HomeMy WebLinkAbout~Master - April 27, 2021, Regular Meeting of the Ames City CouncilAGENDA
REGULAR MEETING OF THE AMES CITY COUNCIL
COUNCIL CHAMBERS - CITY HALL*
APRIL 27, 2021
*DUE TO THE COVID-19 PANDEMIC, THIS CITY COUNCIL MEETING WILL BE
CONDUCTED AS AN ELECTRONIC MEETING. IF YOU WISH TO PROVIDE INPUT ON
ANY ITEM, YOU MAY DO SO AS A VIDEO PARTICIPANT BY GOING TO:
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or watch the meeting live on Mediacom Channel 12
NOTICE TO THE PUBLIC: The Mayor and City Council welcome comments from the public
during discussion. If you wish to speak, please see the instructions listed above. The normal process
on any particular agenda item is that the motion is placed on the floor, input is received from the
audience, the Council is given an opportunity to comment on the issue or respond to the audience
concerns, and the vote is taken. On ordinances, there is time provided for public input at the time of
the first reading.
CALL TO ORDER: 6:00 p.m.
PROCLAMATIONS:
1. Proclamation observing Moment of Silence on May 4 in remembrance of the first COVID death
at Mary Greeley Medical Center
2. Proclamation for “Arbor Day,” April 30, 2021
3. Proclamation for “Mental Health Awareness Month,” May 2021
4. Proclamation for “National Historic Preservation Month,” May 2021
PRESENTATION:
5. Presentation of 2020 and 2021 Historic Preservation Awards
CONSENT AGENDA: All items listed under the Consent Agenda will be enacted by one motion.
There will be no separate discussion of these items unless a request is made prior to the time the
Council members vote on the motion.
6. Motion approving payment of claims
7. Motion approving Minutes of Regular Meeting held April 13, 2021, and Special Meeting held
April 15, 2021
8. Motion approving Report of Change Orders for period April 1 - April 15, 2021
9. Motion certifying Civil Service candidates
10. Motion approving New 12-Month Class E Liquor License, Class B Wine Permit, Class B Native
Wine, Class C Beer Permit (Carryout) - Off Campus Beer & Spirits LLC, 4518 Mortensen Road,
Suite 109
11. Motion approving Permanent Premise Transfer of Brick City Grill Class C Liquor License with
Outdoor Service and Sunday Sales from 2704 Stange Road to 2640 Stange Road (pending final
inspection)
12. Motion approving ownership change for Class C Liquor License with Sunday Sales - The Great
Plains Sauce & Dough Co., 129 Main St
13. Motion approving renewal of the following Beer Permits, Wine Permits, and Liquor Licenses:
a. Class C Liquor License with Outdoor Service & Sunday Sales - Wasabi Ames, 926 S 16th St
pending Dram Shop Insurance
b. Class C Beer Permit with Sunday Sales - Swift Stop #2, 3406 Lincoln Way
c. Special Class C Liquor License with Sunday Sales - The Great Plains Sauce & Dough Co.,
129 Main St
d. Class E Liquor License with Class B Wine Permit Class C Beer Permit (Carryout Beer) &
Sunday Sales - Walgreens #12108, 2719 Grand Ave
e. Class C Liquor License with Catering Privilege, Outdoor Service & Sunday Sales - Mother’s
Pub, 2900 West St
f. Class B Beer with Sunday Sales - Jeff’s Pizza Shop LLC, 2402 Lincoln Way
g. Class C Liquor License with Class B Wine Permit, Outdoor Service & Sunday Sales - Bar la
Tosca, 303 Welch Avenue, #101
h. Special Class C Liquor License, Class B Native Wine Permit & Sunday Sales- Szechuan
House 3605 Lincoln Way pending Dram Shop Insurance
14. Resolution approving appointment of ex officio student liaison to City Council
15. Resolution confirming appointment of Natalia Martinez and Jacob Ludwig to serve as Iowa State
University Student Government representatives to Ames Transit Agency Board of Trustees
16. Resolution approving Quarterly Investment Report for period ending March 31, 2021
17. Resolution approving Amended COVID-19 Leave Policy
18. Resolution accepting report on the Ames Municipal Utility Retirement Plan from the Utility
Retirement Advisory Board
19. Resolution approving amendment to 28E Agreement to change the name of the Squaw Creek
Watershed Management Authority to the Ioway Creek Watershed Management Authority
20. Requests from Ames Main Street for Summer Sidewalk Sales on July 29 - August 1, 2021:
a. Motion approving Blanket Temporary Obstruction Permit and Blanket Vending License
b. Resolution approving suspension of parking regulations and enforcement for the Downtown
from 8:00 a.m. to 8:00 p.m. on Saturday, July 31
c. Resolution approving waiver of fee for Blanket Vending License
d. Resolution approving request from Ames Main Street for Saturday, July 31 to transfer
$1,370.25 from the Local Option Sales Tax Fund to the Parking Fund
21. Requests from Ames Main Street for Shop for a Cause on November 6, 2021:
a. Motion approving Blanket Vending License
b. Motion approving Blanket Temporary Obstruction Permit
c. Resolution approving wavier of fee for Blanket Vending License
d. Resolution approving suspension of parking regulations and enforcement for the Downtown
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from 8:00 a.m. to 8:00 p.m. on Saturday, November 6
e. Resolution approving transfer of funds from Local Option Sales Tax Fun to Parking Fund in
the amount of $1,370.25
22. Requests from Ames Main Street Small Business Saturday on November 27, 2021:
a. Motion approving Blanket Vending License
b. Motion approving Blanket Temporary Obstruction Permit
c. Resolution approving waiver of fee for Blanket Vending License
d. Resolution approving suspension of parking regulations and enforcement for the Downtown
from 8:00 a.m. to 8:00 p.m. on Saturday, November 27, 2021
e. Resolution approving transfer of funds from Local Option Sales Tax Fund to Parking Fund
in the amount of $1,370.25
23. Requests from Ames Main Street for Snow Magic on December 3 - 24, 2021:
a. Motion approving Blanket Temporary Obstruction Permit
b. Motion approving Blanket Vending License
c. Resolution approving waiver of Blanket Vending License
d. Resolution approving closure of Kellogg Avenue from Main Street to 5th Street and 12
metered parking spaces from 3 p.m. to 9 p.m. for Santa’s Train
e.Resolution approving closure of four metered parking spaces within the Downtown from 1:00
p.m. to 8:00 p.m. on December 3 to facilitate pick-up and drop-off of passengers on horse-drawn
carriage rides through Downtown
f.Resolution approving waiver of parking meter fees for closed parking meters
g.Resolution approving usage of electricity in Tom Evans Plaza and waiver of fees for
electricity
24. Request from Ames High School Homecoming Parade on May 13, 2021:
a. Motion approving Blanket Temporary Obstruction Permit
b. Resolution approving closure of City Parking Lot MM, southern portion of City Parking Lot
M, and a portion of CBD Lot Z from 5:30 p.m. to 7:30 p.m. for parade staging
c. Resolution approving closure of 5th Street, from Grand Avenue to Pearle Avenue; Pearle
Avenue; Main Street, from Pearle Avenue to Duff Avenue; Clark Avenue, from north of the
CBD Lot exit to Fifth Street; Burnett Avenue, from Main Street to 5th Street; and Kellogg
Avenue, from north of the CBD Lot exit to Main Street, from 6:00 p.m. to approximately 7:30
p.m.
d. Resolution approving waiver of parking meter fees and enforcement from 4:00 p.m. to 6:00
p.m. for 55 metered parking spaces in Lot N
25. Resolution approving preliminary plans and specifications for Ada Hayden Heritage Park Fishing
Pier Renovation Project; setting May 26, 2021, as bid due date and June 8, 2021, as date of public
hearing
26. Resolution approving preliminary plans and specifications for 2020/21 Arterial Street Pavement
Improvements: 13th Street (Duff Avenue to Meadowlane Avenue); setting May 18, 2021, as bid
due date and May 25, 2021, as date of public hearing
27. Resolution awarding contract to Ames Ford Lincoln of Ames, Iowa for purchase of two Ford
truck chassis for Public Works Traffic Division in the amount of $64,012.12
28. Resolution awarding contract for purchase of pebble lime for Water Plant to Graymont Western
Lime, Inc., of West Bend, Wisconsin, in the amount of $166.50/ton for FY 2021/22
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29. Electric Vehicle Charging Stations:
a. Resolution waiving the Purchasing Policy threshold of $25,000 and utilize the Pricing
Agreement and Service Agreement with CD LLC, of Wheeling, Illinois for the purchase of
the electric vehicle charging stations in the amount of $120,508.65 (inclusive of sales tax)
b. Resolution awarding contract to Commonwealth Electric, of Des Moines, Iowa for the
installation of Electric Vehicle Charging Stations in the amount of $16,837.52 (inclusive of
sales tax)
30. Resolution approving contract and bond for Fire Station #1 HVAC Replacement Project
31. Resolution approving contract and bond for 2020/21 Concrete Pavement Improvements - 8th Street
(Northwestern to Duff)
32. Resolution approving contract and bond for 2020/21 Asphalt Street Pavement Improvements &
Water System Improvements (McKinley Drive, Jensen Avenue, Luther Drive)
33. Resolution approving Change Order No. 2 deduction in the amount of ($85,878) for Homewood
Slope Stabilization
34. Resolution approving Change Order No. 1 in the amount of $31,813.35 for the 2020/21 Right-of-
Way Restoration (Standard Vegetation)
35. Resolution approving Change Order No. 1 in the amount of $120,582 for the 2017/18 Main Street
Paver Replacement Project (Clark - Burnett)
36. Resolution approving renewal of contract to Diamond Oil Company, of Des Moines, Iowa, for
the Low-Sulfur Diesel Fuel Supply Contract in the amount of (-$0.0062) deduct off the Magellan
“rack” fuel price, and in the amount of $0.0163 increase off the Buckeye “rack” fuel price for an
amount not to exceed $300,000
37. Resolution approving partial completion of public improvements and reducing security for
Wheelock Corner Subdivision
PUBLIC FORUM: This is a time set aside for comments from the public on topics of City business
other than those listed on this agenda. Please understand that the Council will not take any action on
your comments at this meeting due to requirements of the Open Meetings Law, but may do so at a
future meeting. The Mayor and City Council welcome comments from the public; however, at no
time is it appropriate to use profane, obscene, or slanderous language. The Mayor may limit each
speaker to three minutes.
ADMINISTRATION:
38. Resolution awarding contract to Sustainability Solutions Group Workers Cooperative of
Vancouver, British Columbia, Canada, for the development of a Climate Action Plan in an amount
not to exceed $120,915 USD
39. Mental Health Wellness, Recovery, and Resiliency Initiative:
a. Motion directing staff to develop an initiative supporting Mental Health Wellness, Recovery,
and Resiliency offering education, training, and resource opportunities to the public
b. Resolution approving up to $5,000 in Council Contingency funds to help cover the costs
associated with this initiative
40. Resolution awarding contract to Enviro-Services & Constructors, Inc., dba RRT Design &
Construction of Melville, NY, for a Waste-to-Energy Options Study in an amount not to exceed
$239,500
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PLANNING & HOUSING:
41. Resolution approving Joint Use Parking Plan for 414 Lincoln Way and 119 Washington Avenue
POLICE:
42. Security Cameras in Campustown:
a. Motion directing staff to proceed with the installation of the Campustown security camera
system and house the recordings on the City’s network
b. Resolution adopting policy regarding the administration of the camera system and recordings
PUBLIC WORKS:
43. Resolution approving award of Economic Development Administration Grant Agreement in the
amount of $1,500,000 for the Prairie View Industrial Center Utility project
HEARINGS:
44. Hearing on Zoning Text Amendment to establish a new Planned Unit Development (PUD)
overlay zone within the Zoning Ordinance along with private street standards in the Subdivision
Ordinance:
a. Motion to continue hearing to May 11, 2021
45. Hearing on Water Pollution Control Facility Sludge Pumping Building Improvements:
a. Motion receiving Report of Bids
b. Motion rejecting all bids
46. Hearing on 2019/20 Concrete Pavement Improvement Program (Douglas, 5th Street, E 3rd Street,
E 2nd Street, Des Moines Avenue, and Center Avenue):
a. Resolution approving plans and specifications and awarding contract to Manatt’s Inc., of
Ames, Iowa, in the amount of $1,571,889.43
47. Hearing on 2020/21 Airport Improvements (Runway 01/19 and Taxiway A Lighting Project):
a. Resolution approving plans and specifications and awarding contract to Voltmer, Inc., from
Decorah, Iowa, in the amount of $390,399.50 (Base Bid + Bid Alternate), contingent on the
project being funded by the FAA grant
b. Resolution approving the Grant Application to the FAA based on the total estimated project
costs of $493,299.50
ORDINANCES:
48. Second passage of ordinance naming the access road on South Riverside Drive “Aviation Way”
49. Third passage and adoption of ORDINANCE NO. 4437 increasing water rates by 6%, effective
July 1, 2021
DISPOSITION OF COMMUNICATIONS TO COUNCIL:
COUNCIL COMMENTS:
ADJOURNMENT:
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MINUTES OF THE REGULAR MEETING OF THE AMES CITY COUNCIL
AMES, IOWA APRIL 13, 2021
CALL TO ORDER: Mayor John Haila called the Regular Meeting of the Ames City Council, which
was being held electronically, to order at 6:00 p.m. with the following Council members
participating: Bronwyn Beatty-Hansen, Gloria Betcher, Amber Corrieri, Tim Gartin, Rachel Junck,
and David Martin. Ex officio Member Nicole Whitlock was also present.
Mayor Haila stated that it was impractical to hold an in-person Council meeting due to the
COVID-19 pandemic. Therefore, limits have been placed on public gatherings, and this meeting was
being held as an electronic meeting as allowed by Section 21.8 of the Iowa Code. The Mayor then
provided how the public could participate in the meeting via internet or by phone.
PROCLAMATION FOR “FAIR HOUSING MONTH,” APRIL 2021: April 2021 was
proclaimed as “Fair Housing Month” by Mayor Haila. He encouraged all citizens of the community
to support and endorse Fair Housing, reaffirm their commitment to Fair Housing for all, and
wholeheartedly recognize these rights and responsibilities throughout the year.
Accepting the Proclamation was Housing Coordinator Vanessa Baker-Latimer. She stated even
during a pandemic, it is still a responsibility of the City and citizens of Ames to promote Fair
Housing. Ms. Baker-Latimer mentioned that there will be a series of Facebook Ads that will be
promoting fair housing and what discrimination means. There will also be an ad in the Sun Times
that will bring mention that April is Fair Housing month.
PRESENTATION OF “THE HOME FOR EVERYONE” AWARDS BY AMES HUMAN
RELATIONS COMMISSION: Human Relations Commission Incoming Chair Jahmai Fisher
explained that during the month of April, the Commission recognizes and honors a worthy individual
or organization who has made a commitment to providing housing opportunities that enhance the
quality of life for members of disadvantaged populations. To be eligible to receive the “A Home for
Everyone” award the individual or organization must provide housing within Ames. Ms. Fisher
stated “the word “home” regardless of where we come from should be one that makes us feel whole
and safe. As in recent times life plans are not always in alignment with our own; sometimes we lose
that sense of home and must rely on the love and kindness of others in the community. While house
and home are not always synonymous, housing provides us all with a great start on the journey to
finding “home.”
The first Award was presented to Tara Brown. Ms. Brown serves as a shelter monitor for The Bridge
Home that provides shelter and support to those experiencing or on the verge of homelessness.
Among other major accomplishments, Ms. Brown has secured housing program’s or permanent
housing for 70% of clients upon their discharge from the homeless shelter.
The second Award was presented to the Wings of Refuge. This organization is dedicated to
providing opportunities to survivors of human trafficking. The home provides opportunities for
healing and a new life. The Commission gave its deepest gratitude to the entire team at Wings of
Refuge for bringing hope to so many.
Ms. Brown thanked everyone for presenting her with the Award. She said she has had the privilege
of working with amazing individuals as colleagues and clients. Ms. Brown mentioned that most of
the clients that she worked with were able to overcome extreme barriers in their journey to achieve
housing. She noted that everyone is going to experience some kind of hardship in their life, and it
is about how you bounce back. Ms. Brown stated she is blessed to work in a community like Ames
that supports its residents in all aspects of their lives.
Mayor Haila noted that The Bridge Home was formerly known as the Emergency Residence Project
and has been helping residents since 1985.
Brandy Young, representative for Wings of Refuge, echoed Ms. Brown’s comments and said she was
honored to accept the Award. Ms. Young commented that there is an incredible staff at Wings of
Refuge, but the true heroes are the women who are committed to the journey of healing and moving
towards independence. She noted that she is humbled every day that she gets to be among the women
as they commit to healing and overcoming trauma. Ms. Young mentioned that the Wings of Refuge
just opened a second home that will serve as a transitional home for women who are not fully ready
to live independently when they finish the program.
CONSENT AGENDA: Moved by Betcher, seconded by Corrieri, to approve the following items
on the Consent Agenda.
1.Motion approving payment of claims
2.Motion approving Minutes of the Regular Meeting held March 23, 2021, and the Special
Meetings held March 17, March 30, and April 2, 2021
3.Motion approving Report of Change Orders for period March 16 - March 31, 2021
4.Motion certifying Civil Service candidates
5.Motion approving New 12-Month Class B Beer (BB) (Includes Wine Coolers) & Sunday
Sales - Mongolian Buffet 1620 S Kellogg Ave #103
6.Motion approving renewal of the following Beer Permits, Wine Permits, and Liquor
Licenses:
a.Class C Liquor License with Outdoor Service & Sunday Sales - Brick City Grill 2704
Stange Road
b.Class C Liquor License with Catering Privilege, Outdoor Service & Sunday Sales -
Cyclone Experience Network 1705 Center Dr, Hilton Coliseum
c.Class C Liquor License with Catering Privilege, Outdoor Service & Sunday Sales -
Perfect Games Inc 1320 Dickinson Ave
d.Class C Liquor License with Catering Privilege, Outdoor Service & Sunday Sales -
Provisions Lot F 2400 North Loop Dr
e.Class C Beer Permit with Class B Wine Permit & Sunday Sales - Hy-Vee Gas #5018
636 Lincoln Way
7.Request from Campustown Action Association for Summerfest in Campustown on Saturday,
June 5th:
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a.Motion approving blanket Temporary Obstruction Permit
b.Motion approving blanket Vending License
c.RESOLUTION NO. 21-160 approving waiver of Vending License fee
d.RESOLUTION NO. 21-161 approving closure of the 200 block of Welch Avenue
and Chamberlain Street between Welch Avenue and the Chamberlain Lot Y exit,
Welch Lot T, and Chamberlain Lot Y between 7:00 a.m. and 10:00 p.m.
e.RESOLUTION NO. 21-162 approving closure of parking spaces in the 200 block of
Welch Avenue, on Chamberlain Street between Welch Avenue and the Chamberlain
Lot Y exit, Welch Lot T, and Chamberlain Lot Y between 7:00 a.m. and 10:00 p.m.
f.RESOLUTION NO. 21-163 approving waiver of parking meter fees
g.RESOLUTION NO. 21-164 authorizing access to City-owned electrical outlets and
approving a waiver of fees for the electricity used
8.RESOLUTION NO. 21-165 approving Amendment No. 2 to Story Theater Company’s Fall
2020 Special Project Grant to allow the substitution of Young Sherlock for the original
planned production
9.RESOLUTION NO. 21-166 authorizing Ames Community Arts Council to receive
reimbursement for construction expenses related to the mobile music stage under the existing
FY 2020/21 COTA Spring Special Project Grant and FY 2020/21 COTA Annual Grant
10.RESOLUTION NO. 21-167 approving Hold Harmless Agreement between Iowa State Fire
Marshal Fire Service Training Bureau and the City of Ames for Summer Fire School
11.Field Technical Services for Unit #8 Turbine-Generator:
a.RESOLUTION NO. 21-168 waiving City’s Purchasing Policies regarding formal
bidding procedures and allow for single-source purchasing
h.RESOLUTION NO. 21-169 awarding contract to provide Field Technical Services
for the Unit 8 Turbine-Generator Overhaul to General Electric Steam Services, Inc.,
of Midlothian, Virginia, in the estimated amount of $242,800
12.RESOLUTION NO. 21-170 approving Amendment No. 1 to Professional Services
Agreement for Teagarden Area Letter of Map Revision with WHKS & Co., of Ames, IA, in
the amount of $9,000
13.RESOLUTION NO. 21-171 approving preliminary plans and specifications for Auditorium
HVAC Replacement; setting May 12, 2021 as bid due date and May 25, 2021 as date of
public hearing
14.RESOLUTION NO. 21-172 approving renewal of contract for Professional Services for
Power Plant Fire Risk Mitigation with Burns & McDonnell of Chesterfield, Missouri, in an
amount not to exceed $50,000
15.RESOLUTION NO. 21-173 awarding contract to Maxim Trucking & Materials of Pella,
Iowa, for FY 2021/22 Concrete and Asphalt Crushing for Public Works Department in the
amount of $69,250
16.RESOLUTION NO. 21-174 approving contract for FY 2021/22 Purchase of Rock Salt
requirements for Public Works with Independent Salt Co., of Kanopolis, Kansas, in the
amount of $76.08 per ton
17.Electric Distribution Line Clearance Program:
a.RESOLUTION NO. 21-175 approving contract renewal with Wright Tree Services,
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of Des Moines, Iowa for Electric Distribution Line Clearance Program, from July 1,
2021 through June 30, 2022
b.RESOLUTION NO. 21-176 approving Performance Bond in the amount of $347,378
18.RESOLUTION NO. 21-177 approving contract renewal with ABM of Des Moines, Iowa,
for FY 2021/22 Custodial Services for the Ames Public Library in the amount of $91,857
19.RESOLUTION NO. 21-178 approving renewal of contract with Pitts Lawn & Tree Service
of Huxley, Iowa, for FY 2021/22 Tree Trimming & Removal Program for the Parks &
Recreation Department in an amount not-to-exceed $85,000
20.RESOLUTION NO. 21-179 renewing contract for FY 2021/22 Hauling and Related Services
for the Resource Recovery Plant with Waste Management of Ames, IA, in the amount of
$15.15 per ton
21.RESOLUTION NO. 21-180 approving contract and bond for 2020/21 Collector Street
Pavement Improvements (E. 20th Street)
22.RESOLUTION NO. 21-181 approving contract and bond for 2020/21 CyRide Route
Pavement Improvements (9th Street)
23.RESOLUTION NO. 21-182 approving contract and bond for City Access Control System
Roll Call Vote: 6-0. Motions/Resolutions declared carried/adopted unanimously, signed by the
Mayor, and hereby made a portion of these Minutes.
PUBLIC FORUM: The Mayor opened Public Forum.
Brant Lemer, 5333 Tabor Drive, Ames, explained that he wanted to respond to a comment made at
the last City Council meeting. He mentioned that his wife and he had purchased the Crestview
Mobile Home Park in 2003. Their goal was to clean up the property and run a respectful business in
an industry that was needed in the area. Within six months, that was done, and the area was a vibrant
community for many years. He pointed out that the area thrived, and people had stated that Crestview
was a nice little community. Mr. Lemer expressed his concern over the comments made about the
Crestview Mobile Home Park being in poor shape. He wanted to point out that the property was in
poor shape at the time of closing as 50-plus homes were abandoned on the property. There were
many missed opportunities for the sale of the property. He asked for the Council to work together
and find a new use for the property.
Brent Campbell, 301 NE Trielein Drive, Suite 1, Ankeny, Campbell Engineering & Surveying, stated
he was told by staff that his request was going to be on the Agenda, and he was not seeing his item
listed. The Mayor mentioned that his item would be under Dispositions to see if the Council wanted
to proceed with the item or not. Mr. Campbell appreciated that information.
No one else spoke up, and Public Forum was closed.
SPLASH PAD: Parks and Recreation Director Keith Abraham highlighted a few items regarding
the Splash Pad. The splash pad will be a zero-depth pool with a combination of in-ground and above-
ground spray features. It will be designed with accessibility, inclusiveness, safety, and playability
at the forefront. There will be an activation button for patrons to turn on the features and a timer to
limit when the features are operational.
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Staff had presented the City Council with several water management options at its November 24,
2020, meeting, and the Council had directed staff to pursue a recirculation system for the splash pad.
Staff had looked at several location criteria. One of the requirements of a splash pad is that it has to
be within 200 feet of a restroom and clear side lines. All 38 City parks were looked at and it was
narrowed down to eight parks that had restrooms. After taking several criteria into consideration it
was recommended to have the splash pad located at either Emma McCarthy Lee Park or Daley Park.
Staff held two public meetings on March 16, 2021, to gather feedback regarding potentially locating
the splash pad at either of the final two location options. The first meeting was focused more on
Emma McCarthy Lee Park while the second was geared toward Daley Park. The comments that were
received were from people who were in favor of having a splash pad. The Parks and Recreation
Commission met and voted to recommend City Council approve constructing a splash pad in Daley
Park. Safety and visibility of the splash pad was important to the Commission. The Commission also
felt that on-street parking should be moved from the west side to the east side of Wilder Boulevard
from Thackeray Drive to the northern boundary of the Daley Greenbelt.
Council Member Betcher stated that one of the attendees for the Daley Park location mentioned there
was occasionally minor vandalism that results in broken glass at the Park. She wanted to know how
that type of situation would be addressed when the Park is not staffed. Mr. Abraham explained that
with the recirculation system, staff will have to check the chemicals every morning and will check
the site for any glass or vandalism.
Council Member Gartin inquired how many parking stalls were currently at Daley Park. Mr.
Abraham estimated there were 18 parking stalls. Mr. Gartin wanted to know if there was a greater
demand for the splash pad in the future, would there be any opportunity to expand parking. Mr.
Abraham noted that there would be room for expansion if needed down the road. Mr. Gartin
commented that a lot of people will be taking their kids along the bike path that is nearby and
recommended putting in a bike rack.
Mayor Haila opened public comment and closed it when no one asked to speak.
Moved by Martin, seconded by Betcher, to adopt RESOLUTION NO. 21-183 approving the Splash
Pad location in Daley Park.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
Moved by Gartin, seconded by Corrieri, to direct staff to draft a Parking Ordinance Change from
parking on the west side to the east side of Wilder Boulevard from Thackeray Drive to the northern
boundary of the Daley Greenbelt.
Vote on Motion: 6-0. Motion declared carried unanimously.
STAFF REPORT REGARDING THE REQUEST FOR AN AMES URBAN FRINGE PLAN
MAP AMENDMENT PERTAINING TO THE VERBIO PROPERTY: Planning and Housing
Director Kelly Diekmann mentioned that the City of Nevada is scheduled for a public hearing at the
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end of April for its Annexation proposal and then it will moving forward to the state.
The Mayor opened public comment and closed it when no one asked to comment.
Moved by Beatty-Hansen, seconded by Betcher, to approve Option 1, which was to take no action
at this time.
Vote on Motion: 6-0. Motion declared carried unanimously.
CONSENT TO DEED RESTRICTION ON BEHALF OF MAINSTREAM LIVING FOR THE
PROPERTY LOCATED AT 1417 DOUGLAS AVENUE: Planning and Housing Director Kelly
Diekmann explained that this property was sold to Mainstream Living, and is was asking for the
City’s consent to receive a grant and have a lien placed against the property. Director Diekmann
stated that there was no risk to the City or the property by agreeing to the request.
Moved by Betcher, Seconded by Junck, to adopt RESOLUTION NO. 21-184 approving the Consent
to Deed Restriction on behalf of Mainstream Living for the property located at 1417 Douglas
Avenue.
Roll Call Vote: 5-0-1. Voting Aye: Beatty-Hansen, Betcher, Gartin, Martin, Junck. Voting Nay:
None. Abstaining: Corrieri. Motion declared carried.
STAFF REPORT REGARDING CHAPTER 23 (SUBDIVISION) AND CHAPTER 29
(ZONING) TEXT AMENDMENTS: Planning and Housing Director Kelly Diekmann stated that
staff was asking for approval of a number of changes related to application requirements and
clarification of other procedures that would be beneficial for Chapter 23 (Subdivisions) and Chapter
29 (Zoning). In Chapter 23, staff wanted to address the City’s Plat of Survey process. Staff would
like for City Council to allow the Planning and Housing Director to administratively approve the
Plats of Survey related to boundary line adjustments and conveyance parcels, rather than having City
Council approve them by resolution. Any division of land where there is a split of a parcel or a block
would still go through the Council for approval. Another change that Director Diekmann noted was
when the Inspection Division went to an online service portal, they did not move the planning
applications over to the online service portal. They would like to move forward with having online
applications available. Mr. Diekmann stated that there is no notification process in the Subdivision
Ordinance for the review of major subdivisions. Staff has previously had a hearing for these with the
Planning and Zoning Commission and Director Diekmann recommended adding these into the
Zoning Ordinance.
Director Diekmann mentioned that for Chapter 29 (Zoning), staff would like to change how staff
handles the Zoning Board of Adjustment (ZBA). He noted that currently the Planning Department
handles all the materials, but the City Clerk’s office provides the support/secretarial role for the
meetings. The Planning and Housing Department would like to be the ones responsible for
administrative functions for the Zoning Board of Adjustment agendas and meetings instead of the
City Clerk’s Office; however, the City Clerk’s Office would continue to maintain records of
Decisions and Orders by the ZBA. Mr. Diekmann mentioned that there seemed to be some
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inconsistencies with where it is in the Code that published notices are required. He noted that
published notice for the Zoning Board of Adjustment meetings are not required. Staff would like to
change the process to mailing out the notice, posting a sign, and posting the agenda, only. Director
Diekmann stated that there was an issue with how the voting works with the Zoning Board of
Adjustment. In the Municipal Code, it is stated clearly that you must have three votes to have any
motion pass. He explained that they have had issues over the past couple of years with either a lack
of a full Board or absent members. This has caused tie votes, and meetings have had to be continued
in order to break a tie vote. Staff is recommending changing the voting by the Zoning Board of
Adjustment to a majority of a quorum rather than the Board. Another change that was being
recommended was the definition of the Zoning Enforcement Officer for interpretation of zoning.
Currently, the Building Official is the Zoning Enforcement Officer and the recommendation was to
amend the Code to provide the Planning & Housing Director with the authority to administer and
interpret the Zoning Ordinance.
Council Member Betcher mentioned that a lot of the changes made sense and she wanted to make
sure that staff in all departments has been included to make sure the changes worked well for
everyone. Mr. Diekmann noted that there have been some discussions with the City Manager, Fire
Department, City Clerk, and City Attorney’s Office, but he will work on internal procedure updates
next along with any ordinance updates.
Council Member Gartin wanted to know if the proposed changes have been vetted with other
stakeholders/developers to get their feedback on the changes. He also inquired if the City’s
procedures have been compared to what other peer communities are doing. Director Diekmann
mentioned that they didn’t identify any stakeholders for these changes as it was more administrative.
If they move forward with the Plat of Survey changes, staff would reach out to the surveyors in the
City to make sure they are aware.
Council Member Martin questioned the proposed changes to the voting procedures with the Zoning
Board of Adjustment. He was concerned because the applicants come to ZBA wanting approval for
something and the proposed change will get faster results, but it appeared to provide more ways to
have the applicants walk away with a “no” answer. He pointed out that there would be two ways to
say “no” and only one to say “yes”. He wanted to know if there was a way to tweak the rule to allow
applicants to decide, if flexible on timing, to wait for the entire Board to be present. Director
Diekmann stated that the due process is important and believed they could look into it. It was noted
that Director Diekmann would need to speak with the City Attorney to see what options were
available. Mr. Martin mentioned he felt it would be worth the effort to get more information.
The Mayor opened public comment. It was closed when no one came forward.
Moved by Gartin, seconded by Betcher, to move forward with the changes recommended in the Staff
Report, and direct staff to coordinate preparation of ordinances with the City Attorney with the goal
of having the changes approved prior to July 1, 2021.
Vote on Motion: 6-0. Motion declared carried unanimously
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Moved by Martin, seconded by Betcher, to ask staff to consider ways to ensure that applicants aren’t
disadvantaged due to the increased number of ways to end up with a “no” outcome when fewer than
five members of the Zoning Board of Adjustment are voting.
Vote on Motion: 6-0. Motion declared carried unanimously
STAFF REPORT REGARDING AMES COMPREHENSIVE HISTORIC PRESERVATION
PLAN AMENDMENTS: Planning and Housing Director Kelly Diekmann mentioned that on March
9, 2021, the City Council reviewed the proposed amendments to the Ames Comprehensive Historic
Preservation Plan and recommended a few changes. Those changes along with a few other staff-
recommended changes were included in the Staff Report for approval.
Council Member Betcher commented that the new proposed amendments were a lot clearer to
anyone reading the Plan. She questioned the statement regarding supporting a minimum maintenance
code for rental housing as she believed the original discussion regarding Goal #3, Objective F was
to change the word “the” to “a,” only, but noticed that the wording “and owner-occupied” was
removed. Director Diekmann stated it was open to interpretation, but he was very confident that if
staff put “owner-occupied” back into the Plan it would be consistent with Historic Preservation
Commissions goals.
The Mayor asked if anyone from the public wished to speak. No one requested to speak.
Moved by Betcher, seconded by Beatty-Hansen, to approve the Ames Comprehensive Historic
Preservation Plan Amendment with the change to Goal #3, Objective F to reinstate the words “and
owner-occupied.”
Vote on Motion: 6-0. Motion declared carried unanimously.
AUTHORIZING STAFF TO REIMBURSE 660 EURO (APPROXIMATELY $777) IN FEES
FOR THREE STUDENT REGISTRATIONS TO THE INTERNATIONAL CONFERENCE
ON COMPUTATIONAL URBAN PLANNING AND URBAN MANAGEMENT (CUPUM)
FROM THE FUNDS BUDGETED FOR THE COMMUNITY AND REGIONAL PLANNING
CLASS: The Mayor asked if there was anyone from the public who wished to speak. There was no
one wishing to speak.
Moved by Betcher, seconded by Junck, to adopt RESOLUTION NO. 21-185 authorizing staff to
reimburse 660 Euro (approximately $777) in fees for three student registrations to the International
Conference on Computational Urban Planning and Urban Management (CUPUM) from the funds
budgeted for the Community and Regional Planning class project.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
COMPREHENSIVE ANNUAL FINANCIAL REPORT FOR FISCAL YEAR ENDED JUNE
30, 2020: Finance Director Duane Pitcher mentioned that everything looked good for the year except
for one item. The one exception was related to some reporting with Mary Greeley Medical Center
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(MGMC). Director Pitcher explained that MGMC is reported on the City’s financials as a component
unit. All the City is doing is consolidating the reports and the City is unable to change or adjust them.
In this case the auditor’s report included a qualified opinion based on the Mary Greeley Medical
Center (MGMC) decision to classify CARES Act grant funds received as operating income rather
than nonoperating income as required by applicable accounting standards. Mr. Pitcher noted that was
a significant change, and the City has had a completely clean auditor’s report for several years.
Council Member Gartin asked if there was a timing aspect for the Council to receive the report. Mr.
Pitcher stated that he would ask that the Council receive the report tonight as there was nothing else
that could be done to change the outcome. Mr. Gartin mentioned that he would like a little more time
to review the Report and wanted to know if this could be delayed until the next City Council
meeting. Director Pitcher stated there would not be an issue with waiting to receive the Report.
Moved by Gartin, to table the voting of acceptance until the next City Council meeting. Motion
failed due to lack of second.
Moved by Betcher, seconded by Corrieri, to adopt RESOLUTION NO. 21-186 accepting the
Comprehensive Annual Financial Report as presented.
Council Member Beatty-Hansen mentioned that even though they are going to accept the Report it
didn’t mean they still couldn’t discuss important matters on the Report. Ms. Betcher commented that
she made the motion knowing that the Report was a done deal, but would like to discuss what to do
moving forward.
Roll Call Vote: 5-1. Voting Aye: Beatty-Hansen, Betcher, Corrieri, Martin, Junck. Voting nay:
Gartin. Resolution declared carried.
HEARING ON SALE OF CITY-OWNED PROPERTY AT 1126 GRAND AVENUE TO
HABITAT FOR HUMANITY OF CENTRAL IOWA: Planning and Housing Director Diekmann
stated that the Plat of Survey is a conveyance parcel review to consolidate Lot 9 and the north 5.4
feet of Lot 10, Block 2, Lee’s Addition. The property is now vacant since the house and detached
garage were recently demolished. The purpose of consolidating the lot and the conveyance parcel
is to establish a Parcel, which is necessary to obtain a building permit for a new house.
The Mayor opened public comment. It was closed when no one requested to speak.
Moved by Beatty-Hansen, seconded by Junck, to adopt RESOLUTION NO. 21-187 approving the
Plat of Survey for 1126 Grand Avenue.
Roll Call Vote: 5-0-1. Voting Aye: Beatty-Hansen, Betcher, Corrieri, Martin, Junck. Voting Nay:
None. Abstaining due to Conflict: Gartin.
Resolution declared adopted, signed by the Mayor, and hereby made a portion of these Minutes.
Moved by Beatty-Hansen, seconded by Corrieri, to adopt RESOLUTION NO. 21-188 approving the
9
sale of City-owned property at 1126 Grand Avenue to Habitat for Humanity of Central Iowa.
Roll Call Vote: 5-0-1. Voting Aye: Beatty-Hansen, Betcher, Corrieri, Martin, Junck. Voting Nay:
None. Abstaining due to Conflict: Gartin.
Resolution declared adopted unanimously, signed by the Mayor, and hereby made a portion of these
Minutes.
HEARING ON APPROVING EASEMENT AGREEMENT BETWEEN THE CITY AND
IOWA STATE UNIVERSITY TO ALLOW A PEDESTRIAN BRIDGE TO BE LOCATED
WITHIN AND OVER TOP OF THE CITY’S RIGHT-OF-WAY ON UNIVERSITY
BOULEVARD: It was noted that Traffic Engineer Damion Pregitzer was available to answer any
questions.
Council Member Betcher inquired if the pedestrian bridge would be enclosed to avoid people from
throwing objects on to the road. Mr. Pregitzer stated it will be an open bridge with a very high
barrier. There was a courtesy review done with staff including the Police and Fire Department. The
bridge was designed in a way to deter anyone from going over the bridge. Mr. Pregitzer noted that
it is hard to tell from the picture, but the barrier is very high. It would be difficult for anyone to go
over the side or throw anything over the side.
The Mayor opened the public hearing and closed it after there was no one wishing to speak.
Council Member Beatty-Hansen stated that the Council received an email regarding public input
opportunities. She noted that this is an Iowa State University (ISU) project and wanted to know if
the City knew of any opportunities for public input with ISU regarding this project. Mr. Pregitzer
stated that from his understanding ISU went through its own public input process already. The
request tonight is the next step for ISU to move forward with bidding the project and getting a
contractor on board. He didn’t believe there would be any additional input opportunities before the
project goes to bid.
Mayor Haila mentioned that the City owns the land for the rights-of-way, but the University owns
the other portions. He wanted to know if the multi-modal paths would be maintained on the west
side. Mr. Pregitzer noted that none of the infrastructure on University Boulevard will be impacted.
The pedestrian bridge will help expand access for non-motorized activity, especially during special
events.
Moved by Gartin, seconded by Corrieri, to adopt RESOLUTION NO. 21-189 approving the
Easement Agreement between the City and Iowa State University to allow a pedestrian bridge to be
located within and over top of the City’s Right-of-Way on University Boulevard.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
HEARING ON FIRE STATION #1 HVAC REPLACEMENT: The Mayor opened the public
hearing. It was closed when no one asked to speak.
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Moved by Corrieri, seconded by Betcher, to adopt RESOLUTION NO. 21-190 approving plans and
specifications and awarding a contract to Mechanical Comfort, Inc., of Ames, Iowa, in the amount
of $114,434.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
HEARING ON 2020/21 ASPHALT STREET PAVEMENT IMPROVEMENTS & WATER
SYSTEM IMPROVEMENTS (MCKINLEY DRIVE, JENSEN DRIVE, LUTHER DRIVE):
The Mayor opened the public hearing. There was no one wishing to speak, and the hearing was
closed.
Moved by Betcher, seconded by Beatty-Hansen, to adopt RESOLUTION NO. 21-191 approving
plans and specifications and awarding a contract to Manatt’s Inc., of Ames, Iowa, in the amount of
$1,799,294.43.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
HEARING ON 2020/21 CONCRETE PAVEMENT IMPROVEMENTS - 8TH STREET
(NORTHWESTERN TO DUFF): The Mayor opened the public hearing and closed it after there
was no one wishing to speak.
Moved by Beatty-Hansen, seconded by Junck, to adopt RESOLUTION NO. 21-192 approving plans
and specifications and awarding a contract to Manatt’s Inc., of Ames, Iowa, in the amount of
$1,256,246.21.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
ORDINANCE AMENDING SECTION 22.32 OF MUNICIPAL CODE PERTAINING TO
SIDEWALK CAFES: Assistant City Manager Brian Phillips stated this Ordinance addresses the
referral that the Council made in 2020. There were some temporary changes to sidewalk cafes during
the pandemic in order to make it easier for restaurants to space out its patrons. In 2020, the City
Council also directed staff to prepare an ordinance change to the Sidewalk Café Code to permanently
address two aspects of operating a sidewalk café. One change would be to remove the requirement
for barriers separating the sidewalk café from the traveling path on the sidewalk for sidewalk cafes
where alcohol is not served. The other change would allow sidewalk cafes to extend along in front
of an adjacent business, provided the extension is approved by the adjacent business owner and the
ingress/egress from the adjacent business is not blocked.
The public hearing was opened by the Mayor. He closed the hearing after no one asked to speak.
Moved by Gartin, seconded by Corrieri, to pass on first reading an ordinance amending Section 22.32
of the Municipal Code pertaining to Sidewalk Cafes.
Roll Call Vote: 6-0. Motion declared carried unanimously.
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The Mayor inquired if it was being recommended by staff to suspend the rules for this ordinance. Mr.
Phillips stated the sidewalk café season had already started, the season begins on April 1 and ends
on October 31. If the rules were suspended, staff would be able to make sure that any businesses that
have yet to set up their sidewalk café would be able to start with the new rules.
Moved by Corrieri, seconded by Beatty-Hansen, to suspend the rules necessary for the adoption of
an ordinance.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Junck, seconded by Betcher, to pass on second reading an ordinance amending Section
22.32 of the Municipal Code pertaining to Sidewalk Cafes.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Corrieri, seconded by Betcher, to pass on third reading and adopt ORDINANCE NO. 4436
amending Section 22.32 of the Municipal Code pertaining to Sidewalk Cafes.
Roll Call Vote: 6-0. Ordinance declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
ORDINANCE NAMING THE ACCESS ROAD ON SOUTH RIVERSIDE DRIVE
“AVIATION WAY:” The Mayor asked for public input. There was no one wishing to speak, and
the hearing was closed.
Moved by Corrieri, seconded by Beatty-Hansen, to pass on first reading an ordinance naming the
access road on South Riverside Drive “Aviation Way.”
Roll Call Vote: 6-0. Motion declared carried unanimously.
ORDINANCE TO INCREASE WATER RATES BY 6%, EFFECTIVE JULY 1, 2021: Moved
by Betcher, seconded by Corrieri, to pass on second reading an ordinance to increase water rates by
6%, effective July 1, 2021.
Roll Call Vote: 6-0. Motion declared carried unanimously.
ORDINANCE ADOPTING BY REFERENCE THE 2020 EDITION OF THE NATIONAL
ELECTRIC CODE WITH TWO STATE OF IOWA AMENDMENTS AND ONE LOCAL
AMENDMENT: Moved by Beatty-Hansen, seconded by Martin, to pass on second reading an
ordinance adopting by reference the 2020 Edition of the National Electric Code with two State of
Iowa amendments and one local amendment.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Corrieri, seconded by Betcher, to suspend the rules necessary for the adoption of an
ordinance.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Corrieri, seconded by Betcher, to pass on third reading and adopt ORDINANCE NO. 4435
adopting by reference the 2020 Edition of the National Electric Code with two State of Iowa
12
amendments and one local amendment.
Roll Call Vote: 6-0. Ordinance declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
DISPOSITIONS OF COMMUNICATIONS TO COUNCIL: Mayor Haila mentioned there were
several items tonight to review. The first item was a letter from Ron Frantzen, Executive Director
of Facility Management at McFarland Clinic requesting updates to crosswalks at Duff Avenue and
12th Street. Assistant City Manager Brian Phillips noted that this request would be appropriate to
refer to staff for a memo.
Moved by Beatty-Hansen, seconded by Betcher, to ask staff for a memo regarding Ron Frantzen’s
request to update the crosswalks at Duff Avenue and 12th Street.
Vote on Motion: 6-0. Motion declared carried unanimously.
The second item was a letter from Brian R. Campbell of Campbell Engineering & Surveying
requesting an Ames Urban Fringe Map revision for the property located at 2359-210th Street, Ames
(Boone County).
Moved by Martin, seconded by Betcher, to request a memo from staff regarding Brian Campbell’s
letter requesting an Ames Urban Fringe Map revision for the property located at 2359-210th Street,
Ames (Boone County).
Vote on Motion: 6-0. Motion declared carried unanimously.
Mayor Haila mentioned the third item was an email from Kim Olmstead on behalf of Leon Weubker
requesting a waiver of the City’s platting authority in the Ames Urban Fringe Plan for properties
located at 2227, 2233, 2239, 2245, and 2249-229th Place, Ames (Boone County).
Moved by Betcher, seconded by Beatty-Hansen, to refer the email from Kim Olmstead on behalf of
Leon Weubker requesting a waiver of the City’s platting authority in the Ames Urban Fringe Plan
for properties located at 2227, 2233, 2239, 2245, and 2249-229th Place, Ames (Boone County) for
a memo from staff.
Vote on Motion: 6-0. Motion declared carried unanimously.
The fourth item was an email from Dan Culhane, President and CEO, Ames Chamber of Commerce
and Economic Development following up on its February 2, 2021, request for beautification
improvements to the medians on Lincoln Way through Campustown from Beach Avenue west to
Sheldon Avenue. Assistant City Manager Brian Phillips stated that staff had met with Mr. Culhane
to discuss some of the details of the proposed landscaping. Mr. Phillips mentioned that staff was
comfortable with a few elements that were proposed for the landscaping and noted that the City is
not being asked for any funds for the installation; however, the City would be responsible for the
maintenance and a few other issues. He told the Council it would be appropriate to refer the request
to staff for a memo listing what action steps would need to be taken to proceed.
Moved by Corrieri, seconded by Martin, to place the request from Dan Culhane, President and CEO,
13
Ames Chamber of Commerce and Economic Development regarding beautification improvements
to the medians on Lincoln Way through Campustown from Beach Avenue west to Sheldon Avenue
on an Agenda.
Council Member Gartin stated he is supportive of the motion; however, it seemed odd to him that
the City is not contributing any money towards the project. He asked if this would normally be under
the City’s purview and is the City comfortable not contributing anything. Council Member Beatty-
Hansen explained that when this item is on an Agenda it would be a good time to discuss funding
from the City.
The Mayor mentioned that there was some history with this item. Mr. Phillips noted that information
could be included in the memo.
Vote on Motion: 6-0. Motion declared carried unanimously.
The Mayor mentioned that the fifth item was a letter from Chuck Winkleblack, General Manager,
Hunziker Companies requesting to amend the Ames Urban Fringe Plan for designation of industrial
development for approximately 73 acres located at 2105 Dayton Avenue.
Council Member Martin pointed out that the letter also asked for a new TIF district to be established.
Moved by Martin, seconded by Corrieri, to request a memo from staff regarding the letter from
Chuck Winkleblack to amend the Ames Urban Fringe Plan for designation of industrial development
for approximately 73 acres located at 2105 Dayton Avenue.
Vote on Motion: 6-0. Motion declared carried unanimously.
The next item was a memo from Deb Schildroth, Assistant City Manager regarding the selection
status of a Climate Action Plan consultant. The Mayor stated that the memo was informational only
and no action was required by the Council. Assistant City Manager Deb Schildroth provided an
update on the status of hiring a consultant for the Climate Action Plan. The plan is to have the
recommendation for a consultant on the next City Council Agenda.
Mayor Haila stated the next item was an email and report from James Pease, President of Friends of
Ada Hayden Heritage Park Board requesting the City to reconsider Rose Prairie as park land.
Council Member Betcher inquired if there was anything preventing the Council from re-considering
the request. The Mayor mentioned that since the prior request there was an update to a Developer’s
Agreement. Director Diekmann explained that Rose Prairie had filed for a rezoning with the Master
Plan application. Rose Prairie is moving forward with the direction that was given by the Council
in March 2021. Council Member Gartin explained that Mr. Pease put a lot of work into making the
Report and wanted to know if Planning could incorporate some of the aspects of the report that could
be included with the housing development. Director Diekmann stated that when staff eventually gets
to the subdivision stage, there is a natural resource inventory that must be prepared and evaluated.
14
Some of the same information will be part of the subdivision, and the Report could be used as a
comparison. Council Member Betcher mentioned that the Friends of Ada Hayden were open to
discussions about the plan and that it would be an opportunity for developers to use Mr. Pease’s
information. Director Diekmann commented that it would depend on what aspects would be
considered as the Report was given regarding a park not a development.
The eighth item was a memo from Kelly Diekmann, Planning and Housing Director with a response
to the request to rezone properties between Grand Avenue and Grove Avenue from Residential High
Density to Residential Medium Density. Director Diekmann commented that if the Council was
interested in moving forward, he would recommend placing the item on an Agenda as the request is
unique. The request is from a neighbor and not a property owner.
Council Member Gartin inquired if the request would cause a lot of work for Planning staff. Mr.
Diekmann mentioned that it would not be an inordinate amount of work, but it would have to follow
the normal process of notifying neighbors and having a hearing. He noted that this area was noted
in the Ames Plan 2040 and was worth discussing, but he wasn’t sure if the Council wanted to do that
now or later.
The Mayor asked if it was normal to get a request from a neighbor instead of the actual property
owner. Director Diekmann commented that he had not seen one during his time with the City.
Council Member Betcher mentioned she wanted to give a little bit of background information on the
request. Mr. Long had originally reached out to her and had indicated that the request was originating
from the Neighborhood Association and not just him.
Council Member Martin noted that he would like more direct evidence from someone that this is an
imminent situation or that there is a large number of property owners that want to move forward. As
of right now there is only one letter. He thought the Council should not take any action on the request
right now, but leave open the possibility that if more evidence was brought forward, they would re-
address the issue.
Moved by Martin, seconded by Junck, to approve Option 1, which was to retain the existing zoning
at this time.
Vote on Motion: 5-1. Voting Aye: Beatty-Hansen, Corrieri, Gartin, Junck, Martin. Voting Nay:
Betcher. Motion declared carried.
The last item was a memo from Keith Abraham, Parks and Recreation Director reviewing the
criteria/approach to offering and opening Parks and Recreation programs and facilities. No
discussion was had regarding the memo.
COUNCIL COMMENTS: Ex officio Nicole Whitlock mentioned that the City Council meeting on
April 27 will be her last meeting. The new ex officio will be introduced sometime in the near future.
15
The Mayor inquired if there were any updates on the Ames Plan 2040 as the community has been
asking for updates. Assistant City Manager Brian Phillips mentioned that he had spoken with
Planning and Housing Director Kelly Diekmann and had asked him to put together an email giving
the Council an update on where staff is on the Plan.
Moved by Gartin, seconded by Beatty-Hansen, to direct staff to begin the process of getting things
ready for the Council to move back into in-person meetings with the date to be left unknown at this
point.
Mayor Haila inquired about what Mr. Gartin meant by “begin the process.” Assistant City Manager
Brian Phillips explained that staff will need some direction from the Council about what its
expectations are for meeting options, specifically, would the Council’s expectations be to come back
and have meetings in-person only or a hybrid option. If the Council wanted to have a hybrid option,
there would be some technological issues that would need to be addressed along with potential cost
and staffing needs. He noted that staff would also want to ensure that the facilities are equipped to
handle the public being in person at a meeting. Mr. Phillips mentioned that staff would begin to
research the different options and bring those back to the Council for discussion.
Vote on Motion: 6-0. Motion declared carried unanimously.
ADJOURNMENT: Moved by Corrieri to adjourn the meeting at 8:07 p.m.
______________________________________________________________________
Amy L. Colwell, Deputy City Clerk John A. Haila, Mayor
__________________________________
Diane R. Voss, City Clerk
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MINUTES OF THE SPECIAL MEETING OF THE AMES CITY COUNCIL
AMES, IOWA APRIL 15, 2021
The Special Meeting of the Ames City Council was called to order by Mayor John Haila at 1:00 p.m.
on the 15th day of April, 2021. The Mayor announced that it was impractical to hold an in-person
Council meeting due to the COVID-19 pandemic. Therefore, this meeting was being held as an
electronic meeting as allowed by Section 21.8 of the Iowa Code. Council Members Gloria Betcher,
Amber Corrieri, Tim Gartin, Rachel Junck, and David Martin were present. Council Member Bronwyn
Beatty-Hansen was absent as was ex officio Member Nicole Whitlock. The Mayor described the options
available to those who wanted to offer public input.
AMENDMENT TO AMES URBAN FRINGE PLAN LAND USE CLASS MAP: Moved by Gartin,
seconded by Betcher, to initiate an amendment to the Ames Urban Fringe Plan Land Use Class Map
to designate additional Urban Service Area along Lincoln Highway and 500th Avenue.
Vote on Motion: 5-0. Motion declared carried unanimously.
Council Member Gartin asked to know how this will impact the proposed annexation of this property
that the Council had initiated. Director Kelly Diekmann stated that the AUFP Amendment affects
approximately half of the land included within the annexation. He advised that the AUFP Amendment
would need to be taken to the Planning & Zoning Commission for recommendation. Notices need to
go out to those impacted by the Amendment by mail and posting on the property affected by the AUFP
Amendment. The Amendment also needs to be heard by the Story County Board of Supervisors, who
will also send a notice to the public. It is anticipated that this will come back to the City Council in late
May or early June concurrent with the annexation. Mr. Gartin also asked who gets notified by the City
of Ames of the pending action. Answering, Mr. Diekmann said those property owners within 300 feet
of the boundaries of the area in question.
DISPOSITIONS OF COMMUNICATIONS TO COUNCIL: None.
COUNCIL COMMENTS: None.
ADJOURNMENT: Moved by Gartin to adjourn the meeting at 1:04 p.m.
_____________________________________ ____________________________________
Diane R. Voss, City Clerk John A. Haila, Mayor
MINUTES OF THE REGULAR MEETING OF THE AMES CITY COUNCIL
AMES, IOWA APRIL 13, 2021
CALL TO ORDER: Mayor John Haila called the Regular Meeting of the Ames City Council, which
was being held electronically, to order at 6:00 p.m. with the following Council members
participating: Bronwyn Beatty-Hansen, Gloria Betcher, Amber Corrieri, Tim Gartin, Rachel Junck,
and David Martin. Ex officio Member Nicole Whitlock was also present.
Mayor Haila stated that it was impractical to hold an in-person Council meeting due to the
COVID-19 pandemic. Therefore, limits have been placed on public gatherings, and this meeting was
being held as an electronic meeting as allowed by Section 21.8 of the Iowa Code. The Mayor then
provided how the public could participate in the meeting via internet or by phone.
PROCLAMATION FOR “FAIR HOUSING MONTH,” APRIL 2021: April 2021 was
proclaimed as “Fair Housing Month” by Mayor Haila. He encouraged all citizens of the community
to support and endorse Fair Housing, reaffirm their commitment to Fair Housing for all, and
wholeheartedly recognize these rights and responsibilities throughout the year.
