b) Pay of foreman and timekeepers for actual time required on the extra work.
(c) Liability insurance, prorated, for the extra work .
Labor cost items on extra work shall be furnished in duplicate by the Contractor to the
Inspector daily. The Inspector shall check the items, and if he finds them to be correct, he shall so
certify on the statement of cost, returning one copy to the Contractor and filing one copy with the
Engineer.
The Engineer shall determine the cost of materials entering into extra work from the
materials and receipted freight bills for the same.
For any special machine, power tools, or equipment, including fuel and lubricants, but not
including small hand tools, which may be deemed necessary or desirable to use, the Contractor
shall be allowed a reasonable rental thereon, to be agreed upon in writing by the Engineer before
such work is begun, and to which sum no percentage is to be added.
The item of cost shall not include repairs or replacement of equipment or overhead
expenses of any character. The fifteen percent (15%) allowed is considered to cover the use of
hand tools and all overhead expenses except liability insurance.
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113
In no case will a claim for extra compensation be allowed unless the work upon which the
claim is based has been ordered in writing, except as provided hereinafter.
4. CLAIMS FOR EXTRA COST . If the Contractor claims that any instructions, by
drawings or otherwise, involved extra cost under this contract, he shall give the Engineer written notice
thereof within ten (10) days after completion of the work.
No such claim shall be valid unless so made.
5. CLAIMS FOR EXTRA COMPENSATION . If the Contractor deems that extra
compensation is due him for work and/or materials that he considered is not clearly covered in the
items for which he submitted unit prices in his bid and that were not ordered in writing by the Engineer
as an extra heretofore provided, the Contractor shall notify the Engineer, in writing, of his intention
to make claim for extra compensation for work and/or material before starting construction. If such
written notification is not gi ven or the Engineer is not afforded proper facilities by the Contractor for
keeping strict account of actual cost as defined herein, then the Contractor hereby agrees to waive the
claim for extra compensation. Such notice to the engineer and the fac t that the Engineer has kept
account of cost as aforesaid, shall not in any way be construed as proving the validity of the claim,
which must be passed upon by the Council. In the event that the Council finds the claim to be just, it
shall be allowed and paid for as extra work as provided herein.
6. COMPLETION REPORT AND OBJECTIONS THERETO. Within ten (10) days
after the full completion of the work to be done under this contract, the Engineer shall make a
written statement of all the work done by the Contractor hereunder, stating the quantity of each
item as found by him and including a statement of all credits for extra work and all credits or debits
for changes, alterations, omissions, and defects, and shall forthwith deliver a copy of such
statement to the Contractor. The Contractor shall compare such statement with his own records
and shall then, in writing, either approve such statement or point out any claimed errors or
omissions. If any of such claims are found correct, the Engineer shall, within ten (10) days,
prepare a new statement, a copy of which shall in like manner be delivered unto the Contractor.
The Engineer will not file a formal completion report with the City until the Contractor has approved
the same.
If the figures of the Engineer and the Contractor cannot be reconciled, or there is a
difference of opinion regarding some item or items, then such difference of opinion shall be
submitted to the dispute resolution procedures as hereinafter provided, and such resulting decision
shall be final, and the Engineer shall, within a period of five (5) days thereafter, file his completion
report.
Before action by the City Council upon such completion report, the Contractor shall also
file a written statement of any claims he may have against the City, other than those shown by
such completion report, growing out of this contract or the work done he reunder. The City shall
retain five percent (5%) of the amount due the Contractor on the completion report for a period
of thirty (30) days. If no claims are filed against the Contractor within thirty (30) days, the final five
percent (5%) shall then be paid to the Contractor.
7. WAIVER. By the execution of this contract ,the Contractor agrees that any
objections he may have to the statement of the amount of work done hereunder included by the
Engineer in this completion report, and any claims of the Contractor against the City growing out
of this contract and the work done hereunder which are not stated in writing in the manner and
within the time provided in Section E hereof, shall be waived, and no such claim shall thereafter
be asserted against the City.
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113
SECTION F - LEGAL RELATIONS AND RESPONSIBILITIES
1. LAWS RELATING TO WORK. The Contractor is presumed to be familiar with all
laws, ordinances, and regulations which may, in any manner, affect those engaged or employed
upon the work or the materials or equipment used in or upon the work, and shall conduct the work
so as not to conflict with such laws, ordinances, and regulations.
2. PROTECTION OF WORK AND PROPERTY. The Contractor for any part of the
improvement shall be held responsible for the care of materials and of partially completed and
completed work until final acceptance of the same by the Council. He will be required to make
good at his own expense any damage which the work may sustain from any cause prior to the
filing of the engineer’s certificate of completi on. He shall take all risk from floods and casualties
of every description and make no charge for delay due to such cause. He may, however, be
allowed a reasonable extension of time on account of such delays. He shall correct or make good
at his own expense all damages to adjacent property due to the acts or negligence of his employees
of the prosecution of his work, and save the City harmless therefor.
The Contractor shall be held liable and responsible for all damages done to water, sewer,
drain, or other underground pipes and structures, and to sidewalks and private property.
3. RESPONSIBILITY FOR ACCIDENTS . The Contractor shall assume full
responsibility for all damages sustained by persons or property due to the carrying on of his work until
final acceptance thereof, or until released by the Engineer in writing.
4. LIABILITY INSURANCE. The Contractor shall carry liability insurance which shall
save the City harmless and protect the public and any person from injury sustained by the reason
of the prosecution of the work or the handling or storing of materials therefor and said Contractor
shall also carry liability insurance which shall meet the requirements of the Iowa Worker’s
Compensation Law.
Before work shall be started on this contract, the Contractor shall furnish the City Clerk with
proper affidavit or Affidavits executed by representatives of duly qualified insurance companies,
evidencing that said insurance company or companies have iss ued liability insurance policies,
effective during the life of the contract, or for a period of a least ten (10) days following the filing of
written notice of cancellation, protecting the public and any person from injuries or damages sustained
by reason of carrying on the work involved in the Contract. The affidavit shall specifically evidence
the following forms of insurance protection:
(a) Public liability insurance covering all operations performed by persons directly
employed by the Contractor.
(b) Public liability insurance covering all operations performed by any Subcontractor
to whom a portion of the work may have been assigned.
(c) Public liability insurance covering all work upon the project performed by any
independent Contractor working under the direction of either the principal
Contractor or a Subcontractor.
(d) Motor vehicle bodily injury liability insurance and property damage liability
insurance on all motor vehicles employed on the work, whether owned by the
Contractor or by other persons, firms, or corporations.
(e) The minimum protection shall be as follows:
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113
Comprehensive General Liability Insurance
General Aggregate Limit
$ 5,000,000.00
Products—Completed Operations
Aggregate Limit
$ 5,000,000.00
Each Occurrence Limit $ 5,000,000.00
Comprehensive Automobile Liability
Insurance
$ 1,000,000.00
The Contractor shall have the City of Waterloo, Iowa, named as an "Additional Named
Insured" and it must be stated on the certificate. Coverage shall be written on a primary and non-
contributory basis and shall include a waiver of subrogation in favor of the City of Waterloo . A
certificate, or a policy if requested, shall be filed with the Owner.
All certificates and/or policies of insurance furnished by the Contractor to be filed with the
City Clerk shall include the name and address of the agency issuing the same. It shall also be required
that the City Clerk be notified by registered mail of the cancellation or expiration of the above
insurance.
To the fullest extent permitted by law the Contractor shall defend, indemnify, and hold
harmless the City and the Engineer and their agents, representatives, officers and employees
(“Indemnitees”) from and against all claims, damages, losses and expenses, including but not limited to
attorneys’ fees, arising out of or resulting from or in connection with the performance of the Work,
provided that any such claim, damage, loss or expense is caused in whole or in part by any act or
omission of the Contractor, anyone directly or indirectly employed by it or anyone for whose acts any
of them may be liable. Such obligation shall not be construed to negate, abridge, or otherwise reduce
any other right or obligation of indemnity or contribution which would otherwis e exist as to any party
or person described in the Contract Documents.
In any and all claims against the Owner or Engineer or any of their agents, officers or
employees by any employee of the Contractor, any Subcontractor, any person directly or indirectly
employed by any of them or anyone for whose acts may be liable, the in demnification obligation under
this Subsection 4 shall not be limited in any way by any limitation on the amount or type of damages,
compensation or benefits payable by or for the Contractor or any Subcontractor under workers’
compensation acts, disability benefit acts or other employee benefit acts.
All policies shall be in form and with insurance carriers acceptable to the City of Waterloo.
Each such policy shall provide that thirty (30) days’ prior written notice of cancellation must be given
to City before cancellation of the policy will be effective. Contractor will take all steps required to
prevent all such insurance from lapsing or being canceled.
5. BARRICADES AND SIGNS. The Contractor shall, at his own expense and
without further or other order, provide, erect, and maintain, at all times during the progress and
suspension of the work and until completion and final acceptance thereof, suitable and requisite
barricades, signs, or other adequate protection, as required by the latest edition of the "Iowa
Manual on Uniform Traffic Control Devices for Streets and Highways" and shall provide, keep,
and maintain such barricades, signs, etc., as may be require d or as may be ordered by the City
Engineer, to insure the safety of the public as well as those engaged on the work. All barricading
plans shall be approved by the City Engineer.
6. ROYALTIES AND PATENTS. The Contractor shall pay all royalties and license
fees. He shall defend all suits or claims for infringement of any patent rights and shall save the
City harmless from loss on account thereof, except that the City shall be responsible for all such
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113
loss when a particular process or the product of a particular manufacturer is specified.
7. PERMITS AND REGULATIONS. Permits and licenses of a temporary nature for
the prosecution of the work shall be secured and paid for by the Contractor. Permits, license, and
easements for permanent changes in existing facilities shall be secured and paid for by the City.
8. CLAIMS FOR DAMAGES. Any claim for damages arising under this Contract
shall be made in writing to the party liable within a reasonable time of the first observance of such
damage and no later than the time of final payment, except as expressly stipulated otherwise in
the case of faulty work or materials and shall be adjusted by agreement or by dispute resolution
procedures as identified herein.
The Contractor shall be held for the payment of all just claims against him arising out of the
prosecution of this contract, and his bond will not be released until such claims are paid or dismissed.
9. ASSIGNMENT OF CONTRACT . The Contractor shall not sell or assign the contract
or sublet any portion of the work provided for therein without the written consent of the City Council.
10. SUBCONTRACTORS. The Contractor shall, as soon as practicable after the
signature of the contract, notify the Engineer in writing of the names of the Subcontractors proposed
for the work and shall not employ any that the Engineer may, within a reasonable time, object to as
incompetent or unfit.
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113
The Contractor agrees that he is as fully responsible to the City for the acts and omission
of his Subcontractors and of persons either directly or indirectly employed by them as he is for
the acts and omissions of persons directly employed by him.
Nothing contained in the contract documents shall create any contractual relation between
any Subcontractor and the City.
11. DISPUTE RESOLUTION PROCEDURES. The parties shall endeavor to resolve their
disputes by mediation which, unless the parties mutually agree otherwise, shall be administered in
accordance with Iowa Code Chapter 679C, as amended. A request for mediation shall be made in
writing and delivered to the other party to the Contract. The request may be made concurrently with
the filing of binding dispute resolution proceedings but, in such event, mediation shall proceed in
advance of binding dispute resolution proceedings, which shall be s tayed pending mediation for a
period of 60 days from the date of filing, unless stayed for a longer period by agreement of the parties
or court order.
The parties shall share the mediator’s fee and any filing fees equally. The mediation shall be held in
the place where the Project is located, unless another location is mutually agreed upon. Agreements
reached in mediation shall be enforceable as settleme nt agreements in any court having jurisdiction
thereof.
For any dispute not resolved by mediation, the method of binding dispute resolution shall be litigation
in the Iowa District Court for Black Hawk County.
In the event the City should prevail in any legal proceedings arising out of the performance or non -
performance of this Contract, the Contractor shall pay, in addition to any damages, all expenses of
such action including reasonable attorney's fees, all ex pert witness fees, costs, and litigation expenses
incurred by the City, including those incurred on appeal. The terms “costs and expenses” are not
limited to the costs and expenses traditionally taxed as court costs. The term “legal proceedings” shall
be deemed to include any arbitration, administrative proceedings, and all appeals from any and all of
the foregoing.
12. PERFORMANCE AND PAYMENT BONDS. The Contractor shall, at the time of
execution and delivery of this contract and before the taking effect of same, furnish and deliver to the
City written bonds of indemnity to the amount required by law in form and substance, and with
GENERAL SPECS FOR CONSTRUCTION CONTRACT 1113
surety thereon satisfactory and acceptable to the City, to insure the faithful performance and payment
by the Contractor of all the covenants and agreements on the part of the Contractor contained in this
contract. These bonds shall remain in force and effect for the full amount of the Contract . These bonds
shall remain in force and effect for the full amount of the Contract. The Contractor shall further provide
a maintenance bond guaranteeing the maintenance of the contract improvements for a period of two (2)
years from and after completion of said improvements and their acceptance by the City.
13. PERSONAL LIABILITY OF PUBLIC OFFICIALS . In carrying out any of the
provisions of the Contract or in exercising any power or authority granted him thereby, there shall
be no liability upon the Engineer or his authorized assistants, either personally or as an official of
the City, it being understood that in such matters he acts as the agent and representative of the
City.
14. JURISDICTION. Any action in Court against the Contractor or sureties on his bond
because of damages to property or individuals by said Contractor or his workmen, or because of the
violation of any provisions of the specifications, or on account of the failure of said Contractor to
comply fully with these provisions, shall be brought in the District Court of the State of Iowa in and
for Black Hawk County.
15. TERMINATION OF RESPONSIBILITY. The Contract shall be considered as
completed and the Contractor released from further obligations except as to the requirements of
his bond, after the work has been completed and finally accepted and final estimates have been
allowed and the completion report of the engineer has been filed and approved by the Council.
16. CITY’S LEGAL RIGHTS. The City shall not be precluded by any measurements,
estimate, or certificate made, either before or after the completion and acceptance of the work and
payment therefor, from showing the true amount and character of the work performed and
materials furnished by the Contractor, or from showing that any such measurement, estimate, or
certificate is untrue or incorrectly made, or the work or materials do not, in fact, conform to the
Contract.
The City shall not be precluded, notwithstanding any such measurements, estimate, or
certificate and payment in accordance therewith, from recovering from the Contractor and his surety
such damages as it may sustain by reason of his failure to comply with the terms of the Contract.
Neither the acceptance by the City or any of its representatives, nor any payment for or acceptance
of the whole or any part of the work, nor any extension of time, nor any possession taken by the City,
shall operate as a waiver on any portion of the contract or of any power herein reserved, or any right
to damages herein provided. A waiver of any breach of the contract shall not be held to be a waiver
of any other or subsequent breach.
SUPPLEMENTAL GENERAL SPECIFICATIONS FOR CONSTRUCTION
1. SUBCONTRACTS
The contractor shall cause appropriate provisions to be inserted in all subcontracts relative to the work to
require compliance by each subcontractor with the applicable provisions of the contract for the
improvements embraced in this contract.
2. REVIEW BY THE CITY OF WATERLOO
The City of Waterloo, its authorized representatives and agents, shall at all times have access to and be
permitted to observe and review all work, materials, equipment, payrolls, personnel records, employment
conditions, material invoices, and other relev ant data and records pertaining to this contract, provided,
however, that all instructions and approval with respect to the work will be given to the contractor only by
the City of Waterloo through its authorized representative or agents.
3. INSPECTION
a. The contractor shall furnish promptly all materials reasonably necessary for any tests, which may be
required. All tests by the City of Waterloo will be performed in such manner as not to delay the work
unnecessarily and will be made in accordance with the provisions of the Technical Specifications.
b. Inspection of materials and appurtenances to be incorporated in the improvements embraced in this
contract may be made at the place of production, manufacture or shipment, whenever the quantity
justifies it, and such inspection and acceptance, unless other wise stated in the Technical
Specifications, shall be final, except as regards (1) latent defects, (2) departures from specific
requirements of the contract, (3) damage or loss in transit, or (4) fraud or such gross mistakes as
amount to fraud. Subject to the requirements contained in the preceding sentence, the inspection of
materials as a whole or in part will be made at the project site.
4. WARRANTY OF TITLE
No material, supplies, or equipment to be installed or furnished under this contract shall be purchased subject
to any chattel mortgage or under a conditional sale, lease -purchase or other agreement by which an interest
therein or in any part thereof is retained by the seller or supplier. The contractor shall warrant good title to
all materials, supplies, and equipment installed or incorporated in the work and upon completion of all work,
shall deliver the same together with all improvements and appurtenances constructed or placed thereon by
him to the City of Waterloo free from any claims, liens, or charges. Neither the contractor nor any person,
firm, or corporation furnishing any material or labor for any work covered by this contract shall have any
right to a lien upon any improvement or appurtenance thereon. Nothing contained in this paragraph,
however, shall defeat or impair the right of persons furnishing materials or labor to recover under any bond
given by the contractor for their protection or any rights under any law permitting such persons to look to
funds due the contractor in the hands of the City of Waterloo. The provisions of this paragraph shall be
inserted in all subcontracts and material contracts and notice of its provisions shall be given to all persons
furnishing materials for the work when no formal contract is entered into for such materials.
SUPP GEN SPECS FOR CONSTRUCTION Page 1 of 1
FORM OF CONTRACT Page 1 of 4
FORM OF CONTRACT
FOR THE CONSTRUCTION OF
F.Y. 2025 PREFABRICATED SHELTER AT 512
UNIVERSITY AVE
CITY OF WATERLOO, IOWA
CONTRACT NO. 1113
This contract made and entered into this day of , 20 , by and between the City of Waterloo, Iowa,
a Municipal Corporation, (hereinafter referred to as City), and of, ,
(hereinafter referred to as Contractor), WITNESSETH:
PAR. 1 Contractor agrees to build and construct the F.Y. 2025 PREFABRICATED SHELTER AT 512
UNIVERSITY AVE
,
and furnish all necessary tools, equipment, materials, and labor necessary to do all the work called for
in the plans and specifications in a workmanship like manner and for the prices set forth in Contractor's
proposal, which was accepted by the City, and which is understood and agreed to be a part of this
contract.
PAR. 2 The term “Contract” means and includes the following:
A. Notice of Public Hearing
B. Notice to Bidders
C. Instructions to Bidders
D. Proposal
E. Bid Bond
F. Contract
G. Performance Bond
H. Payment Bond
I. Maintenance Bond
J. General Specifications for Construction
K. Notice to Proceed
L. Conceptual Shelter Layout
M. Equipment Rack Elevations
N. Estimated Power and Cooling Specifications
O. Site Location
P. Prefabrications Data Center Bid Specs
It is expressly understood and agreed that in addition to the documents listed above, the Contract
includes any engineering data which may be furnished by the Contractor and approved by the City,
together with such additional Drawings which may be furnished by the Engineer from time to time as
are necessary to make clear and to define in greater detail the intent of the Plans and Specifications.
FORM OF CONTRACT Page 2 of 4
That several parts of the Contract are complementary, and what is called for by any one shall be as
binding as if called for by all. The intention of the Contract is to include the furnishing of all materials,
labor, tools, equipment and supplies necessary for completion of the contract obligations. Materials
or work described in words which so applied have a well-known technical or trade meaning shall be
held to refer to such recognized standards. In the event of a conflict between any of the contract
documents, the Contractor is to provide the greater quantity and/or better quality, unless otherwise
directed in writing by the City or Engineer.
PAR. 3 The Contractor agrees to furnish at its own cost and expense, all necessary materials and labor for said
work and to construct said improvements in a thorough, substantial, and workmanlike manner, and in
strict accordance with the requirements of this contract, and of the plans and specifications made a part
hereof by reference, and to the satisfaction and approval of the City and its engineer.
PAR. 4 The Contractor agrees to perform said work and install said improvements on the terms set out in bid
or proposal to the City which has been accepted by the City and which is by reference made a part of
this contract.
PAR. 5 The Contractor agrees to commence said work within ten (10) working days after receipt of “Notice to
Proceed" and complete it on or before January 7, 2026 , unless an extension of time is granted
in writing by the Council of the City. If the work is not completed within the specified contract period,
plus authorized extensions, the Contractor shall pay to the City Liquidated Damages in the amount of
one thousand dollars ($1,000.00) per day, for each day, as further described herein, in excess of the
authorized time.
PAR. 6 Should the Contractor fail to complete said improvements in strict accordance with the terms and
conditions of this contract, or the plans and specifications therefor promptly by the date herein specified,
the City may pay such additional sums as it may be required to pay by reason of the failure of said
contractor and deduct any and all such sums from any amount then due the Contractor.
PAR. 7 The Contractor agrees to comply with and obey all ordinances of the City of Waterloo, Iowa, relating to
the obstruction of streets and alleys, keeping open passage ways for water, traffic, and protecting any
excavations in any street or alley, and maintaining proper and sufficient barricades with lights and
signals during all hours of darkness, to see that the backfilling is properly done, and agrees to keep the
FORM OF CONTRACT Page 3 of 4
City whole and defend any and all suits that may be brought against the City by reason of any injuries
that may be sustained by any person or property allegedly caused by the Contractor, or his agents,
while work is done pursuant to this agreement.
PAR. 8 The Contractor agrees that in the event a law suit is brought against the City for damages allegedly
sustained by reason of any act, omission or negligence of the Contractor or its agents, or on account of
any injuries allegedly sustained by reason of any obstruction, hole, depression or barrier placed or dug
by the defendant or its agents, in the doing of the work herein contracted for, that it will defend said suit
and save the City harmless therein, and in case judgment is rendered against the City, the Contractor
agrees to pay the same promptly. The Contractor agrees to carry public liability insurance in a solvent
company in a sufficient amount to protect the City and those who use the streets of the City.
PAR. 9 The City shall have the right to appoint one or more construction reviewers who shall review the
progress of the work in detail; also, to make any test or any material to be used in such work. No
material shall be used in any work until the same has first been approved by the construction reviewer.
Such construction reviewer shall have full authority to pass judgment upon all materials and upon the
manner of doing the work, and their judgment on rejecting any materials, substance, or manner of work
shall be final unless it is revoked or modified by the City Engineer.
PAR. 10 Any material, which has been rejected by the construction reviewer, shall be at once removed from the
line of work and shall not be again taken thereon or placed with the material proposed to be used without
the written consent of the City Engineer.
PAR. 11 The Contractor shall maintain no cause of action against the City on account of delays and prosecution
of work, but if said work is delayed by the City, the Contractor shall have such extra time for completion
of the job as was lost by reason of the delay caused by the City.
PAR. 12 The Contractor agrees to pay punctually all just claims of labor, material, men, or subcontractors who
shall perform labor or furnish materials entering into this improvement. It is agreed that the City need
not pay the Contractor until all such claims are paid by the Contractor. It is agreed that the City shall not
be liable for said labor, material, or men under this contract.
PAR. 13 The Contractor agrees to furnish the City, simultaneously with this contract, a bond on a form to be
provided by the City in the amount provided by law as stated in the Notice to Bidders, which shall be for
the benefit of the City, and any and all persons injured by the breach of any of the terms of this contract.
Said bond shall be filed with the City Clerk and shall be subject to the approval of the City Council and
is by reference made a part of this contract.
PAR. 14 The Contractor agrees that should it abandon work under this contract or cease the prosecution thereof
for a period of thirty (30) consecutive days without reasonable cause, and should it fail to proceed with
said work within ten (10) days after a notice to continue or carry it on has been mailed to it at the address
given herein by the City, or after such notice has been served on it, then the City may proceed to
complete said work, using any material, tools, or machinery found along said line of work, doing the
work either by contract or as it may elect, and the Contractor and the sureties on its bond shall be liable
to the City for the costs and expenses so paid out. Said costs shall be retained by the City from any
compensation due, or to become due the Contractor, and may be recovered by the City in an action
upon Contractor's bond.
PAR. 15 In consideration of the full compliance on the part of the Contractor with all the provisions, stipulations,
and conditions hereof, or contained in the various instruments made a part of this contract by reference,
and upon completion and acceptance of said work, the City agrees to pay to the Contractor, in the
manner set out in the Notice to Bidders, the amount of money due the Contractor for work performed and
accepted, at the lump sum set out in the Contractor's proposal, which has been accepted by the City.
FORM OF CONTRACT Page 4 of 4
PAR. 16 The total amount of the contract, based on the Contractor's proposed lump sum, and for which 100%
surety bond is required is $ .
PAR. 17 After the completion of said work, the Contractor agrees to remove all debris and clean-up said streets,
and to save the City harmless from any damage allegedly resulting from a failure to clean up and remove
the debris or put the street back in a proper condition for travel.
PAR. 18 This contract is not divisible, but in the event of a conflict between this contract and the various instruments
incorporated by reference, this contract shall govern.
PAR. 19 Before the Contractor shall be entitled to receive final payment for work done under this contract, it shall
execute and file a bond in the penal sum of not less than 100% of the total amount of the contract, same
to be known as "Maintenance Bond," and which bond must be approved by the City Council, and which
bond is in addition to the bond given by the Contractor to guarantee the completion of the work.
PAR. 20 The Contractor shall maintain all work done hereunder in good order for the period of two (2) years from
and after the date it is accepted by the Council of the City of Waterloo, Iowa. Said maintenance shall be
made without expense to the City or the abutting property. In the event of the failure or default of the
Contractor to remedy any or all defects appearing in said work within a period of two (2) years from the
date of its acceptance by said Council, and after having been given ten (10) days notice so to do by
registered letter deposited in the United States Post Office in said town, addressed to said contractor at
the address herein given, then the City may proceed to remedy such defects. The costs and expenses
thereof to be recovered from the Contractor and the sureties on its maintenance bond by an action
brought in any court of competent jurisdiction.
PAR. 21 The Contractor shall give notice to said City by registered letter directed to the Mayor or City Clerk/Auditor
thereof not more than four (4) and not less than three (3) months prior to the expiration of the term during
which the Contractor is required to maintain said improvements, in good repair by the terms of its
Contract. The liability of the Contractor and of the sureties on its bond for maintenance of the said
improvements shall continue until three (3) months after such notice has been given to the City, and, in
any event, until two (2) years after the acceptance of the work.
CITY OF WATERLOO, IOWA
Mayor
City Clerk
Contractor
BY:
Title:
Approved by the City Council of the City of Waterloo, Iowa, this
day of , 20 .
ATTEST: , City Clerk
Waterloo, Iowa
SURETY BOND NO.
PERFORMANCE, PAYMENT, AND MAINTENANCE BOND
KNOW ALL BY THESE PRESENTS:
That we, __________________________________________________________________, as Principal
(hereinafter the “Contractor” or “Principal” and ____________________________________________, as
Surety are held and firmly bound unto __________________________________________________ , as
Obligee (hereinafter referred to as “the Jurisdiction”), and to all persons who may be injured by any breach of
any of the conditions of this Bond in the penal sum of
____________________________________________________________________________________
dollars ($____________________), lawful money of the United States, for the payment of which sum, well
and truly to be made, we bind ourselves, our heirs, legal representatives and assigns, jointly or severally,
firmly by these presents.
The conditions of the above obligations are such that whereas said Contractor entered into a contract with the
Jurisdiction, bearing date the _______ day of ___________________, _________, hereinafter the “Contract”)
wherein said Contractor undertakes and agrees to construct the following described improvements:
F.Y. 2025 PREFABRICATED SHELTER AT 512 UNIVERSITY AVE, CONTRACT NO. 1113
The City of Waterloo (Owner) is seeking bids from contractors who can supply and install a
prefabricated concrete communication shelter that will securely house the network equipment, power
systems, and supporting environmental components required to operate the Waterloo Fiber FTTU
network for the Owner (the Project). The shelter will be located at 512 University Ave, Waterloo, IA
50701 (See Attachment D – Site Location).
(CON’T – PERFORMANCE, PAYMENT, AND MAINTENANCE BOND)
and to faithfully perform all the terms and requirements of said Contract within the time therein specified, in
a good and workmanlike manner, and in accordance with the Contract Documents.
It is expressly understood and agreed by the Contractor and Surety in this bond that the following provisions
are a part of this Bond and are binding upon said Contractor and Surety, to-wit:
1. PERFORMANCE: The Contractor shall well and faithfully observe, perform, fulfill, and abide by
each and every covenant, condition, and part of said Contract and Contract Documents, by reference
made a part hereof, for the above referenced improvements, and shall indemnify and save harmless
the Jurisdiction from all outlay and expense incurred by the Jurisdiction by reason of the Contractor’s
default of failure to perform as required. The Contractor shall also be responsible for the default or
failure to perform as required under the Contract and Contract Documents by all its subcontractors,
suppliers, agents, or employees furnishing materials or providing labor in the performance of the
Contract.