Accepting the Proclamation was Housing Coordinator Vanessa Baker-Latimer. She stated even
during a pandemic, it is still a responsibility of the City and citizens of Ames to promote Fair
Housing. Ms. Baker-Latimer mentioned that there will be a series of Facebook Ads that will be
promoting fair housing and what discrimination means. There will also be an ad in the Sun Times
that will bring mention that April is Fair Housing month.
PRESENTATION OF “THE HOME FOR EVERYONE” AWARDS BY AMES HUMAN
RELATIONS COMMISSION: Human Relations Commission Incoming Chair Jahmai Fisher
explained that during the month of April, the Commission recognizes and honors a worthy individual
or organization who has made a commitment to providing housing opportunities that enhance the
quality of life for members of disadvantaged populations. To be eligible to receive the “A Home for
Everyone” award the individual or organization must provide housing within Ames. Ms. Fisher
stated “the word “home” regardless of where we come from should be one that makes us feel whole
and safe. As in recent times life plans are not always in alignment with our own; sometimes we lose
that sense of home and must rely on the love and kindness of others in the community. While house
and home are not always synonymous, housing provides us all with a great start on the journey to
finding “home.”
The first Award was presented to Tara Brown. Ms. Brown serves as a shelter monitor for The Bridge
Home that provides shelter and support to those experiencing or on the verge of homelessness.
Among other major accomplishments, Ms. Brown has secured housing program’s or permanent
housing for 70% of clients upon their discharge from the homeless shelter.
The second Award was presented to the Wings of Refuge. This organization is dedicated to
providing opportunities to survivors of human trafficking. The home provides opportunities for
healing and a new life. The Commission gave its deepest gratitude to the entire team at Wings of
Refuge for bringing hope to so many.
Ms. Brown thanked everyone for presenting her with the Award. She said she has had the privilege
of working with amazing individuals as colleagues and clients. Ms. Brown mentioned that most of
the clients that she worked with were able to overcome extreme barriers in their journey to achieve
housing. She noted that everyone is going to experience some kind of hardship in their life, and it
is about how you bounce back. Ms. Brown stated she is blessed to work in a community like Ames
that supports its residents in all aspects of their lives.
Mayor Haila noted that The Bridge Home was formerly known as the Emergency Residence Project
and has been helping residents since 1985.
Brandy Young, representative for Wings of Refuge, echoed Ms. Brown’s comments and said she was
honored to accept the Award. Ms. Young commented that there is an incredible staff at Wings of
Refuge, but the true heroes are the women who are committed to the journey of healing and moving
towards independence. She noted that she is humbled every day that she gets to be among the women
as they commit to healing and overcoming trauma. Ms. Young mentioned that the Wings of Refuge
just opened a second home that will serve as a transitional home for women who are not fully ready
to live independently when they finish the program.
CONSENT AGENDA: Moved by Betcher, seconded by Corrieri, to approve the following items
on the Consent Agenda.
1.Motion approving payment of claims
2.Motion approving Minutes of the Regular Meeting held March 23, 2021, and the Special
Meetings held March 17, March 30, and April 2, 2021
3.Motion approving Report of Change Orders for period March 16 - March 31, 2021
4.Motion certifying Civil Service candidates
5.Motion approving New 12-Month Class B Beer (BB) (Includes Wine Coolers) & Sunday
Sales - Mongolian Buffet 1620 S Kellogg Ave #103
6.Motion approving renewal of the following Beer Permits, Wine Permits, and Liquor
Licenses:
a.Class C Liquor License with Outdoor Service & Sunday Sales - Brick City Grill 2704
Stange Road
b.Class C Liquor License with Catering Privilege, Outdoor Service & Sunday Sales -
Cyclone Experience Network 1705 Center Dr, Hilton Coliseum
c.Class C Liquor License with Catering Privilege, Outdoor Service & Sunday Sales -
Perfect Games Inc 1320 Dickinson Ave
d.Class C Liquor License with Catering Privilege, Outdoor Service & Sunday Sales -
Provisions Lot F 2400 North Loop Dr
e.Class C Beer Permit with Class B Wine Permit & Sunday Sales - Hy-Vee Gas #5018
636 Lincoln Way
7.Request from Campustown Action Association for Summerfest in Campustown on Saturday,
June 5th:
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a.Motion approving blanket Temporary Obstruction Permit
b.Motion approving blanket Vending License
c.RESOLUTION NO. 21-160 approving waiver of Vending License fee
d.RESOLUTION NO. 21-161 approving closure of the 200 block of Welch Avenue
and Chamberlain Street between Welch Avenue and the Chamberlain Lot Y exit,
Welch Lot T, and Chamberlain Lot Y between 7:00 a.m. and 10:00 p.m.
e.RESOLUTION NO. 21-162 approving closure of parking spaces in the 200 block of
Welch Avenue, on Chamberlain Street between Welch Avenue and the Chamberlain
Lot Y exit, Welch Lot T, and Chamberlain Lot Y between 7:00 a.m. and 10:00 p.m.
f.RESOLUTION NO. 21-163 approving waiver of parking meter fees
g.RESOLUTION NO. 21-164 authorizing access to City-owned electrical outlets and
approving a waiver of fees for the electricity used
8.RESOLUTION NO. 21-165 approving Amendment No. 2 to Story Theater Company’s Fall
2020 Special Project Grant to allow the substitution of Young Sherlock for the original
planned production
9.RESOLUTION NO. 21-166 authorizing Ames Community Arts Council to receive
reimbursement for construction expenses related to the mobile music stage under the existing
FY 2020/21 COTA Spring Special Project Grant and FY 2020/21 COTA Annual Grant
10.RESOLUTION NO. 21-167 approving Hold Harmless Agreement between Iowa State Fire
Marshal Fire Service Training Bureau and the City of Ames for Summer Fire School
11.Field Technical Services for Unit #8 Turbine-Generator:
a.RESOLUTION NO. 21-168 waiving City’s Purchasing Policies regarding formal
bidding procedures and allow for single-source purchasing
h.RESOLUTION NO. 21-169 awarding contract to provide Field Technical Services
for the Unit 8 Turbine-Generator Overhaul to General Electric Steam Services, Inc.,
of Midlothian, Virginia, in the estimated amount of $242,800
12.RESOLUTION NO. 21-170 approving Amendment No. 1 to Professional Services
Agreement for Teagarden Area Letter of Map Revision with WHKS & Co., of Ames, IA, in
the amount of $9,000
13.RESOLUTION NO. 21-171 approving preliminary plans and specifications for Auditorium
HVAC Replacement; setting May 12, 2021 as bid due date and May 25, 2021 as date of
public hearing
14.RESOLUTION NO. 21-172 approving renewal of contract for Professional Services for
Power Plant Fire Risk Mitigation with Burns & McDonnell of Chesterfield, Missouri, in an
amount not to exceed $50,000
15.RESOLUTION NO. 21-173 awarding contract to Maxim Trucking & Materials of Pella,
Iowa, for FY 2021/22 Concrete and Asphalt Crushing for Public Works Department in the
amount of $69,250
16.RESOLUTION NO. 21-174 approving contract for FY 2021/22 Purchase of Rock Salt
requirements for Public Works with Independent Salt Co., of Kanopolis, Kansas, in the
amount of $76.08 per ton
17.Electric Distribution Line Clearance Program:
a.RESOLUTION NO. 21-175 approving contract renewal with Wright Tree Services,
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of Des Moines, Iowa for Electric Distribution Line Clearance Program, from July 1,
2021 through June 30, 2022
b.RESOLUTION NO. 21-176 approving Performance Bond in the amount of $347,378
18.RESOLUTION NO. 21-177 approving contract renewal with ABM of Des Moines, Iowa,
for FY 2021/22 Custodial Services for the Ames Public Library in the amount of $91,857
19.RESOLUTION NO. 21-178 approving renewal of contract with Pitts Lawn & Tree Service
of Huxley, Iowa, for FY 2021/22 Tree Trimming & Removal Program for the Parks &
Recreation Department in an amount not-to-exceed $85,000
20.RESOLUTION NO. 21-179 renewing contract for FY 2021/22 Hauling and Related Services
for the Resource Recovery Plant with Waste Management of Ames, IA, in the amount of
$15.15 per ton
21.RESOLUTION NO. 21-180 approving contract and bond for 2020/21 Collector Street
Pavement Improvements (E. 20th Street)
22.RESOLUTION NO. 21-181 approving contract and bond for 2020/21 CyRide Route
Pavement Improvements (9th Street)
23.RESOLUTION NO. 21-182 approving contract and bond for City Access Control System
Roll Call Vote: 6-0. Motions/Resolutions declared carried/adopted unanimously, signed by the
Mayor, and hereby made a portion of these Minutes.
PUBLIC FORUM: The Mayor opened Public Forum.
Brant Lemer, 5333 Tabor Drive, Ames, explained that he wanted to respond to a comment made at
the last City Council meeting. He mentioned that his wife and he had purchased the Crestview
Mobile Home Park in 2003. Their goal was to clean up the property and run a respectful business in
an industry that was needed in the area. Within six months, that was done, and the area was a vibrant
community for many years. He pointed out that the area thrived, and people had stated that Crestview
was a nice little community. Mr. Lemer expressed his concern over the comments made about the
Crestview Mobile Home Park being in poor shape. He wanted to point out that the property was in
poor shape at the time of closing as 50-plus homes were abandoned on the property. There were
many missed opportunities for the sale of the property. He asked for the Council to work together
and find a new use for the property.
Brent Campbell, 301 NE Trielein Drive, Suite 1, Ankeny, Campbell Engineering & Surveying, stated
he was told by staff that his request was going to be on the Agenda, and he was not seeing his item
listed. The Mayor mentioned that his item would be under Dispositions to see if the Council wanted
to proceed with the item or not. Mr. Campbell appreciated that information.
No one else spoke up, and Public Forum was closed.
SPLASH PAD: Parks and Recreation Director Keith Abraham highlighted a few items regarding
the Splash Pad. The splash pad will be a zero-depth pool with a combination of in-ground and above-
ground spray features. It will be designed with accessibility, inclusiveness, safety, and playability
at the forefront. There will be an activation button for patrons to turn on the features and a timer to
limit when the features are operational.
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Staff had presented the City Council with several water management options at its November 24,
2020, meeting, and the Council had directed staff to pursue a recirculation system for the splash pad.
Staff had looked at several location criteria. One of the requirements of a splash pad is that it has to
be within 200 feet of a restroom and clear side lines. All 38 City parks were looked at and it was
narrowed down to eight parks that had restrooms. After taking several criteria into consideration it
was recommended to have the splash pad located at either Emma McCarthy Lee Park or Daley Park.
Staff held two public meetings on March 16, 2021, to gather feedback regarding potentially locating
the splash pad at either of the final two location options. The first meeting was focused more on
Emma McCarthy Lee Park while the second was geared toward Daley Park. The comments that were
received were from people who were in favor of having a splash pad. The Parks and Recreation
Commission met and voted to recommend City Council approve constructing a splash pad in Daley
Park. Safety and visibility of the splash pad was important to the Commission. The Commission also
felt that on-street parking should be moved from the west side to the east side of Wilder Boulevard
from Thackeray Drive to the northern boundary of the Daley Greenbelt.
Council Member Betcher stated that one of the attendees for the Daley Park location mentioned there
was occasionally minor vandalism that results in broken glass at the Park. She wanted to know how
that type of situation would be addressed when the Park is not staffed. Mr. Abraham explained that
with the recirculation system, staff will have to check the chemicals every morning and will check
the site for any glass or vandalism.
Council Member Gartin inquired how many parking stalls were currently at Daley Park. Mr.
Abraham estimated there were 18 parking stalls. Mr. Gartin wanted to know if there was a greater
demand for the splash pad in the future, would there be any opportunity to expand parking. Mr.
Abraham noted that there would be room for expansion if needed down the road. Mr. Gartin
commented that a lot of people will be taking their kids along the bike path that is nearby and
recommended putting in a bike rack.
Mayor Haila opened public comment and closed it when no one asked to speak.
Moved by Martin, seconded by Betcher, to adopt RESOLUTION NO. 21-183 approving the Splash
Pad location in Daley Park.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
Moved by Gartin, seconded by Corrieri, to direct staff to draft a Parking Ordinance Change from
parking on the west side to the east side of Wilder Boulevard from Thackeray Drive to the northern
boundary of the Daley Greenbelt.
Vote on Motion: 6-0. Motion declared carried unanimously.
STAFF REPORT REGARDING THE REQUEST FOR AN AMES URBAN FRINGE PLAN
MAP AMENDMENT PERTAINING TO THE VERBIO PROPERTY: Planning and Housing
Director Kelly Diekmann mentioned that the City of Nevada is scheduled for a public hearing at the
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end of April for its Annexation proposal and then it will moving forward to the state.
The Mayor opened public comment and closed it when no one asked to comment.
Moved by Beatty-Hansen, seconded by Betcher, to approve Option 1, which was to take no action
at this time.
Vote on Motion: 6-0. Motion declared carried unanimously.
CONSENT TO DEED RESTRICTION ON BEHALF OF MAINSTREAM LIVING FOR THE
PROPERTY LOCATED AT 1417 DOUGLAS AVENUE: Planning and Housing Director Kelly
Diekmann explained that this property was sold to Mainstream Living, and is was asking for the
City’s consent to receive a grant and have a lien placed against the property. Director Diekmann
stated that there was no risk to the City or the property by agreeing to the request.
Moved by Betcher, Seconded by Junck, to adopt RESOLUTION NO. 21-184 approving the Consent
to Deed Restriction on behalf of Mainstream Living for the property located at 1417 Douglas
Avenue.
Roll Call Vote: 5-0-1. Voting Aye: Beatty-Hansen, Betcher, Gartin, Martin, Junck. Voting Nay:
None. Abstaining: Corrieri. Motion declared carried.
STAFF REPORT REGARDING CHAPTER 23 (SUBDIVISION) AND CHAPTER 29
(ZONING) TEXT AMENDMENTS: Planning and Housing Director Kelly Diekmann stated that
staff was asking for approval of a number of changes related to application requirements and
clarification of other procedures that would be beneficial for Chapter 23 (Subdivisions) and Chapter
29 (Zoning). In Chapter 23, staff wanted to address the City’s Plat of Survey process. Staff would
like for City Council to allow the Planning and Housing Director to administratively approve the
Plats of Survey related to boundary line adjustments and conveyance parcels, rather than having City
Council approve them by resolution. Any division of land where there is a split of a parcel or a block
would still go through the Council for approval. Another change that Director Diekmann noted was
when the Inspection Division went to an online service portal, they did not move the planning
applications over to the online service portal. They would like to move forward with having online
applications available. Mr. Diekmann stated that there is no notification process in the Subdivision
Ordinance for the review of major subdivisions. Staff has previously had a hearing for these with the
Planning and Zoning Commission and Director Diekmann recommended adding these into the
Zoning Ordinance.
Director Diekmann mentioned that for Chapter 29 (Zoning), staff would like to change how staff
handles the Zoning Board of Adjustment (ZBA). He noted that currently the Planning Department
handles all the materials, but the City Clerk’s office provides the support/secretarial role for the
meetings. The Planning and Housing Department would like to be the ones responsible for
administrative functions for the Zoning Board of Adjustment agendas and meetings instead of the
City Clerk’s Office; however, the City Clerk’s Office would continue to maintain records of
Decisions and Orders by the ZBA. Mr. Diekmann mentioned that there seemed to be some
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inconsistencies with where it is in the Code that published notices are required. He noted that
published notice for the Zoning Board of Adjustment meetings are not required. Staff would like to
change the process to mailing out the notice, posting a sign, and posting the agenda, only. Director
Diekmann stated that there was an issue with how the voting works with the Zoning Board of
Adjustment. In the Municipal Code, it is stated clearly that you must have three votes to have any
motion pass. He explained that they have had issues over the past couple of years with either a lack
of a full Board or absent members. This has caused tie votes, and meetings have had to be continued
in order to break a tie vote. Staff is recommending changing the voting by the Zoning Board of
Adjustment to a majority of a quorum rather than the Board. Another change that was being
recommended was the definition of the Zoning Enforcement Officer for interpretation of zoning.
Currently, the Building Official is the Zoning Enforcement Officer and the recommendation was to
amend the Code to provide the Planning & Housing Director with the authority to administer and
interpret the Zoning Ordinance.
Council Member Betcher mentioned that a lot of the changes made sense and she wanted to make
sure that staff in all departments has been included to make sure the changes worked well for
everyone. Mr. Diekmann noted that there have been some discussions with the City Manager, Fire
Department, City Clerk, and City Attorney’s Office, but he will work on internal procedure updates
next along with any ordinance updates.
Council Member Gartin wanted to know if the proposed changes have been vetted with other
stakeholders/developers to get their feedback on the changes. He also inquired if the City’s
procedures have been compared to what other peer communities are doing. Director Diekmann
mentioned that they didn’t identify any stakeholders for these changes as it was more administrative.
If they move forward with the Plat of Survey changes, staff would reach out to the surveyors in the
City to make sure they are aware.
Council Member Martin questioned the proposed changes to the voting procedures with the Zoning
Board of Adjustment. He was concerned because the applicants come to ZBA wanting approval for
something and the proposed change will get faster results, but it appeared to provide more ways to
have the applicants walk away with a “no” answer. He pointed out that there would be two ways to
say “no” and only one to say “yes”. He wanted to know if there was a way to tweak the rule to allow
applicants to decide, if flexible on timing, to wait for the entire Board to be present. Director
Diekmann stated that the due process is important and believed they could look into it. It was noted
that Director Diekmann would need to speak with the City Attorney to see what options were
available. Mr. Martin mentioned he felt it would be worth the effort to get more information.
The Mayor opened public comment. It was closed when no one came forward.
Moved by Gartin, seconded by Betcher, to move forward with the changes recommended in the Staff
Report, and direct staff to coordinate preparation of ordinances with the City Attorney with the goal
of having the changes approved prior to July 1, 2021.
Vote on Motion: 6-0. Motion declared carried unanimously
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Moved by Martin, seconded by Betcher, to ask staff to consider ways to ensure that applicants aren’t
disadvantaged due to the increased number of ways to end up with a “no” outcome when fewer than
five members of the Zoning Board of Adjustment are voting.
Vote on Motion: 6-0. Motion declared carried unanimously
STAFF REPORT REGARDING AMES COMPREHENSIVE HISTORIC PRESERVATION
PLAN AMENDMENTS: Planning and Housing Director Kelly Diekmann mentioned that on March
9, 2021, the City Council reviewed the proposed amendments to the Ames Comprehensive Historic
Preservation Plan and recommended a few changes. Those changes along with a few other staff-
recommended changes were included in the Staff Report for approval.
Council Member Betcher commented that the new proposed amendments were a lot clearer to
anyone reading the Plan. She questioned the statement regarding supporting a minimum maintenance
code for rental housing as she believed the original discussion regarding Goal #3, Objective F was
to change the word “the” to “a,” only, but noticed that the wording “and owner-occupied” was
removed. Director Diekmann stated it was open to interpretation, but he was very confident that if
staff put “owner-occupied” back into the Plan it would be consistent with Historic Preservation
Commissions goals.
The Mayor asked if anyone from the public wished to speak. No one requested to speak.
Moved by Betcher, seconded by Beatty-Hansen, to approve the Ames Comprehensive Historic
Preservation Plan Amendment with the change to Goal #3, Objective F to reinstate the words “and
owner-occupied.”
Vote on Motion: 6-0. Motion declared carried unanimously.
AUTHORIZING STAFF TO REIMBURSE 660 EURO (APPROXIMATELY $777) IN FEES
FOR THREE STUDENT REGISTRATIONS TO THE INTERNATIONAL CONFERENCE
ON COMPUTATIONAL URBAN PLANNING AND URBAN MANAGEMENT (CUPUM)
FROM THE FUNDS BUDGETED FOR THE COMMUNITY AND REGIONAL PLANNING
CLASS: The Mayor asked if there was anyone from the public who wished to speak. There was no
one wishing to speak.
Moved by Betcher, seconded by Junck, to adopt RESOLUTION NO. 21-185 authorizing staff to
reimburse 660 Euro (approximately $777) in fees for three student registrations to the International
Conference on Computational Urban Planning and Urban Management (CUPUM) from the funds
budgeted for the Community and Regional Planning class project.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
COMPREHENSIVE ANNUAL FINANCIAL REPORT FOR FISCAL YEAR ENDED JUNE
30, 2020: Finance Director Duane Pitcher mentioned that everything looked good for the year except
for one item. The one exception was related to some reporting with Mary Greeley Medical Center
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(MGMC). Director Pitcher explained that MGMC is reported on the City’s financials as a component
unit. All the City is doing is consolidating the reports and the City is unable to change or adjust them.
In this case the auditor’s report included a qualified opinion based on the Mary Greeley Medical
Center (MGMC) decision to classify CARES Act grant funds received as operating income rather
than nonoperating income as required by applicable accounting standards. Mr. Pitcher noted that was
a significant change, and the City has had a completely clean auditor’s report for several years.
Council Member Gartin asked if there was a timing aspect for the Council to receive the report. Mr.
Pitcher stated that he would ask that the Council receive the report tonight as there was nothing else
that could be done to change the outcome. Mr. Gartin mentioned that he would like a little more time
to review the Report and wanted to know if this could be delayed until the next City Council
meeting. Director Pitcher stated there would not be an issue with waiting to receive the Report.
Moved by Gartin, to table the voting of acceptance until the next City Council meeting. Motion
failed due to lack of second.
Moved by Betcher, seconded by Corrieri, to adopt RESOLUTION NO. 21-186 accepting the
Comprehensive Annual Financial Report as presented.
Council Member Beatty-Hansen mentioned that even though they are going to accept the Report it
didn’t mean they still couldn’t discuss important matters on the Report. Ms. Betcher commented that
she made the motion knowing that the Report was a done deal, but would like to discuss what to do
moving forward.
Roll Call Vote: 5-1. Voting Aye: Beatty-Hansen, Betcher, Corrieri, Martin, Junck. Voting nay:
Gartin. Resolution declared carried.
HEARING ON SALE OF CITY-OWNED PROPERTY AT 1126 GRAND AVENUE TO
HABITAT FOR HUMANITY OF CENTRAL IOWA: Planning and Housing Director Diekmann
stated that the Plat of Survey is a conveyance parcel review to consolidate Lot 9 and the north 5.4
feet of Lot 10, Block 2, Lee’s Addition. The property is now vacant since the house and detached
garage were recently demolished. The purpose of consolidating the lot and the conveyance parcel
is to establish a Parcel, which is necessary to obtain a building permit for a new house.
The Mayor opened public comment. It was closed when no one requested to speak.
Moved by Beatty-Hansen, seconded by Junck, to adopt RESOLUTION NO. 21-187 approving the
Plat of Survey for 1126 Grand Avenue.
Roll Call Vote: 5-0-1. Voting Aye: Beatty-Hansen, Betcher, Corrieri, Martin, Junck. Voting Nay:
None. Abstaining due to Conflict: Gartin.
Resolution declared adopted, signed by the Mayor, and hereby made a portion of these Minutes.
Moved by Beatty-Hansen, seconded by Corrieri, to adopt RESOLUTION NO. 21-188 approving the
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sale of City-owned property at 1126 Grand Avenue to Habitat for Humanity of Central Iowa.
Roll Call Vote: 5-0-1. Voting Aye: Beatty-Hansen, Betcher, Corrieri, Martin, Junck. Voting Nay:
None. Abstaining due to Conflict: Gartin.
Resolution declared adopted unanimously, signed by the Mayor, and hereby made a portion of these
Minutes.
HEARING ON APPROVING EASEMENT AGREEMENT BETWEEN THE CITY AND
IOWA STATE UNIVERSITY TO ALLOW A PEDESTRIAN BRIDGE TO BE LOCATED
WITHIN AND OVER TOP OF THE CITY’S RIGHT-OF-WAY ON UNIVERSITY
BOULEVARD: It was noted that Traffic Engineer Damion Pregitzer was available to answer any
questions.
Council Member Betcher inquired if the pedestrian bridge would be enclosed to avoid people from
throwing objects on to the road. Mr. Pregitzer stated it will be an open bridge with a very high
barrier. There was a courtesy review done with staff including the Police and Fire Department. The
bridge was designed in a way to deter anyone from going over the bridge. Mr. Pregitzer noted that
it is hard to tell from the picture, but the barrier is very high. It would be difficult for anyone to go
over the side or throw anything over the side.
The Mayor opened the public hearing and closed it after there was no one wishing to speak.
Council Member Beatty-Hansen stated that the Council received an email regarding public input
opportunities. She noted that this is an Iowa State University (ISU) project and wanted to know if
the City knew of any opportunities for public input with ISU regarding this project. Mr. Pregitzer
stated that from his understanding ISU went through its own public input process already. The
request tonight is the next step for ISU to move forward with bidding the project and getting a
contractor on board. He didn’t believe there would be any additional input opportunities before the
project goes to bid.
Mayor Haila mentioned that the City owns the land for the rights-of-way, but the University owns
the other portions. He wanted to know if the multi-modal paths would be maintained on the west
side. Mr. Pregitzer noted that none of the infrastructure on University Boulevard will be impacted.
The pedestrian bridge will help expand access for non-motorized activity, especially during special
events.
Moved by Gartin, seconded by Corrieri, to adopt RESOLUTION NO. 21-189 approving the
Easement Agreement between the City and Iowa State University to allow a pedestrian bridge to be
located within and over top of the City’s Right-of-Way on University Boulevard.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
HEARING ON FIRE STATION #1 HVAC REPLACEMENT: The Mayor opened the public
hearing. It was closed when no one asked to speak.
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Moved by Corrieri, seconded by Betcher, to adopt RESOLUTION NO. 21-190 approving plans and
specifications and awarding a contract to Mechanical Comfort, Inc., of Ames, Iowa, in the amount
of $114,434.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
HEARING ON 2020/21 ASPHALT STREET PAVEMENT IMPROVEMENTS & WATER
SYSTEM IMPROVEMENTS (MCKINLEY DRIVE, JENSEN DRIVE, LUTHER DRIVE):
The Mayor opened the public hearing. There was no one wishing to speak, and the hearing was
closed.
Moved by Betcher, seconded by Beatty-Hansen, to adopt RESOLUTION NO. 21-191 approving
plans and specifications and awarding a contract to Manatt’s Inc., of Ames, Iowa, in the amount of
$1,799,294.43.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
HEARING ON 2020/21 CONCRETE PAVEMENT IMPROVEMENTS - 8TH STREET
(NORTHWESTERN TO DUFF): The Mayor opened the public hearing and closed it after there
was no one wishing to speak.
Moved by Beatty-Hansen, seconded by Junck, to adopt RESOLUTION NO. 21-192 approving plans
and specifications and awarding a contract to Manatt’s Inc., of Ames, Iowa, in the amount of
$1,256,246.21.
Roll Call Vote: 6-0. Resolution declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
ORDINANCE AMENDING SECTION 22.32 OF MUNICIPAL CODE PERTAINING TO
SIDEWALK CAFES: Assistant City Manager Brian Phillips stated this Ordinance addresses the
referral that the Council made in 2020. There were some temporary changes to sidewalk cafes during
the pandemic in order to make it easier for restaurants to space out its patrons. In 2020, the City
Council also directed staff to prepare an ordinance change to the Sidewalk Café Code to permanently
address two aspects of operating a sidewalk café. One change would be to remove the requirement
for barriers separating the sidewalk café from the traveling path on the sidewalk for sidewalk cafes
where alcohol is not served. The other change would allow sidewalk cafes to extend along in front
of an adjacent business, provided the extension is approved by the adjacent business owner and the
ingress/egress from the adjacent business is not blocked.
The public hearing was opened by the Mayor. He closed the hearing after no one asked to speak.
Moved by Gartin, seconded by Corrieri, to pass on first reading an ordinance amending Section 22.32
of the Municipal Code pertaining to Sidewalk Cafes.
Roll Call Vote: 6-0. Motion declared carried unanimously.
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The Mayor inquired if it was being recommended by staff to suspend the rules for this ordinance. Mr.
Phillips stated the sidewalk café season had already started, the season begins on April 1 and ends
on October 31. If the rules were suspended, staff would be able to make sure that any businesses that
have yet to set up their sidewalk café would be able to start with the new rules.
Moved by Corrieri, seconded by Beatty-Hansen, to suspend the rules necessary for the adoption of
an ordinance.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Junck, seconded by Betcher, to pass on second reading an ordinance amending Section
22.32 of the Municipal Code pertaining to Sidewalk Cafes.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Corrieri, seconded by Betcher, to pass on third reading and adopt ORDINANCE NO. 4436
amending Section 22.32 of the Municipal Code pertaining to Sidewalk Cafes.
Roll Call Vote: 6-0. Ordinance declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
ORDINANCE NAMING THE ACCESS ROAD ON SOUTH RIVERSIDE DRIVE
“AVIATION WAY:” The Mayor asked for public input. There was no one wishing to speak, and
the hearing was closed.
Moved by Corrieri, seconded by Beatty-Hansen, to pass on first reading an ordinance naming the
access road on South Riverside Drive “Aviation Way.”
Roll Call Vote: 6-0. Motion declared carried unanimously.
ORDINANCE TO INCREASE WATER RATES BY 6%, EFFECTIVE JULY 1, 2021: Moved
by Betcher, seconded by Corrieri, to pass on second reading an ordinance to increase water rates by
6%, effective July 1, 2021.
Roll Call Vote: 6-0. Motion declared carried unanimously.
ORDINANCE ADOPTING BY REFERENCE THE 2020 EDITION OF THE NATIONAL
ELECTRIC CODE WITH TWO STATE OF IOWA AMENDMENTS AND ONE LOCAL
AMENDMENT: Moved by Beatty-Hansen, seconded by Martin, to pass on second reading an
ordinance adopting by reference the 2020 Edition of the National Electric Code with two State of
Iowa amendments and one local amendment.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Corrieri, seconded by Betcher, to suspend the rules necessary for the adoption of an
ordinance.
Roll Call Vote: 6-0. Motion declared carried unanimously.
Moved by Corrieri, seconded by Betcher, to pass on third reading and adopt ORDINANCE NO. 4435
adopting by reference the 2020 Edition of the National Electric Code with two State of Iowa
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amendments and one local amendment.
Roll Call Vote: 6-0. Ordinance declared adopted unanimously, signed by the Mayor, and hereby
made a portion of these Minutes.
DISPOSITIONS OF COMMUNICATIONS TO COUNCIL: Mayor Haila mentioned there were
several items tonight to review. The first item was a letter from Ron Frantzen, Executive Director
of Facility Management at McFarland Clinic requesting updates to crosswalks at Duff Avenue and
12th Street. Assistant City Manager Brian Phillips noted that this request would be appropriate to
refer to staff for a memo.
Moved by Beatty-Hansen, seconded by Betcher, to ask staff for a memo regarding Ron Frantzen’s
request to update the crosswalks at Duff Avenue and 12th Street.
Vote on Motion: 6-0. Motion declared carried unanimously.
The second item was a letter from Brian R. Campbell of Campbell Engineering & Surveying
requesting an Ames Urban Fringe Map revision for the property located at 2359-210th Street, Ames
(Boone County).
Moved by Martin, seconded by Betcher, to request a memo from staff regarding Brian Campbell’s
letter requesting an Ames Urban Fringe Map revision for the property located at 2359-210th Street,
Ames (Boone County).
Vote on Motion: 6-0. Motion declared carried unanimously.
Mayor Haila mentioned the third item was an email from Kim Olmstead on behalf of Leon Weubker
requesting a waiver of the City’s platting authority in the Ames Urban Fringe Plan for properties
located at 2227, 2233, 2239, 2245, and 2249-229th Place, Ames (Boone County).
Moved by Betcher, seconded by Beatty-Hansen, to refer the email from Kim Olmstead on behalf of
Leon Weubker requesting a waiver of the City’s platting authority in the Ames Urban Fringe Plan
for properties located at 2227, 2233, 2239, 2245, and 2249-229th Place, Ames (Boone County) for
a memo from staff.
Vote on Motion: 6-0. Motion declared carried unanimously.
The fourth item was an email from Dan Culhane, President and CEO, Ames Chamber of Commerce
and Economic Development following up on its February 2, 2021, request for beautification
improvements to the medians on Lincoln Way through Campustown from Beach Avenue west to
Sheldon Avenue. Assistant City Manager Brian Phillips stated that staff had met with Mr. Culhane
to discuss some of the details of the proposed landscaping. Mr. Phillips mentioned that staff was
comfortable with a few elements that were proposed for the landscaping and noted that the City is
not being asked for any funds for the installation; however, the City would be responsible for the
maintenance and a few other issues. He told the Council it would be appropriate to refer the request
to staff for a memo listing what action steps would need to be taken to proceed.
Moved by Corrieri, seconded by Martin, to place the request from Dan Culhane, President and CEO,
13
Ames Chamber of Commerce and Economic Development regarding beautification improvements
to the medians on Lincoln Way through Campustown from Beach Avenue west to Sheldon Avenue
on an Agenda.
Council Member Gartin stated he is supportive of the motion; however, it seemed odd to him that
the City is not contributing any money towards the project. He asked if this would normally be under
the City’s purview and is the City comfortable not contributing anything. Council Member Beatty-
Hansen explained that when this item is on an Agenda it would be a good time to discuss funding
from the City.
The Mayor mentioned that there was some history with this item. Mr. Phillips noted that information
could be included in the memo.
Vote on Motion: 6-0. Motion declared carried unanimously.
The Mayor mentioned that the fifth item was a letter from Chuck Winkleblack, General Manager,
Hunziker Companies requesting to amend the Ames Urban Fringe Plan for designation of industrial
development for approximately 73 acres located at 2105 Dayton Avenue.
Council Member Martin pointed out that the letter also asked for a new TIF district to be established.
Moved by Martin, seconded by Corrieri, to request a memo from staff regarding the letter from
Chuck Winkleblack to amend the Ames Urban Fringe Plan for designation of industrial development
for approximately 73 acres located at 2105 Dayton Avenue.
Vote on Motion: 6-0. Motion declared carried unanimously.
The next item was a memo from Deb Schildroth, Assistant City Manager regarding the selection
status of a Climate Action Plan consultant. The Mayor stated that the memo was informational only
and no action was required by the Council. Assistant City Manager Deb Schildroth provided an
update on the status of hiring a consultant for the Climate Action Plan. The plan is to have the
recommendation for a consultant on the next City Council Agenda.
Mayor Haila stated the next item was an email and report from James Pease, President of Friends of
Ada Hayden Heritage Park Board requesting the City to reconsider Rose Prairie as park land.
Council Member Betcher inquired if there was anything preventing the Council from re-considering
the request. The Mayor mentioned that since the prior request there was an update to a Developer’s
Agreement. Director Diekmann explained that Rose Prairie had filed for a rezoning with the Master
Plan application. Rose Prairie is moving forward with the direction that was given by the Council
in March 2021. Council Member Gartin explained that Mr. Pease put a lot of work into making the
Report and wanted to know if Planning could incorporate some of the aspects of the report that could
be included with the housing development. Director Diekmann stated that when staff eventually gets
to the subdivision stage, there is a natural resource inventory that must be prepared and evaluated.
14
Some of the same information will be part of the subdivision, and the Report could be used as a
comparison. Council Member Betcher mentioned that the Friends of Ada Hayden were open to
discussions about the plan and that it would be an opportunity for developers to use Mr. Pease’s
information. Director Diekmann commented that it would depend on what aspects would be
considered as the Report was given regarding a park not a development.
The eighth item was a memo from Kelly Diekmann, Planning and Housing Director with a response
to the request to rezone properties between Grand Avenue and Grove Avenue from Residential High
Density to Residential Medium Density. Director Diekmann commented that if the Council was
interested in moving forward, he would recommend placing the item on an Agenda as the request is
unique. The request is from a neighbor and not a property owner.
Council Member Gartin inquired if the request would cause a lot of work for Planning staff. Mr.
Diekmann mentioned that it would not be an inordinate amount of work, but it would have to follow
the normal process of notifying neighbors and having a hearing. He noted that this area was noted
in the Ames Plan 2040 and was worth discussing, but he wasn’t sure if the Council wanted to do that
now or later.
The Mayor asked if it was normal to get a request from a neighbor instead of the actual property
owner. Director Diekmann commented that he had not seen one during his time with the City.
Council Member Betcher mentioned she wanted to give a little bit of background information on the
request. Mr. Long had originally reached out to her and had indicated that the request was originating
from the Neighborhood Association and not just him.
Council Member Martin noted that he would like more direct evidence from someone that this is an
imminent situation or that there is a large number of property owners that want to move forward. As
of right now there is only one letter. He thought the Council should not take any action on the request
right now, but leave open the possibility that if more evidence was brought forward, they would re-
address the issue.
Moved by Martin, seconded by Junck, to approve Option 1, which was to retain the existing zoning
at this time.
Vote on Motion: 5-1. Voting Aye: Beatty-Hansen, Corrieri, Gartin, Junck, Martin. Voting Nay:
Betcher. Motion declared carried.
The last item was a memo from Keith Abraham, Parks and Recreation Director reviewing the
criteria/approach to offering and opening Parks and Recreation programs and facilities. No
discussion was had regarding the memo.
COUNCIL COMMENTS: Ex officio Nicole Whitlock mentioned that the City Council meeting on
April 27 will be her last meeting. The new ex officio will be introduced sometime in the near future.
15
The Mayor inquired if there were any updates on the Ames Plan 2040 as the community has been
asking for updates. Assistant City Manager Brian Phillips mentioned that he had spoken with
Planning and Housing Director Kelly Diekmann and had asked him to put together an email giving
the Council an update on where staff is on the Plan.
Moved by Gartin, seconded by Beatty-Hansen, to direct staff to begin the process of getting things
ready for the Council to move back into in-person meetings with the date to be left unknown at this
point.
Mayor Haila inquired about what Mr. Gartin meant by “begin the process.” Assistant City Manager
Brian Phillips explained that staff will need some direction from the Council about what its
expectations are for meeting options, specifically, would the Council’s expectations be to come back
and have meetings in-person only or a hybrid option. If the Council wanted to have a hybrid option,
there would be some technological issues that would need to be addressed along with potential cost
and staffing needs. He noted that staff would also want to ensure that the facilities are equipped to
handle the public being in person at a meeting. Mr. Phillips mentioned that staff would begin to
research the different options and bring those back to the Council for discussion.
Vote on Motion: 6-0. Motion declared carried unanimously.
ADJOURNMENT: Moved by Corrieri to adjourn the meeting at 8:07 p.m.
______________________________________________________________________
Amy L. Colwell, Deputy City Clerk John A. Haila, Mayor
__________________________________
Diane R. Voss, City Clerk
16
MINUTES OF THE SPECIAL MEETING OF THE AMES CITY COUNCIL
AMES, IOWA APRIL 15, 2021
The Special Meeting of the Ames City Council was called to order by Mayor John Haila at 1:00 p.m.
on the 15th day of April, 2021. The Mayor announced that it was impractical to hold an in-person
Council meeting due to the COVID-19 pandemic. Therefore, this meeting was being held as an
electronic meeting as allowed by Section 21.8 of the Iowa Code. Council Members Gloria Betcher,
Amber Corrieri, Tim Gartin, Rachel Junck, and David Martin were present. Council Member Bronwyn
Beatty-Hansen was absent as was ex officio Member Nicole Whitlock. The Mayor described the options
available to those who wanted to offer public input.
AMENDMENT TO AMES URBAN FRINGE PLAN LAND USE CLASS MAP: Moved by Gartin,
seconded by Betcher, to initiate an amendment to the Ames Urban Fringe Plan Land Use Class Map
to designate additional Urban Service Area along Lincoln Highway and 500th Avenue.
Vote on Motion: 5-0. Motion declared carried unanimously.
Council Member Gartin asked to know how this will impact the proposed annexation of this property
that the Council had initiated. Director Kelly Diekmann stated that the AUFP Amendment affects
approximately half of the land included within the annexation. He advised that the AUFP Amendment
would need to be taken to the Planning & Zoning Commission for recommendation. Notices need to
go out to those impacted by the Amendment by mail and posting on the property affected by the AUFP
Amendment. The Amendment also needs to be heard by the Story County Board of Supervisors, who
will also send a notice to the public. It is anticipated that this will come back to the City Council in late
May or early June concurrent with the annexation. Mr. Gartin also asked who gets notified by the City
of Ames of the pending action. Answering, Mr. Diekmann said those property owners within 300 feet
of the boundaries of the area in question.
DISPOSITIONS OF COMMUNICATIONS TO COUNCIL: None.
COUNCIL COMMENTS: None.
ADJOURNMENT: Moved by Gartin to adjourn the meeting at 1:04 p.m.
_____________________________________ ____________________________________
Diane R. Voss, City Clerk John A. Haila, Mayor
REPORT OF
CONTRACT CHANGE ORDERS
General Description Change Original Contract Total of Prior Amount this Change Contact
Water Plant Design WTP
Dehumidification Project
Stabilization
Period:
Item No. 8
MINUTES OF THE REGULAR MEETING OF THE
AMES CIVIL SERVICE COMMISSION
AMES, IOWA APRIL 22, 2021
The Regular Meeting of the Ames Civil Service Commission was called to order by Chairperson
Mike Crum at 8:15 a.m. on April 22, 2021. As it was impractical for the Commission members to
attend in person, Commission Chairperson Mike Crum and Commission Member Harold Pike were
brought in telephonically. Commission Member Kim Linduska was absent.
ELECTION OF OFFICERS: Moved by Pike, seconded by Crum, to elect Mike Crum as
Chairperson of the Civil Service Commission.
Vote on Motion: 2-0. Motion declared carried unanimously.
Moved by Pike, seconded by Crum, to elect Kim Linduska as Vice-Chairperson of the Civil Service
Commission.
Vote on Motion: 2-0. Motion declared carried unanimously.
APPROVAL OF MINUTES OF MARCH 25, 2021: Moved by Crum, seconded by Pike, to
approve the Minutes of the March 25, 2021, Regular Civil Service Commission meeting.
Vote on Motion: 2-0. Motion declared carried unanimously.
CERTIFICATION OF ENTRY-LEVEL APPLICANTS: Moved by Pike, seconded by Crum, to
certify the following individuals to the Ames City Council as Entry-Level Applicants:
Cross Connection Control Coordinator Ryan Cable 78
Shawn Cole 74
Principal Clerk - CyRide Cheryl Spencer 83
Wendy Van Dyke 77
Electric Services Maintenance Superintendent Michael O’Sullivan 80*
Maintenance Worker - Streets Corey Tjaden 79
Cole LaFollette 75
Andrew Lehman 75
Tony Sejaan 75*
Brad Spies 73
Luke Hinderaker 71
Tyler Petersen 71
Maintenance Worker - Utilities Corey Tjaden 79
Rick Breault, Jr. 77
Cole LaFollette 75
Andrew Lehman 75
Tony Sejaan 75*
Brad Spies 73
Luke Hinderaker 71
Tyler Petersen 71
*Includes Preference Points
Vote on Motion: 2-0. Motion declared carried unanimously.
REQUEST TO REMOVE NAMES FROM POLICE OFFICER CERTIFIED LIST: Human
Resources Director Bethany Jorgenson clarified that the original Police Officer List was certified by
the Commission on June 25, 2020, with eight candidates. Five candidates were hired from that List.
Two of the remaining candidates withdrew from the process, and the other remaining candidate
declined an Offer of Employment due to accepting another position outside of the City of Ames. The
next List was certified by the Commission on December 17, 2020, with three candidates. All three
candidates withdrew from the process. The Human Resources Department is now requesting that the
six candidates who have formally withdrawn from the process be removed from the Certified List,
as allowed by Section 4.5 of the Civil Service Commission Policies and Procedures.
Moved by Pike, seconded by Crum, to approve the removal of the names of the six candidates who
formally withdrew from the process from the Certified Civil Service List for Police Officer.
Vote on Motion: 2-0. Motion declared carried unanimously.
REQUEST TO REMOVE NAMES FROM PUBLIC SAFETY DISPATCHER CERTIFIED
LIST: Human Resources Director Bethany Jorgenson explained that the original Public Safety
Dispatcher List was certified by the Commission on October 22, 2020, with seven candidates. Two
candidates were hired from that List. Two candidates have withdrawn from the process due to
accepting other positions outside of the City of Ames. According to Section 4.5 of the Civil Service
Commission Policies and Procedures, candidates shall have their name removed from the Certified
List whenever they have: requested to have their name removed, refused an interview or an Offer
of Employment, requested not to be considered for the vacancy, failed to respond to a written notice,
or if the person is subsequently found unqualified or has reference, credit, and/or background check
results that do not provide indicators of future success in the position. The Human Resources
Department is requesting to remove the names of the remaining three candidates from the Civil
Service List for Public Safety Dispatcher in order to allow for a new open recruitment process to
begin. Staff also requested to exhaust the remaining list of three candidates since they do not satisfy
all of the elements desired for the role after job shadowing was conducted.
Moved by Crum, seconded by Pike, to approve the removal of the names of the three remaining
candidates from the Certified Civil Service List for Public Safety Dispatcher and to subsequently
exhaust that List, as allowed by Section 4.5 and Section 4.2 , respectively, of the Civil Service
Commission Policies and Procedures.
Vote on Motion: 2-0. Motion declared carried unanimously.
COMMENTS: The next Regular Meeting of the Ames Civil Service Commission is scheduled for
May 27, 2021, at 8:15 a.m.
ADJOURNMENT: The meeting adjourned at 8:24 a.m.
__________________________________ _______________________________________
Michael R. Crum, Chairperson Diane R. Voss, City Clerk
2
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Item No. 12
MEMO
Smart Choice
To: Mayor John Haila and Ames City Council Members
From: Lieutenant Heath Ropp, Ames Police Department
Date: April 22, 2021
Subject: Beer Permits & Liquor License Renewal Reference City Council Agenda
The Council agenda for April 27t, 2021 includes beer permits and liquor license
renewals for:
•Swift Stop #2 (3406 Lincoln Way) - Class C Beer Permit with Sunday Sales
•The Great Plains Sauce & Dough Co (129 Main St) - Special Class C Liquor License with
Sunday Sales
•Walgreens #12108 (2719 Grand Ave) - Class E Liquor License with Class B Wine Permit
Class C Beer Permit (Carryout Beer) & Sunday Sales
•Jeff’s Pizza Shop LLC (2402 Lincoln Way) - Class B Beer with Sunday Sales
•Bar la Tosca (303 Welch Avenue, #101) - Class C Liquor License with Class B Wine
Permit, Outdoor Service & Sunday Sales
•Szechuan House (3605 Lincoln Way) - Special Class C Liquor License with Class B Native
Wine
A review of police records for the past 12 months found no liquor law violations for any
of the above locations. The Ames Police Department recommends renewal of licenses
for all the above businesses.
•Wasabi Ames (926 S 16th St) – Class C Liquor License with Outdoor Service and Sunday
Sales
A review of police records for the past 12 months found one liquor law violation for the
above business. During a compliance check on April 16, 2021 an employee sold alcohol
to a minor and was cited accordingly.
•Mother’s Pub (2900 West St) - Class C Liquor License with Catering Privilege, Outdoor
Service & Sunday Sales
A review of police records for the past 12 months found one liquor law violation for the
above business. During a compliance check on March 25, 2021 an employee sold
alcohol to a minor and was cited accordingly.
The Police Department will continue to monitor the above locations by conducting
regular foot patrols, bar checks and by educating the bar staff through trainings and
quarterly meetings. The Ames Police Department recommends license renewal for the
above businesses.
Police Department 515.239.5133 non-emergency 515 Clark Ave. P.O. Box 811
515.239.5130 Administration Ames, IA 50010
515.239.5429 fax www.CityofAmes.org
Item No. 13
Caring People Quality Programs Exceptional Service
515.239.5105 main
5142 fax
Ave.
MEMO
TO: Members of the City Council
FROM: John A. Haila, Mayor
DATE: April 27, 2021
SUBJECT: Appointment of ex officio Student Liaison to the City Council
It is my understanding that Nicole Whitlock, ex offico representative to the
City Council, will no longer be serving in that capacity.
Consequently, an appointment needs to be made to fill this vacancy.
I have been informed that Trevor Poundstone has been selected to serve as the
City Council’s ex officio representative. Therefore, I request that the Council
appoint Mr. Poundstone, representing the Iowa State University Student
Government, as the ex officio Student Liaison t o the City Council.
JAH/alc
Item No. 14
Mayor’s Office 515.239.5105 main 515 Clark Ave., P.O. Box 811
Ames, IA 50010
www.CityofAmes.org
515.239.5142 fax
MEMO
TO: Members of the City Council
FROM: John A. Haila, Mayor
DATE: April 23, 2021
SUBJECT: Iowa State University Student Government Appointments to Ames Transit
Agency Board of Trustees
The Council needs to confirm appointments of two members of the Iowa State Student
Government to serve on the Ames Transit Agency Board of Trustees. The City has been notified
that Natalia Martinez and Jacob Ludwig have been appointment by the Student Government to
serve on the Board.
Therefore, I recommend that the City Council confirm the appointments of Natalia Martinez and
Jacob Ludwig to the Ames Transit Agency Board of Trustees each for a one-year term beginning
May 15, 2021.
/drv
Item No. 15
Caring People Quality Programs Exceptional Service
515.239.5119 main
-5320 fax
Introduction
The purpose of this memorandum is to present a report summarizing the performance of
the City of Ames investment portfolio for the quarter ending March 31, 2021.
Discussion
This report covers the period ending March 31, 2021 and presents a summary of the
investments on hand at the end of March 2021. The investments are valued at amortized
cost; this reflects the same basis that the assets are carried on the financial records of
the City. All investments are in compliance with the current Investment Policy.
Comments
The Federal Reserve maintained the federal fund rate at 0-0.25 percent in the last
quarter. The yield curve is normal, making shorter maturities pay at a less rates than
longer maturities. Future investments will be made at the lower interest rates and future
interest income will decrease. W e will continue to evaluate our current investment
strategy, remaining flexible to future investments while the Federal Reserve evaluates
the target rate.