2. PAYMENT: The Contractor and the Surety on this Bond hereby agreed to pay all just claims
submitted by persons, firms, subcontractors, and corporations furnishing materials for or performing
labor in the performance of the Contract on account of which this Bond is given, including but not
limited to claims for all amounts due for labor, materials, lubricants, oil, gasoline, repairs on
machinery, equipment, and tools, consumed or used by the Contractor or any subcontractor, wherein
the same are not satisfied out of the portion of the contract price the Jurisdiction is required to retain
until completion of the improvement, but the Contractor and Surety shall not be liable to said persons,
firms, or corporations unless the claims of said claimants against said portion of the contract price shall
have been established as provided by law. The Contractor and Surety hereby bind themselves to the
obligations and conditions set forth in Chapter 573 of the Iowa Code, which by this reference is made
a part hereof as though fully set out herein.
3. MAINTENANCE: The Contractor and the Surety on this Bond hereby agree, at their own expense:
A. To remedy any and all defects that may develop in or result from all work except new paving to
be performed under the Contract within the period of two year (s) from the date of acceptance of
the work under the Contract, by reason of defects in workmanship or materials used in
construction of said work; and
B. To remedy any and all defects that may develop in or result from new paving work to be
performed under the Contract within the period of two year (s) from the date of acceptance of the
work under the Contract, by reason of defects in workmanship or materials used in construction
of said work;
C. To keep all work in continuous good repair; and
D. To pay the Jurisdiction’s reasonable costs of monitoring and inspection to assure that any defects
are remedied, and to repay the Jurisdiction all outlay and expense incurred as a result of
Contractor’s and Surety’s failure to remedy any defect as required by this section.
E. Maintenance bond requirements shall not apply to the following: work that is not permanently
incorporated into the project, pavement markings, seeding, sodding, and plant material and
planting.
(CON’T – PERFORMANCE, PAYMENT, AND MAINTENANCE BOND)
4. GENERAL: Every Surety on this Bond shall be deemed and held bound, any contract to the contrary
notwithstanding, to the following provisions:
A. To consent without notice to any extension of time to the Contractor in which to perform the
Contract;
B. To consent without notice to any change in the Contract or Contract Documents, which thereby
increases the total contract price and the penal sum of this bond, provided that all such changes
do not, in the aggregate, involve an increase of more than 20% of the total contract price, and that
this bond shall then be released as to such excess increase; and
C. To consent without notice that this Bond shall remain in full force and effect until the Contract is
completed, whether completed within the specified contract period, within an extension thereof,
or within a period of time after the contract period has elapsed and the liquidated damage penalty
is being charged against the Contractor.
D. That no provision of this Bond or of any other contract shall be valid that limits to less than
five years after the acceptance of the work under the Contract the right to sue on this Bond.
E. That as used herein, the phrase “all outlay and expense” is not to be limited in any way but shall
include the actual and reasonable costs and expenses incurred by the Jurisdiction including
interest, benefits, and overhead where applicable. Accordingly, “all outlay and expense” would
include but not be limited to all contract or employee expense, all equipment usage or rental,
materials, testing, outside experts, attorneys’ fees (including overhead expenses of the
Jurisdiction’s staff attorneys), and all costs and expenses of litigation as they are incurred by the
Jurisdiction. It is intended the Contractor and Surety will defend and indemnify the Jurisdiction
on all claims made against the Jurisdiction on account of Contractor’s failure to perform as
required in the Contract and Contract Documents, that all agreements and promises set forth in
the Contract and Contract Documents, in approved change orders, and in this Bond will be
fulfilled, and that the Jurisdiction will be fully indemnified so that it will be put into the position
it would have been in had the Contract been performed in the first instance as required.
In the event the Jurisdiction incurs any “outlay and expense” in defending itself against any claim as to
which the Contractor or Surety should have provided the defense, or in the enforcement of the promises
given by the Contractor in the Contract, Contract Documents, or approved change orders, or in the
enforcement of the promises given by the Contractor and Surety in this Bond, the Contractor and Surety
agree that they will make the Jurisdiction whole for all such outlay and expense, provided that the Surety’s
obligation under this bond shall not exceed 125% of the penal sum of this bond.
(CON’T – PERFORMANCE, PAYMENT AND MAINTENANCE BOND)
In the event that any actions or proceedings are initiated regarding this Bond, the parties agree that the venue
thereof shall be Black Hawk County, State of Iowa. If legal action is required by the Jurisdiction to enforce
the provisions of this Bond or to collect the monetary obligation incurring to the benefit of the Jurisdiction,
the Contractor and the Surety agree, jointly, and severally, to pay the Jurisdiction all outlay and expense
incurred therefor by the Jurisdiction. All rights, powers, and remedies of the Jurisdiction hereunder shall be
cumulative and not alternative and shall be in addition to all rights, powers, and remedies given to the
Jurisdiction, by law. The Jurisdiction may proceed against surety for any amount guaranteed hereunder
whether action is brought against the Contractor or whether Contractor is joined in any such action(s) or not.
NOW THEREFORE, the condition of this obligation is such that if said Principal shall faithfully perform all
the promises of the Principal, as set forth and provided in the Contract, in the Contract Documents, and in this
Bond, then this obligation shall be null and void, otherwise it shall remain in full force and effect.
When a word, term, or phrase is used in this Bond, it shall be interpreted or construed first as defined in this
Bond, the Contract, or the Contract Documents; second, if not defined in the Bond, Contract, or Contract
Documents, it shall be interpreted or construed as defined in applicable provisions of the Iowa Code; third, if
not defined in the Iowa Code, it shall be interpreted or construed according to its generally accepted meaning
in the construction industry; and fourth, if it has no generally accepted meaning in the construction industry,
it shall be interpreted or construed according to its common or customary usage.
Failure to specify or particularize shall not exclude terms or provisions not mentioned and shall not limit
liability hereunder. The Contract and Contract Documents are hereby made a part of this Bond.
Project No. _______________
(CON’T – PERFORMANCE, PAYMENT, AND MAINTENANCE BOND)
PRINCIPAL: SURETY:
Contractor Surety Company
By By
Signature Signature Attorney-in-Fact Officer
Title Printed Name of Attorney-in-Fact Officer
FORM APPROVED BY:
Company Name
Attorney for Jurisdiction Company Address
City, State, Zip Code
Company Telephone Number
NOTE:
1. All signatures on this performance, payment, and maintenance bond must be original signatures in ink;
copies, facsimile, or electronic signatures will not be accepted.
2. This bond must be sealed with the Surety’s raised, embossing seal.
3. The Certificate or Power of Attorney accompanying this bond must be valid on its face and sealed with the
Surety’s raised, embossing seal.
4. The name and signature of the Surety’s Attorney-in-Fact/Officer entered on this bond must be exactly as
listed on the Certificate or Power of Attorney accompanying this bond.
4901-7335-7110-1\24268-004
16'
NEMA-31R enclosure w/removable lid
CHammond 1418N4ALE10 or equivalent
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1-phase 120/240V 200A utility service
100A sub -panel to be fed from DC power system inverter
Overhead light fixtures shall be 3500 lum/4000kel LED
Genset shall support all AC service loads
HVAC system shall be dual lead/lag outdoor units
HVAC shall provide humidity control within 45-55%
HVAC, fre, and DC power shall provide critical alarm contacts
Control modules for HVAC, DC power, and fire shall support SNMP
Contractor shall scale the 12'x16' floorplan to accommodate a larger shelter
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University Avenue Floor Plan
1
l
Watts AC DC Hostname Purpose Vendor Model Serial No.
48
47
46
45
44
43
42
41
40
39
38
37
36
35
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32
31
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12
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9
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7
6
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4
3
2
1
AC Power (V) 120 DC Power (V) -48
When designing for failover power loading, a circuit breaker should not exceed 40% max load per side (A/B)
0A @ -48V DC
Total Weight (lbs) 0 lbs
Notice -- A circuit breaker should not be loaded above 80% continuous load. [NEC Sec. 384-16(c)] | 20A CB = 16A Max Load | 30A CB = 24A Max Load | 40A CB = 32A Max Load
Total Watts 0 Watts
Total BTU p/hr 0 BTU p/hr 0A @ 120V AC
Rack Elevations
RU Rack RR2 (future)
Power BTU lbs
Equipment Information
Watts AC DC Hostname Purpose Vendor Model Serial No.
48
47
46
45
44
43
42
41
40
39
38 600 x 2047 subscriber termination Calix E9-2 w/CLX
37
36 600 x 2047 XGS-PON access Calix E9-2 w/XG3201
35
34
33
32
31
30
29
28
27
26
25
24
23
22
21
20
19
18
17
16
15
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13
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10
9
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1
AC Power (V) 120 DC Power (V) -48
Notice -- A circuit breaker should not be loaded above 80% continuous load. [NEC Sec. 384-16(c)] | 20A CB = 16A Max Load | 30A CB = 24A Max Load | 40A CB = 32A Max Load
When designing for failover power loading, a circuit breaker should not exceed 40% max load per side (A/B)
Total BTU p/hr 4095 BTU p/hr 0A @ 120V AC 25A @ -48V DC
Total Weight (lbs) 0 lbs
Total Watts 1200 Watts
Distribution FDP
Calix E9-2 CLX
Calix E9-2 XG3201
Rack Elevations
RU Rack RR3
Power BTU lbs
Equipment Information
Watts AC DC Hostname Purpose Vendor Model Serial No.
48
47
46
45
44
43
42
41
40
39
38
37
36
35
34
33
32
31
30
29
28
27
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22
21
20
19
18
17
16
15
14
13
12
11
10
9
8
7
6
5
4
3
2
1
AC Power (V) 120 DC Power (V) -48
When designing for failover power loading, a circuit breaker should not exceed 40% max load per side (A/B)
0A @ -48V DC
Total Weight (lbs) 0 lbs
Notice -- A circuit breaker should not be loaded above 80% continuous load. [NEC Sec. 384-16(c)] | 20A CB = 16A Max Load | 30A CB = 24A Max Load | 40A CB = 32A Max Load
Total Watts 0 Watts
Total BTU p/hr 0 BTU p/hr 0A @ 120V AC
Rack Elevations
RU Rack RR4 (future)
Power BTU lbs
Equipment Information
Watts AC DC Hostname Purpose Vendor Model Serial No.
48
47
46
45 Fortigate FG201F 120 x 409 business network firewall Fortigate FG201F
44
43
42 Cisco C9500 650 x 2218 business network switch Cisco C9500
41
40
39 1400 x 4777 business network server Dell PowerEdge RS650
38
37
36
35
34
33
32
31
30
29
28
27
26
25
24
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22
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13
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10
9
8
7
6
5
4
3
2
1
AC Power (V) 120 DC Power (V) -48
Notice -- A circuit breaker should not be loaded above 80% continuous load. [NEC Sec. 384-16(c)] | 20A CB = 16A Max Load | 30A CB = 24A Max Load | 40A CB = 32A Max Load
When designing for failover power loading, a circuit breaker should not exceed 40% max load per side (A/B)
Dell PowerEdge RS650
Total BTU p/hr 7404 BTU p/hr 18.08A @ 120V AC 0A @ -48V DC
Total Weight (lbs) 0 lbs
ISP Cross-connect
Total Watts 2170 Watts
Rack Elevations
RU Rack RR5
Power BTU lbs
Equipment Information
Vendor Model Qty Power A/B Volts Typical Max Typical Max Qty Amps Max Power
Calix E9-2; CLX; XG3201 7 DC Y 48 12.50 12.50 600 600 2 25 1,200
DC Power 25 1,200
Fortigate FG201F 2 AC N 110 1.09 1.11 120 122 1 1 122
Cisco C9500-48Y4C-A 2 AC N 110 5.91 5.91 650 650 1 6 650
Dell PowerEdge R650 2 AC N 110 4.55 12.73 500 1,400 1 13 1,400
AC Power (inverter @ 110v)3 20 2,172
DC System Capacity +20%headroom 4,046
2 AC N 230 9.95 56.30 2,289 12,949 2 10 2,289
AC Power (service) +20%headroom 6,793
Estimated AC Service 1-Phase @ 240v (max w/HVAC lock-rotor)28
Estimated Cooling/humidty (max tons)1
Estimated Generator Service (kW)16,995
Unit Amps Unit Power University Avenue
Estimated Power and Cooling Calculations
Waterloo IA Prefabricated Concrete Shelter Page | 1
REQUEST FOR BID
Prefabricated Concrete Shelter Contract #1113
512 University Avenue
Waterloo IA
June 2025
Waterloo IA Prefabricated Concrete Shelter Page | 2
1 Base Bid – New Concrete Shelter
The Proposed Solution should be developed to incorporate the specifications and requirements described in this
BID. A list of Attachments and Exhibits containing additional specifications and requirements for this BID include:
1. Attachment A - Conceptual Shelter Layout: provides a conceptual shelter floorplan.
2. Attachment B - Equipment Rack Elevations: provides a reference diagram of each rack and the maximum
power draw of its equipment for use in configuring the proposed AC/DC power systems, distribution, and
cooling.
3. Attachment C - Estimated Power and Cooling Specifications: provides reference power and cooling
requirements for the shelter using the maximum power draw from vendor data sheets for use in
configuring the proposed AC/DC power systems, distribution, and cooling.
4. Attachment D - Site Location: provides an overhead view of the property, the location available for the
shelter, and its orientation.
Owner will provide Seller access to the assets, services, and infrastructure of Owner to the extent they are
available and are needed for construction and installation of the Proposed Solution. Owner will use its best
efforts to make such assets, services, and facilities available to Seller upon request.
The Owner requires the shelter and generator components of this bid to be installed and commissioned by
10/23/25. Sellers that cannot commit to this date may be disqualified.
1.1 Physical Construction
The shelter shall conform to the design, floor plan, and usable square footage represented in
Attachments A - D.
The shelter shall be of precast concrete construction with a new polyvinyl covering.
Minimum Outside Dimensions shall be approximately: 12’ width, 16’ length, 10’ height.
Maximum Outside Dimensions shall be approximately: 12’ width, 20’ length, 10’ height.
Interior Dimensions shall be no less than 1’ smaller than the outside dimensions.
The minimum structural load ratings shall be:
• 150 pounds per sq ft distributed floor load capacity on foundation
• 100 pounds per sq ft distributed roof load
• 130 mph wind speeds
The shelter shall include one (1) 36” wide X 84” high insulated steel exterior door with cast-in painted
steel door frame, tamper-proof hinge, aluminum threshold and door sweep, weather-stripping,
panic hardware with lever handle, deadbolt lockset, hydraulic door closer, and fiberglass weather
hood.
The shelter shall include one J-Box adjacent to the door for card reader prep.