Item No. 16
BOOK MARKET UN-REALIZED
DESCRIPTION VALUE VALUE GAIN/(LOSS)
CERTIFICATES OF DEPOSIT 29,000,000 29,000,000 0
FEDERAL AGENCY DISCOUNTS 0
FEDERAL AGENCY SECURITIES 55,340,099 55,388,857 48,758
COMMERCIAL PAPER 7,496,538 7,496,520 (18)
MISC COUPON SECURITIES 0
PASS THRU SECURITIES PAC/CMO
MONEY FUND SAVINGS ACCOUNTS 292,530 292,530 0
PASSBOOK/CHECKING ACCOUNTS 133,102 133,102 0
US TREASURY DISCOUNTS
US TREASURY SECURITIES 65,865,735 66,435,130 569,395
INVESTMENTS 158,128,004 158,746,139 618,135
CASH ACCOUNTS 37,284,221 37,284,221
ACCRUAL BASIS INVESTMENT EARNINGS YR-TO-DATE
GROSS EARNINGS ON INVESTMENTS:1,525,858
INTEREST EARNED ON CASH:100,503
AND THE ACCUMULATED YEAR-TO-DATE
CITY OF AMES, IOWA
CASH AND INVESTMENTS SUMMARY
AND SUMMARY OF INVESTMENT EARNINGS
FOR THE QUARTER ENDED MARCH 31, 2021
YTM
365
Page 1
Par Value Book Value
Maturity
Date
Stated
RateMarket Value
March 31, 2021
Portfolio Details - Investments
Average
BalanceIssuer
Portfolio Management
Investments FY 2020-2021
Days to
Maturity
YTM
360CUSIPInvestment #
Purchase
Date
Certificates of Deposit
1.670Bankers Trust13487203 1,000,000.00 1,000,000.00 07/30/20211.67010/15/2019 1,000,000.00 1.64713487203 120
1.690Bankers Trust13716374 2,500,000.00 2,500,000.00 06/01/20211.69010/15/2019 2,500,000.00 1.66713716374 61
1.690First National Bank50941 1,000,000.00 1,000,000.00 08/13/20211.69010/16/2019 1,000,000.00 1.66750941 134
1.690First National Bank50942 1,500,000.00 1,500,000.00 12/15/20211.69010/16/2019 1,500,000.00 1.66750942 258
1.590First National Bank50972 1,000,000.00 1,000,000.00 07/30/20211.59011/21/2019 1,000,000.00 1.56850972 120
2.660Great Western Bank144303455 4,000,000.00 4,000,000.00 06/01/20222.66004/16/2019 4,000,000.00 2.624144303455 426
2.700US Bank433071437 4,000,000.00 4,000,000.00 06/01/20212.70004/24/2018 4,000,000.00 2.663433071437 61
2.990US Bank433071659 6,000,000.00 6,000,000.00 06/01/20222.99005/24/2018 6,000,000.00 2.949433071659 426
1.710US Bank795014295 3,000,000.00 3,000,000.00 06/01/20221.71010/16/2019 3,000,000.00 1.687795014295 426
1.780US Bank795014296 5,000,000.00 5,000,000.00 06/01/20231.78010/16/2019 5,000,000.00 1.756795014296 791
29,000,000.00 2.21529,000,000.0029,000,000.0029,000,000.00Subtotal and Average 2.246 367
Money Market
0.300Great Western Bank4531558874 292,529.71 292,529.71 0.300292,529.71 0.296SYS4531558874B 1
292,529.71 0.296292,529.71292,529.71292,529.20Subtotal and Average 0.300 1
Passbook/Checking Accounts
0.150Wells Fargo6952311634B 133,101.71 133,101.71 0.150133,101.71 0.148SYS6952311634B 1
133,101.71 0.148133,101.71133,101.71133,101.48Subtotal and Average 0.150 1
Commercial Paper Disc. -Amortizing
0.205Bank Tokyo Mitsubishi0938-20A 1,000,000.00 999,705.56 05/24/20210.20008/31/2020 999,710.00 0.20262479LSQ9 53
0.205Bank Tokyo Mitsubishi0938-20B 1,000,000.00 999,705.56 05/24/20210.20008/31/2020 999,710.00 0.20262479LSQ9 53
0.205Bank Tokyo Mitsubishi0938-20C 1,000,000.00 999,705.56 05/24/20210.20008/31/2020 999,710.00 0.20262479LSQ9 53
0.237Lloyds Bank Co0948-20A 1,000,000.00 999,418.61 07/01/20210.23010/13/2020 999,420.00 0.23353948AU17 91
0.237Lloyds Bank Co0948-20B 1,000,000.00 999,418.61 07/01/20210.23010/13/2020 999,420.00 0.23353948AU17 91
0.237Lloyds Bank Co0948-20C 1,000,000.00 999,418.61 07/01/20210.23010/13/2020 999,420.00 0.23353948AU17 91
0.226Lloyds Bank Co0951-20 1,500,000.00 1,499,165.83 07/01/20210.22010/15/2020 1,499,130.00 0.22353948AU17 91
7,496,538.34 0.2197,496,520.007,500,000.007,544,250.43Subtotal and Average 0.222 76
Federal Agency Coupon Securities
0.600Farmer Mac0962-20 1,000,000.00 1,000,000.00 11/20/20250.60011/20/2020 985,490.00 0.59231422B3F5 1,694
1.590Federal Farm Credit0874-19 1,000,000.00 1,000,618.92 04/29/20212.40008/16/2019 1,001,848.00 1.5683133EKJP2 28
1.721Federal Farm Credit0886-19 1,500,000.00 1,500,777.65 04/29/20212.40009/13/2019 1,502,772.00 1.6973133EKJP2 28
1.455Federal Farm Credit0913-20 1,000,000.00 1,009,760.18 11/15/20213.05002/20/2020 1,018,641.00 1.4353133EJT74 228
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PM2) 7.3.0
Report Ver. 7.3.5
YTM
365
Page 2
Par Value Book Value
Maturity
Date
Stated
RateMarket Value
March 31, 2021
Portfolio Details - Investments
Average
BalanceIssuer
Portfolio Management
Investments FY 2020-2021
Days to
Maturity
YTM
360CUSIPInvestment #
Purchase
Date
Federal Agency Coupon Securities
1.470Federal Farm Credit0914-20 1,000,000.00 1,001,882.62 11/29/20211.76002/20/2020 1,011,281.00 1.4503133EGL60 242
1.458Federal Farm Credit0916-20 1,000,000.00 1,001,212.35 12/27/20211.62502/20/2020 1,011,610.00 1.4383133ELFR0 270
0.300Federal Farm Credit0925-20 1,500,000.00 1,500,623.50 06/16/20210.50004/15/2020 1,501,452.00 0.2963133ELTP9 76
0.360Federal Farm Credit0930-20 1,500,000.00 1,502,030.76 01/18/20220.53004/15/2020 1,505,580.00 0.3553133ELTN4 292
0.154Federal Farm Credit0952-20A 2,000,000.00 1,999,779.02 04/08/20220.14010/15/2020 2,000,080.44 0.1513133EMCJ9 372
0.154Federal Farm Credit0952-20B 3,000,000.00 2,999,668.54 04/08/20220.14010/15/2020 3,000,120.67 0.1513133EMCJ9 372
0.092Federal Farm Credit0974-21 1,500,000.00 1,502,350.14 10/13/20220.16002/12/2021 1,501,106.83 0.0913133EMDA7 560
0.341Federal Farm Credit0977-21A 1,000,000.00 998,699.38 11/12/20240.30003/02/2021 989,993.67 0.3363133EMQQ8 1,321
0.341Federal Farm Credit0977-21B 1,500,000.00 1,498,049.06 11/12/20240.30003/02/2021 1,484,990.50 0.3363133EMQQ8 1,321
1.856Federal Home Loan Bank0791-17 1,135,000.00 1,135,136.34 11/29/20211.87510/13/2017 1,148,666.53 1.8303130AABG2 242
1.544Federal Home Loan Bank0877-19 1,000,000.00 1,000,630.53 06/11/20211.87508/16/2019 1,003,577.00 1.523313379RB7 71
1.734Federal Home Loan Bank0884-19 2,000,000.00 2,001,965.52 06/11/20212.25009/13/2019 2,008,612.00 1.7103130A1W95 71
1.604Federal Home Loan Bank0901-19 1,000,000.00 1,003,341.69 09/10/20212.37511/21/2019 1,010,252.00 1.582313378JP7 162
1.601Federal Home Loan Bank0905-19 1,500,000.00 1,510,406.45 12/10/20212.62511/21/2019 1,526,674.50 1.579313376C94 253
1.475Federal Home Loan Bank0915-20 1,000,000.00 1,007,816.37 12/10/20212.62502/20/2020 1,017,783.00 1.455313376C94 253
0.402Federal Home Loan Bank0931-20A 1,500,000.00 1,523,906.51 02/08/20222.28004/15/2020 1,528,042.50 0.397313376Y74 313
0.402Federal Home Loan Bank0931-20B 1,000,000.00 1,015,937.67 02/08/20222.28004/15/2020 1,018,695.00 0.397313376Y74 313
0.204Federal Home Loan Bank0935-20A 1,000,000.00 1,019,280.49 03/11/20222.25005/15/2020 1,020,326.00 0.201313378CR0 344
0.204Federal Home Loan Bank0935-20B 1,500,000.00 1,528,920.73 03/11/20222.25005/15/2020 1,530,489.00 0.201313378CR0 344
0.128Federal Home Loan Bank0944-20 1,500,000.00 1,499,983.11 09/10/20210.12509/17/2020 1,500,475.50 0.1263130AK5A0 162
0.134Federal Home Loan Bank0947-20 1,500,000.00 1,546,687.32 06/10/20222.75009/17/2020 1,546,846.50 0.1323130AEBM1 435
0.130Federal Home Loan Bank0949-20A 1,000,000.00 999,973.36 10/13/20210.12510/13/2020 1,000,383.00 0.1283130AKCB0 195
0.130Federal Home Loan Bank0949-20B 2,000,000.00 1,999,946.72 10/13/20210.12510/13/2020 2,000,766.00 0.1283130AKCB0 195
0.125Federal Home Loan Bank0956-20 1,500,000.00 1,500,005.21 10/19/20210.12510/20/2020 1,500,597.71 0.1233130AKD86 201
0.581Federal Home Loan Bank0975-21 1,000,000.00 996,617.71 02/17/20260.30002/22/2021 979,135.67 0.5733130AL4V3 1,783
0.943Federal Home Loan Bank0976-21 1,000,000.00 985,159.09 09/10/20260.30003/10/2021 975,242.00 0.9303130ALB86 1,988
0.841Federal Home Loan Bank0978-21 1,000,000.00 988,161.03 02/11/20260.58003/15/2021 981,707.78 0.8293130AKXB7 1,777
0.385Federal Home Loan Bank0979-21A 1,500,000.00 1,499,587.09 03/15/20240.37503/17/2021 1,498,604.75 0.3803130ALKS2 1,079
0.385Federal Home Loan Bank0979-21B 1,000,000.00 999,724.73 03/15/20240.37503/17/2021 999,069.83 0.3803130ALKS2 1,079
1.571Federal Home Loan Mortgage Co.0876-19 1,000,000.00 1,000,355.14 05/28/20211.80008/16/2019 1,002,794.00 1.5503134G45K0 57
1.440Federal Home Loan Mortgage Co.0917-20 1,000,000.00 1,007,196.62 01/13/20222.37502/20/2020 1,018,102.00 1.4203137EADB2 287
0.360Federal Home Loan Mortgage Co.0929-20A 1,500,000.00 1,523,574.84 01/13/20222.37504/15/2020 1,527,153.00 0.3553137EADB2 287
0.360Federal Home Loan Mortgage Co.0929-20B 1,000,000.00 1,015,716.56 01/13/20222.37504/15/2020 1,018,102.00 0.3553137EADB2 287
0.091Federal Home Loan Mortgage Co.0955-20 1,500,000.00 1,500,666.56 07/25/20220.12510/15/2020 1,499,973.00 0.0903137EAET2 480
0.360Federal Home Loan Mortgage Co.0960-20 1,000,000.00 1,000,080.00 05/15/20240.36011/20/2020 996,952.00 0.3553134GXBD5 1,140
0.350Federal Home Loan Mortgage Co.0961-20 1,000,000.00 1,000,000.00 03/29/20240.35011/20/2020 997,790.00 0.3453134GWXC5 1,093
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PM2) 7.3.0
YTM
365
Page 3
Par Value Book Value
Maturity
Date
Stated
RateMarket Value
March 31, 2021
Portfolio Details - Investments
Average
BalanceIssuer
Portfolio Management
Investments FY 2020-2021
Days to
Maturity
YTM
360CUSIPInvestment #
Purchase
Date
Federal Agency Coupon Securities
0.240Federal Nat'l Mtg. Assoc.0927-20 1,500,000.00 1,505,709.46 08/17/20211.25004/15/2020 1,506,837.00 0.2373135G0N82 138
0.319Federal Nat'l Mtg. Assoc.0928-20 1,500,000.00 1,508,160.23 10/07/20211.37504/15/2020 1,510,242.00 0.3143135G0Q89 189
55,340,099.20 0.64255,388,857.3855,135,000.0055,363,061.65Subtotal and Average 0.651 479
Treasury Coupon Securities
1.627U.S. Treasury0769-17 2,000,000.00 1,999,201.07 05/31/20211.37504/20/2017 2,004,376.00 1.605912828R77 60
2.963U.S. Treasury0835-18 2,500,000.00 2,470,179.38 05/31/20221.87510/15/2018 2,551,562.50 2.923912828XD7 425
2.964U.S. Treasury0836-18 2,500,000.00 2,466,732.56 05/31/20221.75010/15/2018 2,547,657.50 2.923912828XR6 425
2.459U.S. Treasury0860-19 3,000,000.00 2,948,857.09 05/31/20231.62503/08/2019 3,091,875.00 2.426912828R69 790
1.580U.S. Treasury0873-19 1,000,000.00 1,000,299.34 04/15/20212.37508/16/2019 1,000,781.00 1.5589128284G2 14
1.719U.S. Treasury0887-19 1,000,000.00 998,563.74 06/30/20211.12509/13/2019 1,002,656.00 1.695912828S27 90
1.711U.S. Treasury0888-19 1,000,000.00 1,002,573.41 07/15/20212.62509/13/2019 1,007,500.00 1.688912828Y20 105
1.540U.S. Treasury0893-19 6,000,000.00 6,152,196.17 05/31/20232.75011/04/2019 6,330,936.00 1.5199128284S6 790
1.600U.S. Treasury0899-19 1,000,000.00 1,004,206.76 08/15/20212.75011/21/2019 1,010,156.00 1.5789128284W7 136
1.602U.S. Treasury0900-19 1,000,000.00 999,580.77 08/31/20211.50011/21/2019 1,005,938.00 1.580912828YC8 152
1.594U.S. Treasury0902-19 1,000,000.00 997,708.25 09/30/20211.12511/21/2019 1,005,313.00 1.572912828T34 182
1.600U.S. Treasury0903-19 1,000,000.00 1,006,741.71 10/15/20212.87511/21/2019 1,015,156.00 1.5789128285F3 197
1.586U.S. Treasury0904-19 1,500,000.00 1,511,829.96 11/15/20212.87511/21/2019 1,526,250.00 1.5649128285L0 228
1.480U.S. Treasury0910-20 1,500,000.00 1,500,906.25 04/30/20212.25002/20/2020 1,502,344.50 1.459912828WG1 29
1.481U.S. Treasury0911-20 4,000,000.00 4,003,363.09 05/31/20212.00002/20/2020 4,012,500.00 1.460912828WN6 60
1.474U.S. Treasury0912-20 1,500,000.00 1,503,496.62 06/15/20212.62502/20/2020 1,507,969.50 1.4549128284T4 75
1.441U.S. Treasury0918-20 1,000,000.00 1,007,612.11 10/15/20212.87502/20/2020 1,015,156.00 1.4219128285F3 197
0.122U.S. Treasury0933-20 1,500,000.00 1,503,708.09 06/30/20211.12505/15/2020 1,503,984.00 0.120912828S27 90
0.160U.S. Treasury0934-20A 1,000,000.00 1,015,633.24 02/28/20221.87505/15/2020 1,016,250.00 0.158912828W55 333
0.160U.S. Treasury0934-20B 1,500,000.00 1,523,449.87 02/28/20221.87505/15/2020 1,524,375.00 0.158912828W55 333
0.175U.S. Treasury0937-20A 1,000,000.00 1,001,988.37 03/31/20220.37505/19/2020 1,002,969.00 0.173912828ZG8 364
0.175U.S. Treasury0937-20B 1,500,000.00 1,502,982.56 03/31/20220.37505/19/2020 1,504,453.50 0.173912828ZG8 364
0.101U.S. Treasury0939-20 4,000,000.00 4,012,493.02 05/31/20212.00009/15/2020 4,012,500.00 0.100912828WN6 60
0.122U.S. Treasury0943-20 1,500,000.00 1,505,568.45 06/30/20211.62509/17/2020 1,505,859.00 0.1209128287A2 90
0.133U.S. Treasury0946-20 1,500,000.00 1,503,618.17 03/31/20220.37509/17/2020 1,504,453.50 0.131912828ZG8 364
0.134U.S. Treasury0953-20 1,000,000.00 1,018,813.81 04/30/20221.87510/15/2020 1,019,219.00 0.132912828X47 394
0.134U.S. Treasury0954-20 1,500,000.00 1,531,208.06 07/15/20221.75010/15/2020 1,531,641.00 0.1329128287C8 470
0.146U.S. Treasury0957-20 1,500,000.00 1,499,734.40 04/30/20220.12511/16/2020 1,500,786.37 0.144912828ZM5 394
0.150U.S. Treasury0958-20 1,500,000.00 1,528,897.92 06/15/20221.75011/16/2020 1,529,532.00 0.1489128286Y1 440
0.156U.S. Treasury0959-20 1,500,000.00 1,527,650.36 08/15/20221.50011/16/2020 1,528,359.00 0.154912828YA2 501
0.105U.S. Treasury0963-20 1,000,000.00 1,021,094.29 04/30/20221.87512/08/2020 1,021,187.23 0.104912828X47 394
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PM2) 7.3.0
YTM
365
Page 4
Par Value Book Value
Maturity
Date
Stated
RateMarket Value
March 31, 2021
Portfolio Details - Investments
Average
BalanceIssuer
Portfolio Management
Investments FY 2020-2021
Days to
Maturity
YTM
360CUSIPInvestment #
Purchase
Date
Treasury Coupon Securities
0.117U.S. Treasury0964-20 1,000,000.00 1,000,122.09 05/31/20220.12512/08/2020 1,000,183.47 0.115912828ZR4 425
0.120U.S. Treasury0965-20 1,000,000.00 1,019,641.16 06/15/20221.75012/08/2020 1,019,688.00 0.1189128286Y1 440
0.121U.S. Treasury0966-20 1,000,000.00 1,000,055.98 06/30/20220.12512/08/2020 1,000,156.00 0.119912828ZX1 455
0.091U.S. Treasury0967-20 1,000,000.00 1,021,382.15 07/15/20221.75012/15/2020 1,021,094.00 0.0909128287C8 470
0.100U.S. Treasury0968-20 1,000,000.00 1,000,327.82 07/31/20220.12512/15/2020 1,000,156.00 0.09991282CAC5 486
0.107U.S. Treasury0969-20 1,500,000.00 1,500,388.37 08/31/20220.12512/15/2020 1,500,000.00 0.10591282CAG6 517
0.104U.S. Treasury0970-20 1,500,000.00 1,530,440.14 09/15/20221.50012/15/2020 1,529,766.00 0.103912828YF1 532
0.080U.S. Treasury0971-21 1,000,000.00 1,021,244.59 08/15/20221.62502/12/2021 1,020,625.00 0.079912828TJ9 501
0.091U.S. Treasury0972-21 1,000,000.00 1,000,484.97 08/31/20220.12502/12/2021 1,000,000.00 0.08991282CAG6 517
0.091U.S. Treasury0973-21 1,500,000.00 1,500,758.45 09/30/20220.12502/12/2021 1,499,766.00 0.09091282CAN1 547
65,865,734.61 0.96466,435,130.0765,500,000.0068,305,972.92Subtotal and Average 0.977 354
1.043160,638,915.68 157,560,631.42 1.058 386158,746,138.87 158,128,003.57Total and Average
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PM2) 7.3.0
Page 1
Par Value
Stated
Rate
March 31, 2021
Investment Status Report - Investments
Portfolio Management
Book Value
Maturity
Date
Current
Principal
Investments FY 2020-2021
YTM
365
YTM
360
Payment
DatesCUSIPInvestment #Issuer
Purchase
Date
Accrued Interest
At Purchase
Certificates of Deposit
BT13487203 1,000,000.00 1,000,000.001.670 07/30/202113487203 07/30 - At Maturity10/15/2019 1,000,000.001.6701.647
BT13716374 2,500,000.00 2,500,000.001.690 06/01/202113716374 06/01 - At Maturity10/15/2019 2,500,000.001.6901.667
FN50941 1,000,000.00 1,000,000.001.690 08/13/202150941 08/13 - At Maturity10/16/2019 1,000,000.001.6901.667
FN50942 1,500,000.00 1,500,000.001.690 12/15/202150942 12/15 - At Maturity10/16/2019 1,500,000.001.6901.667
FN50972 1,000,000.00 1,000,000.001.590 07/30/202150972 07/30 - At Maturity11/21/2019 1,000,000.001.5901.568
GWB144303455 4,000,000.00 4,000,000.002.660 06/01/2022144303455 06/01 - At Maturity04/16/2019 4,000,000.002.6602.624
USB433071437 4,000,000.00 4,000,000.002.700 06/01/2021433071437 06/01 - 12/0104/24/2018 4,000,000.002.7002.663
USB433071659 6,000,000.00 6,000,000.002.990 06/01/2022433071659 06/01 - 12/0105/24/2018 6,000,000.002.9902.949
USB795014295 3,000,000.00 3,000,000.001.710 06/01/2022795014295 12/01 - 06/0110/16/2019 3,000,000.001.7101.687
USB795014296 5,000,000.00 5,000,000.001.780 06/01/2023795014296 12/01 - 06/0110/16/2019 5,000,000.001.7801.756
29,000,000.00Certificates of Deposit Totals 29,000,000.000.002.21529,000,000.00 2.246
Money Market
GWB4531558874 292,529.71 292,529.710.300SYS4531558874B 08/01 - Monthly 292,529.710.3000.296
292,529.71Money Market Totals 292,529.710.000.296292,529.71 0.300
Passbook/Checking Accounts
WF6952311634B 133,101.71 133,101.710.150SYS6952311634B 08/01 - Monthly 133,101.710.1500.148
133,101.71Passbook/Checking Accounts Totals 133,101.710.000.148133,101.71 0.150
Commercial Paper Disc. -Amortizing
BTMUFJ0938-20A 1,000,000.00 999,705.560.200 05/24/202162479LSQ9 05/24 - At Maturity08/31/2020 998,522.220.2050.202
BTMUFJ0938-20B 1,000,000.00 999,705.560.200 05/24/202162479LSQ9 05/24 - At Maturity08/31/2020 998,522.220.2050.202
BTMUFJ0938-20C 1,000,000.00 999,705.560.200 05/24/202162479LSQ9 05/24 - At Maturity08/31/2020 998,522.230.2050.202
LBCMNY0948-20A 1,000,000.00 999,418.610.230 07/01/202153948AU17 07/01 - At Maturity10/13/2020 998,332.500.2370.233
LBCMNY0948-20B 1,000,000.00 999,418.610.230 07/01/202153948AU17 07/01 - At Maturity10/13/2020 998,332.500.2370.233
LBCMNY0948-20C 1,000,000.00 999,418.610.230 07/01/202153948AU17 07/01 - At Maturity10/13/2020 998,332.500.2370.233
LBCMNY0951-20 1,500,000.00 1,499,165.830.220 07/01/202153948AU17 07/01 - At Maturity10/15/2020 1,497,625.830.2260.223
7,496,538.34Commercial Paper Disc. -Amortizing Totals 7,488,190.000.000.2197,500,000.00 0.222
Federal Agency Coupon Securities
FAMCA0962-20 1,000,000.00 1,000,000.000.600 11/20/202531422B3F5 05/20 - 11/2011/20/2020 1,000,000.000.6000.592
FFCB0874-19 1,000,000.00 1,000,618.922.400 04/29/20213133EKJP2 10/29 - 04/29 Received08/16/2019 1,013,550.001.5901.568
FFCB0886-19 1,500,000.00 1,500,777.652.400 04/29/20213133EKJP2 10/29 - 04/29 Received09/13/2019 1,516,275.001.7211.697
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PMS) 7.3.0
Report Ver. 7.3.5
Page 2
Par Value
Stated
Rate
March 31, 2021
Investment Status Report - Investments
Portfolio Management
Book Value
Maturity
Date
Current
Principal
Investments FY 2020-2021
YTM
365
YTM
360
Payment
DatesCUSIPInvestment #Issuer
Purchase
Date
Accrued Interest
At Purchase
Federal Agency Coupon Securities
FFCB0913-20 1,000,000.00 1,009,760.183.050 11/15/20213133EJT74 05/15 - 11/15 Received02/20/2020 1,027,232.641.4551.435
FFCB0914-20 1,000,000.00 1,001,882.621.760 11/29/20213133EGL60 05/29 - 11/29 Received02/20/2020 1,005,054.611.4701.450
FFCB0916-20 1,000,000.00 1,001,212.351.625 12/27/20213133ELFR0 06/27 - 12/27 Received02/20/2020 1,003,040.001.4581.438
FFCB0925-20 1,500,000.00 1,500,623.500.500 06/16/20213133ELTP9 06/16 - 12/16 Received04/15/2020 1,503,499.890.3000.296
FFCB0930-20 1,500,000.00 1,502,030.760.530 01/18/20223133ELTN4 07/18 - 01/18 Received04/15/2020 1,504,479.000.3600.355
FFCB0952-20A 2,000,000.00 1,999,779.020.140 04/08/20223133EMCJ9 04/08 - 10/08 54.4410/15/2020 1,999,600.000.1540.151
FFCB0952-20B 3,000,000.00 2,999,668.540.140 04/08/20223133EMCJ9 04/08 - 10/08 81.6710/15/2020 2,999,400.000.1540.151
FFCB0974-21 1,500,000.00 1,502,350.140.160 10/13/20223133EMDA7 04/13 - 10/13 793.3302/12/2021 1,501,695.000.0920.091
FFCB0977-21A 1,000,000.00 998,699.380.300 11/12/20243133EMQQ8 05/12 - 11/12 166.6703/02/2021 998,500.000.3410.336
FFCB0977-21B 1,500,000.00 1,498,049.060.300 11/12/20243133EMQQ8 05/12 - 11/12 250.0003/02/2021 1,497,750.000.3410.336
FHLB0791-17 1,135,000.00 1,135,136.341.875 11/29/20213130AABG2 11/29 - 05/29 Received10/13/2017 1,135,851.251.8561.830
FHLB0877-19 1,000,000.00 1,000,630.531.875 06/11/2021313379RB7 12/11 - 06/11 Received08/16/2019 1,005,900.001.5441.523
FHLB0884-19 2,000,000.00 2,001,965.522.250 06/11/20213130A1W95 12/11 - 06/11 Received09/13/2019 2,017,633.561.7341.710
FHLB0901-19 1,000,000.00 1,003,341.692.375 09/10/2021313378JP7 03/10 - 09/10 Received11/21/2019 1,013,640.001.6041.582
FHLB0905-19 1,500,000.00 1,510,406.452.625 12/10/2021313376C94 12/10 - 06/10 Received11/21/2019 1,530,885.001.6011.579
FHLB0915-20 1,000,000.00 1,007,816.372.625 12/10/2021313376C94 06/10 - 12/10 Received02/20/2020 1,020,404.191.4751.455
FHLB0931-20A 1,500,000.00 1,523,906.512.280 02/08/2022313376Y74 08/08 - 02/08 Received04/15/2020 1,550,850.000.4020.397
FHLB0931-20B 1,000,000.00 1,015,937.672.280 02/08/2022313376Y74 08/08 - 02/08 Received04/15/2020 1,033,900.000.4020.397
FHLB0935-20A 1,000,000.00 1,019,280.492.250 03/11/2022313378CR0 09/11 - 03/11 Received05/15/2020 1,037,200.000.2040.201
FHLB0935-20B 1,500,000.00 1,528,920.732.250 03/11/2022313378CR0 09/11 - 03/11 Received05/15/2020 1,555,800.000.2040.201
FHLB0944-20 1,500,000.00 1,499,983.110.125 09/10/20213130AK5A0 03/10 - 09/10 Received09/17/2020 1,499,962.500.1280.126
FHLB0947-20 1,500,000.00 1,546,687.322.750 06/10/20223130AEBM1 12/10 - 06/10 Received09/17/2020 1,567,800.000.1340.132
FHLB0949-20A 1,000,000.00 999,973.360.125 10/13/20213130AKCB0 04/13 - 10/1310/13/2020 999,950.050.1300.128
FHLB0949-20B 2,000,000.00 1,999,946.720.125 10/13/20213130AKCB0 04/13 - 10/1310/13/2020 1,999,900.100.1300.128
FHLB0956-20 1,500,000.00 1,500,005.210.125 10/19/20213130AKD86 04/19 - 10/19 5.2110/20/2020 1,500,000.000.1250.123
FHLB0975-21 1,000,000.00 996,617.710.300 02/17/20263130AL4V3 08/17 - 02/17 41.6702/22/2021 996,500.000.5810.573
FHLB0976-21 1,000,000.00 985,159.090.300 09/10/20263130ALB86 09/10 - 03/1003/10/2021 985,000.000.9430.930
FHLB0978-21 1,000,000.00 988,161.030.580 02/11/20263130AKXB7 08/11 - 02/11 547.7803/15/2021 987,500.000.8410.829
FHLB0979-21A 1,500,000.00 1,499,587.090.375 03/15/20243130ALKS2 09/15 - 03/15 31.2503/17/2021 1,499,550.000.3850.380
FHLB0979-21B 1,000,000.00 999,724.730.375 03/15/20243130ALKS2 09/15 - 03/15 20.8303/17/2021 999,700.000.3850.380
FHLMC0876-19 1,000,000.00 1,000,355.141.800 05/28/20213134G45K0 11/28 - 05/28 Received08/16/2019 1,004,000.001.5711.550
FHLMC0917-20 1,000,000.00 1,007,196.622.375 01/13/20223137EADB2 07/13 - 01/13 Received02/20/2020 1,017,430.111.4401.420
FHLMC0929-20A 1,500,000.00 1,523,574.842.375 01/13/20223137EADB2 07/13 - 01/13 Received04/15/2020 1,552,500.000.3600.355
FHLMC0929-20B 1,000,000.00 1,015,716.562.375 01/13/20223137EADB2 07/13 - 01/13 Received04/15/2020 1,035,000.000.3600.355
FHLMC0955-20 1,500,000.00 1,500,666.560.125 07/25/20223137EAET2 01/25 - 07/25 Received10/15/2020 1,500,900.000.0910.090
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PMS) 7.3.0
Page 3
Par Value
Stated
Rate
March 31, 2021
Investment Status Report - Investments
Portfolio Management
Book Value
Maturity
Date
Current
Principal
Investments FY 2020-2021
YTM
365
YTM
360
Payment
DatesCUSIPInvestment #Issuer
Purchase
Date
Accrued Interest
At Purchase
Federal Agency Coupon Securities
FHLMC0960-20 1,000,000.00 1,000,080.000.360 05/15/20243134GXBD5 05/15 - 11/15 80.0011/20/2020 1,000,000.000.3600.355
FHLMC0961-20 1,000,000.00 1,000,000.000.350 03/29/20243134GWXC5 03/29 - 09/29 Received11/20/2020 1,000,000.000.3500.345
FNMA0927-20 1,500,000.00 1,505,709.461.250 08/17/20213135G0N82 08/17 - 02/17 Received04/15/2020 1,520,235.000.2400.237
FNMA0928-20 1,500,000.00 1,508,160.231.375 10/07/20213135G0Q89 10/07 - 04/07 Received04/15/2020 1,523,340.000.3190.314
55,340,099.20Federal Agency Coupon Securities Totals 55,661,407.902,072.850.64255,135,000.00 0.651
Treasury Coupon Securities
US TRE0769-17 2,000,000.00 1,999,201.071.375 05/31/2021912828R77 05/31 - 11/30 Received04/20/2017 1,980,000.001.6271.605
US TRE0835-18 2,500,000.00 2,470,179.381.875 05/31/2022912828XD7 11/30 - 05/31 Received10/15/2018 2,407,100.002.9632.923
US TRE0836-18 2,500,000.00 2,466,732.561.750 05/31/2022912828XR6 11/30 - 05/31 Received10/15/2018 2,396,362.132.9642.923
US TRE0860-19 3,000,000.00 2,948,857.091.625 05/31/2023912828R69 05/31 - 11/30 Received03/08/2019 2,899,980.002.4592.426
US TRE0873-19 1,000,000.00 1,000,299.342.375 04/15/20219128284G2 10/15 - 04/15 Received08/16/2019 1,013,000.001.5801.558
US TRE0887-19 1,000,000.00 998,563.741.125 06/30/2021912828S27 12/31 - 06/30 Received09/13/2019 989,531.251.7191.695
US TRE0888-19 1,000,000.00 1,002,573.412.625 07/15/2021912828Y20 01/15 - 07/15 Received09/13/2019 1,016,445.311.7111.688
US TRE0893-19 6,000,000.00 6,152,196.172.750 05/31/20239128284S6 11/30 - 05/31 Received11/04/2019 6,251,220.001.5401.519
US TRE0899-19 1,000,000.00 1,004,206.762.750 08/15/20219128284W7 02/15 - 08/15 Received11/21/2019 1,019,580.001.6001.578
US TRE0900-19 1,000,000.00 999,580.771.500 08/31/2021912828YC8 02/29 - 08/31 Received11/21/2019 998,210.001.6021.580
US TRE0902-19 1,000,000.00 997,708.251.125 09/30/2021912828T34 03/31 - 09/30 Received11/21/2019 991,450.001.5941.572
US TRE0903-19 1,000,000.00 1,006,741.712.875 10/15/20219128285F3 04/15 - 10/15 Received11/21/2019 1,023,750.001.6001.578
US TRE0904-19 1,500,000.00 1,511,829.962.875 11/15/20219128285L0 05/15 - 11/15 Received11/21/2019 1,537,617.191.5861.564
US TRE0910-20 1,500,000.00 1,500,906.252.250 04/30/2021912828WG1 04/30 - 10/31 Received02/20/2020 1,513,593.751.4801.459
US TRE0911-20 4,000,000.00 4,003,363.092.000 05/31/2021912828WN6 05/31 - 11/30 Received02/20/2020 4,026,120.001.4811.460
US TRE0912-20 1,500,000.00 1,503,496.622.625 06/15/20219128284T4 06/15 - 12/15 Received02/20/2020 1,522,425.001.4741.454
US TRE0918-20 1,000,000.00 1,007,612.112.875 10/15/20219128285F3 04/15 - 10/15 Received02/20/2020 1,023,300.001.4411.421
US TRE0933-20 1,500,000.00 1,503,708.091.125 06/30/2021912828S27 06/30 - 12/31 Received05/15/2020 1,516,933.590.1220.120
US TRE0934-20A 1,000,000.00 1,015,633.241.875 02/28/2022912828W55 08/31 - 02/28 Received05/15/2020 1,030,703.120.1600.158
US TRE0934-20B 1,500,000.00 1,523,449.871.875 02/28/2022912828W55 08/31 - 02/28 Received05/15/2020 1,546,054.690.1600.158
US TRE0937-20A 1,000,000.00 1,001,988.370.375 03/31/2022912828ZG8 09/30 - 03/31 Received05/19/2020 1,003,720.000.1750.173
US TRE0937-20B 1,500,000.00 1,502,982.560.375 03/31/2022912828ZG8 09/30 - 03/31 Received05/19/2020 1,505,580.000.1750.173
US TRE0939-20 4,000,000.00 4,012,493.022.000 05/31/2021912828WN6 11/30 - 05/31 Received09/15/2020 4,053,720.000.1010.100
US TRE0943-20 1,500,000.00 1,505,568.451.625 06/30/20219128287A2 12/31 - 06/30 Received09/17/2020 1,517,695.310.1220.120
US TRE0946-20 1,500,000.00 1,503,618.170.375 03/31/2022912828ZG8 09/30 - 03/31 Received09/17/2020 1,505,566.410.1330.131
US TRE0953-20 1,000,000.00 1,018,813.811.875 04/30/2022912828X47 10/31 - 04/30 Received10/15/2020 1,026,835.940.1340.132
US TRE0954-20 1,500,000.00 1,531,208.061.750 07/15/20229128287C8 01/15 - 07/15 Received10/15/2020 1,542,363.280.1340.132
US TRE0957-20 1,500,000.00 1,499,734.400.125 04/30/2022912828ZM5 04/30 - 10/31 82.8711/16/2020 1,499,531.250.1460.144
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PMS) 7.3.0
Page 4
Par Value
Stated
Rate
March 31, 2021
Investment Status Report - Investments
Portfolio Management
Book Value
Maturity
Date
Current
Principal
Investments FY 2020-2021
YTM
365
YTM
360
Payment
DatesCUSIPInvestment #Issuer
Purchase
Date
Accrued Interest
At Purchase
Treasury Coupon Securities
US TRE0958-20 1,500,000.00 1,528,897.921.750 06/15/20229128286Y1 12/15 - 06/15 Received11/16/2020 1,537,830.000.1500.148
US TRE0959-20 1,500,000.00 1,527,650.361.500 08/15/2022912828YA2 02/15 - 08/15 Received11/16/2020 1,535,156.250.1560.154
US TRE0963-20 1,000,000.00 1,021,094.291.875 04/30/2022912828X47 04/30 - 10/31 1,968.2312/08/2020 1,024,660.000.1050.104
US TRE0964-20 1,000,000.00 1,000,122.090.125 05/31/2022912828ZR4 05/31 - 11/30 27.4712/08/2020 1,000,120.000.1170.115
US TRE0965-20 1,000,000.00 1,019,641.161.750 06/15/20229128286Y1 12/15 - 06/15 Received12/08/2020 1,024,730.000.1200.118
US TRE0966-20 1,000,000.00 1,000,055.980.125 06/30/2022912828ZX1 12/31 - 06/30 Received12/08/2020 1,000,070.000.1210.119
US TRE0967-20 1,000,000.00 1,021,382.151.750 07/15/20229128287C8 01/15 - 07/15 Received12/15/2020 1,026,250.000.0910.090
US TRE0968-20 1,000,000.00 1,000,327.820.125 07/31/202291282CAC5 01/31 - 07/31 Received12/15/2020 1,000,400.000.1000.099
US TRE0969-20 1,500,000.00 1,500,388.370.125 08/31/202291282CAG6 02/28 - 08/31 Received12/15/2020 1,500,468.750.1070.105
US TRE0970-20 1,500,000.00 1,530,440.141.500 09/15/2022912828YF1 03/15 - 09/15 Received12/15/2020 1,536,562.500.1040.103
US TRE0971-21 1,000,000.00 1,021,244.591.625 08/15/2022912828TJ9 02/15 - 08/15 Received02/12/2021 1,023,280.000.0800.079
US TRE0972-21 1,000,000.00 1,000,484.970.125 08/31/202291282CAG6 02/28 - 08/31 Received02/12/2021 1,000,530.000.0910.089
US TRE0973-21 1,500,000.00 1,500,758.450.125 09/30/202291282CAN1 03/31 - 09/30 Received02/12/2021 1,500,825.000.0910.090
65,865,734.61Treasury Coupon Securities Totals 66,069,270.722,078.570.96465,500,000.00 0.977
158,128,003.57Investment Totals 158,644,500.044,151.42157,560,631.42 1.043 1.058
Portfolio 2021
AC
Run Date: 04/08/2021 - 10:50 PM (PRF_PMS) 7.3.0
For Quarter Ending March 31, 2021
0.27%
45.70%54.03%
Portfolio by Asset Class
Cash and Equivalents
Long Term
Short Term
For Quarter Ending March 31, 2021
2.22%1.90%0.63%11.11%
16.27%
5.08%2.22%
1.90%
2.72%2.86%
41.57%
11.42%
0.08%
Par Value by Issuer Graph
BT
BTMSB
FAMCA
FFCB
FHLB
FHLMC
FNB
FNMA
GWB
LBCMNY
UST
USB
WF
For Quarter Ending March 31, 2021
0.18%0.08%
18.34%
4.74%
35.00%
41.65%
Book Value By Investment Type
Money Market
Passbook/Checking Accounts
Certificate of Deposit
Commercial Paper
Federal Agency Coupon Securities
Treasury Coupon Securities
For Quarter Ending March 31, 2021
0.00
0.50
1.00
1.50
2.00
2.50
Investment Yield by Type
Caring People Quality Programs Exceptional Service
515.239.5101 main
fax
MEMO
To: City of Ames Mayor and City Council
From: Brian Phillips, Assistant City Manager
Date: April 27, 2021
Subject: Extension of Amended Leave Policy During COVID-19 Emergency
On March 23, 2020, Ames City Council approved an amended leave policy for City
staff. This amended policy provided up to 80 hours of special COVID-19 leave for
employees and it provided 2/3 pay for employees covered under the Family Medical
Leave Act (FMLA) for up to an additional 400 hours when the employee needed to
care for children due to a pandemic-related school closure. This policy fully
complies with the Families First Coronavirus Response Act (FFCRA)
These amended benefits were initially set to expire on December 31, 2020. However,
City Council made the decision to extend these benefits until February 28, 2021, and
April 30, 2021, because the federal government had not made a plan to introduce
another similar package that would provide additional benefits after December 31,
2020. As a similar plan has not yet been introduced, it is requested that the
existing amended leave policy be extended until June 30, 2021, or until such a
time as a similar package is approved at the federal level – whichever date is
sooner.
Extending this leave policy will provide some level of relief to employees who
continue to be impacted by COVID-19.
Item No. 17
AMENDED LEAVE POLICY DURING COVID-19 EMERGENCY
Since the President of the United States signed a law increasing leave benefits in times of COVID-19
pandemic, and the Governor of Iowa has declared a state of emergency due to pandemic conditions
of the COVID-19 virus, the City of Ames will amend the standard leave policies. Upon approval by the
City Council on March 24, 2020, the amendment will be in effect retroactively from March 23, 2020
until no later than December 31, 2020 February 28, 2021 April 30, 2021 June 30, 2021.
The following policy amendment meets or exceeds the requirements of the Families First Coronavirus
Response Act (FFCRA).
The purpose of COVID-19 leave is to provide some relief to employees dealing with the impact of
COVID-19. Employees may be eligible to use up to 80 hours total of COVID-19 leave in any
combination, paid at their regular rate of pay, if they are experiencing one of the following
circumstances. Any unused leave will not rollover.
ABSENCES ELIGIBLE FOR COVID-19 LEAVE
For employees quarantined or sick with COVID-19
The City will grant up to 80 hours of paid COVID-19 leave* to employees who have been required or
advised to quarantine by a medical provider or a county, state, or federal agency, or who have been
advised by a medical provider they have confirmed or presumptively confirmed COVID-19. Employees
must complete a Request for COVID -19 Leave form and provide it to Human Resources before the
special pay will be granted. If the employee is unable to return to work after the COVID-19 leave has
been exhausted, they may use accrued and unused sick leave, vacation leave, or compensatory time
to cover their remaining absence.
Employees must follow CDC or Iowa Department of Public Health guidelines for returning to work
after the illness.
*all COVID-19 leave will be prorated for part-time employees.
For employees caring for an individual quarantined or sick with COVID-19
The City will grant up to 80 hours of paid COVID-19 leave* to those employees providing direct care
for an individual required or advised to be quarantined by a medical provider, or a county, state, or
federal agency, or an individual who has been advised by a medical provider they have confirmed or
presumptively confirmed COVID-19. Employees must complete a Request for COVID -19 Leave form
and provide it to Human Resources before the special pay will be granted. If the employee continues
to care for the individual after the COVID-19 leave has been exhausted, they may use accrued and
unused sick leave, vacation leave, or compensatory time to cover their remaining absence. Absences
longer than two weeks must have documentation certifying additional leave is necessary.
Based on minimum staffing needs required to maintain operations, the City may exempt employees
serving in an emergency responder role from this provision of COVID-19 leave.
Employees must follow CDC or Iowa Department of Public Health guidelines for returning to work
after caring for an individual impacted by COVID-19.
*all COVID-19 leave will be prorated for part-time employees.
For employees with children impacted by school district/daycare closures
This section serves as a “qualifying need related to a public health emergency” under the FFCRA.
If schools or daycare facilities where the children of employees attend close due COVID-19, the City
will make every effort to adjust hours, create an alternative work schedule, or identify an alternative
childcare arrangement in order to maintain services. If no alternative work solutions are
appropriate, the City will grant COVID-19 leave* to cover up to 80 hours of the closure. Employees
must complete a Request for COVID -19 Leave form and provide it to Human Resources before the
special pay will be granted. If the employee is unable to return to work after the COVID-19 leave
has been exhausted, they will receive 2/3 of their normal pay for up to an additional 400 hours.
Employees may use accrued and unused sick leave, vacation leave, or compensatory time to cover
the remaining 1/3 of their pay
In general, COVID-19 leave will only be granted during the hours a child would normally be in school
or daycare and only to who are not able to adjust their hours or work from home, where alternative
childcare is unavailable, AND whose children:
• Are under the age of 18
• Attend daycare or a K-12 school, or
• Have special needs and would be unable to care for themselves while their parents are at
work.
Based on minimum staffing needs required to maintain operations, the City may exempt
employees serving in an emergency responder role from this provision of COVID-19 leave and/or
FFCRA family leave.
*all COVID-19 leave will be prorated for part-time employees.
ABSENCES NOT ELIGIBLE FOR COVID-19 LEAVE
For employees choosing to self-isolate
Employees who are not required or advised by a medical provider or any county, state, or federal
agency to be quarantined and choose to self-isolate must use accrued and unused vacation leave,
accrued and unused compensatory time, or leave without pay to cover their absence. As with any
form of voluntary leave, these absences must be approved by the employee’s supervisor.
CONTACT INFORMATION
In all cases of absence, employees must provide current contact information (including phone
number and email address) to their supervisor.
Request for COVID -19 Leave
Employee Name :
Department:hoose an item. Position:
Approximate Dates of Request: To
Reason for Request (check at least one):
☐ Employee’s own COVID-19 illness or required or advised quarantine
☐ Care for individual during COVID-19 illness or required or advised quarantine
☐ School or daycare closure due to a COVID-19 pandemic
Sign the appropriate certification below:
Employee’s own COVID-19 illness or required or advised quarantine
I certify that I have either been diagnosed with COVID-19, or presumptively diagnosed with COVID-
19; or I have been required or advised to quarantine by a federal agency, state or county agency, or
a medical provider.
Name of the medical provider or agency advising or requiring the absence
Employee Signature
Care for an individual during COVID-19 illness or required or advised quarantine
I certify that I am providing direct care for an individual who has either been diagnosed with COVID-
19, or presumptively diagnosed with COVID-19; or who has been required or advised to quarantine
by a federal agency, state or county agency, or a medical provider
Name of Medical Provider Or Agency Advising or requiring the absence
Employee Signature
School or daycare closure due to a COVID-19 pandemic
I certify that my child’s school or daycare has been closed due to the COVID-19 pandemic. Further, I
certify my child:
• Is under the age of 18
• Attends daycare, K-12 school, or
• Has special needs and would be unable to care for themselves while I am at work.
Has your supervisor made an alternate schedule, hours, or work from home scenario available to
you? ☐ YES ☐ NO
If yes, you will be required to utilize the alternate arrangement prior to being approved for COVID-19
leave
Name of School or Daycare that has been closed due to the COVID-19 pandemic
Employee Signature
Required Approvers: Signatures Required
Department Head Human Resources Director
City Manager
COVID-19 Leave is:
☐Approved ☐Denied
ITEM # 18
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: REPORT ON THE AMES MUNICIPAL UTILITY RETIREMENT PLAN
FROM THE UTILITY RETIREMENT ADVISORY BOARD
BACKGROUND:
The Municipal Code of the City of Ames, Iowa, Section 28.403 established a participant
review board elected from various utility departments that have members of the Ames
Municipal Utility Retirement Plan. Duties of the Board are to monitor, review, and
evaluate, on a continuing basis, the performance of the Ames Municipal Utility
Retirement Plan and report to the City Council.
The City of Ames is the plan sponsor for a 401(a) defined contribution retirement plan.
This plan is available to employees who receive at least ten percent of their salary
funding from City of Ames utilities. Vanguard serves as plan administrator for the City.
In February 2021, the Board met with Steven Berry, Relationship Manager from
Vanguard. Steven presented a brief overview of the company, and provided information
demonstrating that the fee structure and investment return performance are highly
competitive.
Steven Berry also presented a plan and participant overview. The Plan has a total
balance of over $42.8 million with 107 participant accounts. The Plan balance was then
broken down by investment fund type, including beginning and ending balances, total
number of participants, and percentage of total assets. Summary information for the
plan is attached.
After discussion, the Board passed a motion to accept the review and contents of
the Vanguard presentation and to recommend that the relationship with Vanguard
as plan administrator be continued. Per the Municipal Code of the City of Ames,
Iowa, Section 28.403, the report is submitted to the City Council with no action
recommended other than to accept the report from the Utility Retirement
Advisory Board.
ALTERNATIVES:
1. Accept the report from the Utility Retirement Advisory Board.
2. Refer the report back to the Utility Retirement Advisory Board for further information.
MANAGER’S RECOMMENDED ACTION:
As required by the Municipal Code, the Utility Retirement Advisory Board has reviewed
the performance of the plan and administrator and is submitting a report to Council with
no additional action requested other than to accept the report.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, thereby accepting the report from the Utility Retirement Advisory
Board.
Summary fee report
408(b)(2) disclosure for 090886 CITY OF AMES MUNICIPAL UTILITY RETIREMENT SYSTEM PLAN Calculated as of December 31 2020
Plan Assets
$42,881,372
Total all-in fees
$113,890 0.266%
100%
Asset %_Plan
Vanguard
$42,881,372
Non-Vanguard
$0
Other investments
$0
Participant
accounts
107
Asset - based fees by provider
100%xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Vanguard $107,890
Non-Vanguard $0
Other investments $0
Total fees by service
62%xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx 38%xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Asset-based fees net of recordkeeping 0.17%$70,798
Vanguard (less recordkeeping credit)
Non-Vanguard (less payment for recordkeeping)
Other investments
$70,798
$0
$0
Recordkeeping compensation by source 0.10%$43,093
Total direct compensation: Fee paid directly from plan $6,000
Total indirect compensation: Payment for recordkeeping from non-Vanguard
funds $0
Total recordkeeping compensation from plan sponsor $0
Vanguard current recordkeeping credit $37,093
Additional fees $0
Total all-in fees $113,890
For institutional use only. Not for distribution to retail investors.2
57
All-in fee report
408(b)(2) disclosure for 090886 CITY OF AMES MUNICIPAL UTILITY RETIREMENT SYSTEM PLAN Calculated as of December 31 2020
Vanguard fund asset-based fees
Fund Name Assets Expense ratio Morningstar average Current recordkeeping credit
Vanguard U.S. Growth Fund Investor Shares $8,400,868 0.380%1.04%0.11%
Vanguard 500 Index Fund Investor Shares $5,905,724 0.140%0.90%0.10%
Vanguard Wellington Fund Investor Shares $3,761,177 0.250%0.83%0.08%
Vanguard Total Stock Market Index Fund Investor Shares $3,620,230 0.140%0.90%0.10%
Vanguard Target Retirement 2025 Fund $3,512,596 0.130%0.46%0.04%
Vanguard Windsor II Fund Investor Shares $2,693,792 0.340%0.98%0.08%
Vanguard International Growth Fund Investor Shares $2,657,936 0.440%1.09%0.11%
Vanguard Total Bond Market Index Fund Investor Shares $2,489,218 0.150%0.65%0.10%
Vanguard Equity Income Fund Investor Shares $1,860,405 0.270%0.98%0.09%
Vanguard Cash Reserves Federal Money Market Fund $1,530,273 0.160%N/A 0.00%
Vanguard Explorer Fund Investor Shares $1,257,171 0.450%1.27%0.11%
Vanguard Retirement Savings Trust**$1,219,831 0.450%N/A 0.15%
Vanguard Target Retirement 2030 Fund $811,953 0.140%0.45%0.05%
Vanguard Target Retirement 2035 Fund $681,469 0.140%0.47%0.05%
Vanguard LifeStrategy Growth Fund $618,041 0.140%0.73%0.00%
Vanguard Target Retirement 2015 Fund $474,607 0.130%0.41%0.04%
Vanguard Target Retirement 2045 Fund $350,024 0.150%0.47%0.06%
Vanguard Target Retirement 2040 Fund $171,849 0.140%0.46%0.05%
Vanguard Target Retirement Income Fund $167,628 0.120%0.47%0.03%
Vanguard LifeStrategy Income Fund $147,138 0.110%0.65%0.00%
Vanguard LifeStrategy Moderate Growth Fund $134,751 0.130%0.83%0.00%
Vanguard Target Retirement 2050 Fund $125,519 0.150%0.46%0.06%
Vanguard LifeStrategy Conservative Growth Fund $105,050 0.120%0.76%0.00%
Vanguard Target Retirement 2060 Fund $104,928 0.150%0.53%0.06%
Vanguard Target Retirement 2020 Fund $59,086 0.130%0.41%0.04%
Vanguard Target Retirement 2055 Fund $20,108 0.150%0.47%0.06%
Vanguard total $42,881,372 0.252%0.86%0.09%
Vanguard total asset-based fees $107,890 $347,108 $37,093
** The expense ratio includes a .15% fee ($1.5 per $1,000 invested) paid to the issuers of synthetic investment contracts (also known as "wrap agreements"). The
fund performance results are net of these benefit responsive contract costs.
*The current recordkeeping payment is paid by the fund, fund company, or its advisor to Vanguard for recordkeeping and shareholder servicing. For more information
on these payments, please refer to the fund's prospectus. Additional fees may be described below.
Recordkeeping fees
Fee description Paid by Total fee
Total recordkeeping compensation from plan sponsor $0
Annual Administrative Fee (Paid By
Participant Gross Per Capita)Participants $6,000
Total direct compensation*$6,000
Total indirect compensation (Current recordkeeping payment from non-Vanguard funds)$0
Vanguard current recordkeeping credit $37,093
Total recordkeeping compensation $43,093
* Direct compensation includes fees paid out of the plan. Plan sponsors may pay appropriate fees from the plan forfeiture account if permitted in the plan document.
Additional fees
Fee description Paid by Fee
Ad Hoc Reporting (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Additional Processing (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Annual Administrative Fee For Each Loan (Paid By Participant Fixed Per Capita)Participants $25 Per Loan Maintenance
Client Requested Account Adjustments (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
For institutional use only. Not for distribution to retail investors.3
58
All-in fee report
408(b)(2) disclosure for 090886 CITY OF AMES MUNICIPAL UTILITY RETIREMENT SYSTEM PLAN Calculated as of December 31 2020
Additional fees
Fee description Paid by Fee
Conversion - Asset Transfer (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Conversion - Divisional Transfers (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Conversion - Plan To Plan Transfers (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Conversion - Start Up Plans (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Fee Disclosure Change Notice(s) (Paid By Participant Gross Per Capita)Participant Gross Per Capita $.50 Per Mailed Notification
Loan Origination Fee Non Self-Provisioned (Paid By Participant Fixed Per Capita)Participants $90 Per Loan Origination
Loan Origination Fee Self-Provisioned (Paid By Participant Fixed Per Capita)Participants $40 Per Loan Origination
Miscellaneous Fees (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Mistake of Fact Processing (Paid By Participant Gross Per Capita)Participant Gross Per Capita $50 per occurence
Participant Education Retirement Service (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Participant Fee Disclosure Notice(s) (Paid By Participant Gross Per Capita)Participant Gross Per Capita $1.50 Per Mailed Notification
Plan Consulting Services (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
QDRO Processing (Paid By Participant Fixed Per Capita)Participants $50
Requested Statement Enclosures (Paid By Participant Gross Per Capita)Participant Gross Per Capita As Agreed Upon
Return of Excess (Paid By Participant Gross Per Capita)Participant Gross Per Capita $50 per occurence
Termination related compensation*$10,000
*Vanguard charges a fee for the conversion services that it will perform to transfer a plan to a subsequent provider. The standard conversion services fee above will
apply unless otherwise outlined in the recordkeeping fee agreement. Early termination fees also outlined in your recordkeeping fee agreement may apply if the
arrangement is terminated in the first three years. Fees charged by Vanguard generally are billed in arrears. As such, plans are not charged amounts to pre pay for
services. If such arrangements are made with a plan, the calculation and refund of any such pre-paid amounts upon transfer or termination of the plan is detailed in a
separate agreement with the plan governing those services.
All-in fee summary
Vanguard total asset-based fees $107,890
Non-Vanguard total asset-based fees $0
Other investment total asset-based fees $0
Total direct compensation $6,000
Total recordkeeping compensation from plan sponsor $0
Included additional fees $0
Other additional fees Variable
Total all-in fees $113,890
Total assets $42,881,372
Total expense ratio 0.266%
For institutional use only. Not for distribution to retail investors.4
59
1For institutional use only. Not for distribution to retail investors.
Prepared for City of Ames, Iowa
Participant overview
Plan net cash flow -$2,063,235.33
Net cash flow per participant -$19,282.57
December 31, 2019
Total plan balance $38,704,364.98
Total plan balance (net of loans)$38,704,364.98
Number of participants with a balance 109
Average participant balance $355,085.92
Slide ID # S052006
CITY OF AMES MUNICIPAL UTILITY RETIREMENT SYSTEM PLAN
Plan summary
January 1, 2020 through December 31, 2020
Web registration as of: January 8, 2021
Number of participants 87
Percentage of participants 81.31%
December 31, 2020
Total plan balance $42,881,371.96
Total plan balance (net of loans)$42,881,371.96
Number of participants with a balance 107
Average participant balance $400,760.49
Transactions: January 1, 2020 through December 31, 2020
Number of participants Amount
Terminations 15 $4,320,428.57
Withdrawals 1 $100,000.00
Exchanges 12 $6,998,512.31
Tracking #: 1001863 Expiration date: 5/5/2021 4343
2For institutional use only. Not for distribution to retail investors.
Prepared for City of Ames, Iowa
Slide ID # S052007
CITY OF AMES MUNICIPAL UTILITY RETIREMENT SYSTEM PLAN
Assets by investment
As of December 31, 2020
Investments
Amount
of assets
Number of
participants
by fund
Percent of
total assets
Percent of
participants
investing
YTD total
return
Short Term Reserve Funds
Vanguard Cash Reserves Federal Money Market Fund 1 $1,530,272.82 23 3.57% 21.50% 0.53%
Vanguard Retirement Savings Trust 2 $1,219,830.66 14 2.84% 13.08% 2.06%
Bond Funds
Vanguard Total Bond Market Index Fund Investor Shares $2,489,217.81 30 5.80% 28.04% 7.61%
Balanced Funds
Vanguard LifeStrategy®Growth Fund $618,040.73 7 1.44% 6.54% 15.45%
Fund $3,761,177.23 41 8.77% 38.32% 10.60%
Vanguard LifeStrategy®Income Fund $147,137.57 3 0.34% 2.80% 9.13%
Vanguard LifeStrategy®Conservative Growth Fund $105,050.42 2 0.24% 1.87% 11.51%
Vanguard LifeStrategy®Moderate Growth Fund $134,751.14 3 0.31% 2.80% 13.59%
Vanguard Target Retirement 2015 Fund $474,607.13 1 1.11% 0.93% 10.32%
Vanguard Target Retirement 2025 Fund $3,512,595.69 11 8.19% 10.28% 13.30%
Vanguard Target Retirement 2035 Fund $681,469.17 1 1.59% 0.93% 14.79%
Vanguard Target Retirement 2045 Fund $350,024.15 7 0.82% 6.54% 16.30%
Vanguard Target Retirement Income Fund $167,628.07 2 0.39% 1.87% 10.02%
Vanguard Target Retirement 2020 Fund $59,085.78 1 0.14% 0.93% 12.04%
Vanguard Target Retirement 2030 Fund $811,953.01 2 1.89% 1.87% 14.10%
Vanguard Target Retirement 2040 Fund $171,849.28 3 0.40% 2.80% 15.47%
Vanguard Target Retirement 2050 Fund $125,518.67 4 0.29% 3.74% 16.39%
Vanguard Target Retirement 2055 Fund $20,107.78 3 0.05% 2.80% 16.32%
Vanguard Target Retirement 2060 Fund $104,928.32 3 0.24% 2.80% 16.32%
Stock Funds
Fund $1,257,171.20 17 2.93% 15.89% 31.33%
Vanguard 500 Index Fund Investor Shares $5,905,724.33 49 13.77% 45.79% 18.25%
Past performance is not a guarantee of future results.