The exterior of the shelter shall be exposed aggregate with a medium beige colored exterior finish.
The shelter walls shall be bullet-proof to a minimum UL 752 Level 4 standard.
The shelter walls shall have a minimum two-hour fire rating.
The shelter shall be insulated to a minimum of R-11 for walls, R-15 for ceiling, and R-7 for floor.
The interior walls and ceiling shall be sheathed with white HDPE coated board or equivalent.
The floor covering shall be a light-colored material grounded for electrostatic discharge.
Waterloo IA Prefabricated Concrete Shelter Page | 3
The shelter shall have anchor points at each corner of the base, sufficient to provide stable support
of the shelter at the specified wind speed.
The Seller shall provide detailed specifications for use in constructing a suitable foundation for the
shelter. The specifications shall include all penetrations, tie-downs, conduit entrances, ground
field, and utility/genset connections required in the foundation.
The Seller shall ensure the proposed shelter complies with all Federal, State, and Local building
codes in Waterloo IA.
1.2 AC Power Distribution Service
Supply and install a NEMA-compliant meter base on the exterior that will accept a single-phase
120/240v 200A utility service and meter from the local utility provider.
Supply and install a 1” thick plywood board (3’ x4’) back- board on the interior for mounting the AC
service panel and master AC Mains on/off switch.
Supply and install a service-rated disconnect switch and a 120/240VAC 200A single-phase NEMA-1
snap-in service distribution panel including breakers for all installed equipment and loads. The panel
should have 42 positions capable of accepting snap-in resettable breakers (See Attachments A - D).
Extend correct gauge wiring rated at 200 A from the utility meter through the wall to the AC Mains
on/off switch. All exterior electrical wire will be protected in ridged EMT-type conduit.
Supply and install a secondary transient surge protector device near the AC load center.
Supply and install a low-profile 120/240VAC single-phase service-rated Auto Transfer Switch (ATS) in
an internally mounted NEMA enclosure to activate a secondary VAC feed from the back-up power
generation system when the primary power is disrupted. ATS service must be user-programable, to
institute power disruption generation engagement tests on a maintenance interval basis.
Supply and install AC outlets as follows (See Attachments A - D):
• Four (4) 120v NEMA 5-15R wall mounted specification grade duplex receptacles on the front and
rear walls of the shelter and above the work desk on a shared breaker.
• Two (2) 240v NEMA L6-30R twist lock receptacles mounted above relay rack RR5 to the cable
ladder trays above it wired to breakers in the AC main panel.
• Two (2) 120v NEMA L5-20R twist lock receptacles mounted above relay rack RR5 to the cable
ladder above it wired to breakers in the AC inverter subpanel.
• One (1) 120v NEMA 5-15R specification grade exterior duplex receptacle on a ground fault
interrupter circuit and 20A breaker.
Supply and install appropriate breakers for all AC loads in the shelter. Each breaker’s purpose shall
be clearly labeled.
Supply and install two (2) 50A 120v/240v breakers for connection to the DC power system rectifier
shelf.
All wiring shall be installed in surface-mounted conduit or wireways and shall be in full compliance
with ANSI/NFPA-70 – The National Electric Safety Code, latest revision.
1.3 Grounding/Bonding/Lightning Protection System
All grounding cabling shall route/terminate to a single point. AC shall reference the panel’s neutral
ground bond and DC shall reference its common bus bar. Those common points shall be bonded to
an exterior ground rod.
Supply and install a stranded # 4/0-gauge wire serving as a neutral ground bus, secured with tie
straps to the overhead ladder rack and bonding all electrical components to a very-low resistance
ground rod installed in the soil near the utility meter.
Waterloo IA Prefabricated Concrete Shelter Page | 4
Supply and install one (1) 1/4” X 4” X 20” insolated ground plate for bonding the neutral ground bus
to the equipment racks.
Supply and install one 3/16” x 3/4” copper bus bar at the top of RR3 through RR5
Bond all high voltage equipment, enclosures, racks, and cable paths to the ground plate using # 4/0
ground conductor.
The shelter shall have a 3/4” round exterior exit at the base of the wall below the isolated ground
plate to be used for ground conductor connection to the exterior ground field.
1.4 Interior and Exterior Lighting
Supply and install six (6) LED ceiling fixtures rated at 3500lum/4000kel, wired-back to an entry door
switch (See Attachments A - D).
Supply and install an “Emergency Exit” light fixture (red), unswitched.
Supply and install an exterior dusk-to-dawn light above the entry door with a protective steel guard.
Supply and install an emergency power-fail LED safety operating light connected to a 90-minute
minimum field-serviceable DC battery pack that turns on/off with power from AC mains panel and
recharges automatically.
1.5 Air Conditioning System
Supply and install two (2) new 1.5-ton, 240V/single-phase, 11 EER or better, external mount air
conditioning units with low ambient and compressor anti cycle controls, integral electric strip heat,
and washable dust filters. The AC units will be mounted to the outside wall of the shelter (See
Attachments A - D).
The system will be equipped with redundant lead/lag controls as required to allow equal operating
time on each air conditioning unit.
The system shall include an Ethernet/IP controller supporting remote monitoring of system status,
performance, and alarms.
Supply and install wall-mounted temperature and humidistat controls.
The chosen supplier must be able to readily maintain the units, provide phone support, and stock
critical replacement parts from a local office within 1 hour of Owner.
The units will be wired back to the AC distribution panel to appropriate breakers and ground.
1.6 Fire Suppression System
Seller will provide an appropriately sized fire suppression system utilizing a widely available clean
agent with a delayed discharge trigger and manual controls for emergency discharge and
cancellation of a triggered event.
The system shall include an Ethernet/IP controller supporting remote monitoring of system status,
performance, and alarms.
Seller will perform all pressure testing and certification of system in compliance with Owner fire
code.
The chosen supplier must be able to readily maintain the system, provide phone support, and stock
critical replacement parts from a local office within 1 hour of Owner.
1.7 Additional Accessories and Built-In Features
Supply and install two (2) 2-post 19” wide x 7.0’ high equipment racks positioned at RR3 – RR4 and
Waterloo IA Prefabricated Concrete Shelter Page | 5
one (1) 4-post 19” wide x 7.0’ high equipment racks positioned at RR5, spaced according to
Attachments A - D and described below:
• RR1 – space for a 23” rack containing a -48v DC power system, breaker panel, and batteries
• RR2 – space for a 23” rack for future growth
• RR3 – 19” rack for backbone/distribution FDPs and OLT access equipment (DC power)
• RR4 – 19” rack for future growth
• RR5 – 19” 4-post rack with square hole mounting for AC powered equipment
Supply and install an overhead 12” wide cable ladder tray distribution system approximately 12”
above the racks and 12” below the ceiling to manage cable drops to each of the racks and entrance
fiber distribution to the FDPs (See Attachments A - D).
The shelter will include two cable entrances located 12” below ceiling and sized to accommodate a
22” radius cable sweep onto the ladder. The entrances will be approximately 15” x 16” and
positioned within 22” x 28” wall recesses for mounting of an external NEMA-3 enclosure.
The cable entrances will be covered with a NEMA-3R enclosure, sealed to the shelter wall, with 6 x
2” conduit ports in the bottom and a removable lid.
Seller shall disclose all warranties on the shelter structure and components to the Owner in their
response.
All warranties shall be extended and transferred to the Owner upon final acceptance at delivery.
Warranty periods shall begin on the date of shelter commission.
Supply and install a wall-mounted holder for shelter documentation to ensure that all required
operational instructions, equipment manuals, wiring/cable drawings, certifications, support contact
information, safety guidelines any other pertinent documents are both displayed and stored
together.
Supply two (2) complete sets of master as-built documents (1-digital, 1-paper) containing the shelter
mechanical, electrical, fire suppression, DC power, and low voltage designs, and all approvals of the
local utility provider, public works, and local fire Marshall.
Supply and install safety components including first aid kit, eye wash station, and fire extinguisher.
Shelter installation kit shall include:
• Tie-down plates and hardware
• Touch up paint for shelter/trim/HVAC
• Door lock for secure travel during shipping
• Concrete patch
• Extra caulk for awning/etc.
1.8 Back-Up Diesel Generator
Supply and install a single-phase 120/240v 20kW diesel generator and provide all required
connections to the ATS for normal operations.
The generator tank shall be sized for a minimum 24-hour runtime supporting the full estimated AC
load of the shelter as shown in Attachments A - D.
The generator shall provide electronic control for automatic remote starting/stopping, frequency
and voltage regulation, alarm and status message display, output metering, auto-shutdown at fault
detection, and self-diagnostic capabilities.
The generator shall support SNMP-based telemetry to monitor operational status including, but not
limited to, run state, temperature, oil level, run time, and fuel level.
The generator shall support a flexible exercise mode to allow exercise time, frequency and duration
Waterloo IA Prefabricated Concrete Shelter Page | 6
at the Owner’s preference.
The generator shall include a battery heater.
Seller shall specify the expected date for delivery and install.
1.9 Inspection, Delivery, and Commissioning
Provide pictures and/or video of the shelter construction progress periodically to enable the Owner
to provide immediate feedback and issue change orders if any are identified prior to final inspection.
Provide transportation and offload of each shelter to the Owner’s designated location. The Seller
shall coordinate end-to-end transportation including any intermediate transfers in transit, and will
specify the cost of transportation, offload, and insurance for each shelter on separate line items in
their response.
The Seller shall retain ownership of the shelters until formal acceptance by the Owner at the point
of delivery. All shelter components should be disassembled and packaged to withstand
transportation.
The Seller is responsible for complying with all weight restrictions on all transportation routes.
Packaging of the shelters and inside plant components to meet these restrictions must be included
in all quoted pricing.
The Seller shall provide professional services to reassemble all components located inside and
attached to the shelter after site prep and AC power connections are completed. The Seller shall
commission the shelter systems and train Owner staff on all supplied components.
The Seller shall commission the generator to verify proper start-up and transfer switch operation.
2 Alternate Bid – Refurbished Concrete Shelter
2.1 Refurbished Specifications
Propose a refurbished concrete shelter meeting the approximate dimensions, minimum
specifications, and other requirements of Section 1.1.
Outside and inside dimensions of refurbished structures may vary no more than 6” in length and
width from those listed in Section 1.1.3 and 1.1.4.
The Seller shall perform the following tasks in refurbishing the shelter:
• Thoroughly clean, refinish, and seal all concrete surfaces
• Cap and seal all unused entry ports
• Inspect and seal all wall/floor/ceiling penetrations
• Caulk all seams
• Replace/refinish all metal components that are damaged and/or rusted
2 KGAN 1 (CBS)101 ESPN 140 Travel Channel 202 Disney, Jr.
3 KGAN 2 (FOX)102 ESPN2 141 Destination America 203 Disney XD
4 KRIN (IPBS)103 Fox Sports 1 142 TLC 204 Boomerang
5 KPXR (ION)106 Big Ten Network 144 Oxygen 214 Game Show Network
7 KWWL 1 (NBC)107 BTN Extra 1 145 OWN 221 NatGeo Wild
8 KWWL 2 (Heroes & Icons)108 BTN Extra 2 148 Freeform 225 NASA 4K
9 KCRG 1 (ABC)111 Golf Channel 149 E!226 NASA TV
10 KCRG 2 (MyNetworkTV)112 NFL Network 150 Lifetime 227 NASA Media
11 KCRG 3 (CW)113 Motortrend 151 Lifetime Movie 231 Lifetime Real Women
15 KGAN 3 (Quest)114 TNT 152 Bravo 233 Hallmark Drama
16 KFXA 1 (Dabl)115 Tennis Channel 153 A&E 242 RFD-TV
17 KFXA 2 (Charge!)120 CNN 154 TBS 243 FYI
19 KFXA 3 (TBD)121 Headline News 155 FX 244 Viceland
20 KFXA 4 (Stadium)122 Fox News Channel 156 FXX 245 Military History
21 KFXA 5 (Comet)123 Fox Business Network 158 USA 246 Crime & Investigation (CI)
23 KRIN 2 (IPBS Kids)124 MSNBC 159 SyFy 247 Pixl
24 KRIN 3 (IPBS World)125 CNBC 160 truTV 248 Magnolia
25 KRIN 4 (IPBS Create)126 CSPAN 161 Investigation Discovery (ID)249 Cooking Channel
27 KPXR 2 (Grit)127 CSPAN 2 162 American Heroes Channel 253 FXM
28 KPXR 3 (Bounce TV)128 CSPAN 3 165 Hallmark Channel 254 Turner Classic Movies
29 KPXR 4 (Laff)129 The Weather Channel 167 Hallmark Movies & Mysteries
30 KPXR 5 (QVC)130 Disney Channel 168 INSP
31 KPXR 6 (HSN)131 Cartoon Network 171 Trinity Broadcast Network 301 ESPNews
37 KWWL 3 (MeTV)132 Discovery Family 172 TBN Inspire (fmr. Hillsong)302 ESPNU
38 KWWL 4 (Court TV)133 National Geographic 173 EWTN 304 SEC Network
39 KWWL 5 (True Crime Network)134 Animal Planet 181 ES.TV 305 SEC Network Plus
40 Local Weather 135 Discovery Channel 182 MyDestination.tv 306 ACC Network
41 Public access 136 History 183 Cars.TV 317 Fox Sports 2
42 Government access 137 HGTV 184 Comedy.TV 330 MavTV
138 Food Network 185 Pets.TV 340 Outdoor Channel
139 Science Channel 186 Recipe.TV 342 Sportsman Channel
343 World Fishing Network
Waterloo Fiber Proposed Channel Lineup (06/11/2025)
Tier 1 (Basic)Tier 2 (Basic Plus)Tier 3 (Family Plus)
Tier 4 (Sports Plus)
Tier 2 (Basic Plus) (continued)
1
EMPLOYMENT AGREEMENT
This Employment Agreement (the “Agreement”) is made and entered into effective as of June
23, 2025, by and between the Waterloo Telecommunications Utility, Waterloo, Iowa, d/b/a
Waterloo Fiber, a municipal communications utility (the “Employer”), and Danna Morrow (the
“Employee”), each of whom understand as follows:
WHEREAS, Employer desires to employ the services of Employee to serve in the capacity of
Customer Service Manager; and
WHEREAS, it is the desire of the Board of Trustees of the Waterloo Telecommunications Utility
(hereinafter the “Board”), to provide certain benefits, establish certain conditions of employment,
and set working conditions of said Employee; and
WHEREAS, it is the desire of Employer to secure and retain the services of Employee, to
provide inducement for her to continue to remain in such employment, and to provide a means
for terminating Employee’s services at such time as she may be unable to fully discharge her
duties or when Employer may otherwise desire to terminate her employment; and
WHEREAS, Employee desires to be employed as Customer Service Manager of the Waterloo
Telecommunications Utility.
NOW, THEREFORE, in consideration of the mutual covenants herein contained, the parties
agree as follows:
1. Term of Agreement
1.1. Employee understands that she serves as Customer Service Manager at the discretion of the
General Manager of Telecommunications (the “General Manager”). Nothing in this Agreement
shall prevent, limit, or otherwise interfere with the right of the General Manager to terminate the
services of the Employee, at any time, subject only to the provisions set forth in this Agreement.
1.2. This Agreement shall expire on June 23, 2030, or upon termination of Employee’s
employment, whichever occurs first. The Agreement shall be renewed for an additional five-year
term unless one party delivers to the other party a written notice of non-renewal on or before
March 23, 2030.
1.3. Nothing shall prevent, limit or otherwise interfere with the right of the Employee to resign at
any time from her position with the Employer, subject only to the provisions set forth in this
Agreement.
2. Compensation
2.1. Base Salary: Employer agrees to pay Employee an annual base salary of $70,000.00 per
calendar year payable biweekly in equal installments. Effective January 1 of each calendar year,
commencing on January 1, 2024, Employee’s annual base salary shall be increased by 2% as a
cost-of-living adjustment. The amount of the annual base salary shall be set by Board resolution,
which resolution, when adopted, shall become part of this section of the Agreement. This
2
Agreement shall be automatically amended to reflect any other salary adjustments provided or
required by the Employer’s compensation policies.
2.2. Customer Sign-up Incentive Pay: In recognition of the vital role that the Employee serves in
operating the Employer’s business and ensuring the timely and high-quality delivery of services
to the Employer’s customers, and as an incentive for the Employee to oversee and direct
customer service so as to subscribe and maintain the greatest number of customers for the
services offered or to be offered by the Employer, the Employer desires to offer incentive
compensation to the Employee as described in the Waterloo Fiber Incentive Compensation Plan.
Each calendar year during the term of this Agreement, the Employee shall be entitled to receive
an incentive payment (the “Incentive”) calculated as set forth in said Plan. Except as set forth in
Section 2.3 below, the Employer shall pay the Incentive to the Employee no later than March 31
of the following year.
2.3. Incentive Forfeiture and Repayment: Notwithstanding anything to the contrary in Section
2.2, Employee shall forfeit the Incentive in its entirety if, at any time before the Incentive is paid,
(a) the employment of Employee is terminated for cause, as defined in Section 5 below, or (b)
such employment is terminated for reasons other than cause but Employee has violated any of
the restrictive covenants set forth in Section 13. If, during any post-employment period in which
the restrictive covenants set forth in Section 13 are in force, the Employee is found to have
engaged in conduct that violates any of such restrictive covenants, then in the Employer’s sole
discretion and upon written demand the Employee shall be required to repay to the Employer the
most recent Incentive payment received by the Employee. In addition to other methods,
repayment may occur by offset against any severance payments owed.
2.4. Employer shall not, at any time during this Agreement, reduce the base salary or other
benefits of Employee, except to the degree that such reduction occurs across-the-board for all
employees of Employer. This provision shall not apply to the incentive pay structure detailed in
Section 2.2 of this Agreement.
2.5. The Employee may be eligible to receive a one-time base salary increase of $3,000.00 after
December 23, 2025, for completion of a successful first six months of employment. The
Employee may be eligible to receive a final, one-time base salary increase of $3,000.00 after
June 23, 2026, for completion of a successful first year of employment. The one-time base
salary increases shall be conditioned on completion of satisfactory six month and one-year
performance evaluations. The performance evaluations shall be conducted in accordance with
Section 3 of this Agreement.
3. Performance Evaluation
3.1. The General Manager shall review and evaluate the performance of the Employee at least
once annually. Said review and evaluation will be fair and reasonable based on the Employee’s
job description on file and job performance based on criteria developed by Employer. Further,
the General Manager shall provide the Employee with a summary written statement of the
General Manager’s performance review and evaluation and provide an adequate opportunity for
the Employee to discuss her evaluation with the General Manager.
3
3.2. Annually, the General Manager and Employee shall define such goals and performance
objectives which they determine necessary for the proper operation of the Waterloo
Telecommunications Utility and in the attainment of the Board’s policy objectives and shall
further establish a relative priority among those goals and objectives, said goals and objectives to
be reduced to writing. They shall generally be attainable within the time limitations as specified
and the annual operating and capital budgets and appropriations provided.
3.3. In effecting the provisions of this section, the General Manager and Employee mutually
agree to abide by the provisions of the applicable law.
4. Resignation
4.1. In the event Employee voluntarily resigns her position with Employer during her
employment, Employee shall give Employer thirty (30) days’ written notice in advance unless
the parties mutually agree otherwise.
4.2. In the event Employee voluntarily resigns her position with Employer during employment
and provides written notice, Employee shall receive payment for unused vacation, sick and
personal time and other benefits usually paid other Employees at separation pursuant to
Employer's policies and procedures, unless otherwise specified in this Agreement.
4.3. If Employee does not provide proper written notice and voluntarily resigns from this
position with Employer during employment, Employee shall not be entitled to receive any
severance benefits, except she shall be eligible to receive payment of unused vacation, sick and
personal time consistent with what is usually paid to other employees who voluntarily resign
without proper written notice.
5. Termination for Cause
5.1. Employer may immediately terminate this Agreement at any time for cause. If Employee is
terminated for cause, she shall receive no severance pay, except she shall be eligible to receive
payment for unused vacation, sick and personal time and other benefits usually paid other
Employees who are terminated for cause pursuant to the Employer’s policies and procedures.
5.2. For purposes of this Agreement, the term “for cause” shall mean, in the General Manager’s
judgment, (a) serious misconduct, including but not limited to conduct, whether personal or
professional, that may bring public embarrassment or disgrace to the Employer, (b) conviction of
a serious violation of law or regulations, (c) documented unsatisfactory performance consistent
with regulations set forth in the employee handbook, (d) failure to meet goals and performance
objectives set by the Board, or (e) material breach of any of the terms of this Agreement,
particularly including but not limited to any of the restrictive covenants set forth in Section 13.
6. Termination Without Cause; Severance
6.1. In the event Employer wishes to terminate employment without cause, it may do so by
giving the Employee 90 days’ notice in writing. In such event, the Employee, if requested by the
Employer, shall continue to render her services and shall be paid her regular compensation to the
date of termination per the written notice.
4
6.2. Upon termination without cause the Employee shall be entitled to 90 calendar days of
severance pay from the termination date and payment of unused vacation, sick and casual time
and other benefits usually paid other Employees at termination pursuant to Employer's policies
and procedures.
6.3. All health insurance benefits the Employee is participating in at the time of separation shall
also continue for 90 calendar days after the date of employment termination.
6.4. With respect to any severance payments made to the Employee, the Employer agrees to pay
the Employee every two weeks equal to 90 calendar days’ aggregate salary minus any and all
applicable taxes, plus continue paid health insurance payments for the same duration.
7. Health and Dental, Disability, Pension and Life Insurance Benefits
Employer shall provide for leaves of absence and other benefits, including health and dental
insurance, life insurance, pension plan, and disability coverage that are consistent with the
Employer’s policies and procedures.
8. Work Hours
8.1. It is recognized that Employee must devote a significant time outside the normal office
hours to the business of the Employer, and to that end Employee will be allowed appropriate
flexibility in her normal office hours, as approved by the General Manager.
9. Paid Time Off - Sick, Vacation, Personal, and Holidays
9.1. Sick Time: A bank of 96 hours of sick time will be accrued annually on January 1 of each
calendar year.
9.2. Personal Time: On January 1 of each calendar year Employee will receive 32 hours of
personal time.
9.3. Vacation Time: Employee will be credited an additional 40 hours of vacation time upon the
effective date of this agreement. A bank of 160 hours of vacation time will be accrued annually
on January 1 of each calendar year, commencing on January 1, 2026.
9.4. Holidays: Employee is considered to be on-call twenty-four (24) hours a day; however,
unless her services are needed, the Employee shall not be required to work on those days which
have been designated as holidays by the Waterloo Telecommunications Utility.
10. Retirement
10.1. The IPERS pension plan will be available for the Employee to participate. The Employer
will contribute the state mandated employer match into the plan.
5
11. General Business Expenses
11.1. Professional Dues and Subscriptions: Employer agrees to budget for and to pay for
reasonable professional dues and subscriptions of the Employee necessary for continuation and
full participation in national, regional, state, and local associations, and organizations necessary
and desirable for the Employee’s continued professional participation, growth, and advancement,
and for the good of the Employer.
11.2. The Employer acknowledges the value of having Employee participate and be directly
involved in local civic clubs or organizations. Accordingly, Employer shall pay for the
reasonable membership fees and/or dues to enable the Employee to become an active member in
said clubs or organizations.
11.3. Travel Expense: Employer agrees to pay for eligible and properly approved travel expenses
of Employee according to policies and procedures adopted by the Board. Receipts for all
expenses, meeting agendas, Employee expense reports and any other documents required by
policy shall be attached to paperwork submitted for payment, in accordance with bill payment
policies and procedures adopted by the Board. Such documents shall be submitted as soon as
possible after expenses are incurred.
11.4. The Utility agrees to reimburse the Employee for approved expenses as soon as possible
after proper documentation is provided. Reimbursement will be made in accordance with the
Utility’s bill payment schedule.
11.5. Employer shall furnish the Employee all equipment, material, manpower and transportation
necessary to the efficient performance of the official duties of Employee’s position as
determined by the Board.
12. Miscellaneous
12.1. Employee shall perform those duties as outlined in the job description approved by the
Board, which establishes the Customer Service Manager position.
12.2. Employee shall devote her full time and talents to the best of her ability and to the best
interest of the Waterloo Telecommunications Utility, in the discharge of her duties.
12.3. The employment provided for by this Agreement shall be the Employee’s primary
employment. Any outside activity or employment duties may only be performed by Employee
during Employer non-working hours and must not interfere with Employee’s ability to properly
perform her job duties for Employer or pose a conflict of interest with Employer. When such
outside employment consists of professional consultation or other related services, prior approval
must be received from the General Manager.
12.4. Employer agrees that it shall defend, hold harmless, and indemnify the Employee against
any tort, professional liability from all demands, claims, suits, actions, errors, whether groundless
or otherwise, arising out of an alleged act or omission occurring in the performance of
Employee’s duties in legal proceedings brought against her in her individual capacity or in her
6
official capacity, provided the incident arose while she was acting within the scope of her
employment and not attributable to the Employee’s gross negligence or willful misconduct.
12.5. If in the good faith opinion of the Employer and Employee, conflict exists as regards to the
defense of any such claim between the legal position of the Employer and the Employee, the
Employee may engage counsel, in which event the Employer shall indemnify the Employee for
the reasonable cost of legal counsel.
12.6. The Employer agrees to pay all reasonable litigation expenses of Employee throughout the
pendency of any litigation to which the Employee is a party, witness or advisor to the Employer.
Such expense payments shall continue beyond Employee’s service to the Employer as long as
litigation is pending.
12.7. Employer agrees to pay Employee reasonable consulting fees and travel expenses when
Employee serves as a witness, advisor or consultant to Employer regarding pending litigation, if
the Employee is no longer working for the Employer at that time.
12.8. Employer shall bear the full cost of any fidelity or other bonds required of the Employee
under any law.
12.9. Employee acknowledges that the Employer is in an organizational phase and certain
policies and procedures relating to the organization are being developed. Employee agrees to
work with the General Manager to develop policies and procedures for the Employer and abide
by such policies and procedures upon adoption by the Board.
13. Restrictive Covenants
13.1. Covenant Against Competition: During the term of Employee’s employment with the
Employer and for a period of two (2) years from the voluntary or involuntary termination of
Employee’s employment with the Employer for any reason whatsoever, Employee will not,
directly or indirectly, solicit business with any current or potential customer, wherever located,
of Employer.
13.2. Covenant Against Disclosure of Confidential Information: During the term of Employee’s
employment with the Employer, and at any time after the voluntary or involuntary termination of
Employee’s employment with the Employer for any reason whatsoever, Employee shall not use
for any purpose other than the Employer’s purposes, or disclose to any person or entity except as
necessary in the ordinary conduct of Employer’s business and subject to the recipient’s execution
of a non-disclosure agreement, any confidential information acquired during the course of her
employment with the Employer. Employee shall not, directly or indirectly, copy, take, or remove
from the Employer’s premises, any of the Employer’s books, records, customer lists, or any other
documents or materials. The term “confidential information” as used in this Agreement includes,
but is not limited to, records, lists, and knowledge of the Employer’s customers, methods of
operation, plans, processes, trade secrets, and personnel records, as the same may exist from time
to time, subject to such disclosures are may be required under the Iowa Open Records Law.
13.3. Non-solicitation of Customers: During the term of Employee’s employment with the
Employer and for a period of two (2) years from the voluntary or involuntary termination of
7
Employee’s employment with the Employer for any reason whatsoever, Employee shall not
solicit, induce, or attempt to induce any past or current customer of the Employer (a) to cease
doing business in whole or in part with or through the Employer; or (b) to do business with any
other person, firm, partnership, corporation, or other entity which performs services materially
similar to or competitive with those provided by the Employer.
13.4. Non-solicitation of Employees: During the term of Employee’s employment with the
Employer and for a period of two (2) years from the voluntary or involuntary termination of
Employee’s employment with the Employer for any reason whatsoever, Employee shall not
solicit for employment or employ, or solicit for engagement or engage as an independent
contractor, any employee of the Employer, nor induce, influence, recruit, encourage or otherwise
attempt to cause any employee of the Employer to terminate his or her employment with the
Employer.
13.5. Remedies: In addition to all the remedies otherwise available to the Employer, including,
but not limited to, recovery from Employee of damages and reasonable attorneys’ fees incurred
in the enforcement of this Agreement, the Employer shall have the right to injunctive relief to
restrain and enjoin any actual or threatened breach of the terms of this Agreement. All the
Employer’s remedies for breach of this Agreement shall be cumulative and the pursuit of one
remedy shall not be deemed to exclude any other remedies.
13.6. Reasonableness of Restrictions: Employee has carefully read and considered the
provisions of this Section 13 and, having done so, agrees that the restrictions set forth herein
(including, but not limited to, the time period of restriction and the geographical areas of
restriction) are fair and reasonable and are reasonably required for the protection of the
legitimate business interests of the Employer.