Tracking #: 1001863 Expiration date: 5/5/2021 4444
3For institutional use only. Not for distribution to retail investors.
Prepared for City of Ames, Iowa
Slide ID # S052007
CITY OF AMES MUNICIPAL UTILITY RETIREMENT SYSTEM PLAN
Assets by investment
As of December 31, 2020
Investments
Amount
of assets
Number of
participants
by fund
Percent of
total assets
Percent of
participants
investing
YTD total
return
Stock Funds (continued)
Vanguard Equity Income Fund Investor Shares $1,860,405.13 31 4.34% 28.97% 3.02%
II Fund $2,693,791.52 35 6.28% 32.71% 14.45%
Vanguard U.S. Growth Fund Investor Shares $8,400,868.33 51 19.59% 47.66% 58.57%
Vanguard International Growth Fund Investor Shares $2,657,936.50 37 6.20% 34.58% 59.55%
Vanguard Total Stock Market Index Fund Investor Shares $3,620,229.51 35 8.44% 32.71% 20.87%
Totals $42,881,371.96 100.00%
Past performance is not a guarantee of future results.
Tracking #: 1001863 Expiration date: 5/5/2021 4545
ITEM#: 19
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: AMENDMENT TO 28E AGREEMENT TO RENAME WATERSHED
MANAGEMENT AUTHORITY
BACKGROUND:
The City of Ames is a founding member to the 28E Agreement which formed the Squaw
Creek Watershed Management Authority (SWMA), along with other cities, counties, and
soil and water conservation districts from the watershed. The mission of the SWMA is
to engage, educate, and encourage all citizens to improve the health, stewardship, and
resiliency of our watershed resources.
In February 2021, the official name of the creek became Ioway Creek. Attached is
a letter from the current Chair of the WMA requesting an amendment to the 28E
Agreement with the purpose to change the name of the SWMA to the Ioway Creek
Watershed Management Authority.
ALTERNATIVES:
1. Approve a resolution to Amend the 28E Agreement confirming the affirmative
vote to change the name to Ioway Creek Watershed Management Authority.
2. Suggest a different name to be considered for this WMA.
CITY MANAGER’S RECOMMENDED ACTION:
Changing the name of the Authority appropriately reflects the change of creek name to
Ioway Creek. Once all member agencies agree by resolution to the change, the new
official name will be filed and recorded.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as noted above.
1
ITEM # 20
DATE: 4/27/21
COUNCIL ACTION FORM
SUBJECT: SUMMER SIDEWALK SALES REQUESTS FROM AMES MAIN
STREET
BACKGROUND:
Ames Main Street is again hosting its annual Summer Sidewalk Sales from July 29
through August 1. At this event, downtown businesses display merchandise on the
sidewalks for pedestrians to browse.
To facilitate this event, organizers are requesting suspension of parking regulations and
enforcement for the Downtown from 8:00 a.m. to 8:00 p.m. on Saturday, July 31
($1,370.25 estimated loss to the Parking Fund). A waiver of fee for a blanket Vendor
License ($50 loss to the City Clerk’s Office) and a blanket Temporary Obstruction Permit
have also been requested for Saturday, July 31.
In February 2020, the City Council adopted a new policy regarding metered parking
waivers:
Metered parking fees will not be waived for special events. Any event
organizers intending to provide free parking or to close metered
parking spaces must reimburse the City’s Parking Fund for the lost
revenue. The City Council may consider waivers to this policy on a
case-by-case basis for parking spaces that are obstructed by the
event area (not for area-wide free parking).
For FY 2021/22, the City Council allocated $5,489 in the Local Option Sales Tax Fund to
reimburse the Parking Fund for Downtown special events where free parking or parking
closures are to take place. Therefore, for this event, the City Council is requested to
authorize a transfer of $1,370.25 from the Local Option Sales Tax Fund to the Parking
Fund.
ALTERNATIVES:
1. Approve the requests for Sidewalk Sales as requested by Ames Main Street,
including the waiver of fees for parking and vending, and transfer $1,370.25 from
the Local Option Sales Tax Fund to the Parking Fund.
2. Approve the requests for Sidewalk Sales, but require reimbursement for vending
and lost parking meter revenue.
3. Deny the requests
2
CITY MANAGER’S RECOMMENDED ACTION:
Sidewalk Sales are successful events held twice each year in the Downtown. These
events attract people to the Downtown and promotes shopping locally. These requests
further the City Council’s goal to strengthen Downtown.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
3
4
5
1
ITEM # 21
DATE: 04/27/21
COUNCIL ACTION FORM
SUBJECT: REQUESTS FROM AMES MAIN STREET FOR SHOP FOR A CAUSE
BACKGROUND:
Ames Main Street (AMS) has submitted requests to facilitate Ames Main Street Shop
for a Cause, to be held on November 6, 2021. At this event, downtown businesses can
promote a non-profit of their choice through sales and other partnership efforts.
To facilitate this event, organizers are requesting suspension of parking regulations and
enforcement for the Downtown from 8:00 a.m. to 8:00 p.m. on Saturday, November 6
($1,370.25 estimated loss to the Parking Fund). A waiver of fee for a blanket Vendor
License ($50 loss to the City Clerk’s Office) and a blanket Temporary Obstruction
Permit have also been requested.
In February 2020, the City Council adopted a new policy regarding metered parking
waivers:
Metered parking fees will not be waived for special events. Any event
organizers intending to provide free parking or to close metered
parking spaces must reimburse the City’s Parking Fund for the lost
revenue. The City Council may consider waivers to this policy on a
case-by-case basis for parking spaces that are obstructed by the
event area (not for area-wide free parking).
For FY 2021/22, the City Council allocated $5,489 in the Local Option Sales Tax Fund
to reimburse the Parking Fund for Downtown special events where free parking or
parking closures are to take place. Therefore, for this event, the City Council is
requested to authorize a transfer of $1,370.25 from the Local Option Sales Tax Fund to
the Parking Fund.
ALTERNATIVES:
1. Approve the requests for Shop for a Cause as requested by Ames Main Street,
including the waiver of fees and transfer of funds from the Local Option Sales
Tax Fund to the Parking Fund.
2. Deny the requests
2
CITY MANAGER’S RECOMMENDED ACTION:
Ames Main Street Shop for a Cause aims to attract people to the Downtown, promote
shopping locally, and support non-profit organizations through partnering businesses.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
3
4
5
1
ITEM # 22
DATE: 04/27/21
COUNCIL ACTION FORM
SUBJECT: REQUESTS FROM AMES MAIN STREET FOR SMALL BUSINESS
SATURDAY
BACKGROUND:
Ames Main Street (AMS) has submitted requests to facilitate Small Business Saturday
on November 27.
To facilitate this event, organizers are requesting suspension of parking regulations and
enforcement for the Downtown from 8:00 a.m. to 8:00 p.m. on Saturday, November 27
($1,370.25 estimated loss to the Parking Fund). A waiver of fee for a blanket Vendor
Permit ($50 loss to the City Clerk’s Office) and a blanket Temporary Obstruction Permit
have also been requested.
In February 2020, the City Council adopted a new policy regarding metered parking
waivers:
Metered parking fees will not be waived for special events. Any event
organizers intending to provide free parking or to close metered
parking spaces must reimburse the City’s Parking Fund for the lost
revenue. The City Council may consider waivers to this policy on a
case-by-case basis for parking spaces that are obstructed by the
event area (not for area-wide free parking).
For FY 2021/22, the City Council allocated $5,489 in the Local Option Sales Tax Fund
to reimburse the Parking Fund for Downtown special events where free parking or
parking closures are to take place. Therefore, for this event, the City Council is
requested to authorize a transfer of $1,370.25 from the Local Option Sales Tax Fund to
the Parking Fund.
ALTERNATIVES:
1. Approve the requests for Small Business Saturday as requested by Ames Main
Street, including the waiver of fees and transfer of funds from the Local Option
Sales Tax Fund to the Parking Fund.
2. Deny the requests
2
CITY MANAGER’S RECOMMENDED ACTION:
Small Business Saturday is an annual event for the Downtown. This event aims to
attract people to the Downtown, and promote shopping locally to kick off the holiday
shopping season.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
3
4
5
1
ITEM # __23___
DATE 04/27/21
COUNCIL ACTION FORM
SUBJECT: AMES MAIN STREET REQUESTS FOR SNOW MAGIC
BACKGROUND:
Ames Main Street (AMS) plans to host its Snow Magic Celebration December 3rd
through December 24th. The event will kick off on December 3rd with the tree lighting
ceremony, open houses, and horse and carriage rides.
To facilitate this event, Ames Main Street has made the following requests for
December 3rd
• Closure of Kellogg Avenue from Main Street to Fifth Street, including closure of
12 metered parking spaces, from 3:00 to 9:00 p.m. for Santa’s Train
• Closure of 4 metered parking spaces within the Downtown from 1:00 to 8:00 p.m.
on December 3rd to facilitate the pick-up and drop-off of passengers on horse
drawn carriage rides through the downtown
• Waiver of parking meter fees for closed parking meters ($20 loss to the Parking
Fund).
• Access to City electrical outlets at Tom Evans Plaza and waiver of fees
(estimated $10 loss to the Electric Fund)
• A blanket Temporary Obstruction Permit and a blanket Vending License for the
Downtown from December 3rd through December 24th to allow stores to display
and sell merchandise and waiver of Vending License fee ($50 loss to City Clerk’s
Office).
In February 2020, the City Council adopted a new policy regarding metered parking
waivers:
Metered parking fees will not be waived for special events. Any event
organizers intending to provide free parking or to close metered
parking spaces must reimburse the City’s Parking Fund for the lost
revenue. The City Council may consider waivers to this policy on a
case-by-case basis for parking spaces that are obstructed by the
event area (not for area-wide free parking).
2
Because this event only involves the closure of 16 total parking meters, the City Council
may grant a waiver of parking fees if it chooses, rather than requiring the applicant to
reimburse the lost parking meter revenue.
ALTERNATIVES:
1. Approve the requests made by Ames Main Street as indicated above, including
the requested waiver of fees.
2. Approve the requests as indicated above, but require reimbursement for the
blanket Vending Permit ($50), electricity use ($10), and lost parking meter
revenue ($20)
3. Deny the requests.
CITY MANAGER’S RECOMMENDED ACTION:
Snow Magic provides an opportunity to draw residents and visitors to the Downtown
and supports local businesses during the holiday shopping season.
It is therefore the recommendation of the City Manager that the City Council adopt
Alternative No. 1 as described above
3
4
5
1
ITEM# 24
DATE: 04/27/21
COUNCIL ACTION FORM
SUBJECT: AMES HIGH SCHOOL HOMECOMING REQUESTS
BACKGROUND:
Ames High School has requested to hold its Homecoming Parade on Thursday, May 13,
2021. Parade entries will stage in Parking Lots MM and M and on Pearle Street. The
parade will start on Main Street west of Clark Avenue and proceed east past Douglas
Avenue to the CBD Lot entrance. The parade entries will disperse from the CBD Parking
Lot. It will begin at 6:30 p.m. and last approximately 45 to 60 minutes. To help facilitate
this event, the Homecoming Committee asks that the City Council approve the following
closures:
• Fifth Street from Grand Avenue to Pearle Avenue, Pearle Avenue, Main Street from
Pearle Avenue to Duff Avenue, Clark Avenue from north of the CBD lot exit to Fifth
Street, Burnett Avenue from Main Street to Fifth Street, and Kellogg Avenue from
north of the CBD lot exit to Main Street, from 6:00 to approximately 7:30 p.m.
• City Parking Lot MM, the southern three aisles of Lot M, and a portion of CBD Lot Z
from 5:30 p.m. to 7:30 p.m. for parade staging and disassembly (No reserved spaces
would be affected).
City employees will be notified of the Lot M closure. Official vehicles parked in the
northernmost stalls will not be affected. Barricades, staffed by adult volunteers, will be
placed on streets along this route for traffic control purposes. Parking spaces will be
available to the public until 6:00 p.m.; therefore, no parking meter revenue will be lost.
Organizers have consulted with Ames Main Street regarding the event. Staff also advised
the organizers to notify affected businesses along the parade route.
City staff is requesting that the City Council grant a waiver of parking meter fees
and enforcement from 4:00 p.m. to 6:00 p.m. on May 13th for the 55 metered parking
spaces in Lot N, east of City Hall. There are a number of fitness classes in the
Community Center on Thursday evenings, and attendees normally park in Lot M or in
metered spaces on Fifth Street. City staff would like to provide free parking in Lot N for
those who are displaced by parade closures. The loss of revenue to the Parking Fund for
this request is $27.50.
2
ALTERNATIVES:
1. Approve the requests from the Ames High Homecoming Committee for street
closures in connection with the parade to be held on May 13, 2021; and waiver of
meter fees and enforcement in Lot N from 4:00 to 6:00 p.m. on May 13.
2. Do not approve these requests.
CITY MANAGER'S RECOMMENDED ACTION:
The Ames High Homecoming Parade is a long-standing Ames tradition in the Downtown.
The event has been successfully carried out, and it contributes to the vibrancy of the
Downtown area.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
Ames High School Homecoming Parade Committee
1921 Ames High Drive
Ames, IA 50010
April 5, 2021
Mayor and City Council
City of Ames
515 Clark Avenue
Ames, IA 50010
Dear Mayor Hiala and Members of the Ames City Council,
The Ames High School Homecoming and Prom Committees plan to hold combined
Homecoming and Prom activities the week of May 10,2021. These activities include the
Homecoming parade downtown on Thursday May 13, 2021.The parade will begin at 6:30pm
and is and expected to last 30-45 minutes, with streets reopened by 8:00pm.The Homecoming
Parade Committee asks that the City Council approve the following requests:
1.Closure of Pearle Avenue, Burnett Avenue, Kellogg Avenue and Clark Avenue (all from
Main Street to 5th Street), Main Street from Pearle Avenue to Duff Avenue, and 5th
Street from Grand Avenue to Clark Avenue, from 5:30pm to approximately 8:00pm on
May 13.
2.Closure of City Parking Lot MM and Lot M at 5:30 pm for parade staging.
3.Waiver of parking meter fees for those closed public parking spaces from 1:00-8:00pm.
Thank you for your consideration of these requests.We hope to see you in attendance during
the parade.
Sincerely,
Kaitlyn Will, Lily Rettig, Sophia Hammes, Haley Reeves,and Adam Wolf
Ames High School Homecoming Parade Committee
304 Main Street, Ames, IA 50010 515.233.3472 AmesDowntown.org
TO: Mayor John Haila
Gloria Betcher
Tim Gartin
David Martin
Rachel Junck
Amber Corrieri
Bronwyn Beatty-Hansen
Nicole Whitlock
Steve Schainker, City Manager
FROM: Steve Goodhue
2021 Board President
Ames Main Street
DATE: 4/7/2021
RE: Ames High Homecoming Parade
Ames Main Street is proud to offer its support for the 2021 Ames High Spring Homecoming
Parade. We also endorse the necessary street closures throughout Downtown Ames that the
parade route will require. Specifically, the closures pertaining to the parade route along Main
Street from Pearle Avenue to Duff Avenue. Events of this nature help Ames Main Street achieve its
vision of making Downtown Ames the primary destination of Central Iowa by creating an
economically vibrant district with unique living, dining, and entertainment experiences.
Sincerely,
Steve Goodhue
2021 Ames Main Street Board President
CC: Kim Frey, Director, Ames Main Street
1
COUNCIL ACTION FORM
SUBJECT: ADA HAYDEN HERITAGE PARK FISHING PIER IMPROVEMENTS
PLANS AND SPECIFICATIONS
BACKGROUND:
This project is to renovate the accessible fishing pier at Ada Hayden Heritage Park, 5205
Grand Ave., that was originally constructed in 2009. Over the past few years staff have
noticed undulations appearing on the deck which has been determined to be caused by
the heaving of the pilings below the structure of the pier. The heaving of the pilings has
caused the space between the deck boards to widen, undulations in the deck surface,
and the railings functionality to be compromised.
Snyder & Associates, Inc., Ankeny, Iowa, designed the initial specifications for the pier in
2009 and were asked to review the structure to provide staff with an explanation as to
why this was happening. Snyder told staff they would do this initial review at no cost to
the City. Snyder suggested hiring Allender Butzke Engineers, Inc. (ABE), geotechnical
consultants, to review the soil profile adjacent to the pier pilings. As a result of the soil
findings, ABE determined the heaving of the pilings was caused by “ice jacking”
which occurs when ice forms around the pilings, the water level increases, and the
pilings heave. Snyder then developed plans and specifications to correct the problem
and reduce the risk of this happening again.
Base bid plans and specifications include removing the decking material, railings,
and six pilings from the lake side of the pier; leveling the existing pilings; adding
rip rap around each piling to prevent ice formation during winter months, replacing
the decking and railings; removing a portion of the asphalt trail and walkways to
the pier, and installing a new path to the north of the existing path so park users
have a safe route during construction. Alternate #1 includes adding a retaining
wall on the north side of the pier, between the two walkways, which will provide
additional support to prevent heaving. The project is expected to be completed this
year.
The cost estimate for the base bid and a 10% contingency is $183,480. A breakdown of
the engineer’s cost estimate is below:
Engineer’s Estimate: Amount
Base Bid (replace decking, railing, remove piles, etc.) $166,800
Contingency (10% of base bid) $ 16,680
Alternate #1 (retaining wall, earthwork, seeding) $ 14,300
2
Bid Package Estimate $197,780
Total Project Estimate: Amount
Base Bid, Alt. #1, & Contingency (10%) $197,780
Design $ 15,000
Geotechnical Exploration $ 5,600
Total Project Estimate $218,380
There is $205,000 in available funding which is enough to cover the base bid, design, and
the geotechnical exploration. If Alternate #1 is included in the project, there will be a
shortfall of $13,380. Savings from the Emma McCarthy Lee Park Bridge Replacement
Project are estimated to be more than $60,000 and could be used to cover this shortfall.
ALTERNATIVES:
1. Approve Plans and Specifications for the Ada Hayden Heritage Park Fishing Pier
Improvements Project and set the bid due date for May 26, 2021 and June 8,
2021, as the date of hearing and award of contract.
2. Do not approve the plans and specifications at this time, delaying the Ada
Hayden Heritage Park Fishing Pier Improvements Project.
3. Refer back to staff.
CITY MANAGER’S RECOMMENDED ACTION:
Ada Hayden Heritage Park is one of the most popular parks in Ames and offers one of
the few fishing opportunities in the area. The fishing pier is an integral amenity at the
park that allows all individuals an accessible location to fish. The proposed improvements
will fix the issues with the pilings and undulations in the decking and prevent these issues
from happening again.
Therefore, it is the recommendation of the City Manager that the City Council
approve Alternative #1 as stated above.
1
ITEM # ___26__
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: 2020/21 ARTERIAL STREET PAVEMENT IMPROVEMENTS - E 13TH ST
(DUFF AVE TO MEADOWLANE AVE)
BACKGROUND:
This annual program utilizes current repair and reconstruction techniques to improve
arterial streets with asphalt or concrete. These pavement improvements are needed to
restore structural integrity, serviceability, and rideability. Targeted streets are reaching a
point of accelerated deterioration. By improving these streets prior to excessive
problems, the service life will be extended. The 2020/21 program location is E. 13th
Street between Duff Avenue and Meadowlane Avenue.
This project includes reconstruction of the street pavement with 8 inches of new concrete
pavement, storm sewer improvements, sanitary sewer manhole replacements, new
water main, an eight-foot shared use path along the north side of E. 13th St., and ADA
sidewalk ramp improvements. Also incorporated into this project are new 8-inch, 16-inch
and 24-inch water mains to replace the existing 6-inch main.
Due to COVID-19 restrictions, no traditional public meeting was held. A project webpage
was created containing project information, a video, and an opportunity to provide
feedback. Staff mailed notices to impacted residents and businesses, and a press
release informed the general public. Besides general driveway and water service access
questions, there were no major concerns from the public.
A summary of revenues and projected expenses is shown below:
Available
Revenue Expenses
GO Bonds $ 900,000 MPO/STP Funds 1,600,000 2020/21 Water System Improvements 555,000 2020/21 Sanitary Sewer System Improvements 45,000
2021/22 Stormwater Improvement Program 255,000
2020/21 Arterial St Pav’t Improvements (13th St) $2,980,
Engineering/Administration 350,000
$3,355,000 $3,330,000
2
This project will have a May 18, 2021 bid letting conducted through the Iowa Department
of Transportation (DOT), which is a requirement of using the MPO/Federal/State funding.
Work could start as early as Summer 2021, but it has a late start date of April 4, 2022.
This will provide more flexibility for the contractors and hopefully result in lower bid prices.
ALTERNATIVES:
1. Approve plans and specifications for 2020/21 Arterial Street Pavement
Improvements 13th Street (Duff Ave to Meadowlane Ave) and establish May 18,
2021, as the date of letting and May 25, 2021, as the date for report of bids.
2. Do not approve this project.
CITY MANAGER'S RECOMMENDED ACTION:
Approval of the plans and specifications will continue to keep this project on the Iowa
DOT’s May 18, 2021, letting schedule. Delay or rejection of these plans and specifications
will delay this project, and possibly jeopardize the funding.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
1
ITEM # 27
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: FLEET REPLACEMENT PROGRAM – PUBLIC WORKS TRAFFIC
ONE-TON PICKUP CHASSIS
BACKGROUND:
The Public Works Traffic Division uses a variety of trucks to maintain the Traffic system.
Two one-ton pickups used by this division have reached the end of their useful lives and
are due for replacement. A bid solicitation was issued for two replacement one-ton pickup
chassis. One of the units will be a dual rear-wheel and the other will be a single rear-
wheel. Both chassis will be outfitted with flat beds and equipment. In keeping with City’s
sustainability commitment both chassis are flex-fuel capable for E85. However, the
requirement for E85 reduces the number of available manufacturers that can bid.
One bid was received on April 6, 2021:
Bidder
Dual Rear-
Wheel Price
Single Rear-
Wheel Price Total
Ames Ford Lincoln $30,711.56 $33,300.56 $64,012.12
City staff has reviewed this bid and determined it is acceptable. Options for factory
installed strobe lights and downgrading the size of one of the trucks were submitted, but
after review they were not accepted.
Funding is available for this purchase as follows:
Existing Trucks Replacement Funds $ 84,694
Estimated Salvage Value of equipment being replaced 26,800
Available Funding $ 111,494
The remaining funding, $47,481.88, will be used for the upfitting of the trucks. The upfitting
will include a flatbed, safety lighting, storage, and an air compressor for both trucks. This
will allow both trucks to be used for the repair of signs and signals throughout the City.
ALTERNATIVES:
1. Approve and award this contract to Ames Ford Lincoln of Ames, Iowa for two Ford
truck chassis for $64,012.12
2. Reject award of bid.
2
CITY MANAGER’S RECOMMENDED ACTION:
These purchases are consistent with the Fleet Replacement Program and are within the
budgeted amounts.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
ITEM # ___28__
DATE 04-27-21
COUNCIL ACTION FORM
SUBJECT: FY 2021/22 PEBBLE LIME PURCHASE FOR WATER PLANT
BACKGROUND:
Pebble lime is used in the water treatment process to remove water hardness. Almost
3,000 tons are used annually, and it is the largest chemical cost for the Water Plant. The
contract period starts July 1, 2021, and continues through June 30, 2022. On April 15,
2021, bids were received for fiscal year 2021/2022 with an optional extension for FY
2022/2023.
BIDDER July 1, 2021 - June 30, 2022
Actual usage will depend on water quality and consumption. The FY 2021/22 operating
budget estimates 2,800 tons at $176 per ton for a total of $492,800.
ALTERNATIVES:
1) Award a contract for the purchase of pebble lime to Graymont Western Lime, Inc.
of West Bend, WI, in the amount of $166.50 per ton for FY 2021/2022.
This alternative will include the option to allow the City Council to approve the
second year, FY 2022/23, at the stated rate of $168.50 next year at the City’s
discretion.
2) Award a contract to one of the other bidders. This would result in an increased
expense of approximately $183,000 (or more) in the first year and would require
rebidding the contract for the second year.
3) Reject all bids and attempt to obtain the required services on an as-needed
basis.
CITY MANAGER’S RECOMMENDED ACTION:
Acquiring an adequate supply of pebble lime is essential for the water softening process
by the City's Water Treatment Plant. Graymont Western Lime Inc. has demonstrated the
ability to dependably provide this product at a competitive rate.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
1
ITEM # ___29__
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: AWARD CONTRACTS FOR PURCHASE AND INSTALLATION OF
ELECTRIC VEHICLE CHARGING STATIONS
BACKGROUND:
The Iowa Department of Transportation solicited applications for grant funding through
the Volkswagen Environmental Settlement Trust to expand EV charging infrastructure in
the state and reduce emissions of nitrogen oxides (NOx). Ames Electric Services applied
and received grant funding for three charging sites.
All necessary due diligence has been completed for two of the three sites, hosting three
of the four chargers. One (1) level two charger, capable of charging two cars at the same
time, will be installed at the Ames Intermodal Facility located at 249 Hayward Ave and
two (2) DC Fast Chargers will be installed at the Kum & Go located at 2108 Isaac Newton
Drive. The exact location of the third installation site is yet to be confirmed.
City Council is being asked to approve the purchase of the electric vehicle chargers
and a contract for the installation of the chargers.
Purchase of Electric Vehicle Charging Stations
In July 2019, Iowa Department of Administration Services (DAS) competitively bid
Electric Vehicle Charging (EVC) Stations. DAS completed its evaluation and determined
CD LLC (Carbon Day Automotive), Wheeling, IL. As part of that bid, the vendor offered
2
the stations and associated pricing to other Regents Institutions, other State of Iowa
public agencies, and municipalities.
CD LLC has committed to providing the City the stations at the pricing offered in the DAS
bid. Costs for the service are as follows:
ChargePoint CT4023 (Level Two Charger)
Initial Purchase $4,740.00 (list is $6,705)
Commercial Cloud Plan for 5 years $2,210.00
Assure Warranty for 5 years $2,495.00
Taxes $661.15
Total $10,106.05
ChargePoint CPE250 (Fast Charger)
Initial Purchase $33,880.00 (list is $40,800)
Commercial Cloud plant for 5 years $2,210.00
Assure Warranty for 5 years $15,500.00
Taxes $3,611.30
Total $55,201.30 x (2) = $110,402.60
The City Council is being asked to approve the request to waive the Purchasing
Policy threshold of $25,000 and utilize DAS’s pricing agreement and award the
purchase of the three (3) electric vehicle charging stations to CD LLC, Wheeling,
IL, in the amount of $120,508.65 (inclusive of sales tax).
Installation of Charging Stations
Bid documents were issued on March 18, 2021 for the installation only, in the electronic
bidding portal AmesBids to forty-nine companies and three plan rooms. The bids were
based upon the total cost to install the three (3) electric vehicle charging stations.
On April 6, 2021, one responsive bid was received.
Responding Supplier
Response
Total Sales tax
Evaluated Bid
Price
Staff reviewed the bid and concluded that the only bid received is acceptable. The bid
was submitted by Commonwealth Electric, Des Moines, IA. in the amount of $16,837.52
(inclusive of applicable sales tax).
The total amount for the purchase and installation of the charging stations will be
paid upfront by the City from the Demand Side Management budget carried forward
from FY2019/20 to cover the project cost shares. The Iowa Department of
Transportation Grant will then reimburse the City for 80% of these total costs.
3
ALTERNATIVES:
1. a. Approve the request to waive the Purchasing Policy threshold of $25,000 and
utilize the pricing agreement and service agreement with CD LLC, Wheeling,
IL for the purchase of the electric vehicle charging stations in the amount of
$120,508.65 (inclusive of sales tax).
b. Award a contract to Commonwealth Electric, Des Moines, Iowa for the
installation of the electric vehicle charging stations in the amount of $16,837.52
(inclusive of sales tax).
2. Delay the purchase and/or installation of the chargers. It should be noted that the
grant funding requires that the project be completed by December 31, 2021.
CITY MANAGER'S RECOMMENDED ACTION:
These chargers will provide much-needed charging infrastructure for the community and
those travelling past Ames on Highway 30 and Interstate 35. There is currently no DC
fast charger available in or near Ames. Expanded charging infrastructure is expected to
encourage further adoption of electric vehicles, which have no direct emissions and
reduce indirect carbon emissions compared to gasoline-powered vehicles.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1 as stated above.
Smart Choice
MEMO
515.239.5105 main
fax
To: Mayor and Members of the City Council
From: City Clerk’s Office
Date: April 27, 2021
Subject: Contract and Bond Approval
There is/are no Council Action Form(s) for Item No(s). 30, 31, and 32. Council approval
of the contract and bond for this/these project(s) is simply fulfilling a State Code
requirement.
/alc
ITEM#: 33
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: HOMEWOOD SLOPE STABILIZATION PROJECT
BACKGROUND:
Near Hole #4 of Homewood Golf Course, there was an unstable steep slope continuing
to severely erode across the Skunk River Trail and into the river. Slope stabilization with
native vegetation was attempted as part of previous projects; however, the slope has
further eroded, taking more trees across the shared use path and into the river. Further
geotechnical investigation has identified high groundwater and soil instability near the top
of the slope at Homewood Golf Course. This project is to stabilize the slope, manage the
groundwater, and add native vegetation with deep root systems to secure the soil from
further eroding.
On December 22, 2020 City Council awarded the project to RW Excavating Solutions,
Inc. of Prairie City, Iowa, in the amount of $535,192.55. Engineering and construction
administration are estimated to cost $160,000, bringing the total estimated cost of the
project to $695,192.55.
Change Order No. 1 was approved to add subdrain pipe and outlets due to additional
groundwater causing unstable conditions on the slope in an amount of $35,070.40.
Change Order No. 2 will add additional subdrain pipe and outlets plus trail repair
at the base of the steep slope ($21,500). This will improve the conditions along the
shared use path adjacent to the slope. The planned split rail fence is also being
extended to cover the entire top of slope along the golf course ($4,822). Also
included in Change Order No. 2 is deleting bid items for pavement removal and
new asphalt pavement, because the parking lot that was used for project access
held up well during the construction ($112,200). The total for Change Order No. 2 is
a net deduction in the amount of $85,878. Considering Change Orders No. 1 and 2, the
construction contract amount is $484,384.95.
Funding for the project is in the amount of $1,142,322 from previously unallocated G.O.
Bonds.
ALTERNATIVES:
1. Approve Change Order No. 2 for the Homewood Slope Stabilization Project, for a
contract deduction in the amount of $85,878.
2. Direct staff to make changes to the project.
MANAGER’S RECOMMENDED ACTION:
This unstable slope has continued to erode regardless of the attempt to stabilize the area
with vegetation. In order to stabilize the area, the groundwater needs to be managed so
that vegetation can further stabilize the area. Therefore, it is the recommendation of
the City Manager that the City Council adopt Alternative No. 1, as noted above.
1
ITEM # 34
DATE 04-27-21
COUNCIL ACTION FORM
SUBJECT: 2020/21 RIGHT-OF-WAY RESTORATION (STANDARD VEGETATION)
CHANGE ORDER
BACKGROUND:
This program is for restoration of the right-of-way areas associated with various Capital
Improvements Plan (CIP) projects. Disturbed ROW areas are restored using seed or
dormant seed. The ROW Restoration program allows one contractor who specializes in
seeding to restore several locations with improved quality.
On August 25, 2020, City Council approved a contract with Country Landscapes of Ames,
Iowa, in the amount of $96,175.65. This change order in the amount of $31,813.35 is to
add four additional CIP project locations that have been awarded this spring.
Funding Source Available Revenue Estimated Expense
Road Use Tax $125,000
Water Utility Fund $ 75,000
Sewer Utility Fund $ 75,000
Storm Sewer Utility Fund $ 50,000
2020/21 ROW Rest. (Std. Vegetation) $ 96,175.65
Change Order 1 $ 31,813.35
2020/21 ROW Rest. (Native Vegetation) $ 45,426.25
Engineering $ 30,800.00
Total $325,000 $204,215.25
ALTERNATIVES:
1. Approve the Change Order 1 in the amount of $31,813.35 for the 2020/21 Right-of-
Way Restoration (Standard Vegetation).
2. Do not approve the Order Change Order.
CITY MANAGER'SRECOMMENDED ACTION:
Proceeding with this project will make it possible to begin restoration efforts on projects
recently awarded for the 2021 spring construction season. Even with the addition of this
change order, the program expenses are still estimated to be below the Capital Improvement
Plan funding amount.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as described above.
1
ITEM#: 35
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: 2017/2018 MAIN STREET PAVERS (CLARK – BURNETT)
BACKGROUND:
This project replaces the pavers that were installed with the Main Street Reconstruction
project in 1999. At that time, the pavers were an aesthetic upgrade to traditional concrete
sidewalks. Over time, the pavers have proven to be difficult to maintain and crews spend
a considerable amount of time to level or replace pavers. Additionally, ice control
chemicals applied by adjacent businesses have led to accelerated deterioration of the
pavers. Also, the original pavers are not produced anymore.
On September 8, 2020, City Council accepted bids and approved final plans and
specifications for the first phase of the program to replace pavers along both sides of
Main Street between Clark Avenue and Burnett Avenue. Construction work
commenced in mid-March 2021. Removal of the existing pavers and sand base layer
exposed the concrete which supports the pavers.
This concrete was deteriorated to such an extent that the action of brooming the sand off
the top is causing much of the concrete to crumble (see attached photo). Therefore, the
concrete is required to be removed and replaced to complete the project. This
additional work has resulted in the need for Change Order No. 1 in the amount of
$120,582 to authorize payment for this additional work. The quantities in this change
order are estimated at this time and will be adjusted upon completion of the work.
The table below indicates estimated expenses and funding sources.
Funding Source
Available
Revenue
Estimated
Expenses
2017/18 Main Street Pavers (Clark to Burnett) $171,000
2018/19 Main Street Pavers (Burnett to Kellogg) 171,000
2019/20 Main Street Pavers (Kellogg to Douglas) 190,000
Return to Road Use Tax Fund for COVID-19 Shortfall (165,697)
2020/21 Main Street Pavers (Douglas to Duff) 88,000
Public Art Commission Wall Demolition Support 1,500
Removal of Wall and Replacement of Pavers at Tom Evans Plaza (est.) $ 24,445.00
2017/2018 Main Street Pavers (Clark to Burnett) Base Bid + Alt B 175,480.46
2017/2018 Main Street Pavers (Clark to Burnett) Change Order No. 1 120,582.00
Engineering $ 5,000
$455,803 $325,507.46
2
FUTURE PHASES:
Staff has investigated locations along the remaining three blocks of the project and found
that the underlying concrete conditions vary. It is likely that additional concrete
replacement will be necessary in the future blocks. The plans and estimates for
construction of these blocks are being modified to account for this additional work.
Plans and specifications will be brought to City Council in the near future that will provide
for bidding the remaining blocks as individual bid alternatives. An additional $191,000 of
funding for this program is provided in the 2021/22 Capital Improvement Program (CIP)
that will be combined with the available existing revenue. Recommendations for award
will be based on the total funding available. Any remaining work will be reprogramed and
included in the proposed 2022 – 2027 CIP.
ALTERNATIVES:
1. Approve Change Order No.1 for the 2017/18 Main Street Paver Replacement
project in the amount of $120,582.
2. Direct Staff to pursue other changes to the work.
CITY MANAGER’S RECOMMENDED ACTION:
The deterioration beneath the pavers has made it necessary to replace the concrete to
continue with the Main Street Paver Replacement project and protect the investment in
the infrastructure. The project is utilizing a more efficient drainable base material under
the new pavers to help promote improved drainage of deicing chemicals and liquids away
from the pavers and concrete which will increase the lifespan of the materials.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as noted above.
3
Note concrete in center of photo under pavers appears to be loose and more of a gravel
consistency. This should look more like the sidewalk to the left in the photo.
ITEM # ___36__
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: ELECTRIC SERVICES FUEL SUPPLY CONTRACT RENEWAL
BACKGROUND:
This contract is for the purchase of #2 ultra low sulfur diesel fuel for Electric Services.
The utility has a 250,000-gallon main fuel tank located at the Dayton Substation to fuel
the two GT (gas-turbine) units. The Utility’s two gas-turbines could burn 250,000 gallons
of fuel in a 60-hour time period, requiring larger refill volumes and quick refills should an
emergency dictate that they stay on-line.
The scope of work for this contract includes supplying fuel to gas turbines units as
needed. Suppliers were asked to provide pricing based in the form of a markup or
markdown to the daily-published “rack” average fuel price at the Des Moines, Iowa,
terminal for stated products.
On August 27, 2019, City Council awarded the contract to Diamond Oil Company, Des
Moines, Iowa to provide these services. The contract includes a provision that would
allow the City to renew the contract for up to four additional one-year terms. The
proposed renewal contract would be the second of the four optional terms. The
renewal period is from July 1, 2021 through June 30, 2022.
The renewal terms do not have any price increases. The goal of the contract is to
create efficiency and flexibility in the purchase of a valuable commodity, ensuring that
the City is able to use opportunity purchasing and to lock in performance criteria for the
suppliers.
The approved FY 2021/22 operating budget includes $300,000 for this fuel purchase.
Council should note that actual cost invoices will be based on the amount of fuel
purchased and the price of the fuel at the time of purchase. Typical fuel usage over a
one-year period is estimated to cost $200,000. However, due to uncertainty in the
utility environment as a result of COVID, staff is keeping a higher volume of oil on
hand than is typical, which may result in higher costs during this contract year.
It should be noted that under the Diamond Oil contract, the Power Plant can take
delivery from two distinct points: Buckeye and Magellan. The fuel from Buckeye
meets General Electric specifications. Fuel from Magellan is received from many
different refineries, which could potentially result in a fuel blend that differs slightly from
the General Electric specifications. Therefore, the Buckeye fuel is the primary source;
staff receives Magellan prices in case fuel is needed urgently and it is unavailable from
Buckeye.
ALTERNATIVES:
1. Approve renewal of the contract for supplying diesel fuel to the City’s gas turbine
units to Diamond Oil in the amount of a (-$0.0062) deduct off of the Magellan
“rack” fuel price, and in the amount of $0.0163 increase off of the Buckeye “rack”
fuel price with a total amount not-to-exceed $300,000.
2. Reject the renewal option and instruct staff to seek new competitive bids.
CITY MANAGER'S RECOMMENDED ACTION:
This contract will offer the City flexibility in fuel purchasing and maintain standards of
performance for fuel content and fuel delivery. Detailed ordering and delivery
procedures will also be part of this contract. The actual contract amount will be based
on the actual quantities delivered from each potential source.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1 as stated above.
Smart Choice
Public Works Department 515.239.5160 main 515 Clark Ave. P.O. Box 811
Engineering 515.239.5404 fa Ames, IA 50010
www.CityofAmes.org
Public Works Department
515 Clark Avenue, Ames, Iowa 50010
Phone 515‐239‐5160 Fax 515‐239‐5404
April 21, 2021
Honorable Mayor and Council Members
City of Ames
Ames, Iowa 50010
RE: Wheelock Corner Subdivision Financial Security Reduction #2
Mayor and Council Members:
I hereby certify that the street lights, COSESCO (erosion control), most PCC curb & gutter
(retaining $500 for repairs), and curb backfill required as a condition for approval of the final plat
of Wheelock Corner Subdivision have been completed in an acceptable manner by Manatt’s of
Ames, Iowa. The above‐mentioned improvements have been inspected by the Engineering
Division of the Public Works Department of the City of Ames, Iowa, and found to meet City
specifications and standards.
As a result of this certification, it is recommended that the financial security for public
improvements on file with the City for this subdivision be reduced to $22,830.00. The remaining
work covered by this financial security includes pedestrian ramps, detectable warning panels,
curb & gutter repairs ($500), and 4” sidewalks.
Sincerely,
John C. Joiner, P.E.
Director
JJ/tp
cc: Finance, Planning & Housing, Subdivision file
Item No. 37
Wheelock Corner Subdivision
April 21, 2021
Page 2
Item Quantity Unit
PCC Curb & Gutter, 30" 1,743 LF
Curb Backfill 1,797 LF
COSESCO (erosion control) 16.5 AC
Street Lights 1 LS
1
ITEM #_ _38___
DATE:04-27-21
COUNCIL ACTION FORM
SUBJECT: AWARD OF CONTRACT FOR CLIMATE ACTION PLAN
DEVELOPMENT
BACKGROUND:
One of City Council’s values is environmental sustainability, with an associated goal to
develop and adopt a Climate Action Plan (CAP). The City completed a community
greenhouse gas (GHG) inventory in summer 2020, which is a foundational step for the
development of a CAP. This will be the first CAP developed and implemented for the City
of Ames.
The City Council reviewed the draft Request for Proposals (RFP) for developing the CAP at
its December 8, 2020 meeting. The Council emphasized the importance of a community
engagement plan and outreach. City Council provided direction to staff to proceed with
soliciting proposals. The project is envisioned to take 18 months. The City Council
budgeted for up to $130,000 in the adjusted FY 2019/20 General Fund balance for the
preparation of the CAP.
The RFP was issued to 55 firms and five bid services with responses received from seven
firms. An evaluation team composed of 11 staff members representing City Administration,
Sustainability Coordinator, Planning, Public Works, W ater & Pollution Control and Electric
Services departments ranked the seven returned proposals using a uniform ratings matrix.
Each proposal was evaluated based on a combination of the following criteria:
1. Understanding of the project requirements
2. Qualifications and experience of the principal consulting staff and sub-consulting
staff
3. Quality of representative work for similar CAP documents
4. Project approach/methodology in completing the scope of services
5. Ability to develop GHG emission reduction goals that are relevant, achievable and
cost-effective strategies to achieve the goals
6. Building support and motivating commitment to the CAP through community
engagement
7. Experience with similar projects
8. Cost and the proposed timeline for the completion of the Plan
The score for each of these criteria was based on a scale of 1 to 5 and then assigned a
corresponding weight factor. The maximum possible score, combining all 10 evaluators
was 5000 (note - one member was not able to participate in this phase of the evaluation).
2
The knowledge and experience related scores represented 85% of the overall score, and
proposed fees accounted for 15%. The proposal rankings and fees listed below:
The evaluation team invited the top three firms for interviews. All three were asked to
provide a brief presentation introducing their team members, their roles and demonstrate
their understanding of the scope of services. Staff provided specific follow up issues
for their response within the interviews. These issues included elaborating on
resources needed for the proposed engagement plan and how the outreach efforts
form the development of the CAP; reviewing the approach with the public
engagement to developing the goals and analyzing strategies; addressing the
importance of the cost/benefit analysis of the strategies; and determining how these
factors work into the development of the CAP.
Interviews were evaluated by 11 evaluators based on:
1. Methods for achieving the desired outcomes
2. A clear understanding of the City and the scope of services
3. Qualifications of those working on the project and experience related to similar
projects
4. Public engagement
5. Project approach and methodology
6. Ability to deliver a CAP as desired
As with the proposal scoring, each criterion was weighted and given a score based on a
scale of 1 to 5. The interview scores, with a maximum possible of 5500 were as follows:
The combined scores of the written proposals, interviews and references resulted in the
following ranking:
Firm Total
Score
Rank Fee Proposal
Firm Score
3
Sustainability Solutions Group Workers Cooperative (SSG) emerged as a top
contender based on their work with other university communities, an emphasis on
engaging diverse and disenfranchised participants, and success during the
pandemic with non-traditional outreach methods. SSG self-identifies as a large
enough firm to tap into a variety of subject matter experts, but small enough to be
responsive to the custom needs of the City.
SSG will be the primary consultant for the project with Yuill Herbert as the team lead. The
subcontractors supporting the project are W hatif? Technologies (WT) and Confluence.
WT will provide energy and emissions modeling, energy system analysis, financial and
economic modeling, and data collection. Confluence, who has local experience in other
projects involving the City of Ames, will lead the development and facilitation of community
engagement activities in coordination with SSG. Confluence deployed some of its
outreach technologies this past January at the Downtown Plaza meetings which attracted
more than 100 participants on multiple platforms.
PUBLIC ENGAGEMENT:
Engagement is a critical aspect of setting community GHG emission reduction targets and
developing the CAP. Early in the project, SSG will interview representatives from key
groups including but not limited to neighborhoods, stakeholders, technical advisors, and
the CAP Project Team to identify additional sectors of the community that should be
engaged and how to best reach them. SSG will use the information to conduct stakeholder
mapping to form the development of engagement activities, tools, schedules, and
outcomes. The International Association for Public Participation (IAP2) will be used as a
guide to map each engagement activity.
Methods and tools to be used include mailed and online surveys, telephonic contact,
interactive website, focus groups, and outreach communication offered through radio,
newspapers, social media, and videos. SSG will also use guided workbooks called
“Kitchen Table Workbooks” that will be made available for people review the draft CAP
and explore ways they can contribute to the CAP in their home, place of work and/or study
and identify how the City and other stakeholders can help them.
Through the community engagement process, the CAP will be shaped by knowledge of
local resources, partners and culture, integrated with and strengthened by technical
analysis. A multipronged approach will be used to reach a wide audience, both online and
in-person.
Sustainability Solutions Group Workers Cooperative, Vancouver, BC 1
Verdis Group, Omaha, NE 2
paleBLUEdot LLC, Maplewood, MN 3
4
SCOPE OF WORK:
SSG’s approach emphasizes community involvement throughout the process and flexibility
in developing a plan tailored to the needs of the City. The approach specifically involves:
• data collection on items included, but not limited, to demographics, dwellings, non-
residential buildings, vehicle fleet, waste, and water/wastewater;
• model calibration of energy and emissions activities cross referenced to align
current and previous inventories;
• development of a business as usual (BAU) scenario;
• GHG emissions goal setting using recent guidance issued by the Global Covenant
of Mayors and other partners on science-based targets;
• identification of a final low-carbon scenario for the City; and
• development of a CAP with strategies for reducing community emissions that detail
cost, implementation, funding, and ways to monitor impacts.
A summary of the key stages of the project are described in the following table. Each
phase is defined in greater detail within the scope of work (Appendix A).
Key Stages Schedule Fee
Reduction Go
5
The scope of work also includes meetings with City Council throughout the process to
provide direction to the following tasks:
Steering Committee Purpose Anticipated Meeting Month
setting/prioritize low-carbon actions and policies
policies
and financial impacts
ALTERNATIVES:
1. Approve the award of contract with Sustainability Solutions Group Workers
Cooperative of Vancouver, BC for a Climate Action Plan in the amount not to
exceed of $120,915.
2. Direct staff to negotiate a contract for a Climate Action Plan with one of the other
firms that submitted a proposal to the City.
3. Do not award contract for the Climate Action Plan.
CITY MANAGER'S RECOMMENDED ACTION:
The three final consulting firms had varied levels of experience and provided different
strategies for creating a Climate Action Plan consistent with the RFP. After evaluating the
scope of services and experience of each consultant team, meeting the consultant's staff,
asking questions, and checking references, SSG of Vancouver, BC was identified as the
top choice to perform the desired functions to produce the City of Ames’ first Climate
Action Plan.
6
Therefore, it is the recommendation of the City Manager that the City Council approve
Alternative No. 1, thereby approving the contract with SSG, Vancouver, BC for a Climate
Action Plan for an amount not to exceed $120,915.
The City Council must understand that SSG will conduct all of their interaction
required by the scope of services, other than the final presentation, via a virtual
platform. Therefore, the project budget currently includes only the one trip to Ames.
CONTRACT FOR
CLIMATE ACTION GOAL SETTING AND PLAN FOR THE CITY OF AMES
THIS AGREEMENT, made and entered into effective the 27th day of April, 2021, by and between the CITY
OF AMES, IOWA, a municipal corporation organized and existing pursuant to the laws of the State of Iowa
(hereinafter sometimes called "City") and Sustainability Solutions Group Workers Cooperative (a corporation,
organized and existing pursuant the Canada Cooperatives Act and hereinafter called "Provider");
W I T N E S S E T H T H A T:
WHEREAS, the City of Ames has determined that certain services to be provided to the City of Ames and its
citizens by Provider, such services and facilities being hereinafter described and set out, should be purchased in
accordance with the terms of a written agreement as hereinafter set out;
NOW, THEREFORE, the parties hereto have agreed and do agree as follows:
I
PURPOSE
The purpose of this Agreement is to procure for the City of Ames certain services as hereinafter described
and set out; to establish the methods, procedures, terms and conditions governing payment by the City of Ames
for such services; and, to establish other duties, responsibilities, terms and conditions mutually undertaken and
agreed to by the parties hereto in consideration of the services to be performed and monies paid.
II
SCOPE OF SERVICES
Provider shall provide the services set out in the City of Ames, Iowa, Request for Proposal No. 2021-063,
and in the Climate Action Goal Setting and Plan Scope of Services attached hereto as Appendix A.
The City, without invalidating the Agreement, may direct changes in the services within the general scope
of the Agreement, with the authorized payment maximum being adjusted accordingly. Any change in the scope of
service by the provider shall be done by written agreement signed by both parties. The added cost or cost
reduction to the City resulting from a change in the Agreement shall be determined by mutual acceptance of a
lump sum properly itemized and supported by sufficient data to permit evaluation, or by unit prices stated in the
Agreement or subsequently agreed upon.
It shall be the responsibility of the provider, before proceeding with any change in scope, to verify that
the change has been properly authorized on behalf of the City. No additional charges or any other change in the
Agreement will be allowed unless previously authorized in writing by the City, with the applicable compensation
method and maximum authorized additional sum stated.
III
METHOD OF PAYMENT
A. Payments shall be made by the City of Ames in accordance with the following task schedule:
Task Total Amount
a. No. 1: Kick-Off & Progress Meetings $ 7,380
b. No. 2: Determine Community GHG Emission Reductional Goals $35,300
c. No. 3: Develop Climate Action Plan $40,255
d. No. 4: Outreach & Engagement $36,030
e. No. 5: Presentation of Climate Action Plan $ 1,950
The maximum total amount payable by the City of Ames under this Agreement is $120,915.00 USD and no
greater amount shall be paid without written amendment.
B. Payment will be made upon completion of the services and acceptance by the City of Ames. Provider shall
submit an invoice upon completion of the services. The invoice shall include an itemization of the services for
which payment is claimed. Invoices referencing the assigned purchase order number shall be sent to the following
address:
City of Ames, Finance Dept. – Accounts Payable, PO Box 811, Ames, IA 50010
or by email to: accountspayable@cityofames.org.
lV
FINANCIAL ACCOUNTING AND ADMINISTRATION
A. All claims for payment shall be supported by properly executed payrolls, time records, invoices,
contracts, vouchers, or other documentation evidencing in proper detail the nature and propriety of the charges.
All checks, payrolls, invoices, contracts, vouchers, orders, or other accounting documents pertaining in whole or in
part to this Agreement shall be clearly identified as such and readily accessible for examination and audit by the City
or its authorized representative.
B. All records shall be maintained in accordance with procedures and requirements established by
the City Finance Director, and the City Finance Director may, prior to any payment under this Agreement, conduct a
pre-audit of record keeping and financial accounting procedures of the Provider for the purpose of determining
changes and modifications necessary with respect to accounting for charges made hereunder. All records and
documents required by this Agreement shall be maintained for a period of three (3) years following final payment
by the City.
C. At such time and in such form as the City may require, there shall be furnished to the City such
statements, records, reports, data, and information as the City may require with respect to the payments made or
claimed under this Agreement.
D. At any time during normal business hours, and as often as the City may deem necessary, there
shall be made available to the City for examination all records with respect to all matters covered by this Agreement
and Provider will permit the City to audit, examine, and make excerpts or transcripts from such records, and to make
audits of all contracts, invoices, materials, payrolls, records of personnel, conditions of employment, and other data
relating to all matters covered by this Agreement.
V
INSURANCE
A. The provider shall maintain insurance coverage in scope and amounts acceptable to the City’s
Risk Manager.
B. Any failure to comply with reporting provisions of the policies shall not affect coverage provided
to the City of Ames, its officials, employees, or volunteers.
C. Provider shall furnish the City with certificates of insurance and with original endorsements
effecting coverage required by this clause. The certificates and endorsements for each insurance policy are to be
signed by a person authorized by that insurer to bind coverage on its behalf. The certificates and endorsements are
to be on standard insurance company forms or forms provided by the City and are to be received and approved by
the City before services commences. The City reserves the right to require complete, certified copies of all required
insurance policies, at any time.
D. Provider shall include all sub-contractors as insured under its policies. All coverages for sub-
contractors shall be subject to all of the requirements stated herein.
E. To the fullest extent permitted by law the Provider shall indemnify and hold harmless the City of
Ames, their agents, and employees from and against all claims, damages, losses, and expenses, including, but not
limited to attorneys’ fees arising out of or resulting from the performance of the services, provided that any such
claim, damage, loss, or expense (1) is attributable to bodily injury, sickness, disease, or death, or to injury to or
destruction of tangible property (other than the services itself) including the loss of use resulting therefrom; and (2)
is caused in whole or in part by any negligent act or omission of the Provider, any Sub-contractor, anyone directly or
indirectly employed by any of them or any one for whose acts, any of them may be liable.
F. In no case will the Provider’s coverage be construed to provide coverage for acts of negligence
alleged to be caused by the sole negligence of employees of the City of Ames.
VI
PROPRIETARY RIGHTS AND CONFIDENTIAL INFORMATION
Provider agrees to hold in trust and confidence any confidential and/or proprietary information or data
relating to City business and shall not disseminate or disclose such confidential information to any individual or
entity, except Provider’s employees or sub-contractors performing services hereunder (who shall be under a duty
of confidentiality), and any other individuals specifically permitted in each instance by the City.
VII
TERMINATION
The City of Ames may terminate this Agreement without penalty to the City at any time by giving written
notice to the Provider at least fifteen (15) days before the effective date of such termination. In any case where the
Provider fails in whole or in part to substantially perform its obligations or has delivered nonconforming services,
the City shall provide a Cure notice. If after notice the Provider continues to be in default, the City may terminate
this agreement immediately. The City shall only be obligated to compensate the Provider for compliant services
performed prior to notice of termination.
VIII
INDEPENDENT CONTRACTOR STATUS
Provider agrees that the relationship between Provider and the City is that of an independent contractor
for employment tax purposes. The Provider shall be solely responsible for all taxes relating to payments under this
agreement including those of employees.
IX
LAWS
This contract is governed by the law of the State of Iowa with venue in the appropriate state and/or
federal courts for Story County, Iowa.
X
ASSIGNMENT
This Agreement may not be assigned or transferred by the Provider without the prior written consent of
the City.
XI
AFFIRMATIVE ACTION
Provider shall place on file with the City a statement of nondiscrimination policy in the form of a
completed Assurance of Compliance with the City of Ames, Iowa, Affirmative Action Program satisfactory to the
Affirmative Action Officer of the City.
XII
NOTICE
All notices under this Agreement shall be in writing. Notices shall be deemed to have been given: (i) upon hand
delivery or (ii) if sent by Regular Mail, within seventy-two (72) hours after the notice has been deposited in the
United States Post Office, postage paid. Notices shall be sent to the other party at the addresses set forth below.
Either party may change its address by giving notice in writing thereof to the other parties.
City of Ames: Sustainability Solutions Group:
Deb Schildroth Yuill Herbert
Assistant City Manager Principal
515 Clark Ave, PO Box 811 210-128 W Hastings Street
Ames, IA 50010 Vancouver, BC, V6B 1G8
XIII
DURATION
This Agreement shall be in full force and effect from and after April 27, 2021 until completion of the
Services, or, until terminated by the City of Ames, Iowa.
IN WITNESS WHEREOF the parties hereto have, by their authorized representatives, set their hand and seal as of
the date first above written.
CITY OF AMES, IOWA SUSTAINABILITY SOLUTIONS GROUP
By: By
John A. Haila, Mayor
Attest by:
Diane R. Voss, City Clerk Printed Name and Title
Yuill Herbert, Principal
1
CLIMATE ACTION GOAL SETTING AND PLAN
APPENDIX A
SCOPE OF SERVICES
SECTION I: OBJECTIVE
The Sustainability Solutions Group (SSG) shall facilitate the development of community greenhouse gas
(GHG) reduction goals and a Climate Action Plan (CAP) to achieve them. SSG will develop
recommendations for relevant, achievable, and cost-effective emission goals, milestones, and an
execution timeline. This will be based on input gathered through the completion of a robust, multi-
faceted, and inclusive community-input process that encourages feedback from all community sectors.
The resulting plan will engage and empower residents, businesses, and institutions toward ownership and
responsibility in ensuring a resilient and sustainable future.
SECTION II: SCOPE OF SERVICES
Task 1: Kick-Off and Progress Meetings
1.1 Kick-Off Meeting: SSG will prepare an agenda and then meet with the City’s CAP Project Team to
review project details, invoice schedules, contacts, communications protocol, and any other details
as required.
- Result: Familiarity between SSG and project staff. Administrative details resolved.
1.2 Progress Meetings: SSG will lead regular progress meetings with the CAP Project Team to update
the City on the progress of the project and handle any concerns as they arise. SSG recommends bi-
weekly meetings, but the frequency of meetings can be adjusted per the needs of the City.
- Result: Regular communication between SSG and project staff to ensure coordination and to
address any challenges.
Task 2: Determine Community GHG Emission Reduction Goals
2.1 Situational Analysis: SSG will review the City’s prior work on climate change (e.g. Community
Greenhouse Gas Inventory, Climate Vulnerability Assessment, Citywide Solar PV Energy Potentials
Study, Waste-to-Energy Option Study), the City of Ames 2040 Comprehensive Plan, information on
municipal governance structures, the local climate, economy, and other relevant information. This is
a first step toward grounding the analysis and scenarios in the local context and vision of Ames. The
situational analysis will be summarized and included in the final CAP.
- Result: Situational Analysis Summary and grounding in the local context.
2
2.2 Data Request for Scenario Modeling: Building on other data provided including the City’s GHG
inventory, a detailed data request will be submitted to the City, including the sectors of buildings,
industry, transportation, agriculture, water, and wastewater and waste. SSG will support the City in
the process of data collection, filling in gaps with data available from the state or federal
government as required. The analysis is aligned with the Global Protocol for Community-Scale GHG
Inventories, as required for the Global Covenant of Mayors.
- Result: Data gathered for scenario modeling.
2.3 Data, Methods, and Assumptions (DMA) Manual: While the data collection process is underway,
the team will prepare a DMA that describes in detail the modeling approach used, data collected,
and assumptions used. The DMA will be included as an appendix of the final report to ensure that
the data, methods, and assumptions are transparent and can be referenced by the City and
community.
- Result: DMA Manual.
2.4 Model Calibration: A core modeling task, calibration ensures that the model reflects the energy
system of Ames. This includes determining the geographic zones, preparing datasets, loading data
into the modeling platform, and ensuring the modeling outputs align with observed data. We will
populate the model with data for the chosen baseline year, while calibrating it against historical
data, where available, to ensure internal consistency between the baseline year and future
projections. The calibration differs from a GHG inventory in that it identifies the activities producing
GHG emissions (e.g. vehicular trips, number of buildings, building energy performance, heating and
cooling, etc). Sectors influencing GHG emissions are also included, such as:
● Transportation;
● Residential and non-residential buildings;
● Energy, including the electricity grid, natural gas distribution, and district energy;
● Industry;
● Land use;
● Water and wastewater;
● Waste management; and
● Forests and agriculture.
- Result: The model is calibrated and ready to model future scenarios.
2.5 Business-as-Usual (BAU) Scenario: A BAU scenario will be modeled for Ames that reflects the GHG
emissions impacts of current population projections (permanent and visitor increases/decreases);
land-use plans and policies (densification); transportation plans and technologies (EV uptake); and
state and federal policies related to electricity generation (emissions factor of electricity), waste
management, building codes, fuel efficiency standards, future climatic changes (temperature and
precipitation changes), and others. The BAU will represent a projection of current practice and
plans. The scenario will extend out until 2050 and will include spatial resolution.
- Result: BAU Scenario.
3
2.6 Target Analysis: SSG will propose GHG emissions reduction targets for the City. The targets will draw
on insights from focus groups and the committees, the science-based guidance from the Global
Covenant of Mayors, targets from other cities and other levels of government, and the analysis of
the BAU scenario. The targets will be compared to the BAU and the lists of actions and policies to
help understand what measures need to be taken to reach these targets.
- Result: Options for GHG Emissions Reduction Targets identified.
2.7 Target setting: The Targets analysis will be presented to the committees and based on this
discussion; the team will recommend specific emissions reduction targets to the Steering Committee
for final consideration.
- Result: Recommended GHG target
Task 3: Develop Climate Action Plan
3.1 List of Low-Carbon Actions and Policies: SSG will compile a list of emissions reductions policy and
action options for Ames. The list will be derived from existing City plans and policies, as well as best
practice research and our experience working with municipalities across North America. We
maintain a roster of over 250 emissions reduction policies and actions across all city sectors from
which to draw inspiration. The list of actions will be developed in close consultation with the
Steering Committee, as well as based on input from the CAP Project Team, the Technical Advisory
Committee, and the Community Input Committee. Actions will be expressed as quantifiable
assumptions for input into the model.
- Result: List of relevant actions and policies for prioritization.
3.2 Low-Carbon Scenario: The actions will be modeled individually and as an integrated scenario, which
captures feedback between the actions. For example, the introduction of building retrofits
decreases the feasibility of district energy systems. Increased walking and cycling results in less
driving and therefore less GHG reductions, alongside the enhanced introduction of electric vehicles.
At the same time, the analysis will account for underlying drivers of emissions, such as household
income and energy prices.
The Low-Carbon Scenario will describe a detailed, feasible, sector-by-sector action plan to achieve
the City’s GHG emissions reduction goals. The analysis will identify emissions reduction potentials
for each energy source across the municipality by sector, including, at minimum:
● Energy (residential, commercial, industrial),
● Transportation (ground, airport),
● Solid waste, and
● Water (water and wastewater).
The analysis will also consider how emissions from these sectors interact with one another. The
scenario will also include recommended community wide GHG emissions reduction targets at
4
designated milestones (e.g. every 5 years), and describe what actions and objectives must be
achieved by those dates.
- Result: Low-Carbon Scenario.
3.3 Multi-Criteria Analysis: SSG will analyze each of the actions to evaluate their impact on energy
consumption, GHG emissions by sector, climate change impacts, co-benefits, and finances, as
represented by various indicators, including abatement cost, internal rate of return, return on
investment, and net present value. The modeling results will be inputs to the multi-criteria analysis
(MCA), which weights each criteria and rates the actions to identify a final score. Both quantitative
and qualitative analysis can be incorporated into the MCA and the result is a prioritized list of
actions that can help the City guide implementation. The tool that SSG uses is fully transparent and
the City will be able to adjust the weighting or scoring to better understand how this influences the
results.
- Result: Prioritized list of actions.
3.4 Template for Annual Reporting: SSG will develop a reporting and monitoring template for the
actions and targets in the CAP to enable the City to track progress. The framework will outline an
evaluation and monitoring protocol, including a standard set of metrics and indicators, data sources,
methods of reporting, and frequency of reporting.
- Result: Template for annual reporting on CAP.
3.5 Draft CAP: The draft CAP will be a coherent, compelling, accessible and easily digestible document,
which will include a narrative, goals, synopsis of the actions, an implementation strategy and a
presentation of the co-benefits. The Steering Committee, Technical Advisory Committee, and
Community Input Committee will be provided a draft in order to provide feedback. The document
will be distributed for public input.
- Result: Draft CAP, along with community and stakeholder input for final CAP.
3.6 Final CAP: Revisions will be made to the CAP and a final version will be submitted to the City.
-
- Result: Final CAP
3.7 Educational and Marketing Strategies, Process and Product Templates: SSG will produce accessible
and compelling educational materials, as well as marketing strategy and materials, to enable the
City to inform the public about the CAP and engage them in implementation. Materials may include,
but are not limited to, visualizations of the findings, blogs, a press release kit, or an interactive
online platform that showcases the plan.
- Result: Communications materials to enable the City to inform the public about the CAP and
engage them in implementation.
5
Task 4. Outreach and Engagement
4.1 Pre-Engagement Preparation: Early in the project, the team will prepare for community
engagement activities. The team will interview representatives from key groups (e.g.
community/neighborhoods, stakeholders/technical advisors, the CAP Project Team, and the
Community Input Committee) to identify who should be engaged and how to reach them, carry out
strategic stakeholder mapping, and conduct a preliminary impact analysis. The team will also review
relevant materials and existing engagement efforts.
- Result: Information gathered for design of engagement strategy.
4.2 Community Engagement Strategy: Building on Task 4.1, the team will prepare the draft Community
Engagement Strategy that maps stakeholders and their interests, engagement activities, tools that
will be used, schedule, and outcomes. The engagement strategy will be guided by the International
Association for Public Participation (IAP2) spectrum of engagement, with each activity being
mapped to the spectrum. It will include methods for soliciting input from diverse groups across the
community, including industry, non-profits, faith-based organizations, schools, other levels of
government, Iowa State University, and more. The draft strategy will be provided to the CAP Project
team for review and the consulting team will adjust as required.
- Result: Draft Community Engagement Strategy.
4.3 Steering Committee Meeting 1- Engagement Strategy Review: The team will present the
Community Engagement Strategy to the Steering Committee, which will consist of Mayor and
Council, for ideas and feedback.
- Result: Understanding of the engagement process and refinement of the engagement strategy.
4.4 Interactive website: The consulting team will develop an interactive website that describes the
project objectives; includes insights and observations developed as the project progresses;
incorporates engagement and consultation tools, such as surveys or crowd-sourcing tools; and is a
visually compelling central hub for the project.
- Result: Central hub for the project.
4.5 Outreach Communication: The team will work with CAP Project Team to design and distribute
information about the CAP and how the community can get involved. Appropriate materials will be
designed based on the findings of the pre-engagement phase and the Community Engagement
Strategy. Information may be distributed through a variety of media, such as a project website,
social media, videos, podcasts, radio, and newspapers. Materials and events for soliciting
community feedback will also be designed at this stage (e.g. surveys, materials for engagement
events).
- Result: Outreach communication materials.
6
4.6 Steering Committee Meeting 2 - The Process: The team will present the project approach and
method to the Steering Committee, and identify criteria for GHG emissions reduction goal setting
and for prioritizing low-carbon actions and policies for the CAP.
- Result: Common understanding of the role of project approach. Draft criteria for GHG emissions
reduction goal setting and prioritizing actions.
4.7 Community Input Group 1 - The Process: The team will share the project approach and method
with the Community Input Committee and review the criteria for GHG emissions reduction goal
setting and for prioritizing low-carbon actions and policies for the CAP.
- Result: Common understanding of the role of project approach. Revised criteria for GHG
emissions reduction goal setting and prioritizing actions.
4.8 Focus Groups: The team will coordinate with the City CAP Project Team to set up thematic focus
groups with relevant City staff or stakeholders. The focus groups will identify trends that will inform
the BAU scenario and possible low-carbon actions. Examples of focus group themes could include
transportation, commercial sector, city planning, waste management and others.
- Result: Scenarios reflect the opportunities and constraints identified by local stakeholders.
4.9 Steering Committee 3- BAU Results: The team will present the BAU results to the Steering
Committee, using the results to highlight low-carbon actions and policies and stimulate a discussion
on the results.
- Result: The Committee will gain an understanding of Ames’ current and future emissions profile
and provide input into low-carbon actions and policies.
4.10 Community Input Group 2 - BAU Results: The team will present the BAU results to the Community
Input Committee. The workshop will focus on exploring key opportunities and challenges for the
development of low-carbon actions and policies.
- Result: The Committee will gain an understanding of Ames’ current and future emissions profile
and contribute to identifying low-carbon actions and policies.
4.11 Crowdsourcing: The team will launch a web-based survey on the interactive website that enables
community members to contribute ideas for climate actions and select their preferred options on a
platform called All Our Ideas.
4.12 Steering Committee Meeting 4- Actions: The team will share the target options and list of low-
carbon actions and policies with the Steering Committee.
- Result: Guidance on the selection of GHG targets and low-carbon actions and policies.
7
4.13 Community Input Group 3- Actions: The team will share the target options and list of low-carbon
actions and policies with the Community Input Committee in a workshop. The team will gather
input via discussion and a real-time survey.
- Result: Understanding of the rationale for and the GHG targets and insights on low-carbon
actions and policies.
4.14 Virtual Town Hall 1- Setting the Stage: The team will work with the City CAP Project Team to
deliver a virtual town hall on the results of the BAU and Low-Carbon Scenarios. The town hall will
describe an evidence-based pathway for the City to reduce its GHG emissions, and the associated
co-benefits. SSG’s expert online engagement specialist will facilitate the Town Hall.
- Result: Community members are provided with a compelling pathway to achieve deep
emissions reductions which reflects local conditions and trends.
4.15 Steering Committee Meeting 5- Implementation: The team will present the GHG and financial
impacts of the actions and facilitate a discussion on implementation approaches.
- Result: Feedback on Low-Carbon Scenario and implementation options.
4.16 Community Input 4- Implementation: This workshop will review the Low-Carbon Scenario with the
Community Input Committee. The committee will have an opportunity to dive into the financial,
GHG, and resilience impacts of the actions, and provide input on how the actions and policies can
be implemented.
- Result: Feedback on Low-Carbon Scenario and implementation approaches.
4.17 Virtual Town Hall 2- Planning the Transition: The second town hall will focus on identifying
strategies and actions for implementation. The team will present the Low-Carbon Scenario and
describe a menu of implementation strategies. Virtual breakout groups will work through a web-
based implementation workbook. SSG’s expert online engagement specialist will facilitate the
Town Hall.
- Result: The community contributes to the identification of implementation strategies.
4.18 Kitchen Table Workbooks - Draft CAP: The team will prepare guided workbooks that households
can work through around the kitchen table to review the draft CAP and explore how they can
contribute to the CAP in their household and place of work and identify how the City and other
stakeholders can help them.
- Result: The guidebook will be submitted to the CAP Project Team for input as part of the draft
CAP.
4.19 Steering Committee Meeting 6- Draft CAP: The draft CAP will be presented to the Steering
Committee for consideration and review. Comments and suggestions will be incorporated in the
final CAP.
8
- Result: Input to the draft CAP.
4.20 Council Meeting: The final CAP will be presented at a Council meeting.
Task 5: Presentation of Climate Action Plan
5.1 CAP Presentations: The team will present the final CAP to the Steering Committee and, once it is
approved, to the community through a public forum. Both digital and hard copies will be provided
for distribution in channels such as Ames Public Library and City Hall
- Result: CAP presented to the Steering Committee and public.
SECTION III – COST OF SERVICES
Fee for delivering the above scope of services is $129,500 USD. Reimbursables are included.
SSG shall maintain complete and accurate records with respect to services performed under this
Agreement.
SECTION IV - SCHEDULE
Anticipated schedule is identified on the following page.
SSG team members will participate virtually in any in-person meetings led by Confluence to contribute
subject matter expertise. These meetings will be identified in the Community Engagement Strategy,
recognizing that as the project evolves, the Strategy (and therefore meetings may also evolve.
SSG team members will be available to support the City or to lead presentations to engage community
organizations or other stakeholders (i.e. Chamber of Commerce or Rotary).
1
ITEM #_ _39___
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: MENTAL HEALTH WELLNESS, RECOVERY, AND RESILIENCY
INITIATIVE
BACKGROUND:
As the City progresses through the COVID-19 pandemic it is important to acknowledge and
understand the toll that it has taken on the mental health wellness of our residents.
Recognizing this important issue, Mayor Haila has suggested to the staff that this would be
an opportune time for the City to help in raising awareness of this very important topic
since May is National Mental Health Awareness Month.
In response to the Mayor’s request, a small group of City staff has had preliminary
discussions about developing a mental health wellness, recovery, and resiliency initiative.
Since the purpose of National Mental Health Awareness Month is to raise awareness of
trauma and the impact it can have on the physical, emotional, and mental well-being of
children, families, and communities; staff envisions providing opportunities involving
education, training, and resource information to the general public.
The initiative would span over the next several months with the first event occurring
in mid-May and the final event in September coinciding with the annual Mental
Health Expo and National Suicide Prevention Awareness Month. The initiative would
include partnerships with Iowa State University, Ames and Gilbert Community
School Districts, and local mental health and disability agencies.
The City Council is being asked to appropriate up to $5,000 from Council Contingency to
help cover the costs associated with education and training offerings (workbooks, trainer
fees, printing, advertising, supplies etc).
The initiative will include four parts: 1) Introduction to the issue through a Public
Forum/Round Table discussion by subject experts, 2) Mental Health First Aide training
which provides skills to identify mental health signs and symptoms as well as tools to
support individuals experiencing these problems, and 3) Suicide Prevention training, and 4)
Resource and Information distribution which will be offered throughout the first three of the
parts of the initiative.
ALTERNATIVES:
1. a. Direct staff to develop an initiative supporting Mental Health Wellness, Recovery,
and Resiliency offering education, training, and resource opportunities to the public.
2
b. Approve up to $5,000 in Council Contingency funds to help cover the costs
associated with this initiative. However, this amount might have to be increased
should there be more public interest than we are currently expecting.
2. Direct staff to develop an initiative supporting Mental Health Wellness, Recovery,
and Resiliency with modifications.
3. Do not pursue this initiative at this time.
CITY MANAGER'S RECOMMENDED ACTION:
Research has shown that the mental health impact of disasters typically outlasts the
physical impact, suggesting that today’s mental health needs will continue well beyond the
COVID-19 outbreak itself. In an effort to acknowledge and address the mental health
needs in the community, the Mental Health Wellness, Recovery, and Resiliency Initiative
suggested by the Mayor will serve as a conduit with connecting people to education,
training, and resource information.
Therefore, it is the recommendation of the City Manager that the City Council approve
Alternative No. 1, thereby directing City staff to develop a Mental Health Wellness,
Recovery, and Resiliency Initiative for the public and appropriating up to $5,000 in Council
Contingency funds.
1
ITEM #_ _40___
DATE:04-27-21
COUNCIL ACTION FORM
SUBJECT: AWARD OF CONTRACT FOR WASTE-TO-ENERGY OPTIONS STUDY
BACKGROUND:
Most of the municipal solid waste in Story County is transported to the City’s Resource
Recovery Plant (RRP), which has been in operation since 1975. Recyclable materials are
removed from the waste through processing, and lighter, combustible materials are
shredded into refuse-derived fuel (RDF), which is transferred to the Power Plant and used
as a supplemental boiler fuel in conjunction with natural gas.
The current co-firing process has operational limitations. Since the RDF cannot be
effectively stored long-term, one of the Power Plant’s units must be in near constant
operation to dispose of the RDF as it is produced. This limits the electric utility’s ability to
take full advantage of market energy at times when rates are low. There are also corrosion
and maintenance issues with the storage and combustion of the RDF.
Because of these limitations, and consistent with a desire to continually improve the
services provided to the community, on December 8, 2020, the City Council
approved a scope of services for a Waste-to-Energy Options Study. Through this
study, a consultant would be retained to evaluate all possible, credible options for
disposing municipal solid waste in a waste-to-energy system and satisfy the county’s solid
waste disposal needs for 2023 and beyond. These options would serve as a reliable
solution for waste disposal and allow the City of Ames to perform as a leader/innovator in
the Waste to Energy Industry, focusing on providing community wide sustainability with
minimum impact to the environment.
The study involves developing projections regarding the quantity and characteristics of
municipal solid waste for the County into the future, and evaluating five staff-identified
options for waste-to-energy systems to dispose of that waste into the future. For each
option, the consultant is asked to evaluate capital costs, operational and maintenance
costs, environmental impacts and permitting, externalities (such as truck traffic, odor, and
noise), and the timeline to design and construct. The ability to provide redundant systems
and re-use existing components is also to be evaluated. Additionally, the consultant is
asked to identify the impacts of each option on the existing diversion programs (glass and
food waste).
The five options to be evaluated are: (See pages 1&2 of attached Scope of Service)
1. Resource Recovery and Power Plant As-Is
2a. Dedicated RDF Unit inside the Power Plant
2b. Dedicated RDF Unit inside the Power Plant with 20” RDF Sizing
2
3a. Dedicated RDF Unit on a Greenfield Site
3b. Dedicated Municipal Solid Waste Unit on a Greenfield Site
Funds totaling $250,000 are available for this study, with $200,000 in funding from the
Electric Department Capital Improvement Project budget and $50,000 from the Resource
Recovery operating budget.
A Request for Proposals (RFP) was issued on January 4, 2021, to 32 firms and three bid
services. Responses were received from eight firms. An evaluation team composed of
representatives from Electric Services, Public Works, and the City Manager’s Office
reviewed the proposals based on the following criteria:
1. Assigned staff’s knowledge and experience – especially pertaining to environmental
regulations, electrical power, material recovery and diversion, and engineering and
costing of waste-to-energy facilities
2. Consultant’s experience and capability to perform the study
3. Comprehension of the RFP and the completeness of the submission
4. Availability of staff and other resources to meet the schedule propose by the
consultant
5. Cost
The initial scoring of the proposals resulted in the following rankings:
The maximum possible score, combining all 6 evaluators was 3000. The knowledge and
experience related scores represented 80% of the overall score, and proposed fees
accounted for 20%. The evaluation team invited the top three firms for interviews. The
evaluation team determined that the fourth-ranked firm did not have the necessary
municipal solid waste experience needed to perform the services; therefore, the evaluation
team invited SCS Engineers, which was the fifth-highest overall firm, but which ranked
fourth based on the merits of its proposal (excluding cost).
The firms were asked to provide a brief presentation introducing their team members, their
roles and demonstrate their understanding of the scope of services. Team members were
Firm Rank
Gershman, Brickner, and Bratton, Inc., McLean, VA 2350 1 $220,000
HDR Engineering, Inc., Ames, IA 2307 2 $199,885
RRT Design & Construction, Melville, NY 2172 3 $239,500
Black & Veatch Corporation, Overland Park, KS 2080 4 $138,200
SCS Engineers, Clive, IA 2010 5 $250,000
ESI Inc. of Tennessee, Kennesaw, GA 1780 6 $208,502
EXP U.S. Services, Inc, Chicago, IL 1720 7 $123,770
Tetra Tech, Inc., Pittsburgh, PA 1716 8 $218,699
3
also offered tours of the Resource Recovery Plant and Power Plant prior to their interviews.
Interviews were evaluated by 11 evaluators based on:
1. Knowledge and relevant experience of staff assigned to perform the study
2. Study process and methodology
3. Commitment and enthusiasm for the project
4. Comprehension of the scope of work
5. Quality and thoroughness of the presentation
As with the proposal scoring, each criterion was weighted and given a score. The
combined scores of the written proposals, interviews and references resulted in the
following ranking:
Firm Total Score Rank
RRT emerged as the top candidate through the evaluation process. City staff was
impressed with the individual staff expertise in both key aspects of waste-to-energy:
waste handling/processing and combustion/power generation. RRT staff identified a
number of similar projects to the City’s, both in the nature of the project and the
scale. Of particular interest to City staff is the expertise RRT brings with analyzing
waste-to-energy systems of various sizes, which increases to potential for financially
feasible operations to be pursued.
City staff conducted reference checks of RRT’s work in other utilities and positive feedback
was received, both for the firm in general and the key staff that would be assigned to this
project.
RRT’s approach to the scope of services will involve preparation of technical memoranda
for each of the five options the City has identified to explore. RRT has indicated that its
cost proposal includes the ability to analyze an additional option if one emerges during the
early stages of the study, and if the City agrees it is worthy to pursue. As part of its capital
and operating and maintenance expense projections, RRT will provide a financial model
with various inputs that can be adjusted to develop financial projections under a variety of
conditions.
The contract will conclude with a presentation of the final report to City staff and then a
public presentation to the City Council. It is anticipated that this work will be completed in
November 2021. The technical memoranda will be produced in late summer for City staff to
review prior to incorporation into the final report. The timing of the technical memoranda
and the final report should provide City staff enough time to determine any subsequent
steps that need to be incorporated into the draft FY 2022/23 City budget or future Capital
Improvement Plan.
4
RRT staff is also aware that the City is developing a Climate Action Plan, and that the
decisions made with regard to the City’s waste-to-energy future may have a significant
impact on greenhouse gas emissions into the future. City staff will ensure that the Climate
Action Plan consultant and RRT are apprised of any impacts one study may have on the
analysis and/or potential options available in the other.
ALTERNATIVES:
1. Approve the award of contract with Enviro-Services & Constructors, Inc. dba RRT
Design & Construction, for a Waste to Energy Options Study in the amount not to
exceed of $239,500.
2. Direct staff to negotiate a contract for a Waste to Energy Options Study with one of
the other firms that submitted a proposal to the City.
3. Do not award contract for the Waste to Energy Options Study.
CITY MANAGER'S RECOMMENDED ACTION:
The four final consulting firms had varied levels of experience and provided different
strategies for creating a Waste to Energy Options Study consistent with the RFP. City staff
conducted in-depth assessment of each firm’s qualifications and abilities to meet the City’s
needs, including evaluating the scope of services and experience of each consultant team,
meeting the consultant's staff, listening to the presentations, and checking references.
Following this evaluation, the team of City staff assigned to the evaluation of this RFP
unanimously agree that Enviro-Services & Constructors, Inc. dba RRT Design &
Construction, is the best choice to provide these services.
Therefore, it is the recommendation of the City Manager that the City Council approve
Alternative No. 1, as described above.
1
ITEM: ____41____
DATE 04/27/21
COUNCIL ACTION FORM
SUBJECT: JOINT USE PARKING PLAN FOR 119 WASHINGTON AVENUE & 414
LINCOLN WAY
BACKGROUND:
Continue Care Real Estate Holdings LLC is the owner of properties located at 119
Washington Avenue and 414 Lincoln Way. The property owner/applicant is requesting
approval of a Joint Use Parking Plan to allow the joint use of parking spaces at 414 Lincoln
Way (Grandon Funeral and Cremation Care) with a proposed banquet hall at 119
Washington Avenue (former location of Ron’s Auto Repair Center). The two properties
are located across an alley from each other. (Location Map-Attachment A)
The proposed Site Development Plan for the banquet hall includes twenty (20)
parking spaces on the site. A minimum of forty (40) spaces are required by the
Zoning Ordinance for the proposed use. The purpose of the banquet hall is to serve
as a place where family and friends can gather following funeral services at the funeral
home. The seating capacity is 99 people, in addition to staff and catering. The funeral
home is located to the north across the alley, has thirty-nine (39) parking spaces. The
funeral home required 33 spaces for parking at the time of its approval. Based upon the
applicant’s propose description of the banquet hall function as an ancillary activity to the
funeral home, the demand for parking should not conflict with the proposed banquet hall
use. The applicant desires to utilize the available parking spaces at the funeral home to
make up for the deficit in the number of parking spaces required for the banquet hall.
When a site cannot meet the parking required by the Zoning Ordinance, the option for
joint use parking is permitted with City Council approval if it can be shown that peak
demand of the two facilities would allow for both uses to be accommodated during their
times of peak parking demand. In this case, the funeral home and banquet hall are owned
by the same business which will enable the property owner to coordinate the timing and
use of the two facilities.
The applicant has provided the required information, including a signed “Joint Use
Easement Agreement” for the properties at 119 Washington Avenue and 414 Lincoln Way
owned by Continue Care Real Estate Holdings, LLC. to accommodate the proposed
banquet hall with parking spaces to meet the minimum requirements in the Zoning
Ordinance. Exhibit A of the Agreement specifies designated times for use of the funeral
home parking spaces on Parcel 1 by the banquet hall (Parcel 2). The banquet hall may
use the parking spaces at the funeral home for three (3) hours per day not more than
twelve (12) days each month. The parking spaces on the banquet hall site can be used
at all other times of day.
When acting upon an application for approval of a Joint Use Parking Plan, the City Council
2
may approve the Plan if it finds that the criteria described in Section 29.406(17)(b) of the
Zoning Ordinance are met by the application. Those criteria, along with staff comments,
are included in the attached Addendum section of this report.
ALTERNATIVES:
1. Approve the Joint Use Parking Plan for 119 Washington Avenue and 414 Lincoln
Way, as described in the attached “Joint Use Easement Agreement.” Approval of
the Agreement would allow for staff approval of the Minor Site Development Plan
for the banquet hall.
2. Approve the Joint Use Parking Plan for 119 Washington Avenue and 414 Lincoln
Way with modifications required to the “Joint Use Easement Agreement.”
3. Deny the Joint Use Parking Plan for 119 Washington Avenue and 414 Lincoln Way.
4. Refer this request to staff for further information.
CITY MANAGER’S RECOMMENDED ACTION:
The parking projection for this joint use is realistic in this case and staff believes that the
parking demand of the proposed banquet hall can easily be accommodated on the funeral
home site since those attending a funeral service are likely to be the same people that
will be using the banquet hall following conclusion of the funeral service. Although there
is not a direct sidewalk connection between the two sites, the short crossing of the alley
is a reasonable distance between the two establishments and is within the general rule
of 300 feet applied to remotely located parking spaces. Staff has ensured that the banquet
hall site improvements comply with ADA accessible parking spaces in both locations, only
standard spaces are intended for use as joint parking.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative #1, thereby approving the Joint Use Parking Plan for 119 Washington
Avenue and 414 Lincoln Way, as described in the attached “Joint Use Easement
Agreement.”
3
ADDENDUM
Approval of a Joint Use Parking Plan. When acting upon an application for approval
of a Joint Use Parking Plan, the City Council may approve the Plan if it finds that the
criteria described in Section 29.406(17)(b) of the Zoning Ordinance are met by the
application. These criteria, along with staff comments are as follows:
1. The analysis presents a realistic projection of parking demands likely to be
generated.
Staff Comments: Table 29.406(2) of the Zoning Ordinance requires a banquet hall
to provide fourteen (14) parking spaces for every 1,000 square feet of gross floor
area. Applying this parking standard to the banquet hall results in a minimum of
forty (40) parking spaces. The parking standard for the funeral home requires a
minimum of thirty-three (33) parking spaces. There are thirty-nine (39) existing
spaces on the site.
Given that the banquet hall will be occupied by those persons who attended the
funeral there should not be a problem with parking for the banquet hall since the
cars will already be parked in the funeral home lot.
2. Peak demand is sufficiently distinct so that the City Council is able to clearly
identify a number of spaces for which there will rarely be overlap of parking
demand.
Staff Comments: The peak parking demand for the banquet hall will follow the peak
demand for the funeral home. Assuming that the number of parking spaces in the
funeral home parking lot is sufficient for the number of people attending the funeral
service, any overlap of parking needed for the banquet hall is already
accommodated by the funeral home parking lot.
3. Rights to the use of spaces are clearly identified so as to facilitate
enforcement.
Staff Comments: The Joint Use Easement Agreement states: “Owner does hereby
reserve for Owner of Parcel 2 and for its successors and assigns, guests and
invitees, the right within, over, upon, across, and under the Joint Use Area to park
vehicles within not fewer than 20 marked parking spaces, together with a right of
ingress to and egress from the adjacent public rights-of-way. The Owner of neither
Parcel shall obstruct or impair the use by the Owner of the other Parcel of the Joint
Use Area or the driveway access to the marked parking spaces. Owner expressly
reserves for Owner the right appurtenant to Parcel 1 the sole right and authority to
designate the location of the 20 marked parking spaces to be utilized for Parcel 2.
The time periods under which each Parcel will have rights to count spaces for
purposed of the space requirements of the Municipal Code are set forth in Exhibit
A. At the sole cost of Owner of Parcel 2, Owner of Parcel 1 shall erect signage
designating spaces for use by Parcel 2 and giving notice of times when such spaces
4
are reserved.”
The joint use parking plan does allow for the city to require in the future the
reevaluation of the parking if there becomes an issue with the required number of
parking spaces needed on the property to facilitate all the proposed uses.
5
Attachment A
Location Map
6
Attachment B
Joint Use Parking Layout
Pasley & Singer Law Firm, LLP
Ames, Iowa
FJF | 10888.04 | 20210421170421
Joint Use Easement Agreement
Know All Persons: This is an Agreement by and between adjacent landowners and the City
of Ames, Iowa, upon the following terms and conditions:
1 Definitions. When used in this instrument, unless otherwise required by the context:
1.1 “Owner” means Continue Care Real Estate Holdings, LLC, an Iowa limited liability com-
pany, with principal offices in Ames, Iowa.
1.2 “Parcel 1” means the tract located at 414 Lincoln Way (currently county Parcel No. 09-11-
101-030) legally described as:
Lots 3 and 4 in Block 4 of Black’s Addition to Ames, Iowa.
1.3 “Parcel 2” means the tract located at 119 Washington Ave (currently county Parcel No. 09-
11-101-075) legally described as:
Parcel E, in a part of Lots 8 and 9, Block 4, Black’s Second Addition, in the City of Ames, as
shown on the Plat of Survey recorded in the office of the Recorder of Story County, Iowa,
on March 31, 2021, and recorded as Instrument No. 2021-03905.
1.4 “Joint Use Area” means the West 75 feet and the South 20 feet of the East 45 feet of Parcel 1.
1.5 “City” means City of Ames, Iowa, an Iowa municipal corporation.
2 Circumstances & Purpose. Parcel 1 is adjacent (across a public alley) to Parcel 2. Owner has ac-
quired both Parcel 1 and Parcel 2. Owner uses Parcel 1 for a funeral home. Owner plans use of
Parcel 2 for a banquet hall. In order to satisfy certain zoning requirements of City for Parcel 2,
Owner desires to provide for parking in the Joint Use Area as provided in section 29.406(17) of
the Ames Municipal Code.
3 Joint Use Area Reserved on Parcel 1. For valuable consideration, including the mutual promises
contained herein, Owner does hereby reserve for Owner and for its successors and assigns, for
the uses and upon the conditions hereinafter recited, the perpetual right to enter upon the Joint
Use Area. The easement rights granted or reserved under this instrument shall be appurtenant to
Parcel 2.
4 Easement Uses. Owner does hereby reserve for Owner of Parcel 2 and for its successors and as-
signs, guests and invitees, the right within, over, upon, across, and under the Joint Use Area to
park vehicles within not fewer than the required number of marked parking spaces, together with
a right of ingress to and egress from the adjacent public rights-of-way. The Owner of neither
Parcel shall obstruct or impair the use by the Owner of the other Parcel of the Joint Use Area or
the driveway access to the marked parking spaces. Owner expressly reserves for Owner the right
appurtenant to Parcel 1 the sole right and authority to designate the location of the required
number of marked parking spaces to be utilized for Parcel 2. The required number of marked
S P A C E A B O V E R E S E R V E D F O R O F F I C I A L U S E
Return document to:F.J. Feilmeyer, Attorney at law, P.O. Box 664, Ames, IA 50010 – 515-232-4732 – fjf@singerlaw.com
Document prepared by:F.J. Feilmeyer, Attorney at law, P.O. Box 664, Ames, IA 50010 – 515-232-4732 – fjf@singerlaw.com
Pasley & Singer Law Firm, LLP
Ames, Iowa
Joint Use Easement Agreement P a g e | 2
FJF | 10888.04 | 20210421170421
parking spaces and time periods under which each Parcel will have rights to count spaces for
purposes of the space requirements of the Municipal Code are set forth in Exhibit A. At the sole
cost of Owner of Parcel 2, Owner of Parcel 1 shall erect signage designating spaces for use by
Parcel 2 and giving notice of times when such spaces are reserved.
5 Maintenance. The cost of maintenance and repair of the Joint Use Area in a usable, neat, and
uniform manner shall be shared by the owners of the respective Parcels as follows: 73.61 percent
to Parcel 1 and 26.39 percent to Parcel 2.
6 City Approval. City approves the easements herein as satisfying City’s conditions for zoning
approvals. Owner agrees for Owner and for Owner’s successors and assigns that the easements
described herein shall not be released, terminated, or the uses materially diminished without the
consent of City. City agrees that consent to modification or termination shall not be unreasona-
bly withheld. City and Owner agree that after having given 30 days’ notice to the City that the
use upon Parcel 2 for which this record was established has terminated, Owner of Parcel 1 may
record an instrument documenting such termination of use and notice.
7 Interpretation. Words and phrases used in this instrument shall be construed as in the single or
plural number, and as masculine, feminine, or neuter gender, according to the context. This in-
strument shall be governed exclusively by and construed in accordance with the laws of the State
of Iowa. The paragraph headings in this instrument are for convenience only and in no way de-
fine or limit the scope or intent of any provisions of this instrument.
In Witness of this Instrument, Owner and City have executed this record as follows:
CONTINUE CARE REAL ESTATE
HOLDINGS, LLC, Owner
Dated April _____, 2021 By:
Timothy R. Grandon, Member
STATE OF IOWA, COUNTY OF STORY, SS.:
Timothy R. Grandon as member of Continue Care Real Estate Holdings, LLC, acknowl-
edged this record before me on April _____, 2021.
Place STAMP of Notarial Officer Below
NOTARY PUBLIC
Pasley & Singer Law Firm, LLP
Ames, Iowa
Joint Use Easement Agreement P a g e | 3
FJF | 10888.04 | 20210421170421
Approved by the City Council of the City of Ames, Iowa, at a meeting thereof on the _____
day of _______________, 2021.
Dated the _____ day of _______________, 2021.
CITY OF AMES, IOWA Attest:
By: By:
John A. Haila, Mayor Diane R. Voss, City Clerk
Space below reserved for City SEAL
STATE OF IOWA, COUNTY OF STORY, SS.:
John A. Haila and Diane R. Voss as mayor and city clerk of the City of Ames, Iowa,
acknowledged this record before me on the _____ day of _______________, 2021.
Place STAMP of Notarial Officer Below
NOTARY PUBLIC
Pasley & Singer Law Firm, LLP
Ames, Iowa
Joint Use Easement Agreement P a g e | 4
FJF | 10888.04 | 20210421170421
Exhibit A
Required number of marked parking spaces:
20.
Parcel 1 designated use times:
For 3 hours per day, not more than 12 days each month.
Parcel 2 designated use times:
All other times of day.
1
ITEM # ___42__
DATE 04-27-21
COUNCIL ACTION FORM
SUBJECT: SECURITY CAMERAS IN CAMPUSTOWN FOLLOW-UP
BACKGROUND:
In 2017, the City Council directed staff to proceed with a project to install security cameras
in Campustown and store the data on Iowa State University servers. On December 8,
2020, City staff presented a revised concept for Campustown Cameras to the City
Council, in which the data would be stored on the City’s server instead.
This revised concept was made possible because the Welch Avenue reconstruction
project included the installation of conduit, which would allow the connection of the
camera system to the City’s network rather than ISU’s. Connecting to the City’s network
would result in savings of approximately $2,880 per year in fees to ISU, and would provide
for more immediate access to camera footage in an emergency situation or to retrieve
footage for an investigation.
When this revised proposal was presented to City Council on December 8, 2020, the
Council directed City staff to present the new concept to ISU Student Government to
ensure its understanding and support. City Staff presented the new concept to Student
Government on February 17, 2021. Staff received a Resolution dated February 24,
2021, unanimously supporting the project in its new form. The Campustown Action
Association has already submitted its approval for the project in its new form.
Additionally, some City Council members raised questions regarding the Police
Department policy that would govern the administration of these cameras and associated
recordings. On March 24, City staff provided the City Council with a description of
the changes that would be made to the policy to address these questions. That
discussion is attached to this Council Action Form as Attachment 1. The revised
policy which incorporates these changes is Attachment 2
The policy requires City Council approval of the strategic areas (such as the Welch
Avenue corridor) where cameras may be implemented. The policy also outlines the
purposes of a camera system installation and the uses of the system that are prohibited.
Additionally, the policy describes the conditions when camera footage may be accessed
and who is permitted to access it.
2
ALTERNATIVES:
1. Direct staff to:
A. Proceed with the installation of the Campustown security camera system and
house the recordings on the City’s network.
B. Approve the attached policy regarding the administration of the camera system
and recordings.
2. Direct staff to proceed with the installation of the Campustown security camera
system, but provide further direction regarding the recording storage system
location or the policy governing the use of the cameras.
3. Do not authorize staff to proceed with this project.
CITY MANAGER’S RECOMMENDED ACTION:
The installation of cameras in the Campustown area has been a discussion of the City
Council for the past nine years. Although the original intent was to house the recordings
on servers owned by the City and operated by Iowa State University, it is evident now
that this approach would increase ongoing operational costs and lead to delays in
investigating time-sensitive incidents.
Additionally, City staff has developed a revised policy outlining the manner in which the
cameras will be used and the circumstances in which camera recordings would be
accessed. This policy provides for City Council direction of the strategic areas where
camera installations may be used, in addition to outlining the acceptable purposes for the
use of cameras, the storage of recordings, and the circumstances in which the recordings
may be accessed.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1 as described above.
3
POLICY 336, PUBLIC SAFETY VIDEO SYSTEM
ISSUE 1: “Can we change “surveillance” throughout”?
Staff Response: Yes, we have changed the language throughout the policy to reflect “Public
Safety Video System”, and removed “surveillance from the policy.
ISSUE 2: “Also, I understand this approval to refer to broad locations like Campustown rather
than individual camera placement, is that right?”
Staff Response: Yes, the City Council will approve all proposed camera strategic areas along
with the funding for additional cameras. The Police Chief, after conferring with other staff
and/or outside groups, will decide the specific location within the approved area.
336.2 POLICY
The Ames Police Department operates a public safety video system to complement its anti-
crime strategy, to effectively allocate and deploy personnel, and to enhance public safety
and security in public areas. Cameras may be placed in City Council approved strategic
areas throughout the City to detect and deter crime, to help safeguard against potential
threats to the public, to help manage emergency response situations during natural and
man-made disasters and to assist City officials in providing services to the community.
Video capture in public areas will be conducted in a legal and ethical manner while
recognizing and protecting constitutional standards of privacy.
336.3.1 PLACEMENT AND MONITORING
Camera placement will be guided by the underlying purpose or strategy associated with
the overall video plan. As appropriate, the Chief of Police should confer with other affected
City divisions, legal counsel, and designated community groups and/or city commissions
when evaluating proposed camera placement. Environmental factors, including lighting,
location of buildings, presence of vegetation or other obstructions, should also be
evaluated when determining placement.
******************************************************************************
ISSUE 3 “I wonder whether ARPAC would be considered a “community group” or not. One option
is to write something like “commissions and/or community groups” if you would like ARPAC to
be considered as a group that could fulfill this role. (I would be OK either way).”
Staff Response: The term “City Commissions” has been added to the language to include the
possibility of feedback by the ARPAC.
ATTACHMENT 1
4
336.3.1 PLACEMENT AND MONITORING
Camera placement will be guided by the underlying purpose or strategy associated with
the overall video plan. As appropriate, the Chief of Police should confer with other affected
City divisions, legal counsel, and designated community groups and/or city commissions
when evaluating proposed camera placement. Environmental factors, including lighting,
location of buildings, presence of vegetation or other obstructions, should also be
evaluated when determining placement.
******************************************************************************
ISSUE 4: “Include language about the responsibilities of other agencies/entities utilizing the
video”.
Staff Response: This language has been included in 336.3.1 PLACEMENT AND MONITORING.
The Chief of Police may authorize video feeds from the public safety video system to be forwarded
to a specified location for monitoring by other than police personnel, such as allied government
agencies, road or traffic crews, or fire or emergency operations personnel. In such cases, the Chief
of Police shall take reasonable measures to require the receiving party to adhere to the policy of
this chapter, including appropriate training, in consultation with legal counsel.
******************************************************************************
ISSUE 5: “I would allow deployment of facial, gait, or similar recognition technology for the sole
purpose of identification/tracking of specific individuals who are named in a properly issued
warrant or federal anti-terrorism watch list. Otherwise, such technology cannot be used without
Council approval. Reaction? We should also discuss license plate / automobile tracking, though I
am somehow less concerned about that. All these technologies are ripe for use and I think we
should explicitly tackle the policy implications now”.
Staff Response: It is important to point out that the system is not capable of advanced types
of tracking, license plate reading, or facial recognition on its own. These systems are cost
prohibitive and would require City Council approval to purchase. For example, Gunshot
detection systems are hundreds of thousands of dollars. However, the wording in 336.3.3
INTEGRATION WITH OTHER TECHNOLOGY has been slightly changed to require Council
approval to integrate these systems.
The Department may elect to integrate its public safety video system with other
technology to enhance available information. Systems such as gunshot detection,
automatic license plate readers, and other video-based analytical systems may be
5
considered based upon availability and the nature of department strategy and only with
City Council approval.
******************************************************************************
ISSUE 6: “What is the schedule? How long before going into archive? How long before destroyed
altogether? I could not find this identified in the current policy manual. It would be helpful to
know the time frames we’re talking about even if they are subject to adjustment”.
Staff Response: Language has been added in 336.5 to reflect a maximum of 30 days for
retaining videos, except when they are preserved as part of an investigation. After the 30-day
retention period, the video will be deleted. There will be no long-term archive.
336.5 STORAGE AND RETENTION OF MEDIA
All downloaded media shall be stored in a secure area with access restricted to authorized
persons. A recording needed as evidence shall be copied to a suitable medium and booked
into evidence in accordance with established evidence procedures. All actions taken with
respect to retention of media shall be appropriately documented.
The type of video technology employed and the manner in which recordings are used and
stored will affect retention periods. The retention period for recordings will be no longer
than 30 days unless the video is part of an investigation.
******************************************************************************
ISSUE 7: “This gives the impression that all recorded video images are considered “department
public records” and easily accessible to the public. Surely that’s not right”?
Staff Response: In regards to releasing a video to the public during the 30 days of its existence,
this decision is governed by Iowa Code Chapter 22 (Open Records). If a request was made for a
video, we would complete the normal analysis in consultation with the City Attorney to
determine whether the Iowa Code allows for the recording to be kept confidential (not
released). In general, videos are considered open records unless there is an ongoing
investigation related to the video. However, there may be instances when we want to release
portions of a confidential video in an ongoing investigation to ask for public assistance in
identifying someone.
******************************************************************************
ISSUE 8: “I would ask for stronger protections than this: in addition, “Law enforcement requests
must include a warrant for release of archived video.” If the video is old enough to be archived,
then there should be plenty of time to seek a warrant for it. Reaction?
6
Staff Response: There will not be an archive of videos. If another law enforcement agency is
pursuing an investigation and requests video during the 30 days it exists, we would review the
video and release it. Our review would ensure we know exactly what is being released, verify
that it is for a legitimate law enforcement investigation, and ensure the requested recording is
relevant to the investigation.
******************************************************************************
ISSUE 9: “Concern about whether the policy would allow for true tech-enabled fishing
expeditions. Such as: “David seemed very shifty when we pulled him over. Even though we didn’t
find anything, let’s see if he’s in our video system over past week.” Though there can be a
legitimate reason for that kind of search… that’s fine, just talk to the judge and get a warrant.
The public video system is primarily for rewinding and playing back things around times of actual
complaints, not creating a sophisticated surveillance network that can made to show you
everything an individual does”.
Staff Response: Staff would not engage in a “fishing expedition” as described above. Videos
will not be reviewed without a legitimate investigatory reason to do so.
Regarding warrants and subpoenas, those are generally obtained to require a private person
to turn over information to the police. It is not possible to get a warrant or subpoena for
material already in our possession. If a video is in the possession of law enforcement and it
meets the requirements of the Public Safety Video System policy, staff would have the ability
to review it.
******************************************************************************
Policy
336
Ames Police Department
Policy Manual
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Public Safety Video System
336.1 PURPOSE AND SCOPE
This policy provides guidance for the placement and monitoring of department public safety video,
as well as the storage and release of the captured images.
This policy only applies to overt, marked public safety video systems operated by the Department.
It does not apply to mobile audio/video systems, covert audio/video systems or any other image-
capturing devices used by the Department.
336.2 POLICY
The Ames Police Department operates a public safety video system to complement its anti-crime
strategy, to effectively allocate and deploy personnel, and to enhance public safety and security
in public areas. Cameras may be placed in City Council approved strategic areas throughout the
City to detect and deter crime, to help safeguard against potential threats to the public, to help
manage emergency response situations during natural and man-made disasters and to assist City
officials in providing services to the community.
Video capture in public areas will be conducted in a legal and ethical manner while recognizing
and protecting constitutional standards of privacy.
336.3 OPERATIONAL GUIDELINES
Only department-approved video equipment shall be utilized. Members authorized to monitor
video surveillance equipment should only monitor public areas and public activities where no
reasonable expectation of privacy exists. The emphasis shall be on active investigations primarily
used for after-the-fact review. Monitoring may be used in certain investigations when an immediate
response is desired.
336.3.1 PLACEMENT AND MONITORING
Camera placement will be guided by the underlying purpose or strategy associated with the overall
video plan. As appropriate, the Chief of Police should confer with other affected City divisions, legal
counsel, and designated community groups and/or city commissions when evaluating proposed
camera placement. Environmental factors, including lighting, location of buildings, presence of
vegetation or other obstructions, should also be evaluated when determining placement.
Cameras shall only record video images and not sound. Recorded images may be used for a
variety of purposes, including criminal investigations and monitoring of activity around high-value
or high-threat areas. The public safety video system may be useful for the following purposes:
(a)To prevent, deter and identify criminal activity.
(b)To target identified areas of gang and narcotics complaints or activity.
(c)To respond to critical incidents.
(d)To assist in identifying, apprehending and prosecuting offenders.
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(e)To document officer and offender conduct during interactions to safeguard the rights
of the public and officers.
(f)To augment resources in a cost-effective manner.
(g)To monitor pedestrian and vehicle traffic activity.
Images from each camera should be recorded in a manner consistent with the underlying purpose
of the particular camera.
The Chief of Police may authorize video feeds from the public safety video system to be forwarded
to a specified location for monitoring by other than police personnel, such as allied government
agencies, road or traffic crews, or fire or emergency operations personnel. In such cases, the Chief
of Police shall take reasonable measures to require the receiving party to adhere to the policy of
this chapter, including appropriate training, in consultation with legal counsel.
Unauthorized recording, viewing, reproduction, dissemination or retention of anything documented
by public safety surveillance equipment is prohibited.
336.3.2 CAMERA MARKINGS
All public areas monitored by permanently installed public safety equipment shall be marked in
a conspicuous manner with appropriate signs to inform the public that the area is under police
surveillance. Signs should placed appropriately and without obstruction to ensure visibility.
336.3.3 INTEGRATION WITH OTHER TECHNOLOGY
The Department may elect to integrate its public safety video system with other technology
to enhance available information. Systems such as gunshot detection, automatic license plate
readers, and other video-based analytical systems may be considered based upon availability and
the nature of department strategy and only with City Council approval.
The Department should evaluate the availability and propriety of networking or otherwise
collaborating with appropriate private sector entities and should evaluate whether the use of
certain camera systems, such as pan-tilt-zoom systems, video enhancement or other analytical
technology, requires additional safeguards.
336.4 VIDEO SUPERVISION
Supervisors should monitor video access and usage to ensure members follow department policy
and applicable laws.
336.4.1 PROHIBITED ACTIVITY
Public safety video systems will not intentionally be used to invade the privacy of individuals or
observe areas where a reasonable expectation of privacy exists.
Public safety video equipment shall not be used in an unequal or discriminatory manner and shall
not target individuals or groups based solely on actual or perceived characteristics such as race,
ethnicity, national origin, religion, sex, sexual orientation, gender identity or expression, economic
status, age, cultural group, or disability.
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Video equipment shall not be used to harass, intimidate, or discriminate against any individual
or group.
336.5 STORAGE AND RETENTION OF MEDIA
All downloaded media shall be stored in a secure area with access restricted to authorized
persons. A recording needed as evidence shall be copied to a suitable medium and booked into
evidence in accordance with established evidence procedures. All actions taken with respect to
retention of media shall be appropriately documented.
The type of video technology employed and the manner in which recordings are used and
stored will affect retention periods. The retention period for recordings will be no longer than 30
days unless the video is part of an investigation.
336.5.1 EVIDENTIARY INTEGRITY
All downloaded and retained media shall be treated in the same manner as other evidence.
Media shall be accessed, maintained, stored and retrieved in a manner that ensures its integrity
as evidence, including strict adherence to chain of custody requirements. Electronic trails,
including encryption, digital masking of innocent or uninvolved individuals to preserve anonymity,
authenticity certificates and date and time stamping shall be used as appropriate to preserve
individual rights and to ensure the authenticity and maintenance of a secure evidentiary chain of
custody.
336.6 RELEASE OF VIDEO IMAGES
All recorded video images gathered by the public safety video equipment are for the official use
of the Ames Police Department.
Requests for recorded video images from the public or the media shall be processed in the same
manner as requests for department public records.
Requests for recorded images from other law enforcement agencies shall be referred to
the Investigations Commander for release in accordance with a specific and legitimate law
enforcement purpose.
Recorded video images that are the subject of a court order or subpoena shall be processed in
accordance with the established department subpoena process.
336.7 VIDEO SURVEILLANCE AUDIT
The Chief of Police or the authorized designee will conduct an annual review of the public safety
video system. The review should include an analysis of the cost, benefit and effectiveness of
the system, including any public safety issues that were effectively addressed or any significant
prosecutions that resulted, and any systemic operational or administrative issues that were
identified, including those related to training, discipline or policy.
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The results of each review shall be appropriately documented and maintained by the Chief of
Police or the authorized designee and other applicable advisory bodies. Any recommendations
for training or policy should be promptly addressed.
336.8 TRAINING
All department members authorized to operate or access public safety video systems shall receive
appropriate training. Training should include guidance on the use of cameras, interaction with
dispatch and patrol operations and a review regarding relevant policies and procedures, including
this policy. Training should also address state and federal law related to the use of video equipment
and privacy.
IOWA STATE UNIVERSITY
STUDENT GOVERNMENT
2020-2021 Term
3rd Session
2020-3-089 SR
In the Iowa State University Student Government Senate
Introduced on February 24th, 2021
Speaker Ludwig (for himself and Senator Hayes) introduced the following bill; which was read
once and referred to the Student Initiatives Committee.
A Resolution
TITLE:Supporting Campustown Security Cameras
WHEREAS:There has been significant support for security cameras to be installed in the
Campustown area; and
WHEREAS:Previous Student Governments have repeatedly supported this initiative; and
WHEREAS:The addition of security cameras will assist in deterring and solving crimes that happen in
Campustown, providing additional security to residents,visiters, and businesses alike;
and
WHEREAS:The City of Ames has sought to acquire student opinions and support at every
stage of this project; be it therefore
RESOLVED:That Student Government and the students of Iowa State support the addition of security
cameras in the Campustown area by the City of Ames,and be it further
RESOLVED:That Student Government encourages the City of Ames to move forward as quickly as
possible with the existing proposal for the installation of cameras in Campustown; and be
it further
RESOLVED:That copies of this resolution be sent to Mayor of Ames John Halia, all members of the
Ames City Council, Ames City Manager Steve Schainker,Interim Police Chief Huff, the
Ames Police Department, Campustown Action Association President of the Board Xena
Jolly, Campustown Action Association President-elect Anne Taylor, and all members of
the Campustown Action Association Board.