14. General Provisions
14.1. Integration: This Agreement sets forth and establishes the entire understanding between the
Employer and the Employee relating to the employment of the Employee by the Employer. Any
prior discussions or representations by or between the parties are merged into and rendered null
and void by this Agreement. The parties by mutual written agreement may amend any provision
of this Agreement.
14.2. Binding Effect: This Agreement shall be binding on the Employer and the Employee as
well as their respective heirs, assigns, executors, personal representatives and successors in
interest.
14.3. Effective Date: This Agreement shall become effective on Employee’s first date of
employment.
14.4. Severability: The invalidity or partial invalidity of any portion of the Agreement will not
affect the validity of any other provision. In the event that any provision of this Agreement is
held to be invalid, the remaining provisions shall be deemed to be in full force and effect as if
they have been executed by both parties subsequent to the expungement or judicial modifications
of the invalid provision.
8
14.5. Other Terms and Conditions of Employment: Employer, in consultation with the
Employee, may fix any such other terms and conditions of employment, as it may determine
from time to time, relating to the performance of the Employee, provided such terms and
conditions are not inconsistent with or in conflict with the provisions of this Agreement, policies,
or any other law.
14.6. Governing Law: This Agreement shall be governed by the laws of the State of Iowa.
15. Notices
15.1. Notices pursuant to this Agreement shall be given by deposit in the custody of the United
States Postal Service, postage prepaid, addressed as follows:
Employer: Board Secretary
City Hall
715 Mulberry Street
Waterloo, IA 50703
Employee: Danna Morrow
2059 Independence Avenue
Waterloo, IA 50707(or to her most recent residence address as shown in
the personnel or payroll records of the Employer)
Alternatively, notices required pursuant to this Agreement may be personally served in the same
manner as is applicable to civil judicial practice. Notice shall be deemed given as of the date of
personal service or as the date of deposit of such written notice, postage prepaid, in a US Postal
Service receptacle.
16. Disputes
16.1. Informal Negotiation: The parties shall initially attempt to resolve all claims, disputes, or
controversies arising under, out of, or in connection with this Agreement by conducting good
faith negotiations. The dispute shall be considered to have arisen when one party sends to the
other party a written notice of dispute. If the parties are unable to resolve the matter following
good faith informal negotiations within thirty (30) days, the parties agree to submit the dispute to
mediation.
16.2. Mediation: Within fourteen (14) days following the expiration of the time period for
informal negotiations in 16.1, the parties shall attempt to agree upon a neutral and qualified
mediator to assist the parties in resolving the dispute. If the parties fail to agree upon a mediator,
the parties shall request the American Arbitration Association (“AAA”) to appoint a qualified
mediator for a mediation to be held in Black Hawk County, Iowa. The period for mediation shall
commence upon the appointment of the mediator and shall not exceed sixty (60) calendar days,
unless such time period is extended by mutual agreement of the parties. The mediator’s fees and
AAA fees shall be shared equally by the parties, but otherwise the parties will bear their own
costs for mediation. If the parties are unable to resolve the matter through informal negotiations
or mediation, the parties agree to submit such dispute to arbitration, which the parties agree shall
9
be the exclusive means for resolving disputes which the parties cannot otherwise resolve as
described above.
16.3. Arbitration: Subject to prior compliance with the requirements of Sections 16.1 and 16.2,
any dispute may be resolved by arbitration conducted pursuant to Chapter 679A of the Code of
Iowa. The parties shall attempt to agree in writing upon a neutral and qualified arbitrator within
fourteen (14) days following the delivery of written notice by either party to the other party
setting out the dispute in general terms and requesting that the dispute be resolved by arbitration.
If the parties cannot agree upon a single arbitrator, each party shall appoint its own arbitrator,
and the arbitrators so appointed shall themselves appoint at least one additional arbitrator to
ensure that there are an odd number of arbitrators. The decision of the arbitrator, or, in the case
of more than one arbitrator, the simple majority decision of such panel of arbitrators, shall
determine all issues in dispute between the parties. Said decision shall be final and binding and
shall not be subject to appeal on a question of fact, law, or mixed fact and law, except as
permitted under Chapter 679A. Arbitration shall be conducted in Waterloo, Iowa. Fees of the
arbitrator(s) shall be shared equally by the parties, but otherwise each party will bear its own
arbitration costs, including but not limited to attorney’s fees and expenses. Except where clearly
prevented by the area in dispute, both parties agree to continue performing their respective
obligations under this Agreement while the dispute is being resolved.
16.4. Discovery in Arbitration: Consistent with the expedited nature of arbitration, each party
will, upon written request of the other party, promptly provide the other with copies of
documents legally relevant to the issues raised by any claim or counterclaim. Any dispute
regarding discovery or the relevance or scope thereof shall be determined by the arbitrator(s),
which determination shall be conclusive. All discovery shall be completed within sixty (60)
days following appointment of the arbitrator(s).
16.5. Remedies: The arbitrator(s) may grant any relief available at law or in equity, including
but not limited to equitable remedies of specific performance and injunction. Because the
Employer will be irreparably damaged if the restrictive covenants set forth in Section 13 are not
specifically enforced, it shall be entitled to an injunction restraining any violation of the said
provisions by the Employee, or to any other appropriate decree of specific performance, in
addition to any other remedies allowed by applicable law. The Employee hereby waives any
requirement that the Employer post bond or show the likelihood of damages as a condition to
issuance of a writ of injunction.
16.6. Attorney Fees: In the event of any mediation or arbitration to interpret, settle or enforce
any of the provisions of this Agreement, each party shall bear its own attorney’s fees and costs,
except that the Employee shall bear the reasonable attorney’s fees and expenses incurred by the
Employer in any dispute where the Employee is found to have violated any of the restrictive
covenants set forth in Section 13.
IN WITNESS WHEREOF, the Waterloo Telecommunications Utility has caused this Agreement
to be signed and executed by the Board Chair as duly authorized by resolution of the Board, and
duly attested by the Board Secretary.
10
EMPLOYEE EMPLOYER
_________________________ By: ___________________________
Danna Morrow Andy Van Fleet, Board Chair
Attest: _________________________
Kelley Felchle, Board Secretary
Ahlers&Cooney,P.C.
AHLERS COONEY
Attorneys at Law
100 Court Avenue,Suite 600
ATTORNEYS Des Moines, Iowa 50309-2231
Phone: 515-243-7611
Fax: 515-243-2149
www.ahlerslaw.com
Steven M. Nadel
515.246.0306
snadel@ahlerslaw.com
June 12, 2025
Via E-Mail& Overnight UPS
City of Waterloo
Kelley Felchle
City Clerk
715 Mulberry Street
Waterloo, Iowa 50703
Re: Waterloo Municipal Communications Utility, State of Iowa
Not to Exceed$60,000,000 (amount subject to change) Communications Utility
Revenue Capital Loan Notes Anticipation Project Note, Series 2025A .
Dear Kelley:
With this letter I am enclosing suggested proceedings to be acted upon by the Board in
accepting a proposal to purchase the above Communications Utility Revenue Capital Loan Notes
Anticipation Project Note. It is my understanding that such a proposal is expected to be
considered at the June 18, 2025 meeting of the Board.
An extra copy of the proceedings is enclosed to be completed as the original and returned
to us for our transcript of the action taken.
Should you have any questions pertaining to the proposal or the enclosed proceedings,
please don't hesitate to contact me.
Very truly yours,
AHLERS & COONEY, P.C.
By
Is! Steue4 N. idee
Steven M.Nadel
SMN:kr
Enclosure
Cc: Maggie Burger
Charlotte Nielsen
4907-9325-3453-1\24268-001
02237809-1\24268-003
ITEMS TO INCLUDE ON AGENDA FOR JUNE 18,2025
BOARD OF TRUSTEES OF THE WATERLOO MUNICIPAL COMMUNICATIONS
UTILITY,WATERLOO, IOWA
Not to Exceed $60,000,000 (amount subject to change) Communications Utility Revenue Capital
Loan Notes Anticipation Project Note, Series 2025A
• Resolution Directing the Acceptance of a Proposal to Purchase Not to Exceed
$60,000,000 (amount subject to change) Communications Utility Revenue Capital Loan
Notes Anticipation Project Note, Series 2025A.
NOTICE MUST BE GIVEN PURSUANT TO IOWA CODE
CHAPTER 21 AND THE LOCAL RULES OF THE
GOVERNING BODY.
- 1 -
June 18, 2025
The Board of Trustees of the Waterloo Municipal Communications Utility, State of Iowa,
met in session, in the Harold E. Getty Council Chambers, 715 Mulberry
Street, Waterloo, Iowa, at .M., on the above date. There were present
Chairperson , in the chair, and the following named Board Members:
Absent:
Vacant:
* * * * * * *
- 2 -
Board Member introduced the following Resolution entitled
"RESOLUTION DIRECTING THE ACCEPTANCE OF A PROPOSAL TO PURCHASE NOT
TO EXCEED $60,000,000 (AMOUNT SUBJECT TO CHANGE) COMMUNICATIONS
UTILITY REVENUE CAPITAL LOAN NOTES ANTICIPATION PROJECT NOTE, SERIES
2025A" and moved that it be adopted. Board Member seconded the
motion to adopt, and the roll being called thereon,the vote was as follows:
AYES:
NAYS:
Whereupon,the Chairperson declared the Resolution duly adopted as follows:
RESOLUTION NO.
RESOLUTION DIRECTING THE ACCEPTANCE OF A
PROPOSAL TO PURCHASE NOT TO EXCEED $60,000,000
(AMOUNT SUBJECT TO CHANGE) COMMUNICATIONS
UTILITY REVENUE CAPITAL LOAN NOTES
ANTICIPATION PROJECT NOTE, SERIES 2025A
WHEREAS, the City of Waterloo, by and through its Board of Trustees of the Waterloo
Municipal Communications Utility, sometimes hereinafter referred to as the City, is a municipal
corporation duly incorporated, organized and existing under and by virtue of the Constitution and
laws of the State of Iowa; and
WHEREAS, it is deemed necessary that the City should enter into a Loan Agreement and
borrow the amount of not to exceed $60,000,000 (amount subject to change) as authorized by
Sections 76.13, Code of Iowa as amended; and
WHEREAS, a proposal has been received from of
; and
WHEREAS, it is the intention of this Board of Trustees to enter into a Loan Agreement
in accordance with said proposal dated , 2025.
NOW THEREFORE, BE IT RESOLVED, BY THE BOARD OF TRUSTEES OF THE
WATERLOO MUNICIPAL COMMUNICATIONS UTILITY, WATERLOO, STATE OF
IOWA:
- 3 -
Section 1. That this Board of Trustees does hereby accept the attached proposal of
of , and takes additional action to permit
the entering into of a Loan Agreement.
Section 2. The Chairperson and Secretary of the Board of Trustees are authorized and
directed to proceed on behalf of the City to enter into such Loan Agreement,to negotiate the
final terms of a Loan Agreement,to take all action necessary to permit the entering into of a
Loan Agreement on a basis favorable to the City and acceptable to the Purchaser, and to proceed
to meet the conditions of this accepted proposal.
PASSED AND APPROVED this day of June, 2025.
Chairperson
ATTEST:
Secretary of the Board of Trustees
(Attach Copy of Terms of Proposal)
- 4 -
CERTIFICATE
STATE OF IOWA )
) SS
COUNTY OF BLACK HAWK )
I, the undersigned Secretary of the Board of Trustees of the Waterloo Municipal
Communications Utility, Waterloo, State of Iowa, do hereby certify that attached is a true and
complete copy of the portion of the records of the Board of Trustees showing proceedings of the
Board, and the same is a true and complete copy of the action taken by the Board with respect to
the matter at the meeting held on the date indicated in the attachment, which proceedings remain
in full force and effect, and have not been amended or rescinded in any way;that meeting and all
action thereat was duly and publicly held in accordance with a notice of meeting and tentative
agenda, a copy of which was timely served on each member of the Board and posted on a
bulletin board or other prominent place easily accessible to the public and clearly designated for
that purpose at the principal office of the Board pursuant to the local rules of the Board and the
provisions of Chapter 21, Code of Iowa, upon reasonable advance notice to the public and media
at least twenty-four hours prior to the commencement of the meeting as required by law and with
members of the public present in attendance; I further certify that the individuals named therein
were on the date thereof duly and lawfully possessed of their respective offices as indicated
therein,that no Board vacancy existed except as may be stated in the proceedings, and that no
controversy or litigation is pending,prayed or threatened involving the incorporation,
organization, existence or boundaries of the City or the right of the individuals named therein as
officers to their respective positions.
WITNESS my hand and the seal of the Board hereto affixed this day of
June, 2025.
Secretary of the Board of Trustees, Waterloo
Municipal Communications Utility, Waterloo,
State of Iowa
(SEAL)
4930-0390-4589-1\24268-001
Ahlers & Cooney, P.C.
Attorneys at Law
100 Court Avenue, Suite 600
Des Moines, Iowa 50309-2231
Phone: 515-243-7611
Fax: 515-243-2149
www.ahlerslaw.com
Steven M. Nadel
515.246.0306
snadel@ahlerslaw.com
June 12, 2025
City of Waterloo
Kelley Felchle
City Clerk
715 Mulberry Street
Waterloo, Iowa 50703
RE: Waterloo Fiber, State of Iowa
Post Issuance Compliance Policy
Dear Kelley:
It is necessary that the Board adopt the attached resolution and policy prior to issuance of
the SRF loan. Please add this to the Board’s next meeting agenda. Please see further
explanation below.
For some time now, the Internal Revenue Service (the "Service") has been urging issuers
of tax-exempt obligations to adopt "written procedures" to help ensure their post-issuance
compliance with the requirements of the Internal Revenue Code of 1986, as amended. Questions
now included on the information returns which must be filed in connection with tax-exempt
borrowings, and recent guidance from the Service make it very clear that detailed post-issuance
compliance procedures should be an integral component of any issuer's bond program.
The website guidance provides as follows:
“Issuers should adopt written procedures, applicable to all bond issues,
which go beyond reliance on tax certificates included in bond documents
provided at closing. Sole reliance on the closing bond documents may result in
procedures insufficiently detailed or not incorporated into an issuer's operations.
Written procedures should contain certain key characteristics, including making
provisions for:
● Due diligence review at regular intervals;
● Identifying the official or employee responsible for review;
● Training of the responsible official/employee;
● Retention of adequate records to substantiate compliance (e.g., records related to
expenditure of proceeds);
● Procedures reasonably expected to timely identify noncompliance; and
June 12, 2025
Page 2
● Procedures ensuring that the issuer will take steps to timely correct
noncompliance.”