UC
Attest-Chair of the Senate/Date Vote Count
Passed
Speaker of the Senate Result
Campustown Action Association
119 Stanton Ave, Suite 602
Ames, IA 50014
November 13, 2020
Honorable Mayor Haila and City Council
Ames City Hall
515 Clark Avenue
Ames, IA 50010
RE: Security Cameras in Campustown
Dear Honorable Mayor Haila and City Council,
The Campustown Action Association (CAA) Board of Directors is writing to provide our input
regarding the installation of security cameras in the Campustown district.
The CAA Board has discussed the installation of security cameras on several occasions over the
last few years. It is our understanding that the City of Ames Police Department feels the security
cameras would be a useful tool to increase accountability in the district and help with solving crimes
after they occur. The safety of both patrons and residents of Campustown is vitally important to the
work CAA is doing in the district. The cameras would be a great complement to other CAA safety
initiatives, such as increased lighting and clearer signage.
Therefore, the Campustown Action Association is supportive of the installation of security cameras
in Campustown. We appreciate being consulted and applaud the Ames PD, and all those involved,
for their continued effort to bring the project to fruition. We hope the Ames City Council will take this
letter into consideration while making your decision.
As always, we thank you for your time,
Karin Chitty Xena Jolly
Executive Director President
1
ITEM#: 43
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: PRAIRIE VIEW INDUSTRIAL CENTER UTILITY EXTENSION PROJECT
(EAST INDUSTRIAL AREA UTILITIES)
BACKGROUND:
The East Industrial Area Utility Extension Project consists of the extension of water and
sanitary sewer mains to the recently annexed area east of Interstate 35 (I-35). Water main
and a gravity sewer main will be installed between I-35 and Potter Ave (formerly 590th),
a force sewer main will be installed from Teller Ave (formerly 580th) to west of Freel Drive,
and a sewer lift station will be constructed. Most of this new area to be served by City
utilities east of I-35 has been certified by the Iowa Economic Development Authority as
the Prairie View Industrial Center.
This project was previously bid in spring 2020. Due to very high bid costs ($7,098,946.00,
exceeding the available budget), on April 28, 2020, City Council rejected bids for
construction of these improvements. Staff was directed to contract with Stanley
Consultants Inc., to create revised plans and specifications for extending utilities along
East Lincoln Way.
City staff, in partnership with Ames Chamber of Commerce & Economic Development
staff, applied for a federal economic development grant toward this project. The grant
has now been successfully announced in the amount of $1,500,000 from
Department of Commerce Economic Development Administration (EDA), which is
the same grant source recently received for the ISU Research Park Phase IV
improvements.
During the application process, EDA staff required that the Base Bid project (to
receive the EDA Grant funding) include all sanitary sewer force main, lift station
plus gravity sewer and water main to Teller Avenue (580th). Therefore, revised plans
for re-bid will have a Base Bid (Estimated Cost of $5,247,855) of extending water
and sanitary sewer to Teller Avenue (580th) with an “Add Alternate” (Estimated
Cost of $1,242,625) for consideration to extend water and sanitary sewer east of
Teller Avenue, as originally planned.
The City Council should note that federal funds for this project come with additional
requirements for prevailing wages and reporting that will apply. Therefore, bids received
may be higher due to these requirements. However, it is staff’s hope that the federal
funds received will offset these increased expenses.
2
NEXT STEPS:
Public Works and Legal staff continue to work on the required EDA Certificate as
to Project Site, Rights-of-Way, and Easements which is estimated to be completed
in May.
Upon approval and return of the Grant Agreement to EDA, a kick-off meeting will
be scheduled between EDA and Public Works Engineers. It is anticipated that
approval of plans and specifications will come to City Council in May for a June bid
letting.
ALTERNATIVES:
1. Approve the EDA Grant Agreement in the amount of $1,500,000 for the Prairie
View Industrial Center Utility project.
2. Reject the EDA grant and direct staff to make changes to the project.
CITY MANAGER’S RECOMMENDED ACTION:
The original bids for extending water and sewer along East Lincoln Way into the Prairie
View Industrial Center were $2.6M over budget. This grant will contribute to the project
moving forward without significant additional local funds.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as noted above.
April 8, 2021
In reply refer to:
Investment No.: 05-01-06088
The Honorable John Haila
Mayor
City of Ames
515 Clark Avenue
Ames, IA 50010
Dear Mayor Haila:
The Department of Commerce’s Economic Development Administration (EDA) has approved your application
for a $1,500,000 EDA investment for the Prairie View Industrial Center Utility Project.
The signed Financial Assistance Award is enclosed. Your agreement to the terms and conditions of the award
should be indicated by the signature of your principal official on the signed Financial Assistance Award. The
executed copy should be returned to the Economic Development Administration. If not signed and returned
within 30 days of receipt, EDA may declare the Award null and void. Please do not make any commitments in
reliance on this award until you have carefully reviewed and accepted the terms and conditions. Any
commitments entered into prior to obtaining the approval of EDA in accordance with its regulations and
requirements will be at your own risk.
EDA’s mission is to lead the federal economic development agenda by promoting innovation and
competitiveness, preparing American regions for growth and success in the worldwide economy. EDA
implements this mission by making strategic investments in the nation’s most economically distressed
communities that encourage private sector collaboration and creation of higher-skill, higher-wage jobs. EDA
investments are results driven, embracing the principles of technological innovation, entrepreneurship and
regional development.
EDA shares your expectations regarding the impact of this investment and looks forward to working with you to
meet the economic development needs of your community.
Sincerely,
Angela B. Martinez
Regional Director
Denver Regional Office
Cc: Tracy Peterson, City of Ames
Alex Smith, Economic Development Administration
Enclosures
Economic Development Administration
Denver Regional Office
1244 Speer Boulevard, Suite 431
Denver, Colorado 80204
FORM CD-450
(REV. 10/18) U.S. DEPARTMENT OF COMMERCE
GRANT COOPERATIVE AGREEMENT
FINANCIAL ASSISTANCE AWARD FEDERAL AWARD ID NUMBER
RECIPIENT NAME PERIOD OF PERFORMANCE
STREET ADDRESS FEDERAL SHARE OF COST
$
CITY, STATE, ZIP CODE RECIPIENT SHARE OF COST
$
AUTHORITY TOTAL ESTIMATED COST
$
CFDA NO. AND NAME
PROJECT TITLE
This Award Document (Form CD-450) signed by the Grants Officer constitutes an obligation of Federal funding.
By signing this Form CD-450, the Recipient agrees to comply with the Award provisions checked below and
attached. Upon acceptance by the Recipient, the Form CD-450 must be signed by an authorized representative of
the Recipient and returned to the Grants Officer. If not signed and returned without modification by the Recipient
within 30 days of receipt, the Grants Officer may unilaterally withdraw this Award offer and de-obligate the funds.
DEPARTMENT OF COMMERCE FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS
R & D AWARD
FEDERAL-WIDE RESEARCH TERMS AND CONDITIONS, AS ADOPTED BY THE DEPT. OF COMMERCE
SPECIFIC AWARD CONDITIONS
LINE ITEM BUDGET
2 CFR PART 200, UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS,
AS ADOPTED PURSUANT TO 2 CFR § 1327.101
48 CFR PART 31, CONTRACT COST PRINCIPLES AND PROCEDURES
MULTI-YEAR AWARD. PLEASE SEE THE MULTI-YEAR SPECIFIC AWARD CONDITION.
OTHER(S):
SIGNATURE OF DEPARTMENT OF COMMERCE GRANTS OFFICER DATE
PRINTED NAME, PRINTED TITLE, AND SIGNATURE OF AUTHORIZED RECIPIENT OFFICIAL DATE
1
SPECIFIC AWARD CONDITIONS
U.S. DEPARTMENT OF COMMERCE
Economic Development Administration (EDA)
CONSTRUCTION PROJECTS: Public Works Program under Section 201 of the Public Works and
Economic Development Act of 1965, as amended (42 U.S.C. §3121 et seq.) (PWEDA)
1. This EDA Award supports the work described in the approved final scope of work, which is
incorporated by reference into this Award, as the Authorized Scope of Work. All work on this
project should be consistent with this Authorized Scope of Work, unless the Grants Officer has
authorized a modification of the scope of work in writing through an amendment memorialized
by a fully executed Form CD-451.
SCOPE OF WORK: The Authorized Scope of Work consists of constructing a lift station
(located at 207 S. Teller Avenue) and constructing approximately 15,175 LF of sanitary sewer
force main from S. Skunk River on E. Lincoln Way to Teller Avenue (on the south side) to the
new lift station. The project also consists of constructing approximately 6,084 LF of gravity
sanitary sewer and approximately 5,418 LF of water main from 3815 E Lincoln Way east on E
Lincoln Way to Teller Avenue (on the north side) to serve the Prairie View Industrial Center in
City of Ames, Iowa.
2. The Authorized Representative’s name, title, address, and telephone number are:
The Point of Contact’s name, title, address, and telephone number are:
The Grants Officer is authorized to award, amend, suspend, and terminate financial assistance
awards. The Grants Officer is:
Recipient Name: City of Ames, IA
Project Number: 05-01-06088
Tracy Peterson
Municipal Engineer
Phone: 515-239-5163
Email: tracy.peterson@cityofames.org
Project Title: Prairie View Industrial Center Utility Extension
City of Ames
515 Clark Avenue
Ames, IA 50010
John Haila
Mayor
Phone: 515-239-5104
Email: john.haila@cityofames.org
City of Ames
515 Clark Avenue
Ames, IA 50010
Angela B. Martinez
Regional Director
Phone: 303-844-3909
Email: AMartinez@eda.gov
Economic Development Administration
1244 Speer Boulevard, Suite 431
Denver, Colorado 80204
The Federal Program Officer oversees the programmatic aspects of this Award. The Federal
Program Officer is:
The Project Officer is responsible for day-to-day administration and liaison with the Recipient
and receives all reports and payment requests. The Project Officer is:
3. ADDITIONAL INCLUDED DOCUMENTS:
In addition to the regulations, documents, or authorities incorporated by reference on the
Financial Assistance Award form (Form CD-450) the following additional documents are
included with and considered to be part of the Award’s terms and conditions:
• A Recipient’s final completed Application including subsequently submitted
documents (this item not enclosed in this Award package);
Should there be a conflict between the above referenced documents and the Specific Award
Conditions (this document), the Specific Award Conditions, including any attachments, shall
prevail.
4. PROJECT DEVELOPMENT TIME SCHEDULE: The Recipient agrees to the following
Project Development Time Schedule:
Item Due Date
Date of Award April 8, 2021
Return of executed Financial Assistance Award
(Form CD-450)
no later than 30 calendar days after
receipt of Form CD-450
Start of Construction no later than 24 Months from
Date of Award
April 8, 2023
Construction Completed no later than 48 Months
from Date of Award
April 8, 2025
Authorized Award End Date 54 Months from Date
of Award
October 8, 2025
Submission of final reports, including Federal
Financial Report (Form SF-425)
no later than 120 calendar days from
the Authorized Award End Date
Economic Development Administration
1244 Speer Boulevard, Suite 431
Denver, Colorado 80204
Kelley Neumann, P.E.
Phone: 720-392-6088
Email: kneumann@eda.gov
Economic Development Administration
1244 Speer Boulevard, Suite 431
Denver, Colorado 80204
Cindy Edwards, P.E.
Area Director
Phone: 303-844-5360
Email: cedwards@eda.gov
Project Closeout – All Project closeout documents, including any required program reports,
shall be submitted to EDA not more than 120 calendar days after the date the Recipient accepts
the completed project from the contractor(s).
The Recipient shall diligently pursue the development of the Project so as to ensure completion
within this time schedule. Moreover, the Recipient shall promptly notify EDA in writing of
any event that could substantially delay meeting any of the proscribed time limits for the
Project as set forth above. The Recipient further acknowledges that failure to meet the Project
Development Time Schedule may result in EDA’s taking action to terminate the Award in
accordance with the regulations set forth at 2 C.F.R. §§ 200.339 through 200.343, as
applicable.
5. PROJECT REPORTING AND FINANCIAL DISBURSEMENTS INSTRUCTIONS:
A. AWARD DISBURSEMENTS: Reimbursable basis only: EDA will make disbursements
under this Award on a reimbursement basis only, based on actual costs. The “Request for
Reimbursement” (Form SF-271) is used to request a disbursement, which shall be approved
in writing by the Project Officer.
Please note that prior to the initial disbursement, Recipients must complete the Form SF-
3881, “ACH Vendor/Miscellaneous Payment Enrollment Form” and submit it to NOAA’s
Accounting Office, by emailing through secure/encrypted email to: edagrants@noaa.gov.
The form must be completed by the respective parties (EDA, Recipient Bank, and
Recipient) at the start of each new award.
B. REPORTS:
a. Project Progress Reports: The Recipient shall submit project progress
reports to the Project Officer on a quarterly basis for the periods ending
December 31, March 31, June 30, and September 30, or any portion
thereof until the final grant payment is made by EDA. Reports should be
submitted using the approved EDA template, which will be provided by the
Project Officer and discussed during the project kick-off meeting. Reports
are due no later than 15 days following the end of the quarterly period.
b. Financial Reports: The Recipient shall submit a “Federal Financial
Report” (Form SF-425) on a semi-annual basis for the periods ending
March 31 and September 30, or any portion thereof, for the entire project
period. Reports are due no later than 30 days following the end of the
semiannual reporting period. Form SF-425 (and instructions for completing
this form) is available at:
https://www.gsa.gov/portal/forms/download/149786.
A final Form SF-425 must be submitted no more than 120 calendar days
after the expiration date of the Award (e.g., the Award end date specified on
the Form CD-450 or Form CD-451). Final Financial reports should follow
the guidance outlined by the form instructions for submitting mid-term
financial reports, but should ensure that all fields accurately reflect the total
outlays for the entire project period, and that all matching and program
income (if applicable) is fully reported. Final grant rate and determinations
of final balances owed to the government will be determined by the
information on the final Form SF-425, so it is imperative that this final
financial form is submitted in a timely and accurate manner.
6. ALLOWABLE COSTS AND AUTHORIZED BUDGET: Total allowable costs will be
determined at the conclusion of the award period in accordance with the administrative
authorities applicable pursuant to the Financial Assistance Award (Form CD-450), including
the applicable requirements set forth in 2 C.F.R. part 200, after Final Financial Documents are
submitted.
Except as otherwise expressly provided for within these Specific Award Conditions, the
Investment Rate for the award (see 13 C.F.R. §§ 300.3 and 301.4) shall apply to allowable
costs incurred by the Recipient in connection with the project. The Federal share in the
allowable costs shall be based upon the Investment Rate (see 2 C.F.R. § 200.43). In the event
of an underrun in total allowable costs for this project, the Federal share of allowable costs
shall be determined by the Investment Rate established in the Form CD-450, or subsequently
executed Form CD-451. The Federal Share of total allowable costs shall not exceed the dollar
amount of the original Award and subsequent amendments, if any.
A. Under the terms of the Award, the total approved authorized budget is:
Federal Share (EDA Amount) $1,500,000
Non-Federal Matching Share $3,844,695
Total Project Cost $5,344,695
B. Under the terms of this Award, the total approved Line Item Budget is:
COST CLASSIFICATION Proposed Approved
Administrative and legal expenses $0 $0
Land, structures, rights-of-way, etc. $0 $0
Relocation expenses and payments $0 $0
Architectural and engineering fees $0 $0
Other architectural and engineering fees $0 $0
Project inspection fees $0 $0
Site work $0 $0
Demolition and removal $0 $0
Construction $5,344,695 $5,344,695
Equipment $0 $0
Contingencies $0 $0
Total Project Costs $5,344,695 $5,344,695
7. MATCHING SHARE: The Recipient agrees to provide the Recipient’s non-Federal Matching
Share contribution for eligible project expenses in proportion to the Federal share requested for
such project expenses. (See 13 C.F.R. § 300.3) The Recipient also certifies that, in accepting
the Financial Assistance Award, the Recipient’s Matching Share of the project costs is
committed and unencumbered, from authorized sources, and shall be available as needed for
the project.
8. REFUND CHECKS, INTEREST, OR UNUSED FUNDS: Treasury has given EDA two
options for having payments deposited to EDA’s account:
i. The first one is Pay.Gov. This option allows the payee to pay EDA through the
Internet. The payee will have the option to make a one-time payment or to set
up an account to make regular payments.
ii. The second option is Paper Check conversion. All checks must identify on their
face the name of the DOC agency funding the award, award number, and no
more than a two-word description to identify the reason for the refund or check.
A copy of the check should be provided to the EDA Project Officer. This
option allows the payee to send a check to NOAA’s Accounting Office, who
processes EDA’s accounting functions at the following address:
U.S. Department of Commerce
National Oceanic and Atmospheric Administration
Finance Office, AOD, EDA Grants
20020 Century Boulevard, Germantown, MD 20874
The accounting staff will scan the checks in to an encrypted file and transfer to
the Federal Reserve Bank, where the funds will be deposited in EDA’s account.
While this process will not be an issue with most payees, there are occasionally
issues for entities remitting funds to EDA via check. If you are remitting funds
to EDA via check, please make note of the following:
• If a check is sent to EDA, it will be converted into an electronic funds
transfer by copying the check and using the account information to
electronically debit your account for the amount of the check. The debit
from your account will usually occur within 24 hours and will appear on
your regular account statement.
• EDA will not return your original check; the original will be destroyed
and a copy will be maintained in our office. If the Electronic Funds
Transfer (EFT) cannot be processed for technical reasons, the copy will
be processed in place of the original check. If the EFT cannot be
completed because of insufficient funds, EDA will charge you a one-
time fee of $25.00, which will be collected by EFT.
9. CONSTRUCTION COMPLETION: In keeping with prudent grants management policy,
EDA construction projects must be completed within five (5) years from the date the Form
CD-450 is signed by the Recipient accepting the Award. If construction is not completed by
this date and the Grants Officer determines, after consultation with the Grant Recipient, that
construction to completion cannot reasonably be expected to proceed promptly and
expeditiously, the grant may be terminated. Extensions beyond the five-year project period are
exceedingly rare and can only be authorized by the Assistant Secretary. Nothing in this
paragraph is intended to alter the Project Development Time Schedule set forth in provision 4
above.
10. GOALS FOR WOMEN AND MINORITIES IN CONSTRUCTION: Department of Labor
regulations set forth in 41 C.F.R. § 60-4 establishes goals and timetables for participation of
minorities and women in the construction industry. These regulations apply to all federally
assisted construction contracts in excess of $10,000. The Recipient shall comply with these
regulations and shall obtain compliance with 41 C.F.R. § 60-4 from contractors and
subcontractors employed in the completion of the Project by including such notices, clauses
and provisions in the Solicitations for Offers or Bids as required by 41 C.F.R. § 60-4. The goal
for the participation of women in each trade area shall be as follows: From April 1, 1981, until
further notice: 6.9 percent.
All changes to this goal, as published in the Federal Register in accordance with the Office of
Federal Contract Compliance Programs regulations at 41 C.F.R. § 60-4.6, or any successor
regulations, shall hereafter be incorporated by reference into these Specific Award Conditions.
Goals for minority participation shall be as prescribed by Appendix B-80, Federal Register,
Volume 45, No. 194, October 3, 1980, or subsequent publications. The Recipient shall include
the “Standard Federal Equal Employment Opportunity Construction Contract Specifications”
(or cause them to be included, if appropriate) in all Federally-assisted contracts and
subcontracts. The goals and timetables for minority and female participation may not be less
than those published pursuant to 41 C.F.R. § 60-4.6.
11. PROCUREMENT: The Recipient agrees that all procurement transactions shall be in
accordance with the regulations at 2 C.F.R. §§200.317 through 200.326, as applicable.
12. BUY AMERICAN: Consistent with Executive Order 13858, Strengthening Buy-American
Preferences for Infrastructure Projects,” the Recipient is encouraged to use, to the greatest
extent practicable, iron and aluminum as well as steel, cement, and other manufactured
products produced in the United States in every contract, subcontract, purchase order, or sub-
award that is chargeable under this Award.
13. EVIDENCE OF GOOD TITLE: Prior to the initial disbursement of funds by EDA, the
Recipient shall provide opinion of counsel, satisfactory to EDA, that the Recipient has acquired
good and marketable title to land, free of all encumbrances, as well as rights-of-way, long term
leases, easements, state or local government permits or other items necessary for the
completion of the project in accordance with 13 C.F.R. § 314.7.
14. PRIVATELY-OWNED PARK: Consistent with 13 CFR § 314.7(c)(5), the authorized
purpose of the Project is to construct infrastructure to serve privately owned real property for
sale or lease. Iowa Land and Building, an Alliant Energy Company, which has been working
in collaboration with the Recipient on this industrial development known as the Prairie View
Industrial Center, currently has options to acquire and intends to maintain control of the
property until such time as lots are leased or sold. Iowa Land and Building has confirmed its
intent to assure the park continues to provide certified, shovel-ready ground to market for
industrial development for new jobs and industrial production, such uses being consistent with
the purpose of the EDA Award.
The Recipient shall be responsible for ensuring that Iowa Land and Building uses the property
benefitting from the EDA-funded infrastructure only for the authorized purpose of the Project,
including the sale or lease of lots to industrial users, and in a manner consistent with the terms
and conditions of the EDA Award for the Useful Life of the Project (20 years). If the Property
is used for purposes other than the Project purposes or used inconsistent with the Award terms
and conditions, Recipient must compensate the federal government in the amount of the grant
funds disbursed or at the option of the federal government, the federal government’s fair share
of the publicly owned infrastructure.
15. USEFUL LIFE: The Estimated Useful Life of this project is hereby determined to be 20 years
from the date of Award.
16. HISTORICAL AND ARCHEOLOGICAL RESOURCES: If during construction of the
project, historical and archeological resources, including burial grounds and artifacts are
discovered, the Recipient shall immediately stop construction in the area and contact EDA and
the Iowa SHPO.
17. PERMITS: Prior to EDA’s approval of bid documents, the Recipient shall provide
documentation satisfactory to EDA that the permits listed below have been obtained or that the
bid documents include language requiring the contractor to obtain the permits prior to the start
of construction. If the contractor obtains the permits, then prior to initial disbursement of any
construction costs, the Recipient shall provide EDA with satisfactory documentation that the
permits have been obtained.
• Iowa DNR
i. Wastewater Construction Permit
ii. Water Main Construction Permit
iii. NPDES Erosion Control and Stormwater Permit
• Iowa DOT Utility Permit
18. NONRELOCATION: In signing this award of financial assistance, the Recipient(s) attests
that the EDA funded project will not be used to induce the relocation or the movement of
existing jobs from one Region to another Region by a primary beneficiary of the Award. (See
13 C.F.R. § 300.3) In the event that EDA determines that its assistance was used for such
relocation purposes, EDA reserves the right to pursue all rights and remedies, including
suspension of disbursements and termination of the award for convenience or cause, and
disallowance of any costs attributable, directly or indirectly, to the relocation and the recovery
of the Federal share thereof.
For purposes of ensuring that EDA assistance will not be used for relocation purposes, each
applicant must inform EDA of all employers that constitute primary beneficiaries of the project
assisted by EDA. EDA considers an employer to be a “primary beneficiary” if, in seeking
EDA assistance, the applicant estimates that such employer will create or save 100 or more
permanent jobs as a result of the investment assistance and specifically names the employer in
its application to EDA to make the Award. In smaller communities, EDA may consider a
primary beneficiary to be an employer of 50 or more jobs permanent jobs so identified.
19. PERFORMANCE MEASURES: The Recipient agrees to report on program performance
measures and program outcomes in such a form and at such intervals as may be prescribed by
EDA in compliance with the Government Performance and Results Act (GPRA) of 1993, and
the Government Performance and Results Modernization Act of 2010.
At this time, all Awards for construction assistance require Recipients to report actual job
creation/retention and private investment leverage three (3), six (6), and nine (9) years after an
EDA investment. Recipients are to retain sufficient documentation so that they can submit
these required reports. Failure to submit this required report can adversely impact the ability of
the Recipient to secure future funding from EDA.
Performance measures and reporting requirements that apply to program activities funded by
this investment will be provided in a separate GPRA information collection document. EDA
staff will contact Recipients in writing within a reasonable period prior to the time of
submission of the reports with information on how this data should be submitted. Recipients
should ensure adequate and sufficient records are kept to support the methodology for
computing initial job and private investment estimates and all subsequent actual performance
data calculations so that this information can be made available to EDA in the event of an
audits or performance site visits.
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U.S. DEPARTMENT OF COMMERCE
ECONOMIC DEVELOPMENT ADMINISTRATION
STANDARD TERMS AND CONDITIONS FOR CONSTRUCTION PROJECTS
Title II of the Public Works and Economic Development Act of 1965
Public Works and Economic Development Facilities
and
Economic Adjustment Assistance Construction Components
March 22, 2021
2
Table of Contents
PART I: GENERAL PROVISIONS ........................................................................................................................ 4
A. Construction Award Purpose ........................................................................................................................... 4
B. Authorities ........................................................................................................................................................ 4
1. In General ........................................................................................................................................... 4
2. PWEDA ............................................................................................................................................. 4
3. EDA Regulations ............................................................................................................................... 4
4. Conflicts Among Authorities ............................................................................................................. 4
C. Updates to Authorities ...................................................................................................................................... 4
1. Updates to Regulations and Requirements ........................................................................................ 4
2. Applicability to the Award ................................................................................................................. 5
D. Variances ........................................................................................................................................................ 5
E. Recipient as Trustee ...................................................................................................................................... 5
F. Additional Funding ....................................................................................................................................... 5
G. Definitions .................................................................................................................................................... 5
H. Reaffirmation of Application and Award Acceptance .................................................................................. 5
PART II: SPECIAL REQUIREMENTS FOR EDA CONSTRUCTION PROJECTS ............................................ 7
A. Financial Requirements ................................................................................................................................ 7
1. Financial Reports ............................................................................................................................... 7
2. Disbursements .................................................................................................................................... 7
3. Federal and Non-Federal Cost Sharing .............................................................................................. 8
4. Budget Revisions and Transfer of Funds ........................................................................................... 8
5. Indirect Costs and Facilities and Administrative Costs ..................................................................... 9
6. Incurring Costs Prior to Award ........................................................................................................ 10
7. Program Income ............................................................................................................................... 10
B. Programmatic Requirements ...................................................................................................................... 10
1. Project Progress and Performance Reporting .................................................................................. 10
2. Time Extensions ............................................................................................................................... 11
3. Interim Reporting of Significant Project Developments .................................................................. 12
4. Programmatic Changes .................................................................................................................... 12
5. Government Performance and Results Act ...................................................................................... 12
6. Beneficiary Compliance ................................................................................................................... 13
7. Hold Harmless ................................................................................................................................. 13
8. Prohibition on Use of Third Parties to Secure Award ...................................................................... 13
9. Payment of Attorneys’ or Consultants’ Fees ................................................................................... 13
10. Recipient’s Duty to Refrain from Employing Certain Government Employees .............................. 13
11. Commencement of Construction ..................................................................................................... 14
12. Project Sign and Use of EDA Logo ................................................................................................. 14
13. Efficient Administration of Project .................................................................................................. 15
14. Conflicts-of-Interest Rules ............................................................................................................... 15
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15. Records-Keeping Requirements ...................................................................................................... 16
16. Termination Actions ........................................................................................................................ 17
17. Project Closeout Procedures ............................................................................................................ 18
18. Freedom of Information Act ............................................................................................................ 20
C. Additional Requirements Related to Construction Projects ....................................................................... 20
1. The Davis-Bacon Act, as amended (40 U.S.C. §§ 3141–3144, 3146, 3147; 42 U.S.C. § 3212) ..... 20
2. The Contract Work Hours and Safety Standards Act, as amended (40 U.S.C. §§ 3701-3708) ....... 20
3. The National Historic Preservation Act of 1966, as amended (54 U.S.C. § 300101 et seq.), and the
Advisory Council on Historic Preservation Guidelines (36 CFR part 800) .................................... 20
4. Preservation of Historical and Archeological Data (54 U.S.C. § 312502) ...................................... 20
5. The Architectural Barriers Act of 1968, as amended (42 U.S.C. § 4151 et seq.) ............................ 21
6. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as
amended (42 U.S.C. § 4601 et seq.) ................................................................................................ 21
7. The Energy Conservation and Production Act (42 U.S.C. § 6834 et seq.) ...................................... 21
8. Executive Order 13717, “Seismic Safety of Federal and Federally Assisted or Regulated New
Building Construction ..................................................................................................................... 21
9. Compliance with Local Construction Requirements ....................................................................... 21
D. Non-Discrimination Requirements ............................................................................................................. 21
E. Audits .......................................................................................................................................................... 21
1. General ............................................................................................................................................. 21
2. Requirement to Submit a Copy of the Audit to EDA ...................................................................... 22
F. Tribal Employment Rights Ordinances ...................................................................................................... 22
G. EDA Contracting Provisions for Construction Projects ............................................................................. 22
H. Property ...................................................................................................................................................... 22
1. Standards ......................................................................................................................................... 22
2. Title .................................................................................................................................................. 23
3. EDA’s Interest in Award Property ................................................................................................... 23
4. Insurance and Bonding ..................................................................................................................... 25
5. Leasing Restrictions. ........................................................................................................................ 25
6. Eminent Domain .............................................................................................................................. 26
7. Disposal of Real Property ................................................................................................................ 26
8. Reporting on Property ...................................................................................................................... 26
I. Environmental Requirements ..................................................................................................................... 27
1. General. ............................................................................................................................................ 27
2. Compliance with Other Applicable Environmental Requirements .................................................. 27
J. American-Made Equipment and Products .................................................................................................. 28
PART III: DEPARTMENT OF COMMERCE STANDARD TERMS AND CONDITIONS .............................. 29
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PART I:
GENERAL PROVISIONS
A. Construction Award Purpose
This financial assistance award (the Award), executed by the Economic Development
Administration (EDA) and the recipient (Recipient or non-Federal entity), is awarded for the purpose
of carrying out the design, engineering, or construction of certain physical infrastructure as
specifically set forth in the Award’s scope of work.
B. Authorities
1. In General
Recipient must administer this Award in conformance with the terms of the Award, including
any properly executed amendment thereto, the EDA-approved budget and scope of work, these
EDA Standard Terms and Conditions for Construction Projects (EDA Construction STCs) and
the Department of Commerce (DOC) Financial Assistance Standard Terms and Conditions
(DOC Standard Terms and Conditions), as well as any specific award conditions; relevant
policies issued by EDA; applicable Federal statutes, regulations, and Executive Orders; and the
provisions of the Office of Management and Budget (OMB) Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards codified at
2 CFR part 200 (OMB Uniform Guidance).
2. PWEDA
The Public Works and Economic Development program is authorized under section 201 and the
Economic Adjustment Assistance program is authorized under section 209 of PWEDA
(42 U.S.C. §§ 3141 and 3149, respectively).
3. EDA Regulations
The regulations implementing PWEDA are contained in chapter III of title 13 of the Code of
Federal Regulations (CFR), and apply in full to this Award. The regulations specific to EDA
construction projects can be found at 13 CFR parts 305 and 314, and subpart A to part 307.
4. Conflicts Among Authorities
Any inconsistency or conflict among the authorities governing the Recipient’s administration of
this Award will be resolved in the following order of precedence: Federal laws and regulations
(including the OMB Uniform Guidance), applicable notices published in the Federal Register,
Executive Orders, OMB circulars, these EDA Construction STCs, specific award conditions, and
any written policy guidance issued by EDA. However, a specific award condition may amend or
take precedence over a provision of these EDA Construction STCs on a case-by-case basis, when
warranted by the specific circumstances of the Award. In the event of a conflict between Parts I
or II of these EDA Construction STCs and Part III, which incorporates the DOC Standard Terms
and Conditions, Parts I and II will control.
C. Updates to Authorities
1. Updates to Regulations and Requirements
The DOC, EDA, or OMB may issue changes from time to time to the regulations and other
policies and requirements that apply to this Award. Such changes may upon occasion increase
5
administrative or programmatic flexibility in administering this Award in a manner that is
mutually beneficial to EDA and the Recipient. In addition, if required by law, these changes may
impose new requirements. The implementation of any such regulatory, administrative, or
programmatic change in administering this Award requires EDA’s prior written approval.
2. Applicability to the Award
These EDA Construction STCs apply to the Award as of the Federal award date, as defined at
2 CFR § 200.1, or, if attached to the Award by amendment, as of the effective date of such
amendment.
D. Variances
EDA’s policy is to administer all awards uniformly; however, there may be special circumstances
that warrant a variance. To accommodate these circumstances and to encourage innovative and
creative ways to address economic development problems, EDA will consider requests for variances
to the procedures set out in these EDA Construction STCs if they do not conflict with applicable
Federal statutory and regulatory requirements, are consistent with the goals of EDA’s programs, and
make sound economic and financial sense. Any approved variance will be implemented through a
specific award condition incorporated under the Award.
E. Recipient as Trustee
The Recipient holds grant funds and any property acquired or improved with EDA assistance in trust
for the public purposes of an Award. The Recipient’s obligation to the Federal Government
continues for the estimated useful life of the Project, as determined by EDA, during which EDA
retains an undivided equitable reversionary interest (the Federal Interest) in property acquired or
improved, in whole or in part, with EDA investment assistance. See 13 CFR § 314.2
(“Federal Interest”).
If EDA determines that the Recipient fails or has failed to meet this obligation, EDA may exercise
any rights or remedies with respect to its Federal Interest in the Project. However, EDA’s
forbearance in exercising any right or remedy in connection with the Federal Interest does not
constitute a waiver thereof.
F. Additional Funding
EDA has no obligation to provide any additional funding in connection with the Award. Any change
to the Award to increase funding or to extend the period of performance is at the discretion of EDA,
subject to the availability of funds, via an amendment executed by the Grants Officer.
G. Definitions
Capitalized terms and acronyms used but not otherwise defined in these EDA Construction STCs
have the meaning ascribed to them at 13 CFR §§ 300.3, 302.20, 307.8, and 314.1, and subpart A to
2 CFR part 200.
H. Reaffirmation of Application and Award Acceptance
By accepting this Award, the Recipient’s authorized representative hereby reaffirms and states that:
1. All data in the Application were true and correct when the Application was submitted and remain
6
true and correct as of the date of this Award;
2. The Application was, as of the date of submission and the date of this Award, duly authorized as
required by local law by the governing body of the Recipient; and
3. The Recipient has read, understood, and will comply with all terms of this Award, including the
assurances and certifications submitted as part of the Application (including assurances
submitted through the System for Award Management (SAM.gov)).
Acceptance of the Award is established by any action on the part of the Recipient indicating an
intent to accept the Award, including by signing the Financial Assistance Award (Form CD-450)
(either via a “wet” signature or electronically) or by requesting any disbursement of Award funds.
“Application” means all forms, documentation, and any information submitted to EDA as part and in
furtherance of a request for an Award and includes submissions made in response to any request by
EDA after submission of the initial Application.
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PART II:
SPECIAL REQUIREMENTS FOR EDA CONSTRUCTION PROJECTS
A. Financial Requirements
1. Financial Reports
a. During the period of performance, the Recipient must submit financial reports as follows,
unless otherwise specified in a specific award condition.
i. Reports on Award reimbursements. In accordance with 2 CFR § 200.328 (“Financial
reporting”), the Recipient must submit a “Federal Financial Report” (Form SF-425 or any
successor form) on a semi-annual basis for the periods ending March 31 and September
30, or any portion thereof, unless otherwise specified in a specific award condition.
Reports are due no later than 30 calendar days following the end of each reporting period,
and instructions for completing and submitting Form SF-425 will be discussed during the
Project kick-off meeting. Recipients may contact their EDA Project Officer with
questions on how to complete or submit the report, if necessary, but they must submit
reports on time and are encouraged to pose such questions sufficiently before the
deadline to allow for complete, accurate, and timely submission of required reports.
ii. Reports on Award advances. While EDA generally does not advance funds, when the
agency does so, the Recipient must submit Form SF-425 within 15 business days
following the end of each quarter for an award where the Federal share of costs is under
$1 million. In accordance with 2 CFR § 200.328, because of increased risk and the need
to ensure the appropriate use of Federal funds, where EDA advances funds under an
award where the Federal share of costs is $1 million or more the Recipient must submit
Form SF-425 within 15 business days following the end of each month, or as otherwise
specified in a specific award condition.
b. The Recipient must submit a final Form SF-425 no later than 120 calendar days after the end
date of the period of performance. See also Part II, section B.16.c “Final reporting deadline”
of these EDA Construction STCs.
c. Noncompliance with the financial reporting requirements may result in appropriate
enforcement action under this Award, including but not limited to suspension of Award
payments, disallowance of costs or termination of an award. A Recipient’s non-compliance
with financial reporting requirements will also be taken into account in EDA’s consideration
of any future applications for EDA financial assistance (see 2 CFR § 200.206(b)(2)(iii) and
section A.06 (Unsatisfactory Performance or Non-Compliance with Award Provisions) of the
DOC Standard Terms and Conditions, which are incorporated in Part III of these
EDA Construction STCs).
d. Financial reports should be submitted to the Project Officer in electronic format, unless
otherwise specified in the specific award conditions.
2. Disbursements
a. Method of payment. The Grants Officer determines the appropriate method of payment.
8
Unless otherwise specified in a specific award condition, the method of payment under this
Award will be reimbursement. Payments will be made through electronic funds transfers
directly to the Recipient’s bank account and in accordance with the requirements of the Debt
Collection Improvement Act of 1996 (31 U.S.C. § 3720B et seq.). The Award number must
be included on all payment-related correspondence, information, and forms.
b. Disbursement requests. The Recipient must use Form SF-271, “Outlay Report and Request
for Reimbursement for Construction Programs,” to request reimbursement under the Award.
Substantiating invoices and/or vouchers also must be provided. Each request for the
disbursement of funds must be made to the Project Officer. Form SF-271 can be downloaded
from the Grants.gov post-award reporting forms website at
https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html.
i. Initial disbursement request. For the initial disbursement only, the Recipient must
complete and submit Form SF-3881, “ACH Vendor/Miscellaneous Payment Enrollment
Form,” along with Form SF-271, to the Project Officer.
ii. Interim disbursement requests. All requests for interim disbursement must be submitted
using Form SF-271 and include substantiating invoices and/or vouchers.
iii. Final disbursement request. See Part II, section B.16 “Project Closeout Procedures” of
these EDA Construction STCs.
3. Federal and Non-Federal Cost Sharing
a. For purposes of this Award, the Federal share is the amount of EDA funds invested under the
Award, while the non-Federal share, or “Matching Share,” means non-EDA funds and any
in-kind contributions that are approved by EDA and provided by the Recipient or by third
parties as a condition of the Award.
b. By accepting the Award, the Recipient certifies that the Matching Share of Project costs is
committed to the Project, available as needed, and not conditioned or encumbered in any way
that precludes its use consistent with the requirements of the Award. See 13 CFR § 301.5
(“Matching share requirements”).
c. In the case of an overrun at the construction bid opening, the Recipient may augment the
Matching Share by an amount sufficient to cover the excess cost. The Recipient must furnish
a letter to EDA identifying the source of the additional funds and confirming that all
Matching Share meets the requirements of 13 CFR § 301.5. See 13 CFR § 305.10
(“Bid underrun and overrun”).
4. Budget Revisions and Transfer of Funds
a. Approved budget plan; notification of deviations. The EDA-approved budget set forth in the
specific award conditions or otherwise incorporated under the Award is the budget plan for
the Project. The Recipient must notify EDA of deviations from the budget in accordance with
2 CFR § 200.308 (“Revision of budget and program plans”). If prior written approval is not
required under 2 CFR § 200.308, the Recipient may request the Grants Officer’s review of
9
and guidance on proposed revisions to the budget.
b. Requesting budget revisions. Requests for budget revisions to the EDA-approved budget must
be submitted through the Project Officer to the Grants Officer, who will make the final
determination on such requests and notify the Recipient in writing.
c. Budget revisions that require an amendment. In accordance with 2 CFR § 200.308(f) and (h),
an amendment executed by the Grants Officer are required for budget revisions when:
i. The revision results from changes in the scope or the objective of the Project;
ii. The need arises for additional EDA funds to complete the Project;
iii. The Federal share exceeds the simplified acquisition threshold (currently set at
$250,000) and the cumulative amount of transfers among direct cost categories exceeds
or is expected to exceed 10 percent of the total budget as last approved by EDA; and
iv. A revision is desired that involves specific costs for which prior written approval
requirements may be imposed consistent with applicable cost principles listed in subpart E
of 2 CFR part 200 (“Cost Principles”).
d. Prior approval for transfers between construction and non-construction items. When an
Award supports both construction and non-construction work, the Recipient must obtain
prior written approval from the Grants Officer before making any fund or budget transfer
from non-construction to construction or vice versa. See 2 CFR § 200.308(h)(5).
e. Project underrun amounts. Underrun amounts will be transferred to the contingencies line
item. Contingency funds are to be used to address situations resulting from unknown
conditions and changes required for the fulfillment of authorized activities under this Award.
EDA may approve the use of underrun funds to increase the Federal share of the Project or
further improve the Project, as long as EDA determines that the use is consistent with the
original purpose of the Award. See 13 CFR § 308.1 (“Use of funds in projects constructed
under projected cost”).
f. Additional EDA funding in case of Project overrun amounts. In accepting this Award, the
Recipient agrees to fund any overrun amounts from non-Federal sources, or if the Recipient is
unable or unwilling to do so, to request termination of the Award. Additional EDA assistance
for the Project is at the discretion of EDA and may not be approved.
5. Indirect Costs and Facilities and Administrative Costs
a. Indirect costs, or facilities and administrative (F&A) costs for educational institutions, are
generally not applicable under this Award. See the definition of “indirect (facilities and
administrative) (F&A)) costs” at 2 CFR § 200.1.
b. When indirect costs are applicable, they will not be allowable charges against the Award
unless approved under the Award and specifically included as a line item in the Award’s
approved budget. See section B.06 of the DOC Standard Terms and Conditions (“Indirect or
Facilities and Administrative Costs”), which are incorporated into these EDA Construction
STCs in Part III.
10
6. Incurring Costs Prior to Award
Project activities, including the procurement of good and services, which may include
construction activities, carried out prior to EDA’s approval of this Award are done at the sole risk
of the Recipient and at the risk of not being reimbursed by EDA. Such activity may result in the
rejection of the Application, the disallowance of costs, or other adverse consequences as a result
of noncompliance with EDA or Federal requirements, including but not limited to procurement
requirements, civil rights requirements, Federal labor standards, or environmental and historic
preservation requirements. The Grants Officer must authorize pre-award costs and activities in
writing, and such costs must also be allowable under relevant Federal cost principles and the
specific Award terms and be included in the EDA-approved budget. Pre-award costs not included
in the authorized budget are not allowable and will not be reimbursed. See 13 CFR § 302.8
(“Pre-approval Investment Assistance costs”).
7. Program Income
For Projects that generate revenue (e.g., rent for buildings or real property constructed or
improved with EDA funds, rent or fees charged for use of equipment purchased with EDA funds,
fees charged by the Recipient or a third party in connection with Project operations, etc.), the
Recipient agrees, for the estimated useful life of the EDA-assisted facility or equipment, to use
income generated from the facility or equipment, in the following order of priority unless
modified by a specific award condition:
a. Administration, operation, maintenance, and repair of Project facilities in a manner consistent
with good property management practice and in accordance with established building codes.
This includes, where applicable, repayment of indebtedness resulting from any
EDA-approved encumbrance (e.g., approved mortgage) on the EDA-assisted facility. In the
case of equipment, administration, operation, maintenance, and repair of the equipment, or
the facility in which the equipment is located as required to maintain and operate the
equipment, for the equipment’s estimated useful life.
b. Economic development activities that are authorized for support by EDA, provided such
activities meet the economic development purposes of PWEDA and are located within the
designated Project region.
c. Any program income in excess of paragraphs a. and b. of this section that is generated during
the period of performance must be deducted from total allowable Project costs in accordance
with 2 CFR § 200.307(e)(1). See also 2 CFR § 200.307 (“Program income”).
8. Information on Recipient integrity. The Recipient agrees to provide EDA with information
and documentation necessary for EDA to conduct due diligence to ensure the financial integrity
and responsibility of the Recipient and key individuals associated with the Recipient in the
management or administration of this Award.
B. Programmatic Requirements
1. Project Progress and Performance Reporting
a. Project progress reports must be submitted in accordance with the procedures set out in
2 CFR § 200.329 (“Monitoring and reporting program performance”), as applicable, and as
11
indicated below. Failure to submit required reports in a complete, accurate, and timely manner
may result in the withholding of payments under this Award; deferral of processing of new
awards, amendments, or supplemental funding; or other appropriate enforcement action.
See 13 CFR § 302.18 (“Post-approval requirements”) and section A.06 (Unsatisfactory
Performance or Non-Compliance with Award Provisions) of the DOC Standard Terms and
Conditions, which are incorporated in Part III of these EDA Construction STCs.
b. Unless otherwise specified in a specific award condition, the Project progress report must
contain the following information for each Project program, function, or activity:
i. A comparison of planned and actual accomplishments according to the timetable or list of
Project objectives in this Award;
ii. An explanation of any delays or failures to meet the Project timetable or Project goals; and
iii. Any other pertinent information including, when appropriate, analysis and explanation of
cost overruns or high unit costs.
Project progress reports must be submitted for each calendar quarter to the Project Officer.
Each Project progress report must be submitted in accordance with the deadlines outlined in
the specific award conditions, or, when not otherwise specified, Project progress reports will
be due on a quarterly basis not later than January 31, April 30, July 31, and October 31 for
the immediately previous quarter. The final Project progress report must be submitted to EDA
no later than 120 calendar days after the end date of the period of performance. See Part II,
section B.16.c “Project Closeout Procedures” of these EDA Construction STCs for more
information on Project Closeout.
c. The Recipient must submit quarterly Project progress reports to the EDA Project Officer
electronically unless otherwise specified in the specific award conditions.
2. Time Extensions
a. Unless otherwise authorized by a specific award condition, any extension of the period of
performance can only be authorized by the Grants Officer in writing.
b. The Recipient is responsible for implementing the Project in accordance with the
development time schedule contained in this Award. As soon as the Recipient becomes aware
that it may not be possible to meet the development time schedule, the Recipient must notify
the Grants Officer. The Recipient’s notice to EDA must contain the following:
i. An explanation of the Recipient’s inability to complete work by the specified date (e.g., a
lengthy period of unusual weather delayed the contractor’s ability to excavate the site,
major re-engineering required in order to obtain State or Federal approvals, unplanned
environmental mitigation required);
ii. A statement describing any other contemplated changes to the Project;
iii. Documentation that demonstrates there is still a bona fide need for the Project; and
iv. A statement that no further delay is anticipated and that the Project can be completed
within the revised time schedule.
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EDA reserves the right to withhold disbursements while the Recipient is not in compliance with
the time schedule and to suspend or terminate this Award if the Recipient fails to proceed with
reasonable diligence to accomplish the Project as intended.
3. Interim Reporting of Significant Project Developments
The Recipient must promptly report any event that may have a significant impact upon the
Project, including delays or adverse conditions that may materially affect the ability of the
Recipient to attain Project objectives within established time periods or meet the development
time schedule without waiting for the next quarterly progress report. The Recipient should report
such events to the Project Officer in the most time-expedient way possible and then, if the initial
report was not in writing, report the event to the Project Officer in writing. Such a report must
include a statement of the event or issue, a statement of the course of action taken or
contemplated to resolve the matter, and any Federal assistance needed to resolve the situation. If
budget changes are required, the Recipient must submit a written budget revision request.
See 2 CFR § 200.329(e) (“Monitoring and reporting program performance”) and Part II,
section A.4. “Budget Revisions and Transfers of Funds” of these EDA Construction STCs.
4. Programmatic Changes
a. In accordance with 2 CFR § 200.308 (“Revision of budget and program plans”), the Recipient
must submit a written request for any proposed programmatic changes, including all changes
to the scope of the Award, to the Project Officer. See Part II, section A.4 “Budget Revisions
and Transfers of Funds” of these EDA Construction STCs for budget revisions that may
require the prior written approval of EDA. In these cases, the Project Officer will forward the
request to the Grants Officer, who makes the final decision on approving the request. In
addition, the Recipient must request prior written approvals for certain items of cost in
accordance with 2 CFR § 200.407 (“Prior written approval (prior approval)”).
b. Any changes made to the Project without EDA’s approval are made at the Recipient’s own
risk, and may result in disallowance of costs, suspension, termination, or other EDA action
with respect to the Award. See 13 CFR § 302.7(b) (“Amendments and changes”).
c. Contract Change Orders. After construction contracts for the Project have been executed, it
may become necessary to alter them through a formal contract change order that must be
issued by the Recipient and accepted by the contractor. All contract change orders must be
reviewed by EDA, even if EDA is not participating in the cost of the change order or the
contract price is to be reduced. Work on the Project may continue pending EDA review and
approval of the change order, but all such work will be at the Recipient’s risk as to whether
the cost of the work is eligible for EDA reimbursement. See 13 CFR § 305.13 (“Contract
change orders”).
5. Government Performance and Results Act
In addition to quarterly Project progress reports, EDA may require the Recipient to report on
Project performance beyond the end date of the period of performance for Government
Performance and Results Act (GPRA) or other purposes. In no case will the Recipient be required
to submit any GPRA report more than ten years after the date of Award closeout. Data used by the
Recipient in preparing reports must be accurate and, whenever possible, from independent
sources. See 13 CFR § 302.16 (“Accountability”).
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6. Beneficiary Compliance
In the event a beneficiary of the Project fails to comply in any manner with certifications,
assurances, or agreements that such beneficiary has entered into in accordance with EDA’s
requirements, the Recipient will reimburse EDA the Award amount or an amount to be
determined by the EDA pursuant to 13 CFR §§ 314.4 (“Unauthorized use of property”) and
314.5 (“Federal share”). When EDA determines that the failure of a beneficiary to comply with
EDA requirements affects a portion of the property benefited by the Award, the Recipient will
reimburse EDA proportionately.
7. Hold Harmless
To the maximum extent permitted by law, the Recipient agrees to indemnify and hold the
United States harmless from and against all liabilities that the United States may incur due to the
actions or omissions of the Recipient, including to the extent that such liabilities are incurred
because of toxic or hazardous contamination or groundwater, surface water, soil, or other
conditions caused by actions of the Recipient or any of its predecessors (other than the United
States or its agents) on the property. See 13 CFR § 302.19 (“Indemnification”).
8. Prohibition on Use of Third Parties to Secure Award
Unless otherwise specified in the application materials supporting this Award, the Recipient
warrants that no person or selling agency has been employed or retained to solicit or secure this
Award upon an agreement or understanding for a commission, percentage, brokerage, or
contingent fee, excepting bona fide employees, or bona fide established commercial or selling
agencies maintained by the Recipient for the purpose of securing business. For breach or
violation of this warranty, EDA has the right to terminate this Award for material noncompliance,
or at its discretion, to deduct from the Award amount, or otherwise recover, the full amount of
such commission, percentage, brokerage, or contingent fee.
9. Payment of Attorneys’ or Consultants’ Fees
No Award funds may be used, directly or indirectly, to reimburse attorneys’ or consultants’ fees
incurred in connection with obtaining an award under PWEDA, such as, for example, preparing
an application for EDA assistance. However, ordinary and reasonable attorneys’ and consultants’
fees incurred for meeting Award requirements (e.g., conducting a title search or preparing plans
and specifications) may be eligible Project costs and may be paid out of Award funds, provided
such costs are otherwise eligible. See 13 CFR § 302.10 (“Attorneys’ and consultants’ fees,
employment of expediters, and post-employment restriction”).
10. Recipient’s Duty to Refrain from Employing Certain Government Employees
a. Pursuant to section 606(2) of PWEDA (42 U.S.C. § 3216), for the two-year period beginning
on the date EDA executes this Award, any Recipient that is a nonprofit organization,
District Organization, or for-profit entity agrees that it will not employ, offer any office or
employment to, or retain for professional services any person who:
i. On the date EDA executes this Award or within the one-year period ending on that date,
served as an officer, attorney, agent, or employee of the Department, and
ii. Occupied a position or engaged in activities that the Assistant Secretary determines
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involved discretion with respect to the funding of an Award.
b. In addition to the types of Recipients noted in paragraph a. above, EDA may require another
Eligible Applicant to execute an agreement to abide by the above-described post-employment
restriction on a case-by-case basis—for example, when an institution of higher education
implements activities under or related to the Award through a separate nonprofit organization
or association.
c. The two-year period and associated restrictions referenced above also will apply beginning on
the date that EDA executes any cost amendment to this Award that provides additional funds
to the Recipient.
See also 13 CFR § 302.10 (“Attorneys’ and consultants’ fees, employment of expediters, and
post-employment restriction”).
11. Commencement of Construction
a. Delayed construction starts. If significant construction (as determined by EDA) is not
commenced within two years of the Award date or by the date estimated for start of
construction in this Award (or the expiration of any extension granted in writing by EDA),
whichever is later, this Award will be automatically suspended by a written notification
issued by the Grants Officer and may be terminated if EDA determines, after consultation
with the Recipient, that construction to completion cannot reasonably be expected to proceed
promptly and expeditiously.
b. Early construction starts. The Recipient must make a written request to EDA for early
construction start permission (that is, after the date of Award, but before EDA gives formal
approval for construction to commence). Costs incurred under a contract are only allowable
after EDA determines that the award of the contract is in compliance with all terms and
conditions of the Award. If construction commences prior to EDA’s determination, the
Recipient proceeds at its own risk until EDA’s review and concurrence. See 13 CFR § 305.11
(“Contract awards; early construction start”).
12. Project Sign and Use of EDA Logo
a. Project sign. The Recipient is responsible for constructing, erecting, and maintaining in good
condition throughout the construction period a sign (or signs) in a conspicuous place at the
Project site indicating that the Federal Government is participating in the Project. EDA will
provide specifications for the sign and may require more than one sign if site conditions so
warrant. If the EDA-recommended sign specifications conflict with State or local law, the
Recipient may modify such recommended specifications so as to comply with State or local
law. See 13 CFR § 305.12 (“Project sign”).
b. Use of EDA logo. With EDA’s prior written permission, the Recipient may use the EDA logo
to publicize the Award as well as to amplify the impact of the Award. In such cases, the EDA
logo may be displayed on Award-related materials that discuss or advertise the purpose or
use of the Project (e.g. websites, social media, fliers, pamphlets, brochures). To seek
permission to use the EDA logo, the Recipient must contact the EDA Project Officer and
provide a written description of how the Recipient proposes to use the EDA logo. In general,
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the EDA logo may be used either alone or next to Recipient’s logo. The EDA logo may not
be used to endorse a third party as interpreted at EDA’s sole discretion. The Recipient must
not use the EDA logo in a negative or defamatory manner, and the Recipient must not use the
U.S. Department of Commerce (DOC) logo. EDA may rescind such permission at any time.
13. Efficient Administration of Project
The Recipient agrees to properly and efficiently administer, operate, and maintain the Project for
its estimated useful life, as required by section 504 of PWEDA (42 U.S.C. § 3194). If EDA
determines at any time during the estimated useful life of the facility that the Project is not being
properly and efficiently administered, operated, and maintained, EDA may terminate this Award
(if it is still active) and/or may take appropriate enforcement action to protect the Federal Interest
in the Project, including requiring the Recipient to repay the Federal Share. See 13 CFR
§§ 302.12 (“Project administration, operation and maintenance”), 302.18 (“Post-approval
requirements”), and 314.2 (“Federal Interest”) through 314.5 (“Federal Share”).