As a means of promoting post-issuance compliance, the Service also provides that issuers
who participate in its VCAP program, (which allows issuers to identify a post-issuance violation
to enter into a settlement with the Service to cure the violation) will receive more favorable
treatment for violations which are identified through the issuer's post-issuance compliance
procedures.
Finally, the Service has amended Form 8038-G to include additional questions as to
whether the issuer has established written procedures related to post-issuance compliance for
private business use and arbitrage rebate, which must be answered under penalties of perjury.
Another question now included on the 8038-G enquires whether the issuer has a policy to
monitor and implement corrective action when a post-issuance action might affect continued tax-
exempt treatment.
In light of these developments, I am enclosing a form of resolution and Post-Issuance
Compliance Policy for adoption. We strongly recommend that issuers adopt such policy to
ensure on-going compliance with the rules and regulations governing tax-exempt bonds, and so
that 8038-G filings may reflect the adoption of such a policy. The proposed policy enclosed
names a "Coordinator" who will monitor and retain proof of compliance. Please be sure to fill
in Section 4(a) in Exhibit “A”, page 2, with the position title of the individual who will serve
as Coordinator if it will be someone other than the General Manager. It is intended that this
policy may, in most cases, be adopted without altering existing responsibilities or policies you
may now have in place.
Please return an executed, certified original after its adoption by the Board. An extra
copy is enclosed for this purpose.
Please contact me if you have any questions or wish to discuss the purpose for this
recommendation.
Very truly yours,
AHLERS & COONEY, P.C.
By
/s/ Steven M. Nadel
Steven M. Nadel
SMN:kr
Encl.
4930-2842-4013-1\24268-001
(This Notice to be posted)
NOTICE AND CALL OF PUBLIC MEETING
Governmental Body: The Board of Trustees of the Municipal Communications Utility of
the City of Waterloo, State of Iowa.
Date of Meeting: June 18, 2025
Time of Meeting: __________ o'clock _____.M.
Place of Meeting: Harold E. Getty Council Chambers, 715 Mulberry Street,
Waterloo, Iowa.
PUBLIC NOTICE IS HEREBY GIVEN that the above mentioned governmental body
will meet at the date, time and place above set out. The tentative agenda for the meeting is as
follows:
• Resolution Approving Post-Issuance Compliance Policy
Such additional matters as are set forth on the additional ______ page(s) attached hereto.
(number)
This notice is given at the direction of the Board pursuant to Chapter 21, Code of Iowa,
and the local rules of the governmental body.
Secretary of the Board of Trustees of the
Municipal Communications Utility, City of
Waterloo, State of Iowa
1
June 18, 2025
The Board of Trustees of the Municipal Communications Utility of the City of
Waterloo, State of Iowa, met in _______________ session, in the Harold E. Getty Council
Chambers, 715 Mulberry Street, Waterloo, Iowa, at __________ _____.M., on the above
date. There were present Chairperson _______________, in the chair, and the following
named Board Members:
__________________________________________________
__________________________________________________
Absent: ___________________________________________
* * * * * * *
2
Board Member ____________________ introduced the following Resolution entitled
"RESOLUTION APPROVING POST-ISSUANCE COMPLIANCE POLICY" and moved that it
be adopted. Board Member ____________________ seconded the motion to adopt, and the roll
being called thereon, the vote was as follows:
AYES: ___________________________________________
___________________________________________
NAYS: ___________________________________________
Whereupon, the Chairperson declared the Resolution duly adopted as follows:
RESOLUTION APPROVING POST-ISSUANCE COMPLIANCE POLICY
WHEREAS, the Municipal Communications Utility of the City of Waterloo, State of
Iowa, also known as Waterloo Fiber, sometimes hereinafter referred to as the "Utility", is a
municipal corporation duly incorporated, organized and existing under and by virtue of the
constitution and laws of the State of Iowa; and
WHEREAS, various requirements apply under the Internal Revenue Code and Income
Tax Regulations (hereinafter "IRS Requirements") including information filing and other
requirements related to issuance, the proper and timely use of bond-financed property, and
arbitrage yield restriction and rebate requirements; and
WHEREAS, to comply with the IRS Requirements, governmental bond issuers must
ensure that the rules are met at the time the bonds, capital loan notes or lease-purchase
obligations (hereinafter "bonds") are issued and throughout the term of the bonds; and
WHEREAS, this includes the continued review of post-issuance obligations and
maintenance of records:
NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF TRUSTEES OF THE
MUNICIPAL COMMUNICATIONS UTILITY OF THE CITY OF WATERLOO, STATE OF
IOWA:
Section 1. The "Post-Issuance Compliance Policy" (hereinafter "Policy") attached hereto
as Exhibit A is hereby adopted and approved.
Section 2. The official designated in said policy shall take any and all action necessary to
properly implement the policy.
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PASSED AND APPROVED this _________ day of ___________, 2025.
Chairperson of the Board of Trustees
ATTEST:
Secretary of the Board of Trustees
CERTIFICATE
STATE OF IOWA
COUNTY OF BLACKHAWK
)
) SS
)
I, the undersigned Secretary of the Board of Trustees of the Municipal Communications
Utility of the City of Waterloo, State of Iowa, do hereby certify that attached is a true and
complete copy of the portion of the corporate records of the Utility showing proceedings of the
Board, and the same is a true and complete copy of the action taken by the Board with respect to
the matter at the meeting held on the date indicated in the attachment, which proceedings remain
in full force and effect, and have not been amended or rescinded in any way; that meeting and all
action thereat was duly and publicly held in accordance with a notice of meeting and tentative
agenda, a copy of which was timely served on each member of the Board and posted on a
bulletin board or other prominent place easily accessible to the public and clearly designated for
that purpose at the principal office of the Board (a copy of the face sheet of such agenda being
attached hereto) pursuant to the local rules of Chapter 21, Code of Iowa, upon reasonable
advance notice to the public and media at least twenty-four hours prior to the commencement of
the meeting as required such law and with members of the public present in attendance; I further
certify that the individuals named therein were on the date thereof duly and lawfully possessed of
their respective offices as indicated therein, that no Board vacancy existed except as may be
stated in the proceedings, and that no controversy or litigation is pending, prayed or threatened
involving the incorporation, organization, existence or boundaries of the Utility or the right of
the individuals named therein as officers to their respective positions.
WITNESS my hand this __________ day of _______________, 2025.
Secretary of the Board of Trustees of the
Municipal Communications Utility of the City
of Waterloo, State of Iowa
02369561\16548-022
1
EXHIBIT "A"
THE MUNICIPAL COMMUNICATIONS UTILITY OF THE CITY OF WATERLOO,
ALSO KNOWN AS WATERLOO FIBER, STATE OF IOWA
POST-ISSUANCE COMPLIANCE POLICY FOR
TAX-EXEMPT OBLIGATIONS
1. Definitions.
“Bonds” means all tax-exempt obligations issued by the Issuer, including but not limited to
bonds, notes and lease-purchase contracts.
"Code" means Sections 103 and 141 through 150 of the Internal Revenue Code of 1986, as
amended.
"Rules" means Sections 103 and 141 through 150 of the Internal Revenue Code of 1986, as
amended, and the U.S. Treasury Regulations promulgated thereunder.
"Advisors" means the Issuer’s bond counsel, municipal advisor, paying agent, and rebate analyst.
"Governing Body" means the Board of Trustees of the Municipal Communications Utility of the
City of Waterloo, Iowa.
"Issuer" means of the Municipal Communications Utility of the City of Waterloo, also known as
Waterloo Fiber, State of Iowa.
"Fiber System" means fiber communication system, including backbone, distribution system,
electronics, and related infrastructure and facilities.
2. Purpose. Issuers of tax-exempt governmental Bonds must comply with federal tax rules
pertaining to expenditure of proceeds for qualified costs, rate of expenditure, use of bond
financed property, investment of proceeds in compliance with arbitrage rules, and retention of
records. As an issuer of such Bonds, the Governing Body of the Issuer is required by the terms
of Sections 103 and 141 through 150 of the Internal Revenue Code of 1986, as amended, and the
U.S. Treasury Regulations promulgated thereunder, to take certain actions subsequent to the
issuance of the Bonds to ensure the continuing tax-exempt status of such Bonds. Further,
Section 6001 of the Code and Section 1.6001-1(a) of the Treasury Regulations impose record
retention requirements on the Issuer with respect to its tax-exempt governmental Bonds. This
policy is designed to ensure that the Issuer complies with its tax compliance obligations under
applicable provisions of the Rules.
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3. Effective Date and Term. The effective date of this policy shall be the date of approval
by the Governing Body, and shall remain in effect until superseded or terminated by action of the
Governing Body. The Issuer shall comply with this policy upon issuance of Bonds and as long
as the Bonds remain outstanding. This policy may be revised to comply with amendments to the
Rules during the period the Bonds are outstanding.
4. Compliance Coordinator:
a) The General Manager ("Coordinator") shall be responsible for monitoring
post-issuance compliance to ensure that the Issuer successfully carries out its tax
compliance requirements under applicable provisions of the Rules with regard to
all obligations of the Issuer.
b) The Coordinator shall be assisted by other staff and officials when appropriate
and at the Coordinator’s discretion. The Coordinator shall be responsible for
assigning post-issuance tax compliance responsibilities to other staff and to the
Advisors.
c) The Coordinator will maintain a copy of the transcript of proceedings in
connection with the issuance of any tax-exempt obligations. Coordinator will
obtain such records as are necessary to meet the requirements of this policy.
d) The Coordinator shall be authorized to retain and consult with the Advisors
during the time the Bonds are outstanding for assistance in carrying out post-
issuance tax compliance requirements. The Coordinator shall utilize such other
professional service organizations as are necessary to ensure compliance with the
post-issuance tax compliance requirements of the Issuer. The Coordinator shall
consult with the Advisors, IRS publications and such other resources as are
necessary to understand and meet the requirements of this policy.
e) Training and education of Coordinator will be sought and implemented upon the
occurrence of new developments and upon the hiring of new personnel to
implement this policy. The Coordinator shall also provide training and
educational resources to staff responsible for ensuring compliance with any
portion of the tax compliance requirements of this policy.
5. Financing Transcripts. The Coordinator shall confirm the proper filing of an 8038 Series
return, and maintain a transcript of proceedings for all tax-exempt obligations issued by the
Issuer, including but not limited to all tax-exempt bonds, notes and lease-purchase contracts.
Each transcript shall be maintained until eleven (11) years after the tax-exempt obligation it
documents has been retired. Said transcript shall include, at a minimum:
a) Form 8038s;
b) minutes, resolutions, and certificates;
c) certifications of issue price from the underwriter;
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d) formal elections required by the IRS;
e) trustee statements;
f) records of refunded Bonds, if applicable;
g) correspondence relating to bond financings; and
h) reports of any IRS examinations for bond financings.
6. Proper Use of Proceeds. The Coordinator shall review the resolution authorizing
issuance for each tax-exempt obligation issued by the Issuer, and shall:
a) obtain a computation of the yield on such issue from the Issuer’s financial
advisor;
b) create a separate Project Fund (with as many sub-funds as shall be
necessary to allocate proceeds among the projects being funded by the
issue) into which the proceeds of issue shall be deposited;
c) review all requisitions, draw schedules, draw requests, invoices and bills
requesting payment from the Project Fund;
d) determine whether payment from the Project Fund is appropriate, and if
so, make payment from the Project Fund (and appropriate sub-fund if
applicable);
e) maintain records of the payment requests and corresponding records
showing payment;
f) consult with the Advisors to ensure that such expenditures are within the
sixty (60) day period prior to the date in which the Issuer made a
"declaration of intent" to reimburse such costs or are preliminary
expenditures under the Code, in the event the Issuer seeks to utilize bond
proceeds for costs that were incurred prior to the issuance of the Bonds;
g) maintain records showing the earnings on, and investment of, the Project
Fund;
h) ensure that all investments acquired with proceeds are purchased at fair
market value;
i) identify bond proceeds or applicable debt service allocations that must be
invested with a yield-restriction and monitor the investments of any yield-
restricted funds to ensure that the yield on such investments does not
exceed the yield to which such investments are restricted;
j) maintain records related to any investment contracts, credit enhancement
transactions, and the bidding of financial products related to the proceeds;
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7. Timely Expenditure and Arbitrage/Rebate Compliance. The Coordinator shall review the
Tax-Exemption Certificate (or equivalent) for each tax-exempt obligation issued by the Issuer
and the expenditure records provided in Section 6 of this policy, above, and shall:
a) ensure that the expenditure of bond proceeds will be monitored against the
expenditure expectations represented in such certificate for such bond
issue to ensure that:
• Five percent (5%) of the net sale proceeds were spent or committed
within six (6) months of the issue date;
• Eighty-five percent (85%) of the net sale proceeds were spent within
three (3) years of the issue date; and
• the Issuer proceeded with due diligence to complete the project and
fully spend the net sale proceeds.
Failure to meet the expected expenditure expectations represented in the
tax compliance certificate for such bond issue shall be documented and
retained by the Coordinator in the records for the bond issue.
b) monitor and ensure that proceeds of each such issue are spent within the
temporary period set forth in such certificate;
c) if the Issuer does not meet the “small issuer” exception for said obligation,
monitor and ensure that the proceeds are spent in accordance with one or
more of the applicable exceptions to rebate as set forth in such certificate;
d) not less than 60 days prior to a required expenditure date confer with bond
counsel and a rebate consultant if it appears expenditures will fail to meet
the applicable temporary period or rebate exception expenditure
requirements of the Tax-Exemption Certificate; and
e) in the event of failure to meet a temporary period or rebate exception:
i. procure a timely computation of any rebate liability and, if rebate
is due, file a Form 8038-T and arrange for payment of such rebate
liability;
ii. arrange for timely computation and payment of “yield reduction
payments” (as such term is defined in the Code and Treasury
Regulations), if applicable.
f) ensure that the investment of bond proceeds is made only in permitted
investments of the Issuer as outlined in Iowa Code chapters 12B and 12C,
and any official policy;
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g) consult with the Advisors to ensure that the investment of bond proceeds
is performed in compliance with the arbitrage rules and rebate
requirements;
h) consult with the Advisors to identify bond proceeds that must be yield-
restricted and shall monitor the investments of any yield-restricted funds
to ensure that the yield on such investments does not exceed the yield to
which such investments are restricted;
i) contact the Rebate Analyst (and, if appropriate, bond counsel) prior to 1)
the fifth anniversary of the date of issuance of each issue of Bonds of the
Issuer, 2) each fifth anniversary thereafter, 3) final maturity of the Bonds,
and 4) redemption of the Bonds, to arrange for calculations and reports of
the rebate requirements with respect to such Bonds; and
j) if a rebate payment is required to be paid by the Issuer, the Coordinator
shall prepare or cause to be prepared the appropriate form to be filed with
the IRS (Form 8038-T).