14. Conflicts-of-Interest Rules
a. An “Interested Party” is defined in 13 CFR § 300.3 (“Definitions”) as “any officer, employee,
or member of the board of directors or other governing board of the Recipient, including any
other parties that advise, approve, recommend, or otherwise participate in the business
decisions of the Recipient, such as agents, advisors, consultants, attorneys, accountants, or
shareholders.” An Interested Party includes the Interested Party’s Immediate Family and other
persons directly connected to the Interested Party by law or through a business organization.
“Immediate Family” is defined in 13 CFR § 300.3 as “a person’s spouse (or domestic partner
or significant other), parents, grandparents, siblings, children and grandchildren, but does not
include distant relatives, such as cousins, unless the distant relative lives in the same
household as the person.”
b. The Recipient must disclose in writing any potential conflicts of interest to EDA or the
pass-through entity as soon as practicable after the identification of such potential conflict. In
addition, the Recipient must maintain written standards of conduct to establish safeguards to
prohibit an Interested Party from using its position for a purpose that constitutes or presents
the appearance of personal or organizational conflicts-of-interest or of personal gain in the
administration of an award. See 13 CFR § 302.17(a) and (b) (“Conflicts of interest”), 2 CFR
§ 200.112 (“Conflict of interest”), as applicable, and assurances submitted as part of the
Application, including assurances submitted through SAM.gov or via Form SF-424D
(“Assurances – Construction Projects”).
c. An Interested Party must not receive any direct or indirect financial or personal benefit in
connection with this Award or its use for payment or reimbursement of costs by or to the
Recipient. A conflict of interest generally exists when an Interested Party participates in a
matter that has a direct and predictable effect on the Interested Party's personal or financial
interests. A conflict also may exist where there is an appearance that an Interested Party's
objectivity in performing his or her responsibilities under the Project is impaired. For
example, an appearance of impairment of objectivity may result from an organizational
conflict where, because of other activities or relationships with other persons or entities, an
Interested Party is unable to render impartial assistance, services or advice to the Recipient, a
participant in the Project or to the Federal government. Additionally, a conflict of interest
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may result from non-financial gain to an Interested Party, such as benefit to reputation or
prestige in a professional field. See 13 CFR § 302.17(a) and (b).
d. Section F.01.c of the DOC Standard Terms and Conditions, which are incorporated as Part III
of these EDA Construction STCs, specifies procurement-related conflicts of interest
requirements. See also 2 CFR §§ 200.317-200.327 (“Procurement Standards”).
15. Records-Keeping Requirements
a. Records. The Recipient must maintain records that document compliance with the terms and
conditions of this Award. At a minimum, the Recipient’s records must fully disclose:
i. The amount and disposition of all EDA funding under the Award;
ii. All Project expenditures and procurement actions;
iii. The total cost of the Project that the Award funds;
iv. Copies of all reports and disbursement requests submitted to EDA;
v. The benefits/impacts of the Project, as reported through GPRA and other reports to EDA;
vi. The amount and nature of the portion of Project costs provided by non-EDA sources;
vii. Contractor compliance with applicable Federal requirements; and
viii.Such other records as EDA requires the Recipient to maintain, including such records as
will facilitate an effective audit.
b. Records retention. In general, and in accordance with 2 CFR § 200.334 (“Retention
requirements for records”), all records pertinent to this Award must be retained for a period of
three years from the date of submission of the final Project expenditure report (the final
Form SF-271 for disbursement). The only exceptions are the following:
i. If any litigation, claim, or audit is started before the expiration of the three-year period, the
records must be retained until all litigation, claims, or audit findings involving the records
have been resolved and final actions taken.
ii. When the Recipient is notified in writing by EDA, its cognizant agency for either audit or
indirect costs, its oversight agency for audit, or the relevant pass-through entity to extend
the retention period, it must retain the records as directed.
iii. Records for real property and equipment acquired with Federal funds must be retained for
three years after final disposition of the relevant real property or equipment.
iv. When records are transferred to or maintained by EDA or pass-through entity, the
three-year retention requirement is not applicable to the Recipient.
v. Records for program income transactions after the period of performance. In some cases,
Recipients must report program income after the period of performance. Where there is
such a requirement, the retention period for the records pertaining to the earning of the
program income starts from the end of the Recipient’s fiscal year in which the program
income is earned. See also Part II, section A.7 “Program Income” of these
EDA Construction STCs.
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vi. Indirect cost rate proposals and cost allocation plans. This paragraph applies to the
following types of documents and their supporting records: indirect cost rate
computations or proposals, cost allocation plans, and any similar accounting
computations of the rate at which a particular group of costs is chargeable (such as
computer usage chargeback rates or composite fringe benefit rates).
(1) If submitted for negotiation. If the proposal, plan, or other computation is required to
be submitted to the Federal Government (or to the pass-through entity) to form the
basis for negotiation of the rate, then the three-year retention period for its supporting
records starts from the date of such submission.
(2) If not submitted for negotiation. If the proposal, plan, or other computation is not
required to be submitted to the Federal Government (or to the pass-through entity) for
negotiation purposes, then the three-year retention period for the proposal, plan, or
computation and its supporting records starts from the end of the fiscal year (or other
accounting period) covered by the proposal, plan, or other computation.
c. Monitoring and reporting obligations. The Recipient is responsible for monitoring any
subrecipients and contractors to ensure their compliance with the records retention
requirements. The Recipient must immediately notify the Project Officer if records are lost.
See 2 CFR §§ 200.331 – 200.333 (“Subrecipient Monitoring and Management).
16. Termination Actions
a. In accordance with 2 CFR § 200.340 (“Termination”), this Award may be terminated in
whole or in part as follows:
i. Termination by EDA for the Recipient’s failure to comply with the terms and conditions
of the Award. EDA may terminate this Award, in whole or in part, if the Recipient fails to
comply with the Terms and Conditions of the Award, including but not limited to:
(1) Any representation made by the Recipient to the Federal awarding agency in
connection with the Application for Federal assistance is incorrect or incomplete
in any material respect;
(2) The Project has changed substantially, without EDA prior approval, so as to affect
significantly the accomplishment of the Project as intended (including an
unauthorized use of property as provided in 13 CFR § 314.4 (“Unauthorized use of
property”);
(3) The Recipient has violated commitments it made in its Application and supporting
documents or has violated any of the Terms and Conditions of the Award;
(4) The conflicts-of-interest rules at 13 CFR § 302.17 (“Conflicts of interest”) are
violated; or
(5) The Recipient fails to report immediately to EDA any change of authorized
representative acting in lieu of or on behalf of the Recipient.
See also section A.06 (Unsatisfactory Performance or Non-Compliance with Award
Provisions) of the DOC Standard Terms and Conditions, which are incorporated in Part III
of these EDA Construction STCs.
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ii. Termination by EDA when the Award no longer effectuates program goals or agency
priorities. To the greatest extent authorized by law, EDA may terminate this Award if it
no longer effectuates program goals or agency priorities.
iii. Termination by the Recipient. The Recipient may terminate this Award in whole or in
part upon by sending the EDA Grants Officer written notification setting forth the reasons
for such termination, the effective date, and, in the case of partial termination, the portion
to be terminated. However, if EDA determines in the case of partial termination that the
reduced or modified portion of the EDA Award will not accomplish the purposes for
which the EDA Award was made, EDA may terminate the Award in its entirety.
iv. Termination pursuant to Award termination provisions. EDA or the pass-through entity
may terminate this Award pursuant to termination provisions included in the Award. Any
Award-specific termination provision will be included as a specific award condition.
v. Termination upon mutual agreement. EDA and the Recipient may mutually agree to
terminate this Award in whole or in part. In such cases, EDA and the Recipient must agree
upon the termination conditions, including the effective date and, in the case of partial
termination, the portion to be terminated.
b. If the Award is wholly or partially terminated, the Recipient remains responsible for
compliance with the requirements in 2 CFR §§ 200.344 (“Closeout”) and 200.345
(“Post-closeout adjustments and continuing responsibilities”).
17. Project Closeout Procedures
a. Project Closeout. As defined at 2 CFR § 200.1, Project Closeout means the process by which
EDA determines that all applicable administrative actions and all required work of the Award
have been completed and takes actions as described at 2 CFR § 200.344 (“Closeout”). In the
context of an EDA construction award, Project Closeout generally begins with the
Recipient’s acceptance of the Project from the contractor(s).
b. Final disbursement. When Project construction and final inspection have been completed, or
substantially completed as determined by EDA, and the Recipient has accepted the Project
from the contractor(s), the Recipient can begin the Closeout process by submitting the
following documentation to EDA:
i. A request for final disbursement on an executed Form SF-271;
ii. A written certification that all costs charged against this Award (Federal and non-Federal
shares) are for eligible activities and represent allowable costs, for which there is
documentation in the Recipient’s records;
iii. An executed certificate of final acceptance signed by the Recipient and the Recipient’s
architect/engineer;
iv. The Recipient’s certification that its current audit (in accordance with subpart F of 2 CFR
part 200), if applicable, has been submitted to the Federal Audit Clearinghouse;
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v. The Recipient’s certification that its currently valid single or program-specific audit in
accordance with subpart F of 2 CFR part 200 (“Audit Requirements”), if applicable, does
not contain any material findings (if the Recipient’s currently valid audit does contain
material findings, the Recipient must submit the applicable audit preferably via e-mail to
the Project Officer, who will review with the Grants Officer); and
vi. Other documentation as may be required by EDA.
EDA will advise the Recipient of costs determined to be allowable and unallowable. If a
balance of this Award is due to the Recipient, the balance will be paid by EDA. If the
Recipient has received an amount in excess of the amount due the Recipient, the Recipient
must refund the excess to EDA. The Recipient must contact the Project Officer for refund
instructions.
As noted above, if the Recipient’s most recent audit completed pursuant to subpart F of
2 CFR part 200 contains material findings, the Recipient must submit the audit, preferably via
e-mail, to the Project Officer, who will review with the Grants Officer before final
disbursement. If e-mail is unavailable, the Recipient may submit a hardcopy version of the
audit to the Project Officer.
c. Final reporting deadline. The Recipient must submit, no later than 120 calendar days after
the end date of the period of performance, all financial, performance, and other reports as
required by the Terms and Conditions of this Award. The Grants Officer may extend the
120 calendar day submission period upon a written request from the Recipient.
d. Deadline to liquidate obligations. Unless EDA authorizes an extension, the Recipient must
liquidate all financial obligations incurred under this Award no later than 120 calendar days
after the end date of the period of performance.
e. Post-Closeout requirements. As noted above in section B.12 “Efficient Administration of
Project” of these EDA Construction STCs, after construction is completed and the Project is
closed out financially, the Recipient has an ongoing responsibility to properly administer,
operate, and maintain the Project for its estimated useful life (as determined by EDA) in
accordance with Award purposes. See 13 CFR § 302.12 (“Project administration, operation
and maintenance”). The Recipient must comply with all Award requirements and maintain
records to document such compliance, which must be made available for inspection by EDA
or other Government officials as required.
In addition, in accordance with 2 CFR § 200.345 “Post-closeout adjustments and continuing
responsibilities,” the Closeout of this Award does not affect any of the following:
i. The right of EDA to disallow costs and recover funds on the basis of a later audit or
other Project review;
ii. The Recipient’s obligation to return any funds due as a result of later corrections or
other transactions;
iii. Audit requirements per subpart F of 2 CFR part 200; and
iv. Requirements for property management and disposition, records retention, and
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performance measurement reports. See subpart D of 2 CFR part 200 (“Post
Federal Award Requirements”), as applicable.
f. GPRA reporting. As required under GPRA and in accordance with a schedule that will be
provided by EDA, the Recipient must submit additional Performance Measurement Reports,
generally three, six, and nine years after the date of the Award to accurately and completely
report the impacts of the Project, especially in terms of job creation and private investment
leveraging.
18. Freedom of Information Act
EDA is responsible for meeting its Freedom of Information Act (“FOIA”) (5 U.S.C. § 552)
responsibilities for its records. DOC regulations at 15 CFR part 4 set forth the requirements and
procedures that EDA must follow in order to make the requested material, information, and
records publicly available. Unless prohibited by law and to the extent required under the FOIA,
contents of Applications and other information submitted by applicants and Recipients may be
released in response to a FOIA request. The Recipient should be aware that EDA may make
certain Application and other submitted information publicly available. Accordingly, as set forth
in 15 CFR § 4.9 (“Confidential commercial information”), the Recipient should identify in its
Application any “business information” it believes to be protected from disclosure pursuant to
5 U.S.C. § 552(b)(4).
C. Additional Requirements Related to Construction Projects
The Recipient and any subrecipients, must, in addition to other statutory and regulatory requirements
detailed in these EDA Construction STCs and the assurances made to EDA in connection with the
Award, comply and require each of its contractors and subcontractors employed in the completion of
the Project to comply with all applicable Federal, State, territorial, and local laws, and in particular,
the following Federal laws (and the regulations issued thereunder), executive orders, OMB circulars,
OMB Uniform Guidance, and local law requirements.
1. The Davis-Bacon Act, as amended (40 U.S.C. §§ 3141–3144, 3146, 3147;
42 U.S.C. § 3212), which requires minimum wages for mechanics and laborers employed on
Federal Government public works projects to be based on the wages that the Secretary of
Labor determines to be prevailing for the corresponding classes of laborers and mechanics
employed on projects of a character similar to the contract work in the civil subdivision of the
State in which the Project is to be performed, or in the District of Columbia if the Project is to
be performed there.
2. The Contract Work Hours and Safety Standards Act, as amended (40 U.S.C.
§§ 3701-3708), which provides work hour standards for every laborer and mechanic employed
by any contractor or subcontractor in the performance of a Federal public works project.
3. The National Historic Preservation Act of 1966, as amended (54 U.S.C. § 300101 et seq.),
and the Advisory Council on Historic Preservation Guidelines (36 CFR part 800), which
require stewardship of historic properties in projects involving Federal funds.
4. Preservation of Historical and Archeological Data (54 U.S.C. § 312502), which requires
appropriate surveys and preservation efforts if a Federally licensed project may cause
21
irreparable loss or destruction of significant scientific, prehistorical, historical, or
archeological data.
5. The Architectural Barriers Act of 1968, as amended (42 U.S.C. § 4151 et seq.), and the
regulations issued thereunder, which prescribe standards for the design and construction of any
building or facility intended to be accessible to the public or that may house handicapped
employees.
6. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
as amended (42 U.S.C. § 4601 et seq.), and implementing regulations issued at 49 CFR
part 24 (“Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally Assisted Programs”), which establish uniform policies for the fair and equitable
treatment of persons, businesses, or farm operations affected by the acquisition, rehabilitation,
or demolition of real property acquired for a project financed wholly or in part with Federal
financial assistance.
7. The Energy Conservation and Production Act (42 U.S.C. § 6834 et seq.), which establishes
energy efficiency performance standards for the construction of new residential and
commercial structures undertaken with Federal financial assistance.
8. Executive Order 13717, “Seismic Safety of Federal and Federally Assisted or Regulated
New Building Construction”, which requires that new buildings constructed with Federal
assistance comply with the earthquake-resistant design provisions of the 2015 editions of the
International Building Code (IBC) or the International Residential Code (IRC), nationally
recognized building codes promulgated by the International Code Council (ICC), or
equivalent codes, consistent with the provisions of and to the extent required by 40 U.S.C.
§ 3312.
9. Compliance with Local Construction Requirements. The Recipient will comply with
current local building codes, standards, and other requirements applicable to the Project.
D. Non-Discrimination Requirements
No person in the United States shall, on the ground of race, color, national origin, handicap, age,
religion, or sex, be excluded from participation in, be denied the benefits of, or be subject to
discrimination under any program or activity receiving Federal financial assistance. In addition to the
non-discrimination requirements set forth in section G.02 “Non-Discrimination Requirements” of
the DOC Standard Terms and Conditions, which are incorporated in Part III of these Construction
STCs, the Recipient agrees to comply with Pub. L. No. 92-65, 42 U.S.C. § 3123, which proscribes
discrimination on the basis of sex in assistance provided under PWEDA.
E. Audits
1. General
a. Recipients must comply with the audit requirements set out as subpart F to 2 CFR part 200
(“Audit Requirements”). Generally, if the Recipient expends $750,000 or more in Federal
awards during the Recipient’s fiscal year, the Recipient must have a single or
program-specific audit conducted for that fiscal year. The cost of preparing the audit may be
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included in the Project budget.
b. For program specific audits, EDA’s Public Works and Economic Adjustment Assistance
programs generally have specific audit guidelines that will be incorporated into the Award
and may be found in the annual Compliance Supplement, which is Appendix XI to 2 CFR
part 200 and available on OMB’s website. When DOC does not have a program-specific
audit guide available for the program, the auditor will follow the requirements for a
program-specific audit as described in 2 CFR § 200.507 (“Program-specific audits”).
2. Requirement to Submit a Copy of the Audit to EDA
If the Recipient’s current audit required under subpart F of 2 CFR part 200
(“Audit Requirements”) contains material findings, the Recipient must submit a copy of the
audit to the Project Officer, who will review it with the Grants Officer. See also Part II,
section B.16 “Project Closeout Procedures” of these EDA Construction STCs.
See section D “Audits” of the DOC Standard Terms and Conditions, which are incorporated in
Part III of these EDA Construction STCs, for additional information related to audit requirements.
F. Tribal Employment Rights Ordinances
As set out in 31 U.S.C. § 1352, special provisions are applicable to Indian Tribes, Tribal
organizations, and other Indian organizations eligible to receive Federal contracts, grants, loans, or
cooperative agreements. In accordance with DOC policy, EDA recognizes Tribal Employment Rights
Ordinances (“TEROs”), which may provide for preferences in contracting and employment, in
connection with its financial assistance awards. Federal awards granted to American Indian and
Alaska Native Tribal governments generally may provide for preference to qualified Indians in all
aspects of employment, contracting, and other business activities, as well as the payment of a TERO
fee. The payment of the TERO fee, which supports the Tribal employment rights office to administer
the preferences, should generally be allowable as an expense that is “necessary and reasonable for
the performance of the Federal award,” as provided under 2 CFR § 200.403 (“Factors affecting
allowability of costs”).
G. EDA Contracting Provisions for Construction Projects
The Recipient must use the “EDA Contracting Provisions for Construction Projects” as guidance in
developing all construction contracts. The “EDA Contracting Provisions for Construction Projects”
lists applicable EDA and other Federal requirements for construction contracts.
H. Property
1. Standards
With respect to any property acquired or improved in whole or in part with Award funds, the
Recipient must comply with the Property Standards set forth at 2 CFR §§ 200.310 (“Insurance
coverage”) through 200.316 (“Property trust relationship”), and EDA’s regulations at
13 CFR part 314. Property acquired or improved in whole or in part by the Recipient under this
Award may consist of real property; personal property, including equipment and supplies; and
intangible property, such as money, notes, contractual rights, and security interests. Any property
reports required under 2 CFR §§ 200.310 through 200.316, such as periodic inventories and requests
for disposition instructions, must be submitted to the Grants Officer through the Project Officer on
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Form SF-428 and/or SF-429, as applicable. See also section A.01.d “Real Property, Tangible
Property and Intangible Property Reports and Requests for Dispositions” of the DOC Standard
Terms and Conditions, which are incorporated in Part III of these EDA Construction STCs.
2. Title
a. Title to equipment, supplies, and intangible property acquired in whole or in part under this
Award generally vests upon acquisition in the Recipient. The use, management and
disposition of equipment, supplies, and intangible property acquired in whole or in part under
this Award must be in accordance with 2 CFR §§ 200.313 (“Equipment”), 200.314
(“Supplies”), and 200.315 (“Intangible property”), as applicable, and EDA regulations at
13 CFR part 314. See also section C.03 “Intellectual Property Rights” of the DOC Standard
Terms and Conditions, which are incorporated in Part III of these EDA Construction STCs.
b. Title to real property acquired in whole or in part under this Award generally vests upon
acquisition in the Recipient, subject to the condition that the Recipient uses the real property
for the authorized purpose of the Project. See 2 CFR § 200.311 (“Real property”) and EDA
regulations at 13 CFR part 314.
3. EDA’s Interest in Award Property
a. General - evidence of title. As stated in Part I, section E, of these EDA Construction STCs
“Recipient as Trustee”, real property, equipment, and intangible property acquired or
improved under this Award must be held in trust by the Recipient as trustee for the public
purposes of an Award. This trust relationship exists throughout the duration of the property’s
estimated useful life, as determined by EDA, during which time EDA retains an undivided,
equitable reversionary interest in the property (“Federal Interest”). See 13 CFR § 314.2.
Before advertising for construction bids or at such other time as EDA requires, the Recipient
must furnish evidence, satisfactory in form and substance to EDA, that title to real property
required for the Project (other than property of the United States and as provided in 13 CFR
§ 314.7(c) (“Title”)) is vested in the Recipient and that such easements, rights-of-way, State or
local government occupancy or use permits, long-term leases, or other property interests or
access rights required for the Project have been or will be obtained by the Recipient within an
acceptable time, as determined by EDA. All liens, mortgages, other encumbrances,
reservations, reversionary interests, or other restrictions on title or the Recipient’s interest in
the property must be disclosed to EDA. See 13 CFR § 314.7 (“Title”). With limited
exceptions set forth at 13 CFR §§ 314.6(a) and (b) (“Encumbrances”) or as otherwise
authorized by EDA, Recipient-owned property acquired or improved in whole or in part with
Award funds must not be used to secure a mortgage or deed of trust or in any way otherwise
encumbered. See 13 CFR § 314.6.
b. Recording EDA’s Interest in Real Property.
i. For all Projects involving the acquisition, construction, or improvement of a building,
infrastructure, or other real property, as determined by EDA, the Recipient must execute
and furnish to EDA, prior to initial Award disbursement or at such other time as EDA
requires, a lien, covenant, or other statement, satisfactory to EDA in form and substance,
of EDA’s interest in the property acquired or improved in whole or in part with the funds
made available under this Award. EDA may permit such statement to be recorded after
24
initial Award disbursement in the event that grant funds are being used to acquire such
property or for authorized costs, such as design and engineering services. The statement
must specify the estimated useful life of the Project and must include the disposition,
encumbrance, and the Federal Share compensation requirements, as well as any other
requirements specified by EDA in its reasonable discretion. See 13 CFR §§ 314.1
(“Definitions”) and 314.8(a) (“Recorded statement for real property”). See also 2 CFR
§ 200.316 (“Property trust relationship”).
ii. This lien, covenant, or other statement of the Federal interest must be perfected and placed
of record in the real property records of the jurisdiction in which the property is located,
all in accordance with applicable law. EDA may require an opinion of counsel for the
Recipient to substantiate that the document was validly executed and properly recorded.
See 13 CFR § 314.8(b).
iii. Facilities in which the EDA assistance is only a small part of a larger project, as
determined by EDA, may be exempted from the requirements listed in paragraphs H.3.b.i
and ii above. See 13 CFR § 314.8(c).
iv. In extraordinary circumstances and at EDA’s discretion, EDA may choose to accept
another instrument to protect EDA’s interest in the Project property, such as an escrow
agreement or letter of credit, provided that EDA determines such instrument is adequate
and a recorded statement in accord with section H.3.b.i above is not reasonably available.
The terms and provisions of the relevant instrument must be satisfactory to EDA. The
costs and fees for escrow services or letters of credit must be paid by the Recipient.
See 13 CFR § 314.8(d).
c. Recording EDA’s Interest in Personal Property. For all Projects involving the acquisition or
improvement of significant items of equipment or other tangible personal property, including
but not limited to watercraft, motor vehicles, machinery, equipment, removable fixtures, or
structural components of buildings, the Recipient must execute a security interest, covenant, or
other statement of EDA’s reversionary interest in the personal property acceptable in form and
substance to EDA, which statement must be perfected and placed of record in accordance with
applicable law (usually accomplished by filing a Uniform Commercial Code Financing
Statement (Form UCC-1), as provided by State law), with continuances re-filed as
appropriate. EDA may require an opinion of counsel for the Recipient to substantiate that the
Form UCC-1 or other filing was validly executed and properly recorded. See 13 CFR § 314.9
(“Recorded statement for Project personal property”).
d. EDA’s Interest and the estimated useful life. The Recipient acknowledges that EDA retains
an undivided equitable reversionary interest in property acquired or improved in whole or in
part with grant funds made available through this Award throughout the estimated useful life
(as determined by EDA) of the Project, except in applicable instances set forth at 13 CFR
§ 314.7(c) (“Title”). See 13 CFR § 314.2(a) (“Federal interest”).
e. Unauthorized Use of Award Property. The Recipient agrees that if any interest in property
acquired or improved in whole or in part with Award funds is disposed of, encumbered, or
alienated in any manner, or no longer used for the authorized purposes of the Award during
the Project’s estimated useful life without EDA’s written approval, EDA will be entitled to
recover the Federal Share, as defined at 13 CFR § 314.5 (“Federal share”). Examples of
25
alienation of Award property include sale or other conveyance of the Recipient’s interest,
leasing or mortgaging the property, or granting an option for any of the foregoing.
If, during the Project’s estimated useful life, the property is no longer needed for the purposes
of the Award, as determined by EDA, EDA may permit its use for other acceptable purposes
consistent with those authorized by PWEDA and 13 CFR Chapter III. See 13 CFR § 314.3(b)
(“Authorized use of property”) or may direct the Recipient to sell the property and remit the
Federal Share of the sales proceeds to EDA. See 2 C.F.R. §§ 200.311, 200.313.
f. Calculating the Federal Share. For purposes of any lien or security interest, the amount of the
Federal Share is the portion of the current fair market value of any property (after deducting
any actual and reasonable selling and repair expenses incurred to put the property into
marketable condition) attributable to EDA’s participation in the Project. See 13 CFR § 314.5
(“Federal share”).
4. Insurance and Bonding
a. Insurance. The Recipient must, at a minimum, provide the equivalent insurance coverage for
real property and equipment acquired or improved with Federal funds as provided for
property owned by the Recipient. Federally owned property need not be otherwise insured
unless required by the Terms and Conditions of the Award. See 2 CFR § 200.310
(“Insurance coverage”).
b. Bonding. If the Award exceeds the simplified acquisition threshold as defined at 2 CFR
§ 200.1, EDA may accept the Recipient’s or subrecipient’s bonding policy and requirements
if EDA or the pass-through entity determines that the Federal Interest is adequately protected.
If not, the following minimum requirements will apply:
i. A bid guarantee from each bidder equivalent to five percent of the bid price. The “bid
guarantee” must consist of a firm commitment such as a bid bond, certified check, or
other negotiable instrument accompanying a bid as assurance that the bidder will, upon
acceptance of the bid, execute such contractual documents as may be required within the
time specified.
ii. A performance bond on the part of the contractor for 100 percent of the contract price. A
“performance bond” is one executed in connection with a contract to secure fulfillment of
all the contractor’s obligations under such contract.
iii. A payment bond on the part of the contractor for 100 percent of the contract price. A
“payment bond” is one executed in connection with a contract to ensure payment as
required by law of all persons supplying labor and material in the execution of the work
provided for in the contract. See 2 CFR § 200.326 (“Bonding requirements”).
5. Leasing Restrictions.
Leasing or renting of facilities or property is prohibited unless specifically authorized by EDA.
The Recipient agrees that any leasing or renting of any facilities or property involved in this
Project will be subject to the following:
a. That said lease arrangement is consistent with the authorized general and special purpose of
26
the Award;
b. That said lease arrangement is for adequate consideration;
c. That said lease arrangement is consistent with applicable EDA requirements concerning but
not limited to nondiscrimination and environmental compliance; and
d. That all revenue derived from said leasing arrangement shall be subject to Part II, section A.7
“Program Income” of these EDA Construction STCs.
6. Eminent Domain
The Recipient will use funds solely for the authorized purpose of the Project. Pursuant to
Executive Order 13406, “Protecting the Property Rights of the American People,” the Recipient
agrees:
a. Not to exercise any power of eminent domain available to the Recipient (including the
commencement of eminent domain proceedings) for use in connection with the Project for
the purpose of advancing the economic interests of private parties; and
b. Not to accept title to land, easements, or other interests in land acquired by the exercise of
any power of eminent domain for use in connection with the Project for such purposes.
The Recipient agrees that any use of the power of eminent domain to acquire land, easements,
or interests in land, whether by the Recipient or any other entity that has the power of eminent
domain, in connection with the Project without the prior written consent of EDA is an
unauthorized use of the Project. If the Recipient puts the Project to an unauthorized use, the
Recipient must compensate EDA for the Federal Share in accordance with 13 CFR §§ 314.4
(“Unauthorized use of property”) and 314.5 (“Federal share”), as the same may be amended
from time to time.
7. Disposal of Real Property
a. During the estimated useful life of the Project, if EDA and the Recipient determine that
property acquired or improved in whole or in part with Award funds is no longer needed for
the original purposes of this Award, EDA may, in its discretion, approve use of the property
in other Federal grant programs or in programs that have purposes consistent with those
authorized by PWEDA and 13 CFR chapter III. See 13 CFR § 314.3(b) (“Authorized use of
property”).
b. When property is not authorized for other uses as provided in section H.7.a above, EDA will
provide disposition instructions to the Recipient, which may include directing the Recipient to
sell the property and remit the Federal Share of the sales proceeds to EDA.
8. Reporting on Property.
a. Real Property status reports and requests for disposition. In accordance with 2 CFR
§ 200.330 “Reporting on real property”, the Recipient must submit reports using
Form SF-429 (Real Property Status Report), including appropriate attachments, at least
annually on the status of real property in which EDA retains an interest, which generally
includes real property acquired or improved under the award, unless such interest extends
15 years or longer. If EDA’s interest is for a period of 15 years or longer, unless otherwise
specified in a specific award condition, the Recipient must submit an annual report for the
27
first three years of the award and thereafter submit a real property status report every
five years. If the Recipient wishes to dispose of real property acquired or improved under an
EDA award, the Recipient must request disposition instructions, including the submission of
Form SF-429, with appropriate attachments, from the Grants Officer in accordance with
2 CFR 200.311(c).
b. Tangible Personal Property status reports and requests for dispositions. The Recipient must
submit periodic reports as specified in the terms of the Award using Form SF-428 (Tangible
Personal Property Report), including appropriate attachments thereto, concerning tangible
personal property that is Federally owned or tangible personal property in which EDA retains
an interest. In addition, if the Recipient wishes to dispose of tangible personal property
acquired or improved under an EDA award, the Recipient must request disposition
instructions, including the submission of Form SF-428, with appropriate attachments, from
the Grants Officer in accordance with 2 CFR 200.313(e).
See also section A.01.d of the DOC Standard Terms and Conditions, which are incorporated
in Part III of these EDA Construction STCs.
I. Environmental Requirements
1. General. In addition to the environmental statutes, executive orders, and requirements set forth
in section G.04 of the DOC Standard Terms and Conditions “Environmental Requirements,”
which are incorporated in Part III of these EDA Construction STCs, the Recipient must comply
with the following:
a. Environmental Quality Improvement Act of 1970, as amended (42 U.S.C.
§§ 4371-4375). Federally supported public works facilities and activities that affect the
environment must be implemented in compliance with policies established under existing law.
b. The Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4821 et seq.). Use of
lead-based paint in residential structures improved with Federal assistance is prohibited.
c. The Farmland Protection Policy Act (7 U.S.C. §§ 4201–4209). Projects are subject to
review under this Act if they may irreversibly directly or indirectly convert farmland,
including forest land, pastureland, cropland, or other land, to nonagricultural use.
d. The Noise Control Act of 1972 (42 U.S.C. § 4901 et seq.). Federally supported facilities and
activities must comply with Federal, State, interstate, and local requirements respecting
control and abatement of environmental noise to the same extent that any person is subject to
such requirements.
e. The Native American Graves Protection and Repatriation Act (25 U.S.C. § 3001 et seq.).
This Act provides a process for returning certain Native American cultural items to lineal
descendants, culturally affiliated Indian tribes, and Native Hawaiian organizations.
2. Compliance with Other Applicable Environmental Requirements
The Recipient agrees to promptly notify the Grants Officer in writing of any environmental
requirement or restriction, regulatory or otherwise, with which it must comply. Before Project
Closeout and final disbursement of Award funds, the Recipient further agrees to provide evidence
28
satisfactory to the Grants Officer that any required environmental remediation has been
completed: (1) in compliance with all applicable Federal, State and local regulations; and (2) in
accordance with any legally enforceable restrictions related to environmental restriction on the
property such as environmental easements, deed restrictions, no further action determinations, or
voluntary cleanup certifications. Compliance with said laws or restrictions must be included in
any contract documents for Project construction. The Recipient must certify compliance before
final disbursement of grant funds.
J. American-Made Equipment and Products
Recipients are hereby notified that they are encouraged, to the greatest extent practicable, to purchase
American-made equipment and products with funding provided under this Award.
See also section G.05.a (Buy-American Preferences) of the DOC Standard Terms and Conditions,
which are incorporated in Part III of these EDA Construction STCs.
29
PART III:
DEPARTMENT OF COMMERCE
STANDARD TERMS & CONDITIONS
The DOC Standard Terms and Conditions dated November 12, 2020 are incorporated herein by
reference herein as Part III of these EDA Construction STCs.
In the event of a conflict between Parts I or II of these EDA Construction STCs and Part III, which
incorporates the DOC Standard Terms and Conditions, Parts I and II will control.
1 2 N o v e m b e r 2 0 2 0
DEPARTMENT OF COMMERCE
FINANCIAL ASSISTANCE
STANDARD TERMS AND CONDITIONS
1 | 12 November 2020
DEPARTMENT OF COMMERCE
FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS
Table of Contents
PREFACE ....................................................................................................................................... 5
A. PROGRAMMATIC REQUIREMENTS ................................................................................ 6
.01 Reporting Requirements .................................................................................................. 6
.02 Revisions of Program Plans ............................................................................................. 8
.03 Other Federal Awards with Similar Programmatic Activities ......................................... 9
.04 Prohibition against Assignment by a Non-Federal Entity ............................................... 9
.05 Disclaimer Provisions ...................................................................................................... 9
.06 Unsatisfactory Performance or Non-Compliance with Award Provisions ...................... 9
B. FINANCIAL REQUIREMENTS .......................................................................................... 10
.01 Financial Management ................................................................................................... 10
.02 Award Payments ............................................................................................................ 10
.03 Federal and Non-Federal Sharing .................................................................................. 12
.04 Budget Changes and Transfer of Funds among Categories ........................................... 12
.05 Program Income ............................................................................................................. 13
.06 Indirect or Facilities and Administrative Costs ............................................................. 13
.07 Incurring Costs or Obligating Federal Funds Before and After the Period of
Performance ................................................................................................................... 15
.08 Tax Refunds ................................................................................................................... 16
.09 Internal Controls ............................................................................................................ 16
C. PROPERTY STANDARDS .................................................................................................. 16
.01 Standards ........................................................................................................................ 16
.02 Real and Personal Property ............................................................................................ 16
.03 Intellectual Property Rights ........................................................................................... 17
D. AUDITS ................................................................................................................................ 19
.01 Organization-Wide, Program-Specific, and Project Audits ........................................... 19
.02 Audit Resolution Process ............................................................................................... 20
E. DEBTS .................................................................................................................................. 21
.01 Payment of Debts Owed to the Federal Government .................................................... 21
.02 Late Payment Charges ................................................................................................... 21
.03 Barring Delinquent Federal Debtors from Obtaining Federal Loans or Loan Insurance
Guarantees ...................................................................................................................... 22
2 | 12 November 2020
.04 Effect of Judgment Lien on Eligibility for Federal Grants, Loans, or Programs ........... 22
F. CONFLICT OF INTEREST, CODE OF CONDUCT AND OTHER REQUIREMENTS
PERTAINING TO DOC FINANCIAL ASSISTANCE AWARDS, INCLUDING
SUBAWARD AND PROCUREMENT ACTIONS ............................................................. 22
.01 Conflict of Interest and Code of Conduct ...................................................................... 22
.02 Nonprocurement Debarment and Suspension ................................................................ 23
.03 Requirements for Subawards ......................................................................................... 23
.04 Requirements for Procurements ..................................................................................... 23
.05 Whistleblower Protections ............................................................................................. 24
.06 Small Businesses, Minority Business Enterprises and Women’s Business Enterprises 24
G. NATIONAL POLICY REQUIREMENTS ........................................................................... 25
.01 United States Laws and Regulations .............................................................................. 25
.02 Non-Discrimination Requirements ................................................................................ 25
a. Statutory Provisions ....................................................................................................... 25
b. Other Provisions............................................................................................................. 26
c. Title VII Exemption for Religious Organizations ......................................................... 27
.03 LOBBYING RESTRICTIONS ...................................................................................... 27
a. Statutory Provisions ....................................................................................................... 27
b. Disclosure of Lobbying Activities ................................................................................. 27
.04 Environmental Requirements......................................................................................... 27
a. The National Environmental Policy Act (42 U.S.C. §§ 4321 et seq.) ........................... 28
b. The National Historic Preservation Act (16 U.S.C. §§ 470 et seq.) .............................. 28
c. Executive Order 11988 (Floodplain Management) and Executive Order 11990
(Protection of Wetlands) ................................................................................................ 29
d. Clean Air Act (42 U.S.C. §§ 7401 et seq.), Federal Water Pollution Control Act (33
U.S.C. §§ 1251 et seq.) (Clean Water Act), and Executive Order 11738 (“Providing for
administration of the Clean Air Act and the Federal Water Pollution Control Act with
respect to Federal contracts, grants or loans”) ............................................................... 29
e. The Flood Disaster Protection Act (42 U.S.C. §§ 4002 et seq.) .................................... 29
f. The Endangered Species Act (16 U.S.C. §§ 1531 et seq.) ............................................. 29
g. The Coastal Zone Management Act (16 U.S.C. §§ 1451 et seq.) .................................. 29
h. The Coastal Barriers Resources Act (16 U.S.C. §§ 3501 et seq.) .................................. 30
i. The Wild and Scenic Rivers Act (16 U.S.C. §§ 1271 et seq.) ....................................... 30
j. The Safe Drinking Water Act of 1974, as amended, (42 U.S.C. §§ 300f et seq.) ......... 30
k. The Resource Conservation and Recovery Act (42 U.S.C. §§ 6901 et seq.) ................. 30
3 | 12 November 2020
l. The Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA, commonly known as Superfund) (42 U.S.C. §§ 9601 et seq.) and the
Community Environmental Response Facilitation Act (42 U.S.C. § 9601 note et seq.) 30
m. Executive Order 12898 (“Federal Actions to Address Environmental Justice in
Minority Populations and Low Income Populations”) .................................................. 30
n. The Magnuson-Stevens Fishery Conservation and Management Act (16 U.S.C. § 1801
et seq.) ............................................................................................................................ 30
o. Clean Water Act (CWA) Section 404 (33 U.S.C. § 1344) ............................................ 31
p. Rivers and Harbors Act (33 U.S.C. § 407) .................................................................... 31
q. The Migratory Bird Treaty Act (16 U.S.C. §§ 703-712), Bald and Golden Eagle
Protection Act (16 U.S.C. § 668 et seq.), and Executive Order 13186 (Responsibilities
of Federal Agencies to Protect Migratory Birds, January 10, 2001) ............................. 31
r. Executive Order 13112 (Invasive Species, February 3, 1999) ...................................... 31
s. Fish and Wildlife Coordination Act (16 U.S.C. § 661 et seq.) ...................................... 31
.05 OTHER NATIONAL POLICY REQUIREMENTS ..................................................... 32
a. Buy-American Preferences ............................................................................................ 32
b. Criminal and Prohibited Activities ................................................................................ 32
c. Drug-Free Workplace .................................................................................................... 33
d. Foreign Travel ................................................................................................................ 33
e. Increasing Seat Belt Use in the United States ................................................................ 34
f. Federal Employee Expenses and Subawards or Contracts Issued to Federal Employees
or Agencies .......................................................................................................................... 34
g. Minority Serving Institutions Initiative ......................................................................... 34
h. Research Misconduct ..................................................................................................... 35
i. Research Involving Human Subjects ............................................................................. 35
j. Care and Use of Live Vertebrate Animals ..................................................................... 36
k. Management and Access to Data and Publications ....................................................... 37
l. Homeland Security Presidential Directive ..................................................................... 38
m. Compliance with Department of Commerce Bureau of Industry and Security Export
Administration Regulations ........................................................................................... 38
n. The Trafficking Victims Protection Act of 2000 (22 U.S.C. § 7104(g)), as amended,
and the implementing regulations at 2 C.F.R. Part 175 ................................................. 40
o. The Federal Funding Accountability and Transparency Act (FFATA) (31 U.S.C. §
6101 note) ...................................................................................................................... 42
p. Recipient Integrity and Performance Matters (Appendix XII to 2 C.F.R. Part 200) ..... 47
q. Never Contract with the Enemy (2 C.F.R Part 183; 2 C.F.R. § 200.215) ..................... 49
4 | 12 November 2020
r. Prohibition on certain telecommunications and video surveillance services or
equipment (Public Law 115-232, section 889; 2 C.F.R. ⸹ 200.216) ............................. 50
s. Federal Financial Assistance Planning During a Funding Hiatus or Government
Shutdown ....................................................................................................................... 51
5 | 12 November 2020
PREFACE
This document sets out the standard terms and conditions (ST&Cs) applicable to this U.S.
Department of Commerce (DOC or Commerce) financial assistance award (hereinafter referred
to as the DOC ST&Cs or Standard Terms). A non-Federal entity 1 receiving a DOC financial
assistance award must, in addition to the assurances made as part of the application, comply and
require each of its subrecipients, contractors, and subcontractors employed in the completion of
the project to comply with all applicable statutes, regulations, executive orders (E.O.s), Office of
Management and Budget (OMB) circulars, provisions of the OMB Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards (codified at 2 C.F.R.
Part 200) (OMB Uniform Guidance), provisions of these Standard Terms, and any other terms
and conditions incorporated into this DOC financial assistance award. In addition, unless
otherwise provided by the terms and conditions of this DOC financial assistance award, Subparts
A through E of 2 C.F.R. Part 200 and the Standard Terms are applicable to for-profit entities,
foreign public entities and to foreign organizations that carry out a DOC financial assistance
award.2
This award is subject to the laws and regulations of the United States. Any inconsistency or
conflict in terms and conditions specified in the award will be resolved according to the
following order of precedence: federal laws and regulations, applicable notices published in the
Federal Register, E.O.s, OMB circulars, DOC ST&Cs, agency standard award conditions (if
any), and specific award conditions. A specific award condition may amend or take precedence
over a Standard Term on a case-by-case basis, when indicated by the specific award condition.
Some of the Standard Terms herein contain, by reference or substance, a summary of the
pertinent statutes, regulations published in the Federal Register or Code of Federal Regulations
(C.F.R.), E.O.s, OMB circulars, or the certifications and assurances provided by applicants
through Standard Forms (e.g., SF-424s) or through DOC forms (e.g. Form CD-511). To the
extent that it is a summary, such Standard Term provision is not in derogation of, or an
amendment to, any such statute, regulation, E.O., OMB circular, certification, or assurance.
1 Note that the OMB Uniform Guidance uses the term “non-Federal entity” to generally refer to an entity that carries
out a Federal award as a recipient or subrecipient. Because some of the provisions of these DOC ST&Cs apply to
recipients rather than subrecipients, or vice versa, for clarity, these DOC ST&Cs use the terms “non-Federal entity,”
“recipient,” and “subrecipient” consistent with their meanings in the OMB Uniform Guidance. In addition, the
OMB Uniform Guidance uses the term “pass-through entity” to refer to a non-Federal entity that makes a subaward.
As defined at 2 C.F.R. § 200.1:
“Non-Federal entity” is “a state, local government, Indian tribe, institution of higher education (IHE), or nonprofit
organization that carries out a Federal award as a recipient or subrecipient.”
“Recipient” is “an entity, usually but not limited to non-Federal entities, that receives a Federal award directly from
a Federal awarding agency. The term recipient does not include subrecipients or individuals that are beneficiaries of
the award.”
“Subrecipient” is “an entity, usually but not limited to non-Federal entities, that receives a subaward from a pass-
through entity to carry out part of a Federal award; but does not include an individual that is a beneficiary of such
award. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.”
“Pass-through entity” is “a non-Federal entity that provides a subaward to a subrecipient to carry out part of a
Federal program.”
2 See 2 C.F.R. § 200.1 for the definitions of “foreign public entity” and “foreign organization.”
6 | 12 November 2020
DOC commenced implementation of the Research Terms and Conditions (RT&Cs) for Federal
awards effective October 1, 2017; the RT&Cs address and implement the Uniform Guidance
issued by OMB. For awards designated on the Form CD-450 (Financial Assistance Award) as
Research, both the DOC ST&Cs and the RT&Cs as implemented by DOC apply to the award.
The RT&Cs as well as the DOC implementation statement, agency specific requirements, prior
approval matrix, subaward requirements, and national policy requirements are posted on the
National Science Foundation’s website – https://www.nsf.gov/awards/managing/rtc.jsp. The
DOC ST&Cs and the RT&Cs are generally intended to harmonize with each other; however,
where the DOC ST&Cs and the RT&Cs differ in a Research award, the RT&Cs prevail, unless
otherwise indicated in a specific award condition.
A. PROGRAMMATIC REQUIREMENTS
.01 Reporting Requirements
a. Recipients must submit all reports as required by DOC, electronically or, if unable to
submit electronically, in hard copy, as outlined below and as may be supplemented by the terms
and conditions of a specific DOC award.
b. Performance (Technical) Reports. Recipients must submit performance (technical)
reports to the Program Officer. Performance (technical) reports should be submitted in the same
frequency as the Form SF-425 (Federal Financial Report), unless otherwise directed by the
Grants Officer.
1. Performance (technical) reports must contain the information prescribed in 2 C.F.R. §
200.329 (Monitoring and reporting program performance), unless otherwise specified in the
award conditions.
2. As appropriate and in accordance with the format provided by the Program Officer (or
other OMB-approved information collections, including the Research Program Performance
Report [RPPR] as adopted by DOC for use in research awards), recipients are required to
relate financial data to the performance accomplishments of this Federal award. When
applicable, recipients must also provide cost information to demonstrate cost effective
practices (e.g., through unit cost data). The recipient’s performance will be measured in a
way that will help DOC to improve program outcomes, share lessons learned, and spread the
adoption of best or promising practices. As described in 2 C.F.R. § 200.211 (Information
contained in a Federal award), DOC will identify the timing and scope of expected
performance by the recipient as related to the outcomes intended to be achieved by the
Federal program.
3. Recipients (or pass-through entities as applicable) must submit a final performance report
within 120 calendar days after the expiration of the period of performance. The subrecipient
is required to submit its final performance report to the pass-through entity within 90
calendar days unless an extension has been granted.
7 | 12 November 2020
c. Financial Reports. In accordance with 2 C.F.R. § 200.328 (Financial reporting), the
recipient must submit a Form SF-425 (Federal Financial Report) or any successor form on a
semi-annual basis for the periods ending March 31 and September 30, or any portion thereof,
unless otherwise specified in a specific award condition. Reports must be submitted to DOC as
directed by the Grants Officer, in accordance with the award conditions and are due no later than
30 calendar days following the end of each reporting period. Recipients (or pass-through entities
as applicable) must submit a final Form SF-425 within 120 calendar days after the expiration of
the period of performance. The subrecipient is required to submit its financial report to the pass-
through entity within 90 calendar days unless an extension has been granted. A recipient may
submit a final financial report in lieu of an interim financial report due at the end of the period of
performance (e.g., in lieu of submitting a financial report for the last semi-annual or other
reporting under an award, a recipient may submit a final (cumulative) financial report covering
the entire award period).
d. Real Property, Tangible Personal Property and Intangible Property Reports and Requests
for Dispositions. Unless otherwise required by the terms and conditions of a DOC financial
assistance award, where real property, tangible personal property or intangible property is
acquired or improved (in the case of real property or tangible personal property), or produced or
acquired (in the case of intangible property), pursuant to a DOC award, non-Federal entities are
required to submit the following real property, tangible personal property and intangible property
reports (as appropriate):
1. Real Property Status Reports and Requests for Dispositions: Non-Federal entities must
submit reports using Form SF-429 (Real Property Status Report) or any successor form,
including appropriate attachments thereto, at least annually disclosing the status of real
property that is Federally-owned property or real property in which the Federal Government
retains a Federal Interest, unless the Federal Interest in the real property extends 15 years or
longer. In cases where the Federal Interest attached is for a period of 15 years or more, the
DOC or pass-through entity, at its option, may require the non-Federal entity to report at
various multi-year frequencies (e.g., every two years or every three years, not to exceed a
five-year reporting period; or, the DOC or pass-through entity may require annual reporting
for the first three years of a Federal award and thereafter require reporting every five years).
In addition, DOC or a pass-through entity may require a non-Federal entity to submit Form
SF-429, with appropriate attachments, relating to a non-Federal entity’s request to acquire,
improve or contribute real property under a DOC financial assistance award.
Non-Federal entities wishing to dispose of real property acquired or improved, in whole or in
part, pursuant to a DOC award must request disposition instructions, including the
submission of Form SF-429, with appropriate attachments, from the Grants Officer in
accordance with the requirements set forth in 2 C.F.R. § 200.311(c). See also the real
property standards set forth in Section C. of these Standard Terms (Property Standards).
2. Tangible Personal Property Status Reports and Requests for Dispositions: DOC or a
pass-through entity may also require a non-Federal entity to submit periodic reports using
Form SF-428 (Tangible Personal Property Report) or any successor form, including
appropriate attachments thereto, concerning tangible personal property that is Federally-
owned or tangible personal property in which the Federal Government retains an interest. In
8 | 12 November 2020
addition, DOC or a pass-through entity may require a non-Federal entity to submit Form SF-
428 in connection with a non-Federal entity’s request to dispose of tangible personal property
acquired under a DOC financial assistance award. Non-Federal entities wishing to dispose of
tangible personal property acquired or improved, in whole or in part, pursuant to a DOC
award must request disposition instructions, including the submission of Form SF-428, with
appropriate attachments, from the Grants Officer in accordance with the requirements set
forth in 2 C.F.R. § 200.313(e). See also the tangible property standards set forth in Section
C. of these Standard Terms (Property Standards).
3. Intangible Property Status Reports and Requests for Dispositions: The specific
requirements governing the development, reporting, and disposition of rights to intangible
property, including inventions and patents resulting from DOC awards, are set forth in 37
C.F.R. Part 401, which is hereby incorporated by reference into this award. Non-Federal
entities are required to submit their disclosures, elections, and requests for waiver from any
requirement for substantial U.S. manufacture, electronically using the Interagency Edison
extramural invention reporting system (iEdison) at www.iedison.gov. Non-Federal entities
may obtain a waiver of this electronic submission requirement by providing to the Grants
Officer compelling reasons for allowing the submission of paper reports. When no longer
needed for the originally authorized purpose, disposition of the intangible property must
occur in accordance with the provisions in 2 C.F.R. § 200.313(e). See also the intangible
property standards set forth in Section C. of these Standard Terms (Property Standards).
e. Subawards and Executive Compensation Reports. For reporting requirements on
subawards and Executive Compensation, see paragraph G.05.o of these Standard Terms (The
Federal Funding Accountability and Transparency Act (FFATA) (31 U.S.C. § 6101 note)).
f. Recipient Integrity and Performance Matters. For reporting requirements pertaining to
integrity and performance matters, see paragraph G.05.p of these Standard Terms (Recipient
Integrity and Performance Matters (Appendix XII to 2 C.F.R. Part 200)).
g. Research Performance Progress Reports. All research awards shall submit the Research
Performance Progress Report (RPPR) in accordance with instructions set forth in the following
link: RPPR Instructions.
.02 Revisions of Program Plans
In accordance with 2 C.F.R. § 200.308 (Revision of budget and program plans) and 2 C.F.R.
§ 200.407 (Prior written approval (prior approval)), the recipient must obtain prior written
approval from the DOC Grants Officer for certain proposed programmatic change requests,
unless otherwise provided by the terms and conditions of a DOC award. Requests for prior
approval for changes to program plans must be submitted to the Federal Program Officer (or
electronically for awards administered through Grants Online). Requests requiring prior DOC
approval are not effective unless and until approved in writing by the DOC Grants Officer.
9 | 12 November 2020
.03 Other Federal Awards with Similar Programmatic Activities
The recipient must immediately provide written notification to the DOC Program Officer and
the DOC Grants Officer if, subsequent to receipt of the DOC award, other financial assistance is
received to support or fund any portion of the scope of work incorporated into the DOC award.
DOC will not pay for costs that are funded by other sources.
.04 Prohibition against Assignment by a Non-Federal Entity
A non-Federal entity must not transfer, pledge, mortgage, assign, encumber or hypothecate a
DOC financial assistance award or subaward, or any rights to, interests therein or claims arising
thereunder, to any party or parties, including but not limited to banks, trust companies, other
financing or financial institutions, or any other public or private organizations or individuals
without the express prior written approval of the DOC Grants Officer or the pass-through entity
(which, in turn, may need to obtain prior approval from the DOC Grants Officer).
.05 Disclaimer Provisions
a. The United States expressly disclaims all responsibility or liability to the non-Federal
entity or third persons (including but not limited to contractors) for the actions of the non-Federal
entity or third persons resulting in death, bodily injury, property damages, or any other losses
resulting in any way from the performance of this award or any subaward, contract, or
subcontract under this award.
b. The acceptance of this award or any subaward by the non-Federal entity does not in any
way constitute an agency relationship between the United States and the non-Federal entity or
the non-Federal entity’s contractors or subcontractors.
.06 Unsatisfactory Performance or Non-Compliance with Award Provisions
a. Failure to perform the work in accordance with the terms of the award and maintain
satisfactory performance as determined by DOC may result in the imposition of additional award
conditions pursuant to 2 C.F.R. § 200.208 (Specific conditions) or other appropriate enforcement
action as specified in 2 C.F.R. § 200.339 (Remedies for noncompliance).
b. Failure to comply with the provisions of an award will be considered grounds for
appropriate enforcement action pursuant to 2 C.F.R. § 200.339 (Remedies for noncompliance),
including but not limited to: the imposition of additional award conditions in accordance with 2
C.F.R. § 200.208 (Specific conditions); temporarily withholding award payments pending the
correction of the deficiency; changing the payment method to reimbursement only; the
disallowance of award costs and the establishment of an accounts receivable; wholly or partially
suspending or terminating an award; initiating suspension or debarment proceedings in
accordance with 2 C.F.R. Parts 180 and 1326; and such other remedies as may be legally
available.
c. 2 C.F.R. §§ 200.340 (Termination) through 200.343 (Effects of suspension and
termination) apply to an award that is terminated prior to the end of the period of performance
10 | 12 November 2020
due to the non-federal entity’s material failure to comply with the award terms and conditions.
In addition, the failure to comply with the provisions of a DOC award may adversely impact the
availability of funding under other active DOC or Federal awards and may also have a negative
impact on a non-Federal entity’s eligibility for future DOC or Federal awards.