8. Filings with Internal Revenue Service. The Coordinator, with assistance from bond
counsel, shall ensure that each issuance of Bonds is properly reported with the Internal Revenue
Service (IRS) as required by Section 149(e) of the Code. On the issue date of each series of
Bonds, the Coordinator shall consult with the Advisors to identify the deadline to file the
requisite IRS form for such issue.
9. Reporting the Issuance of Tax-Exempt Bonds. The original issuance of a tax-exempt
bond issue with an issue price of one hundred thousand dollars ($100,000) or greater shall be
reported on Form 8038-G. The original issuance of a tax-exempt bond issue with an issue price
less than one hundred thousand dollars ($100,000) shall be reported on Form 8038-GC.
• Forms 8038-G and 8038-GC shall be filed by the Coordinator or bond counsel no
later than the 15th day of the 2nd calendar month following the quarter in which
the Bonds were issued.
• The Coordinator shall consult with the Advisors to ensure the Form 8038-G is
accurately filled out.
10. Rebate Reporting Requirements. The Coordinator shall contact the rebate analyst prior to
1) the 5th anniversary of the issue date on each series of Bonds, 2) each 5th anniversary
thereafter, 3) final maturity of the Bonds, and 4) redemption of the Bonds, to arrange for
calculations of the rebate requirements with respect to such Bonds. If a rebate payment is
required to be paid, the Coordinator shall prepare or cause to be prepared a Form 8038-T, and
submit such Form 8038-T to the IRS with the required rebate payment. If the Issuer is
authorized to recover a rebate payment previously paid, the Coordinator shall consult with
6
Advisors and may prepare or cause to be prepared a Form 8038-R, with respect to such rebate
recovery, and submit such Form 8038-R to the IRS.
11. Proper Use of Bond Financed Assets. The Coordinator shall monitor the use of all bond-
financed facilities in order to determine whether private business uses of bond-financed facilities
have exceeded the limits set forth in Section 141(b) of the Code (generally 10% of bond
proceeds; sometimes 5% of bond proceeds) as a result of output contracts, leases and subleases,
licenses, management contracts, research contracts, naming rights agreements or other
arrangements that provide special legal entitlements to nongovernmental persons. To this end,
the Coordinator shall:
a) maintain appropriate records and a list of all bond financed assets. Such records
shall include the actual amount of proceeds (including investment earnings) spent
on each of the bond financed assets;
b) with respect to each bond financed asset, the Coordinator will monitor and confer
with bond counsel with respect to all proposed:
i. management contracts,
ii. service agreements,
iii. research contracts,
iv. naming rights contracts,
v. leases or sub-leases,
vi. joint venture, limited liability or partnership arrangements,
vii. sale of property;
viii. any other change in use of such asset;
ix. reservation of capacity or other special treatment or entitlements; or
x. output contracts (including retail and wholesale requirements
contracts);
c) maintain a copy of the proposed agreement, contract, lease or arrangement,
together with the response by bond counsel with respect to said proposal for at
least three (3) years after retirement of all tax-exempt obligations issued to fund
all or any portion of bond financed assets, or obligations issued to refund those
obligations; and
d) provide training and educational resources to any staff member that has the
primary responsibility for the operation, maintenance, or inspection of bond-
financed facilities with regard to the limitations on the private business use and on
the private security or payments with respect to bond-financed facilities;
e) ensure that no item of bond-financed property will be sold or transferred to a
nonexempt party without advance arrangement of a "remedial action" under the
applicable Treasury Regulations and the Coordinator shall consult with bond
counsel prior to the sale or transfer of any bond-financed property; and
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f) In the event of an action with respect to a bond financed asset, which may cause
the private business tests or private loan financing test to be met, the Coordinator
shall contact bond counsel and ensure timely remedial action under IRS
Regulation Sections 1.141-12.
12. Fiber System.
Financing a Fiber System:
The Coordinator shall make the following determination with respect to a Fiber System:
a) whether the Issuer will use all or a portion of the proceeds of the bond issue to
finance all or a portion of a Fiber System;
Fiber or Capacity Contracts – Purchase of Available Fiber or Capacity by Nongovernmental
Persons:
The purchase pursuant to a contract by a nongovernmental person of available fiber or
capacity of a Fiber System financed with proceeds of an issue may be taken into account
under the private business tests. To this end, the Coordinator shall monitor arrangements
for the sale of fiber or capacity and confer with bond counsel in order to determine
whether such contracts cause an issue to meet the private business tests in Section 1.141-
3 of the Rules.
The Coordinator shall examine and monitor all proposed sales of available fiber or
capacity, including sales at wholesale or retail, for compliance with Section 1.141-3 of
the Rules and confer with bond counsel, as necessary.
13. Record Retention – General Project Records. For each project financed with tax-exempt
obligations, the Coordinator shall maintain, until three (3) years after retirement of the tax-
exempt obligations or obligations issued to refund those obligations, the following:
a) appraisals, demand surveys or feasibility studies,
b) applications, approvals and other documentation of grants,
c) depreciation schedules,
d) contracts respecting the project.
14. Record Retention – Bond issues. Management and retention of records related to bond
issues shall be supervised by the Coordinator. Records and documents pertaining to
cancellation, transfer, redemption or replacement of Issuer Bonds shall be preserved by the
Issuer or its agent for a period of not less than eleven (11) years, as set forth in Iowa Code
Section 76.10. Other records shall be retained during the period in which the Bonds remain
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outstanding (plus any refunding Bonds) plus three (3) years. Records may be in the form of
documents and electronic copies of documents, appropriately indexed to specific bond issues and
compliance functions.
The Coordinator shall collect and retain the following records with respect to each issue of
Bonds of the Issuer and with respect to the facilities financed with the proceeds of such Bonds:
• audited financial statements of the Issuer;
• appraisals, demand surveys, or feasibility studies, if any, with respect to the
facilities to be financed with the proceeds of such Bonds;
• publications, brochures, and newspaper articles, if any, related to the bond
financing;
• trustee or paying agent statements;
• records of all investments and the gains (or losses) from such investments;
• paying agent or trustee statements regarding investments and investment earnings;
• reimbursement resolutions, if any, and expenditures reimbursed with the proceeds
of such Bonds;
• allocations of proceeds to expenditures (including costs of issuance) and the dates
and amounts of such expenditures (including any requisitions, expenditure/draw
schedules, expenditure/draw requests, invoices, bills, and cancelled checks with
respect to such expenditures;
• contracts entered into for the construction, renovation, or purchase of bond-
financed facilities;
• an asset list or schedule of all bond financed depreciable property and any
depreciation schedules with respect to such assets or property;
• records of the purchases and sales of bond-financed assets;
• private business uses of bond-financed facilities that arise subsequent to the date
of issue through output contracts, leases and subleases, licenses, management
contracts, research contracts, naming rights agreements, or other arrangements
that provide special legal entitlements to nongovernmental persons and copies of
any such agreements or instruments; arbitrage rebate reports and records of rebate
and yield reduction payments, if any; resolutions or other actions, if any, taken by
the Governing Body subsequent to the date of issue with respect to such Bonds;
• formal elections authorized by the Code or Treasury Regulations that are taken
with respect to such Bonds;
• relevant correspondence relating to such Bonds;
• documents related to guaranteed investment contracts or certificates of deposit,
credit enhancement transactions, and financial derivatives entered into subsequent
to the date of issue;
• copies of any and all forms filed with the IRS for each series of Bonds including,
as applicable, Form 8038-G or Form 8038-GC; and
• the official transcript prepared by bond counsel with respect to each series of
Bonds of the Issuer.
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15. Identification of Violations and Corrections. If, during the period the Bonds remain
outstanding, it is determined that a violation of federal tax requirements may have occurred, the
Coordinator shall immediately consult with the Advisors to ensure that corrective or remedial
action is taken. In consultation with bond counsel, the Coordinator shall become acquainted with
the remedial actions under Treasury Regulations, Section 1.141-12, to be utilized in the event
that private business use of bond-financed facilities exceeds the limits under Section 141(b)(1) of
the Code. In consultation with bond counsel, the Coordinator shall become acquainted with the
Tax Exempt Bonds Voluntary Closing Agreement Program, described in Notice 2008-31, 2008-
11 I.R.B. 592, to be utilized as a means for an issuer to correct any post-issuance infractions of
the Rules with respect to its outstanding Bonds.
16. Advance Refundings. [At the time of adoption of this policy, advance refunding of bonds
are no longer allowed. This section shall not apply unless advance refunding bonds are once
again allowed by applicable law.] The Coordinator, shall be responsible for the following
current, post issuance and record retention procedures with respect to advance refunding Bonds:
a) Identify and select Bonds to be advance refunded with advice from internal
financial personnel, and a financial advisor;
b) The Coordinator shall identify, with advice from the financial advisor and bond
counsel, any possible federal tax compliance issues prior to structuring any
advance refunding;
c) The Coordinator shall review the structure with the input of the financial advisor
and bond counsel, of advance refunding issues prior to the issuance to ensure (i)
that the proposed refunding is permitted pursuant to applicable federal tax
requirements if there has been a prior refunding of the original bond issue; (ii) that
the proposed issuance complies with federal income tax requirements which
might impose restrictions on the redemption date of the refunded Bonds; (iii) that
the proposed issuance complies with federal income tax requirements which allow
for the proceeds and replacement proceeds of an issue to be invested temporarily
in higher yielding investments without causing the advance refunding Bonds to
become “arbitrage Bonds”; and (iv) that the proposed issuance will not result in
the issuer’s exploitation of the difference between tax exempt and taxable interest
rates to obtain an financial advantage nor overburden the tax exempt market in a
way that might be considered an abusive transaction for federal tax purposes.
d) The Coordinator shall collect and review data related to arbitrage yield restriction
and rebate requirements for advance refunding Bonds. To ensure such
compliance, the Coordinator shall engage a rebate consultant to prepare a
verification report in connection with the advance refunding issuance. Said report
shall ensure said requirements are satisfied.
e) The Coordinator shall, whenever possible, purchase SLGS to size each advance
refunding escrow. The financial advisor shall be included in the process of
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subscribing SLGS. To the extent SLGS are not available for purchase, the
Coordinator shall, in consultation with bond counsel and the financial advisor,
comply with IRS regulations.
f) To the extent as issuer elects to the purchase a guaranteed investment contract, the
Coordinator shall ensure, after input from bond counsel, compliance with any
bidding requirements set forth by the IRS regulations.
g) In determining the issue price for any advance refunding issuance, the
Coordinator shall obtain and retain issue price certification by the purchasing
underwriter at closing.
h) After the issuance of an advance refunding issue, the Coordinator shall ensure
timely identification of violations of any federal tax requirements and engage
bond counsel in attempt to remediate same in accordance with IRS regulations.
17. Continuing Disclosure. The Coordinator shall assure compliance with each continuing
disclosure certificate and annually, per continuing disclosure agreements, file audited annual
financial statements and other information required by each continuing disclosure agreement.
The Coordinator will monitor material events as described in each continuing disclosure
agreement and assure compliance with material event disclosure. Events to be reported shall be
reported promptly, but in no event not later than ten (10) Business Days after the day of the
occurrence of the event. Currently, such notice shall be given in the event of:
a) Principal and interest payment delinquencies;
b) Non-payment related defaults, if material;
c) Unscheduled draws on debt service reserves reflecting financial difficulties;
d) Unscheduled draws on credit enhancements relating to the Bonds reflecting
financial difficulties;
e) Substitution of credit or liquidity providers, or their failure to perform;
f) Adverse tax opinions, the issuance by the Internal Revenue Service of proposed
or final determinations of taxability, Notices of Proposed Issue (IRS Form 5701-
TEB) or other material notices or determinations with respect to the tax-exempt
status of the Bonds, or material events affecting the tax-exempt status of the
Bonds;
g) Modifications to rights of Holders of the Bonds, if material;
h) Bond calls (excluding sinking fund mandatory redemptions), if material, and
tender offers;
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i) Defeasances of the Bonds;
j) Release, substitution, or sale of property securing repayment of the Bonds, if
material;
k) Rating changes on the Bonds;
l) Bankruptcy, insolvency, receivership or similar event of the Issuer;
m) The consummation of a merger, consolidation, or acquisition involving the Issuer
or the sale of all or substantially all of the assets of the Issuer, other than in the
ordinary course of business, the entry into a definitive agreement to undertake
such an action or the termination of a definitive agreement relating to any such
actions, other than pursuant to its terms, if material; and
n) Appointment of a successor or additional trustee or the change of name of a
trustee, if material.
o) Incurrence of a Financial Obligation of the obligated person, if material*, or
agreement to covenants, events of default, remedies, priority rights, or other
similar terms of a Financial Obligation of the obligated person, any of which
affect security holders, if material*; and
p) Default, event of acceleration, termination event, modification of terms, or other
similar events under the terms of a Financial Obligation of the obligated person,
any of which reflect financial difficulties.
*Materiality is determined upon the incurrence of each distinct Financial Obligation,
taking into account all relevant facts and circumstances. A Financial Obligation is
considered to be incurred when it is enforceable against the Issuer. Event notices for
Financial Obligations (e.g. under 15 and 16 above) should generally include a description
of the material terms of the Financial Obligation, including: (i) date of the incurrence, (ii)
principal amount, (iii) maturity and amortization; (iv) interest rate(s), if fixed, or method
of computation, if variable, (v) other appropriate terms, based on the circumstances. In
addition to a summary of material terms, the Issuer may alternatively, or in addition,
submit related materials, such as transaction documents (which may require some
redaction), terms sheets prepared in connection with the Financial Obligation, or
continuing covenant agreements or financial covenant reports.
18. Other Post-Issuance Actions. If, in consultation with the Advisors, the Coordinator
determines that any additional action not identified in this policy must be taken by the
Coordinator to ensure the continuing tax-exempt status or "qualified" status of any issue of the
Issuer’s Bonds, the Coordinator shall take such action if the Coordinator has the authority to do
so. If, after consultation with the Advisors, the Coordinator determines that this policy shall be
12
amended or supplemented to ensure the continuing tax-exempt status or "qualified" status of any
issue of the Issuer’s Bonds, the Coordinator shall follow the appropriate Issuer policy or
procedure that this document be so amended or supplemented.
4937-0927-2653-1\24268-001