B. FINANCIAL REQUIREMENTS
.01 Financial Management
a. In accordance with 2 C.F.R. § 200.302(a) (Financial Management), each State must
expend and account for the Federal award in accordance with State laws and procedures for
expending and accounting for the State’s own funds. In addition, the State’s and any other non-
Federal entity’s financial management systems, including records documenting compliance with
Federal statutes, regulations, and the terms and conditions of the Federal award, must be
sufficient to permit the preparation of reports required by general and program-specific terms
and conditions; and the tracing of funds to a level of expenditures adequate to establish that such
funds have been used in accordance with Federal statutes, regulations, and the terms and
conditions applicable to the Federal award. See also 2 C.F.R. § 200.450 (Lobbying) for
additional management requirements to verify that Federal funds are not used for unallowable
lobbying costs.
b. The financial management system of each non-Federal entity must provide all
information required by 2 C.F.R. § 200.302(b). See also 2 C.F.R. §§ 200.334 (Retention
requirements for records); 200.335 (Requests for transfer of records); 200.336 (Methods for
collection, transmission and storage of information); 200.337 (Access to records); and 200.338
(Restrictions on public access to records).
.02 Award Payments
a. Consistent with 2 C.F.R. § 200.305(a) (Federal payment), for States, payments are
governed by Treasury-State Cash Management Improvement Act (CMIA) agreements and
default procedures codified at 31 C.F.R. Part 205 (Rules and Procedures for Efficient Federal-
State Funds Transfers) and Treasury Financial Manual Volume I, 4A-2000 (Overall Disbursing
Rules for All Federal Agencies).
b. Consistent with 2 C.F.R. § 200.305(b), for non-Federal entities other than States,
payment methods must minimize the amount of time elapsing between the transfer of funds from
the U.S. Treasury or the pass-through entity and the disbursement by the non-Federal entity.
1. The Grants Officer determines the appropriate method of payment and, unless otherwise
stated in a specific award condition, the advance method of payment must be authorized.
Advances must be limited to the minimum amounts needed and be timed to be in accordance
with the actual, immediate cash requirements of the non-Federal entity in carrying out the
purpose of the approved program or project. Unless otherwise provided by the terms and
conditions of a DOC award, non-Federal entities must time advance payment requests so that
Federal funds are on hand for a maximum of 30 calendar days before being disbursed by the
11 | 12 November 2020
non-Federal entity for allowable award costs.
2. If a non-Federal entity demonstrates an unwillingness or inability to establish procedures
that will minimize the time elapsing between the transfer of funds and disbursement by the
non-Federal entity or if a non-Federal entity otherwise fails to continue to qualify for the
advance method of payment, the Grants Officer or the pass-through entity may change the
method of payment to reimbursement only.
c. Unless otherwise provided for in the award terms, payments from DOC to recipients
under this award will be made using the Department of Treasury’s Automated Standard
Application for Payment (ASAP) system. Under the ASAP system, payments are made through
preauthorized electronic funds transfers directly to the recipient’s bank account, in accordance
with the requirements of the Debt Collection Improvement Act of 1996. To receive payments
under ASAP, recipients are required to enroll with the Department of Treasury, Financial
Management Service, Regional Financial Centers, which allows them to use the on-line and
Voice Response System (VRS) method of withdrawing funds from their ASAP established
accounts. The following information will be required to make withdrawals under ASAP:
1. ASAP account number – the Federal award identification number found on the cover
sheet of the award;
2. Agency Location Code (ALC); and
3. Region Code.
d. Recipients enrolled in the ASAP system do not need to submit a Form SF-270 (Request
for Advance or Reimbursement) for payments relating to their award. Awards paid under the
ASAP system will contain a specific award condition, clause, or provision describing enrollment
requirements and any controls or withdrawal limits set in the ASAP system.
e. When the Form SF-270 or successor form is used to request payment, the recipient must
submit the request no more than monthly, and advances must be approved for periods to cover
only expenses reasonably anticipated over the next 30 calendar days. Prior to receiving
payments via the Form SF-270, the recipient must complete and submit to the Grants Officer the
Form SF-3881 (ACH Vendor Miscellaneous Payment Enrollment Form) or successor form along
with the initial Form SF-270. Form SF-3881 enrollment must be completed before the first
award payment can be made via a Form SF-270 request.
f. The Federal award identification number must be included on all payment-related
correspondence, information, and forms.
g. Non-Federal entities receiving advance award payments must adhere to the depository
requirements set forth in 2 C.F.R. §§ 200.305(b)(7) through (b)(11). Interest amounts up to $500
per non-Federal entity’s fiscal year may be retained by the non-Federal entity for administrative
expenses.
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.03 Federal and Non-Federal Sharing
a. Awards that include Federal and non-Federal sharing incorporate a budget consisting of
shared allowable costs If actual allowable costs are less than the total approved budget, the
Federal and non-Federal cost shares must be calculated by applying the approved Federal and
non-Federal cost share ratios to actual allowable costs. If actual allowable costs exceed the total
approved budget, the Federal share must not exceed the total Federal dollar amount authorized
by the award.
b. The non-Federal share, whether in cash or third-party in-kind contributions, is to be paid
out at the same general rate as the Federal share. Exceptions to this requirement may be granted
by the Grants Officer based on sufficient documentation demonstrating previously determined
plans for, or later commitment of, cash or third-party in-kind contributions. In any case, the
recipient must meet its cost share commitment as set forth in the terms and conditions of the
award; failure to do so may result in the assignment of specific award conditions or other further
action as specified in Standard Term A.06 (Unsatisfactory Performance or Non-Compliance with
Award Provisions). The non-Federal entity must create and maintain sufficient records
justifying all non-Federal sharing requirements to facilitate questions and audits; see Section D
of these Standard Terms (Audits), for audit requirements. See 2 C.F.R. § 200.306 for additional
requirements regarding cost sharing.
.04 Budget Changes and Transfer of Funds among Categories
a. Recipients are required to report deviations from the approved award budget and request
prior written approval from DOC in accordance with 2 C.F.R. § 200.308 (Revision of budget and
program plans) and 2 C.F.R. § 200.407 (Prior written approval (prior approval)). Requests for
such budget changes must be submitted to the Grants Officer (or electronically for awards
serviced through Grants Online) who will notify the recipient of the final determination in
writing. Requests requiring prior DOC approval do not become effective unless and until
approved in writing by the DOC Grants Officer.
b. In accordance with 2 C.F.R. § 200.308(f), transfers of funds by the recipient among direct
cost categories are permitted for awards in which the Federal share of the project is equal to or
less than the simplified acquisition threshold. For awards in which the Federal share of the
project exceeds the simplified acquisition threshold, transfers of funds among direct cost
categories must be approved in writing by the Grants Officer when the cumulative amount of
such direct costs transfers exceeds 10 percent of the total budget as last approved by the Grants
Officer. The 10 percent threshold applies to the total Federal and non-Federal funds authorized
by the Grants Officer at the time of the transfer request. This is the accumulated amount of
Federal funding obligated to date by the Grants Officer along with any non-Federal share. The
same requirements apply to the cumulative amount of transfer of funds among programs,
functions, and activities. This transfer authority does not authorize the recipient to create new
budget categories within an approved budget without Grants Officer approval. Any transfer that
causes any Federal appropriation, or part thereof, to be used for an unauthorized purpose is not
and will not be permitted. In addition, this provision does not prohibit the recipient from
requesting Grants Officer approval for revisions to the budget. See 2 C.F.R. § 200.308 (Revision
13 | 12 November 2020
of budget and program plans) (as applicable) for specific requirements concerning budget
revisions and transfer of funds between budget categories.
.05 Program Income
Unless otherwise indicated in the award terms, program income may be used for any required
cost sharing or added to the project budget, consistent with 2 C.F.R. § 200.307 (Program
income).
.06 Indirect or Facilities and Administrative Costs
a. Indirect costs (or facilities and administration costs (F&A)) for major institutions of
higher education and major nonprofit organizations can generally be defined as costs incurred for
a common or joint purpose benefitting more than one cost objective, and not readily assignable
to the cost objectives specifically benefited, without effort disproportionate to the results
achieved. Indirect costs will not be allowable charges against an award unless permitted under
the award and specifically included as a line item in the award’s approved budget.
b. Unrecovered indirect costs, including unrecovered indirect costs on cost sharing or
matching, may be included as part of cost sharing or matching as allowed under 2 C.F.R. §
200.306(c) (Cost sharing or matching) or the terms and conditions of a DOC award.
c. Cognizant Agency for Indirect (F&A) Costs. OMB established the cognizant agency
concept, under which a single agency represents all others in dealing with non-Federal entities in
common areas. The cognizant agency for indirect costs reviews and approves non-Federal
entities’ indirect cost rates. In accordance with Appendices III – VII to 2 C.F.R. Part 200 the
cognizant agency for indirect costs reviews and approves non-Federal entities’ indirect cost rates.
With respect to for-profit organizations, the term cognizant Federal agency generally is defined
as the agency that provides the largest dollar amount of negotiated contracts, including options.
See 48 C.F.R. § 42.003. If the only Federal funds received by a commercial organization are
DOC award funds, then DOC becomes the cognizant Federal agency for indirect cost
negotiations.
1. General Review Procedures Where DOC is the Cognizant Agency.
i. Within 90 calendar days of the award start date, the recipient must submit to the
Grants Officer any documentation (indirect cost proposal, cost allocation plan, etc.)
necessary to allow DOC to perform the indirect cost rate proposal review. Below are two
sources available for guidance on how to put an indirect cost plan together:
(A) Department of Labor: https://www.dol.gov/oasam/boc/dcd/np-comm-guide.htm
or
(B) Department of the Interior: https://www.doi.gov/ibc/services/finance/indirect-
Cost-Services/.
ii. The recipient may use the rate proposed in the indirect cost plan as a provisional rate
until the DOC provides a response to the submitted plan.
14 | 12 November 2020
iii. The recipient is required to annually submit indirect cost proposals no later than six
months after the recipient’s fiscal year end, except as otherwise provided by 2 C.F.R. §
200.414(g).
2. When DOC is not the oversight or cognizant Federal agency, the recipient must provide
the Grants Officer with a copy of a negotiated rate agreement or a copy of the transmittal
letter submitted to the cognizant or oversight Federal agency requesting a negotiated rate
agreement within 30 calendar days of receipt of a negotiated rate agreement or submission of
a negotiated rate proposal.
3. If the recipient is proposing indirect costs as part of a project budget, but is not required
to have a negotiated rate agreement pursuant to 2 C.F.R. Part 200, Appendix VII, Paragraph
D.1.b (i.e., a governmental department or agency that receives $35 million or less in direct
Federal funding), the recipient may be required to provide the Grants Officer with a copy of
its Certificate of Indirect Costs as referenced in 2 C.F.R. Part 200, Appendix VII, Paragraph
D.3. or such other documentation, acceptable in form and substance to the Grants Officer,
sufficient to confirm that proposed indirect costs are calculated and supported by
documentation in accordance with 2 C.F.R. Part 200, Appendix VII. In cases where the
DOC is the recipient’s cognizant Federal agency, the DOC reserves the right, pursuant to 2
C.F.R. Part 200, Appendix VII, Paragraph D.1.b, to require the recipient to submit its indirect
cost rate proposal for review by DOC.
d. If the recipient fails to submit required documentation to DOC within 90 calendar days of
the award start date, the Grants Officer may amend the award to preclude the recovery of any
indirect costs under the award. If the DOC, oversight, or cognizant Federal agency determines
there is a finding of good and sufficient cause to excuse the recipient’s delay in submitting the
documentation, an extension of the 90-day due date may be approved by the Grants Officer.
e. The maximum dollar amount of allocable indirect costs for which DOC will reimburse
the recipient is the lesser of:
1. The line item amount for the Federal share of indirect costs contained in the approved
award budget, including all budget revisions approved in writing by the Grants Officer; or
2. The Federal share of the total indirect costs allocable to the award based on the indirect
cost rate approved by the cognizant agency for indirect costs and applicable to the period in
which the cost was incurred, in accordance with 2 C.F.R 200 Appendix III, C.7, provided
that the rate is approved on or before the award end date.
f. In accordance with 2 CFR § 200.414(c)(3), DOC set forth policies, procedures, and
general decision-making criteria for deviations from negotiated indirect cost rates. These
policies and procedures are applicable to all Federal financial assistance programs awarded and
administered by DOC bureaus as Federal awarding agencies and may be found at
http://www.osec.doc.gov/oam/grants_management/policy/documents/FAM%202015-02.pdf.
15 | 12 November 2020
g. In accordance with 2 CFR § 200.414(g), any non-Federal entity that has a negotiated
indirect cost rate may apply to the entity’s cognizant agency for indirect costs for a one-time
extension of a currently negotiated indirect cost rate for a period of up to four years, reducing the
frequency of rate calculations and negotiations between an institution and its cognizant agency.
h. In accordance with 2 CFR § 200.414(f), any non-Federal entity that does not have a
current negotiated (including provisional) rate, except for those non-Federal entities described in
paragraph D.1.b of Appendix VII to 2 CFR Part 200, may elect to charge a de minimis rate of 10
percent of modified total direct costs. No documentation is required to justify the 10 percent de
minimis indirect cost rate.
.07 Incurring Costs or Obligating Federal Funds Before and After the Period
of Performance
a. In accordance with 2 C.F.R. § 200.309 (Modifications to Period of Performance) and the
terms and conditions of a DOC award, a non-Federal entity may charge to the Federal award
only allowable costs incurred during the period of performance, which is established in the
award document. As defined at 2 C.F.R. § 200.1, the “period of performance” means the total
estimated time interval between the start of an initial Federal award and the planned end date,
which may include one or more funded portions, or budget periods. Identification of the Period
of Performance in the Federal award per § 200.211(b)(5) does not commit the awarding agency
to fund the award beyond the currently approved budget period.” The period of performance
may sometimes be referred to as the project period or award period. This Standard Term is
subject to exceptions for allowable costs pertaining to: (i) pre-award costs (see 2 C.F.R. §
200.458); (ii) publication and printing costs (see 2 C.F.R. § 200.461); and administrative costs
incurred relating to the close-out of an award (see 2 C.F.R. § 200.344).
b. Reasonable, necessary, allowable and allocable administrative award closeout costs are
authorized for a period of up to 120 calendar days following the end of the period of
performance. For this purpose, award closeout costs are those strictly associated with close-out
activities and are typically limited to the preparation of final progress, financial, and required
project audit reports, unless otherwise approved in writing by the Grants Officer. A non-Federal
entity may request an extension of the 120-day closeout period, as provided in 2 C.F.R. §
200.344 (Closeout).
c. Unless authorized by a specific award condition, any extension of the period of
performance may only be authorized by the Grants Officer in writing. This is not a delegable
authority. Verbal or written assurances of funding from anyone other than the Grants Officer
does not constitute authority to obligate funds for programmatic activities beyond the end of the
period of performance.
d. The DOC has no obligation to provide any additional prospective funding. Any
amendment of the award to increase funding and to extend the period of performance is at the
sole discretion of DOC.
16 | 12 November 2020
.08 Tax Refunds
The non-Federal entity shall contact the Grants Officer immediately upon receipt of the
refund of any taxes, including but not limited to Federal Insurance Contributions Act (FICA)
taxes, Federal Unemployment Tax Act (FUTA) taxes, or Value Added Taxes (VAT) that were
allowed as charges to a DOC award, regardless of whether such refunds are received by the non-
Federal entity during or after the period of performance. The Grants Officer will provide written
disposition instructions to the non-Federal entity, which may include the refunded taxes being
credited to the award as either a cost reduction or a cash refund, or may allow the non-Federal
entity to use such refunds for approved activities and costs under a DOC award. See 2 C.F.R. §
200.470 (Taxes (including Value Added Tax)).
.09 Internal Controls
Each recipient must comply with standards for internal controls described at 2 C.F.R. §
200.303 (Internal controls). The “Standards for Internal Control in the Federal Government”
issued by the Comptroller General of the United States referenced in § 200.303 are available
online at http://www.gao.gov/assets/80/76455.pdf and the “Internal Control Integrated
Framework” issued by the Committee of Sponsoring Organizations of the Treadway
Commission (COSO) is available online at Internal Control Guidance.
C. PROPERTY STANDARDS
.01 Standards
Each non-Federal entity must comply with the Property Standards set forth in 2 C.F.R. §§
200.310 (Insurance coverage) through 200.316 (Property trust relationship).
.02 Real and Personal Property
a. In accordance with 2 C.F.R. § 200.316 (Property trust relationship), real property,
equipment, and other personal property acquired or improved with a Federal award must be held
in trust by the non-Federal entity as trustee for the beneficiaries of the project or program under
which the property was acquired or improved. This trust relationship exists throughout the
duration of the property’s estimated useful life, as determined by the Grants Officer in
consultation with the Program Office, during which time the Federal Government retains an
undivided, equitable reversionary interest in the property (Federal Interest). During the duration
of the Federal Interest, the non-Federal entity must comply with all use and disposition
requirements and restrictions as set forth in 2 C.F.R. §§ 200.310 (Insurance coverage) through
200.316 (Property trust relationship), as applicable, and in the terms and conditions of the
Federal award.
b. The Grants Officer may require a non-Federal entity to execute and to record (as
applicable) a statement of interest, financing statement (form UCC-1), lien, mortgage or other
public notice of record to indicate that real or personal property acquired or improved in whole
or in part with Federal funds is subject to the Federal Interest, and that certain use and disposition
17 | 12 November 2020
requirements apply to the property. The statement of interest, financing statement
(Form UCC 1), lien, mortgage or other public notice must be acceptable in form and substance to
the DOC and must be placed on record in accordance with applicable State and local law, with
continuances re-filed as appropriate. In such cases, the Grants Officer may further require the
non-Federal entity to provide the DOC with a written statement from a licensed attorney in the
jurisdiction where the property is located, certifying that the Federal Interest has been protected,
as required under the award and in accordance with applicable State and local law. The
attorney’s statement, along with a copy of the instrument reflecting the recordation of the Federal
Interest, must be returned to the Grants Officer. Without releasing or excusing the non-Federal
entity from these obligations, the non-Federal entity, by execution of the financial assistance
award or by expending Federal financial assistance funds (in the case of a subrecipient),
authorizes the Grants Officer and/or program office to file such notices and continuations as it
determines to be necessary or convenient to disclose and protect the Federal Interest in the
property. The Grants Officer may elect not to release any or a portion of the Federal award
funds until the non-Federal entity has complied with this provision and any other applicable
award terms or conditions, unless other arrangements satisfactory to the Grants Officer are made.
.03 Intellectual Property Rights
a. General. The rights to any work or other intangible property produced or acquired under
a Federal award are determined by 2 C.F.R. § 200.315 (Intangible property). The non-Federal
entity owns any work produced or purchased under a Federal award subject to the DOC’s
royalty-free, nonexclusive, and irrevocable right to obtain, reproduce, publish, or otherwise use
the work or authorize others to receive, reproduce, publish, or otherwise use the work for
Government purposes.
b. Inventions. Unless otherwise provided by law, the rights to any invention made by a
non-Federal entity under a DOC financial assistance award are determined by the Bayh-Dole
Act, Pub. L. No. 96-517, as amended, and as codified in 35 U.S.C. § 200 et seq., and modified by
E.O. 12591 (52 FR 13414), as amended by E.O. 12618 (52 FR 48661). 35 U.S.C. § 201(h)
defines “small business firm” as “a small business concern as defined at section 2 of Public Law
85–536 (15 U.S.C. 632) and implementing regulations of the Administrator of the Small
Business Administration.” Section 1(b)(4) of E.O. 12591 extended the Bayh-Dole Act to non-
Federal entities “regardless of size” to the extent permitted by law. The specific requirements
governing the development, reporting, and disposition of rights to inventions and patents
resulting from Federal awards are described in more detail in 37 C.F.R. Part 401, which
implements 35 U.S.C. 202 through 204 and includes standard patent rights clauses in 37 C.F.R. §
401.14, which is hereby incorporated by reference into this award.
The Bayh-Dole regulations set forth in 37 C.F.R. parts 401 and 404 were amended by 83 FR
15954, with an effective date of May 14, 2018 (Amended Bayh-Dole Regulations). The
Amended Bayh-Dole Regulations apply to all new financial assistance awards issued on or after
May 14, 2018. The Amended Bayh-Dole Regulations do not apply to financial assistance
awards issued prior to May 14, 2018, including amendments made to such awards, unless an
award amendment includes a specific condition incorporating the Amended Bayh-Dole
Regulations into the terms and conditions of the subject award.
18 | 12 November 2020
1. Ownership. A non-Federal entity may have rights to inventions in accordance with 37
C.F.R. Part 401. These requirements are technical in nature and non-Federal entities are
encouraged to consult with their Intellectual Property counsel to ensure the proper
interpretation of and adherence to the ownership rules. Unresolved questions pertaining to a
non-Federal entities’ ownership rights may further be addressed to the Grants Officer.
2. Responsibilities - iEdison. The non-Federal entity must comply with all the requirements
of the standard patent rights clause and 37 C.F.R. Part 401, including the standard patent
rights clause in 37 C.F.R. § 401.14. Non-Federal entities are required to submit their
disclosures, elections, and requests for waiver from any requirement for substantial U.S.
manufacture, electronically using the Interagency Edison extramural invention reporting
system (iEdison) at www.iedison.gov. Non-Federal entities may obtain a waiver of this
electronic submission requirement by providing the Grants Officer with compelling reasons
for allowing the submission of paper reports.
c. Patent Notification Procedures. Pursuant to E.O. 12889 (58 FR 69681), the DOC is
required to notify the owner of any valid patent covering technology whenever the DOC or a
non-Federal entity, without making a patent search, knows (or has demonstrable reasonable
grounds to know) that technology covered by a valid United States patent has been or will be
used without a license from the owner. To ensure proper notification, if the non-Federal entity
uses or has used patented technology under this award without a license or permission from the
owner, the non-Federal entity must notify the Grants Officer.
This notice does not constitute authorization or consent by the Government to any copyright or
patent infringement occurring under the award.
d. A non-Federal entity may copyright any work produced under a Federal award, subject to
the DOC’s royalty-free, nonexclusive, and irrevocable right to obtain, reproduce, publish, or
otherwise use the work, or authorize others to do so for Government purposes. Works jointly
authored by DOC and non-Federal entity employees may be copyrighted, but only the part of
such works authored by the non-Federal entity is protectable in the United States because, under
17 U.S.C. § 105, copyright protection is not available within the United States for any work of
the United States Government. On occasion and as permitted under 17 U.S.C. § 105, DOC may
require the non-Federal entity to transfer to DOC a copyright in a particular work for
Government purposes or when DOC is undertaking primary dissemination of the work.
e. Freedom of Information Act (FOIA). In response to a FOIA request for research data
relating to published research findings (as defined by 2 C.F.R. § 200.315(e)(2)) produced under a
Federal award that were used by the Federal government in developing an agency action that has
the force and effect of law, the DOC will request, and the non-Federal entity must provide,
within a reasonable time, the research data so that they can be made available to the public
through the procedures established under the FOIA.
19 | 12 November 2020
D. AUDITS
Under the Inspector General Act of 1978, as amended, 5 U.S.C. App. 3, §§ 1 et seq., an audit
of the award may be conducted at any time. The Inspector General of the DOC, or any of his or
her duly authorized representatives, must have the right to access any pertinent books,
documents, papers, and records of the non-Federal entity, whether written, printed, recorded,
produced, or reproduced by any electronic, mechanical, magnetic, or other process or medium, to
make audits, inspections, excerpts, transcripts, or other examinations as authorized by law. This
right also includes timely and reasonable access to the non-Federal entity’s personnel for
interview and discussion related to such documents. See 2 C.F.R. § 200.337 (Access to records).
When the DOC Office of Inspector General (OIG) requires a program audit on a DOC award, the
OIG will usually make the arrangements to audit the award, whether the audit is performed by
OIG personnel, an independent accountant under contract with DOC, or any other Federal, State,
or local audit entity.
.01 Organization-Wide, Program-Specific, and Project Audits
a. A recipient must, within 90 days of the end of its fiscal year, notify the Grants Officer of
the amount of Federal awards, including all DOC and non-DOC awards, that the recipient
expended during its fiscal year.
b. Recipients that are subject to the provisions of Subpart F of 2 C.F.R. Part 200 and that
expend $750,000 or more in a year in Federal awards during their fiscal year must have an audit
conducted for that year in accordance with the requirements contained in Subpart F of 2 C.F.R.
Part 200. Within the earlier of 30 calendar days after receipt of the auditor’s report(s), or nine
months after the end of the audit period, unless a different period is specified in a program-
specific audit guide, a copy of the audit must be submitted electronically to the Federal Audit
Clearinghouse (FAC) through the FAC’s Internet Data Entry System (IDES)
(https://harvester.census.gov/facides/). In accordance with 2 C.F.R. § 200.425 (Audit services),
the recipient may include a line item in the budget for the allowable costs associated with the
audit, which is subject to the approval of the Grants Officer.
c. Unless otherwise specified in the terms and conditions of the award, entities that are not
subject to Subpart F of 2 C.F.R. Part 200 (e.g., for-profit entities, foreign public entities and
foreign organizations) and that expend $750,000 or more in DOC funds during their fiscal year
(including both as a recipient and a subrecipient) must submit to the Grants Officer either: (i) a
financial related audit of each DOC award or subaward in accordance with Generally Accepted
Government Auditing Standards (GAGAS); or (ii) a project specific audit for each award or
subaward in accordance with the requirements contained in 2 C.F.R. § 200.507. Within the
earlier of 30 calendar days after receipt of the auditor’s report(s), or nine months after the end of
the audit period, unless a different period is specified in a program-specific audit guide, a copy of
the audit must be submitted to the Grants Officer. In accordance with 2 C.F.R. § 200.425, the
recipient may include a line item in the budget for the allowable costs associated with the audit,
which is subject to the approval of the Grants Officer. Entities that are not subject to Subpart F
of 2 C.F.R. Part 200 and that expend less than $750,000 in DOC funds in a given fiscal year are
20 | 12 November 2020
not required to submit an audit(s) for that year, but must make their award-related records
available to DOC or other designated officials for review and audit.
d. Recipients are responsible for compliance with the above audit requirements and for
informing the Grants Officer of the status of their audit, including when the relevant audit has
been completed and submitted in accordance with the requirements of this section. Failure to
provide audit reports within the timeframes specified above may result in appropriate
enforcement action, up to and including termination of the award, and may jeopardize eligibility
for receiving future DOC awards.
e. In accordance with 2 C.F.R. § 200.332(d)(3), pass-through entities are responsible for
issuing a management decision for applicable audit findings pertaining only to the Federal award
provided by the pass-through entity to a subrecipient.
.02 Audit Resolution Process
a. An audit of the award may result in the disallowance of costs incurred by the recipient
and the establishment of a debt (account receivable) due to DOC. For this reason, the recipient
should take seriously its responsibility to respond to all audit findings and recommendations with
adequate explanations and supporting evidence whenever audit results are disputed.
b. A recipient whose award is audited has the following opportunities to dispute the
proposed disallowance of costs and the establishment of a debt:
1. The recipient has 30 calendar days from the date of the transmittal of the draft audit
report to submit written comments and documentary evidence.
2. The recipient has 30 calendar days from the date of the transmittal of the final audit
report to submit written comments and documentary evidence.
3. The DOC will review the documentary evidence submitted by the recipient and will
notify the recipient of the results in an Audit Resolution Determination Letter. The recipient
has 30 calendar days from the date of receipt of the Audit Resolution Determination Letter to
submit a written appeal, unless this deadline is extended in writing by the DOC. The appeal
is the last opportunity for the recipient to submit written comments and documentary
evidence to the DOC to dispute the validity of the audit resolution determination.
4. An appeal of the Audit Resolution Determination does not prevent the establishment of
the audit-related debt nor does it prevent the accrual of applicable interest, penalties and
administrative fees on the debt in accordance with 15 C.F.R. Part 19. If the Audit Resolution
Determination is overruled or modified on appeal, appropriate corrective action will be taken
retroactively.
5. The DOC will review the recipient’s appeal and notify the recipient of the results in an
Appeal Determination Letter. After the opportunity to appeal has expired or after the appeal
determination has been rendered, DOC will not accept any further documentary evidence
from the recipient. No other administrative appeals are available in DOC.
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E. DEBTS
.01 Payment of Debts Owed to the Federal Government
a. The non-Federal entity must promptly pay any debts determined to be owed to the
Federal Government. Any funds paid to a non-Federal entity in excess of the amount to which
the non-Federal entity is finally determined to be entitled under the terms of the Federal award
constitute a debt to the Federal government. In accordance with 2 C.F.R. § 200.346 (Collection
of amounts due), if not paid within 90 calendar days after demand, DOC may reduce a debt owed
to the Federal Government by:
1. Making an administrative offset against other requests for reimbursement;
2. Withholding advance payments otherwise due to the non-Federal entity; or
3. Taking any other action permitted by Federal statute.
The foregoing does not waive any claim on a debt that DOC may have against another entity,
and all rights and remedies to pursue other parties are preserved.
b. DOC debt collection procedures are set out in 15 C.F.R. Part 19. In accordance with 2
C.F.R. § 200.346 (Collection of amounts due) and 31 U.S.C. § 3717, failure to pay a debt owed
to the Federal Government must result in the assessment of interest, penalties and administrative
costs in accordance with the provisions of 31 U.S.C. § 3717 and 31 C.F.R. § 901.9. Commerce
entities will transfer any Commerce debt that is delinquent for more than 120 calendar days to
the U.S. Department of the Treasury’s Financial Management Service for debt collection
services, a process known as cross-servicing, pursuant to 31 U.S.C. § 3711(g), 31 C.F.R. §
285.12, and 15 C.F.R. § 19.9. DOC may also take further action as specified in DOC ST&C
A.06 (Unsatisfactory Performance or Non-Compliance with Award Provisions). Funds for
payment of a debt must not come from other Federally-sponsored programs, and the DOC may
conduct on-site visits, audits, and other reviews to verify that other Federal funds have not been
used to pay a debt.
.02 Late Payment Charges
a. Interest will be assessed on the delinquent debt in accordance with section 11 of the Debt
Collection Act of 1982, as amended (31 U.S.C. § 3717(a)). The minimum annual interest rate to
be assessed is the U.S. Department of the Treasury’s Current Value of Funds Rate (CVFR). The
CVFR is available online at https://www.fiscal.treasury.gov/fsreports/rpt/cvfr/cvfr_home.htm
and also published by the Department of the Treasury in the Federal Register
(http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=FR) and in the Treasury
Financial Manual Bulletin. The assessed rate must remain fixed for the duration of the
indebtedness.
b. Penalties will accrue at a rate of not more than six percent per year or such other higher
rate as authorized by law.
22 | 12 November 2020
c. Administrative charges, i.e., the costs of processing and handling a delinquent debt, will
be determined by the Commerce entity collecting the debt, as directed by the Office of the Chief
Financial Officer and Assistant Secretary for Administration.
.03 Barring Delinquent Federal Debtors from Obtaining Federal Loans or
Loan Insurance Guarantees
Pursuant to 31 U.S.C. § 3720B and 31 C.F.R. § 901.6, unless waived by DOC, the DOC is
not permitted to extend financial assistance in the form of a loan, loan guarantee, or loan
insurance to any person delinquent on a nontax debt owed to a Federal agency. This prohibition
does not apply to disaster loans.
.04 Effect of Judgment Lien on Eligibility for Federal Grants, Loans, or
Programs
Pursuant to 28 U.S.C. § 3201(e), unless waived by the DOC, a debtor who has a judgment
lien against the debtor’s property for a debt to the United States is not eligible to receive any
grant or loan that is made, insured, guaranteed, or financed directly or indirectly by the United
States or to receive funds directly from the Federal Government in any program, except funds to
which the debtor is entitled as beneficiary, until the judgment is paid in full or otherwise
satisfied.
F. CONFLICT OF INTEREST, CODE OF CONDUCT AND OTHER
REQUIREMENTS PERTAINING TO DOC FINANCIAL ASSISTANCE AWARDS,
INCLUDING SUBAWARD AND PROCUREMENT ACTIONS
.01 Conflict of Interest and Code of Conduct
a. DOC Conflict of Interest Policy. In accordance with 2 C.F.R. § 200.112 (Conflict of
interest), the non-Federal entity must disclose in writing any potential conflict of interest to the
DOC or pass-through entity. In addition, a non-Federal entity will establish and maintain written
standards of conduct that include safeguards to prohibit employees from using their positions for
a purpose that constitutes or presents the appearance of personal or organizational conflict of
interest, or personal gain in the administration of an award. It is the DOC’s policy to maintain
the highest standards of conduct and to prevent real or apparent conflicts of interest in
connection with DOC financial assistance awards.
b. A conflict of interest generally exists when an interested party participates in a matter that
has a direct and predictable effect on the interested party’s personal or financial interests. A
financial interest may include employment, stock ownership, a creditor or debtor relationship, or
prospective employment with the organization selected or to be selected for a subaward. A
conflict also may exist where there is an appearance that an interested party’s objectivity in
performing his or her responsibilities under the project is impaired. For example, an appearance
of impairment of objectivity may result from an organizational conflict where, because of other
activities or relationships with other persons or entities, an interested party is unable to render
23 | 12 November 2020
impartial assistance, services or advice to the recipient, a participant in the project or to the
Federal Government. Additionally, a conflict of interest may result from non-financial gain to an
interested party, such as benefit to reputation or prestige in a professional field. For purposes of
the DOC Conflict of Interest Policy, an interested party includes, but is not necessarily limited to,
any officer, employee or member of the board of directors or other governing board of a non-
Federal entity, including any other parties that advise, approve, recommend, or otherwise
participate in the business decisions of the recipient, such as agents, advisors, consultants,
attorneys, accountants or shareholders. This also includes immediate family and other persons
directly connected to the interested party by law or through a business arrangement.
c. Procurement-related conflict of interest. In accordance with 2 C.F.R. § 200.318 (General
procurement standards), non-Federal entities must maintain written standards of conduct
covering conflicts of interest and governing the performance of their employees engaged in the
selection, award and administration of contracts. See paragraph F.04 of these Standard Terms
(Requirements for Procurements).
.02 Nonprocurement Debarment and Suspension
Non-Federal entities must comply with the provisions of 2 C.F.R. Part 1326
(Nonprocurement Debarment and Suspension), which generally prohibit entities that have been
debarred, suspended, or voluntarily excluded from participating in Federal nonprocurement
transactions either through primary or lower tier covered transactions, and which set forth the
responsibilities of recipients of Federal financial assistance regarding transactions with other
persons, including subrecipients and contractors.
.03 Requirements for Subawards
a. The recipient or pass-through entity must require all subrecipients, including lower tier
subrecipients, to comply with the terms and conditions of a DOC financial assistance award,
including applicable provisions of the OMB Uniform Guidance (2 C.F.R. Part 200), and all
associated Terms and Conditions set forth herein. See 2 C.F.R. § 200.101(b)(2) (Applicability to
different types of Federal awards), which describes the applicability of 2 C.F.R. Part 200 to
various types of Federal awards and §§ 200.331-333 (Subrecipient monitoring and management).
b. The recipient or pass through entity may have more restrictive policies for the RTC
waived prior approvals (no-cost extensions, re-budgeting, etc.) for their subaward recipients.
Such restrictive policies must be addressed in their subaward agreements and in accordance with
§200.331.
.04 Requirements for Procurements
a. States. Pursuant to 2 C.F.R. § 200.317 (Procurements by states), when procuring
property and services under this Federal award, a State must follow the same policies and
procedures it uses for procurements from its non-Federal funds. The State must comply with 2
C.F.R. §§ 200.321 (Contracting with small and minority businesses, women’s business
enterprises, and labor surplus area firms), 200.322 (Domestic preferences for procurements), and
24 | 12 November 2020
200.323 (Procurement of recovered materials), and ensure that every purchase order or other
contract includes any clauses required by 2 C.F.R. § 200.327 (Contract provisions).
b. Other Non-Federal Entities. All other non-Federal entities, including subrecipients of a
State, must follow the procurement standards in 2 C.F.R. §§ 200.318 (General procurement
standards) through 200.327 (Contract provisions) which include the requirement that non-
Federal entities maintain written standards of conduct covering conflicts of interest and
governing the performance of their employees engaged in the selection, award, and
administration of contracts. No employee, officer, or agent may participate in the selection,
award, or administration of a contract supported by a Federal award if he or she has a real or
apparent conflict of interest.
.05 Whistleblower Protections
This award is subject to the whistleblower protections afforded by 41 U.S.C. § 4712
(Enhancement of contractor protection from reprisal for disclosure of certain information), which
generally provide that an employee or contractor (including subcontractors and personal services
contractors) of a non-Federal entity may not be discharged, demoted, or otherwise discriminated
against as a reprisal for disclosing to a person or body information that the employee reasonably
believes is evidence of gross mismanagement of a Federal award, subaward, or a contract under
a Federal award or subaward, a gross waste of Federal funds, an abuse of authority relating to a
Federal award or subaward or contract under a Federal award or subaward, a substantial and
specific danger to public health or safety, or a violation of law, rule, or regulation related to a
Federal award, subaward, or contract under a Federal award or subaward. These persons or
bodies include:
a. A Member of Congress or a representative of a committee of Congress.
b. An Inspector General.
c. The Government Accountability Office.
d. A Federal employee responsible for contract or grant oversight or management at the
relevant agency.
e. An authorized official of the Department of Justice or other law enforcement agency.
f. A court or grand jury.
g. A management official or other employee of the contractor, subcontractor, or grantee
who has the responsibility to investigate, discover, or address misconduct.
Non-Federal entities and contractors under Federal awards and subawards must inform their
employees in writing of the rights and remedies provided under 41 U.S.C. § 4712, in the
predominant native language of the workforce.
.06 Small Businesses, Minority Business Enterprises and Women’s Business
Enterprises
In accordance with 2 C.F.R. § 200.321 (Contracting with small and minority businesses,
women’s business enterprises, and labor surplus area firms), the recipient must take all necessary
affirmative steps to assure that minority businesses, women’s business enterprises, and labor
surplus area firms are used when possible. DOC encourages non-Federal entities to use small
25 | 12 November 2020
businesses, minority business enterprises and women’s business enterprises in contracts under
financial assistance awards. The Minority Business Development Agency within the DOC will
assist non-Federal entities in matching qualified minority business enterprises with contract
opportunities. For further information visit MBDA’s website at http://www.mbda.gov. If you
do not have access to the Internet, you may contact MBDA via telephone or mail:
U.S. Department of Commerce
Minority Business Development Agency
Herbert C. Hoover Building
14th Street and Constitution Avenue, N.W.
Washington, D.C. 20230
(202) 482-0101
G. NATIONAL POLICY REQUIREMENTS
.01 United States Laws and Regulations
This award is subject to the laws and regulations of the United States. The recipient must
comply with all applicable requirements of all other Federal laws, executive orders, regulations
and policies governing this program.
.02 Non-Discrimination Requirements
No person in the United States may, on the ground of race, color, national origin, handicap,
age, religion, or sex, be excluded from participation in, be denied the benefits of, or be subject to
discrimination under, any program or activity receiving Federal financial assistance. The
recipient agrees to comply with the non-discrimination requirements below:
a. Statutory Provisions
1. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) and DOC
implementing regulations published at 15 C.F.R. Part 8 prohibiting discrimination on the
grounds of race, color, or national origin under programs or activities receiving Federal
financial assistance;
2. Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.) prohibiting
discrimination on the basis of sex under Federally assisted education programs or activities;
3. The Americans with Disabilities Act of 1990 (42 U.S.C. §§ 12101 et seq.) prohibiting
discrimination on the basis of disability under programs, activities, and services provided or
made available by State and local governments or instrumentalities or agencies thereto, as
well as public or private entities that provide public transportation;
4. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), and DOC
implementing regulations published at 15 C.F.R. Part 8b prohibiting discrimination on the
26 | 12 November 2020
basis of handicap under any program or activity receiving or benefiting from Federal
assistance.
For purposes of complying with the accessibility standards set forth in 15 C.F.R. §
8b.18(c), non-federal entities must adhere to the regulations, published by the U.S.
Department of Justice, implementing Title II of the Americans with Disabilities Act
(ADA) (28 C.F.R. part 35; 75 FR 56164, as amended by 76 FR 13285) and Title III of the
ADA (28 C.F.R. part 36; 75 FR 56164, as amended by 76 FR 13286). The revised
regulations adopted new enforceable accessibility standards called the “2010 ADA
Standards for Accessible Design” (2010 Standards), which replace and supersede the
former Uniform Federal Accessibility Standards for new construction and alteration
projects;
5. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), and DOC
implementing regulations published at 15 C.F.R. Part 20 prohibiting discrimination on the
basis of age in programs or activities receiving Federal financial assistance; and
6. Any other applicable non-discrimination law(s).
b. Other Provisions
1. Parts II and III of E.O. 11246 (Equal Employment Opportunity, 30 FR 12319),3 which
requires Federally assisted construction contracts to include the nondiscrimination provisions
of §§ 202 and 203 of E.O. 11246 and Department of Labor regulations implementing E.O.
11246 (41 C.F.R. § 60-1.4(b)).
2. E.O. 13166 (65 FR 50121, Improving Access to Services for Persons with Limited
English Proficiency), requiring Federal agencies to examine the services provided, identify
any need for services to those with limited English proficiency (LEP), and develop and
implement a system to provide those services so LEP persons can have meaningful access to
them. The DOC issued policy guidance on March 24, 2003 (68 FR 14180) to articulate the
Title VI prohibition against national origin discrimination affecting LEP persons and to help
ensure that non-Federal entities provide meaningful access to their LEP applicants and
beneficiaries.
3. In accordance with E.O 13798 and Office of Management and Budget, M-20-09 –
Guidance Regarding Federal Grants, states or other public grantees may not condition sub-
awards of Federal grant money in a manner that would disadvantage grant applicants based
on their religious character.
3 As amended by E.O. 11375(32 FR 14303), E.O. 11478 (34 FR 12985), E.O. 12086 (43 FR 46501), E.O. 12107 (44
FR 1055), E.O. 13279 (F67 FR 77141), E.O. 13665 (79 FR 20749), and E.O. 13672 (79 FR 42971).
27 | 12 November 2020
c. Title VII Exemption for Religious Organizations
Generally, Title VII of the Civil Rights Act of 1964, 42 U.S.C. §§ 2000e et seq., provides
that it is an unlawful employment practice for an employer to discharge any individual or
otherwise to discriminate against an individual with respect to compensation, terms,
conditions, or privileges of employment because of such individual’s race, color, religion,
sex, or national origin. However, Title VII, 42 U.S.C. § 2000e-1(a), expressly exempts from
the prohibition against discrimination based on religion, “a religious corporation, association,
educational institution, or society with respect to the employment of individuals of a
particular religion to perform work connected with the carrying on by such corporation,
association, educational institution, or society of its activities.”
.03 LOBBYING RESTRICTIONS
a. Statutory Provisions
Non-Federal entities must comply with 2 C.F.R. § 200.450 (Lobbying), which
incorporates the provisions of 31 U.S.C. § 1352; and OMB guidance and notices on lobbying
restrictions. In addition, non-Federal entities must comply with the DOC regulations
published at 15 C.F.R. Part 28, which implement the New Restrictions on Lobbying. These
provisions prohibit the use of Federal funds for lobbying the executive or legislative branches
of the Federal Government in connection with the award and require the disclosure of the use
of non-Federal funds for lobbying. Lobbying includes attempting to improperly influence,
meaning any influence that induces or tends to induce a Federal employee or officer to give
consideration or to act regarding a Federal award or regulatory matter on any basis other than
the merits of the matter, either directly or indirectly. Costs incurred to improperly influence
are unallowable. See 2 C.F.R. § 200.450(b) and (c).
b. Disclosure of Lobbying Activities
Any recipient that receives more than $100,000 in Federal funding and conducts lobbying
with non-federal funds relating to a covered Federal action must submit a completed Form
SF-LLL (Disclosure of Lobbying Activities). The Form SF-LLL must be submitted within
30 calendar days following the end of the calendar quarter in which there occurs any event
that requires disclosure or that materially affects the accuracy of the information contained in
any disclosure form previously filed. The recipient must submit any required SF-LLL forms,
including those received from subrecipients, contractors, and subcontractors, to the Grants
Officer.
.04 Environmental Requirements
Environmental impacts must be considered by Federal decision makers in their decisions
whether or not to approve: (1) a proposal for Federal assistance; (2) the proposal with mitigation;
or (3) a different proposal having less adverse environmental impacts. Federal environmental
laws require that the funding agency initiate an early planning process that considers potential
impacts that projects funded with Federal assistance may have on the environment. Each non-
Federal entity must comply with all environmental standards, to include those prescribed under
28 | 12 November 2020
the following statutes and E.O.s and must identify to the awarding agency any impact the award
may have on the environment. In some cases, award funds can be withheld by the Grants Officer
under a specific award condition requiring the non-Federal entity to submit additional
environmental compliance information sufficient to enable the DOC to make an assessment on
any impacts that a project may have on the environment.
a. The National Environmental Policy Act (42 U.S.C. §§ 4321 et seq.)
The National Environmental Policy Act (NEPA) and the Council on Environmental
Quality (CEQ) implementing regulations (40 C.F.R. Parts 1500 through 1508) require that an
environmental analysis be completed for all major Federal actions to determine whether they
have significant impacts on the environment. NEPA applies to the actions of Federal
agencies and may include a Federal agency’s decision to fund non-Federal projects under
grants and cooperative agreements when the award activities remain subject to Federal
authority and control. Non-Federal entities are required to identify to the awarding agency
any direct, indirect or cumulative impact an award will have on the quality of the human
environment and assist the agency in complying with NEPA. Non-Federal entities may also
be requested to assist DOC in drafting an environmental assessment or environmental impact
statement if DOC determines such documentation is required, but DOC remains responsible
for the sufficiency and approval of the final documentation. Until the appropriate NEPA
documentation is complete and in the event that any additional information is required during
the period of performance to assess project environmental impacts, funds can be withheld by
the Grants Officer under a specific award condition requiring the non-Federal entity to
submit the appropriate environmental information and NEPA documentation sufficient to
enable DOC to make an assessment on any impacts that a project may have on the
environment.
b. The National Historic Preservation Act (16 U.S.C. §§ 470 et seq.)
Section 106 of the National Historic Preservation Act (NHPA) (16 U.S.C. § 470f) and the
Advisory Council on Historic Preservation (ACHP) implementing regulations (36 C.F.R.
Part 800) require that Federal agencies take into account the effects of their undertakings on
historic properties and, when appropriate, provide the ACHP with a reasonable opportunity
to comment. Historic properties include but are not necessarily limited to districts, buildings,
structures, sites and objects. In this connection, archeological resources and sites that may be
of traditional religious and cultural importance to Federally-recognized Indian Tribes,
Alaskan Native Villages and Native Hawaiian Organizations may be considered historic
properties. Non-Federal entities are required to identify to the awarding agency any effects
the award may have on properties included on or eligible for inclusion on the National
Register of Historic Places. Non-Federal entities may also be requested to assist DOC in
consulting with State or Tribal Historic Preservation Officers, ACHPs or other applicable
interested parties necessary to identify, assess, and resolve adverse effects to historic
properties. Until such time as the appropriate NHPA consultations and documentation are
complete and in the event that any additional information is required during the period of
performance in order to assess project impacts on historic properties, funds can be withheld
by the Grants Officer under a specific award condition requiring the non-Federal entity to
29 | 12 November 2020
submit any information sufficient to enable DOC to make the requisite assessment under the
NHPA.
Additionally, non-Federal entities are required to assist the DOC in assuring compliance
with the Archeological and Historic Preservation Act of 1974 (54 U.S.C. § 312502 et seq.,
formerly 16 U.S.C. § 469a-1 et seq.); Executive Order 11593 (Protection and Enhancement
of the Cultural Environment, May 13, 1971); Executive Order 13006 (Locating Federal
Facilities on Historic Properties in Our Nation’s Central Cities, May 21, 1996); and
Executive Order 13007 (Indian Sacred Sites, May 24, 1996).
c. Executive Order 11988 (Floodplain Management) and Executive Order 11990
(Protection of Wetlands)
Non-Federal entities must identify proposed actions in Federally defined floodplains and
wetlands to enable DOC to decide whether there is an alternative to minimize any potential
harm.
d. Clean Air Act (42 U.S.C. §§ 7401 et seq.), Federal Water Pollution Control Act
(33 U.S.C. §§ 1251 et seq.) (Clean Water Act), and Executive Order 11738 (“Providing
for administration of the Clean Air Act and the Federal Water Pollution Control Act
with respect to Federal contracts, grants or loans”)
Non-Federal entities must comply with the provisions of the Clean Air Act (42 U.S.C. §§
7401 et seq.), Clean Water Act (33 U.S.C. §§ 1251 et seq.), and E.O. 11738 (38 FR 25161),
and must not use a facility on the Excluded Parties List (EPL) (located on the System for
Award Management (SAM) website, SAM.gov) in performing any award that is nonexempt
under 2 C.F.R. § 1532, and must notify the Program Officer in writing if it intends to use a
facility that is on the EPL or knows that the facility has been recommended to be placed on
the EPL.
e. The Flood Disaster Protection Act (42 U.S.C. §§ 4002 et seq.)
Flood insurance, when available, is required for Federally assisted construction or
acquisition in flood-prone areas. Per 2 C.F.R. § 200.447(a), the cost of required flood
insurance is an allowable expense, if it is reflected in the approved project budget.
f. The Endangered Species Act (16 U.S.C. §§ 1531 et seq.)
Non-Federal entities must identify any impact or activities that may involve a threatened
or endangered species. Federal agencies have the responsibility to ensure that no adverse
effects to a protected species or habitat occur from actions under Federal assistance awards
and conduct the reviews required under the Endangered Species Act, as applicable.
g. The Coastal Zone Management Act (16 U.S.C. §§ 1451 et seq.)
Funded projects must be consistent with a coastal State’s approved management program
for the coastal zone.
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h. The Coastal Barriers Resources Act (16 U.S.C. §§ 3501 et seq.)
Only in certain circumstances can Federal funding be provided for actions within a
Coastal Barrier System.
i. The Wild and Scenic Rivers Act (16 U.S.C. §§ 1271 et seq.)
This Act applies to awards that may affect existing or proposed components of the
National Wild and Scenic Rivers system.
j. The Safe Drinking Water Act of 1974, as amended, (42 U.S.C. §§ 300f et seq.)
This Act precludes Federal assistance for any project that the EPA determines may
contaminate a sole source aquifer which threatens public health.
k. The Resource Conservation and Recovery Act (42 U.S.C. §§ 6901 et seq.)
This Act regulates the generation, transportation, treatment, and disposal of hazardous
wastes, and provides that non-Federal entities give preference in their procurement programs
to the purchase of recycled products pursuant to EPA guidelines.
l. The Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA, commonly known as Superfund) (42 U.S.C. §§ 9601 et seq.) and the
Community Environmental Response Facilitation Act (42 U.S.C. § 9601 note et seq.)
These requirements address responsibilities related to hazardous substance releases,
threatened releases and environmental cleanup. There are also reporting and community
involvement requirements designed to ensure disclosure of the release or disposal of
regulated substances and cleanup of hazards to state and local emergency responders.
m. Executive Order 12898 (“Federal Actions to Address Environmental Justice in
Minority Populations and Low Income Populations”)
Federal agencies are required to identify and address the disproportionately high and
adverse human health or environmental effects of Federal programs, policies, and activities
on low income and minority populations.
n. The Magnuson-Stevens Fishery Conservation and Management Act (16 U.S.C. §
1801 et seq.)
Non-Federal entities must identify to DOC any effects the award may have on essential
fish habitat (EFH). Federal agencies which fund, permit, or carry out activities that may
adversely impact EFH are required to consult with the National Marine Fisheries Service
(NMFS) regarding the potential effects of their actions and respond in writing to NMFS
recommendations. These recommendations may include measures to avoid, minimize,
mitigate, or otherwise offset adverse effects on EFH. In addition, NMFS is required to
comment on any state agency activities that would impact EFH. Provided the specifications
outlined in the regulations are met, EFH consultations will be incorporated into interagency
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procedures previously established under NEPA, the ESA, Clean Water Act, Fish and
Wildlife Coordination Act, or other applicable statutes.
o. Clean Water Act (CWA) Section 404 (33 U.S.C. § 1344)
CWA Section 404 regulates the discharge of dredged or fill material into waters of the
United States, including wetlands. Activities in waters of the United States regulated under
this program include fill for development, water resource projects (such as levees and some
coastal restoration activities), and infrastructure development (such as highways and
airports). CWA Section 404 requires a permit from the U.S. Army Corps of Engineers
before dredged or fill material may be discharged into waters of the United States, unless the
activity is exempt from Section 404 regulation (e.g., certain farming and forestry activities).
p. Rivers and Harbors Act (33 U.S.C. § 407)
A permit may be required from the U.S. Army Corps of Engineers if the proposed
activity involves any work in, over or under navigable waters of the United States.
Recipients must identify any work (including structures) that will occur in, over or under
navigable waters of the United States and obtain the appropriate permit, if applicable.
q. The Migratory Bird Treaty Act (16 U.S.C. §§ 703-712), Bald and Golden Eagle
Protection Act (16 U.S.C. § 668 et seq.), and Executive Order 13186 (Responsibilities
of Federal Agencies to Protect Migratory Birds, January 10, 2001)
Many prohibitions and limitations apply to projects that adversely impact migratory birds
and bald and golden eagles. Executive Order 13186 directs Federal agencies to enter a
Memorandum of Understanding with the U.S. Fish and Wildlife Service to promote
conservation of migratory bird populations when a Federal action will have a measurable
negative impact on migratory birds.
r. Executive Order 13112 (Invasive Species, February 3, 1999)
Federal agencies must identify actions that may affect the status of invasive species and
use relevant programs and authorities to: (i) prevent the introduction of invasive species; (ii)
detect and respond rapidly to and control populations of such species in a cost-effective and
environmentally sound manner; (iii) monitor invasive species populations accurately and
reliably; (iv) provide for restoration of native species and habitat conditions in ecosystems
that have been invaded; (v) conduct research on invasive species and develop technologies to
prevent introduction and provide for environmentally sound control of invasive species; and
(vi) promote public education on invasive species and the means to address them. In
addition, an agency may not authorize, fund, or carry out actions that it believes are likely to
cause or promote the introduction or spread of invasive species in the United States or
elsewhere.
s. Fish and Wildlife Coordination Act (16 U.S.C. § 661 et seq.)
During the planning of water resource development projects, agencies are required to
give fish and wildlife resources equal consideration with other values. Additionally, the U.S.
32 | 12 November 2020
Fish and Wildlife Service and fish and wildlife agencies of states must be consulted
whenever waters of any stream or other body of water are “proposed or authorized, permitted
or licensed to be impounded, diverted… or otherwise controlled or modified” by any agency
under a Federal permit or license.
.05 OTHER NATIONAL POLICY REQUIREMENTS
a. Buy-American Preferences
Strengthening Buy-American Preferences for Infrastructure Projects. Recipients of
covered programs (as defined in Executive Order 13858, 31 January 2019, and 2 C.F.R.
§200.322 (Domestic preferences for procurements)) are hereby notified that they are
encouraged to use, to the greatest extent practicable, iron and aluminum as well as steel,
cement, and other manufactured products produced in the United States in every contract,
subcontract, purchase order, or subaward that is chargeable under this Award.
b. Criminal and Prohibited Activities
1. The Program Fraud Civil Remedies Act (31 U.S.C. § 3801 et seq.), provides for the
imposition of civil penalties against persons who make false, fictitious, or fraudulent claims
to the Federal Government for money (including money representing grants, loans, or other
benefits).
2. The False Claims Amendments Act of 1986 and the False Statements Accountability Act
of 1996 (18 U.S.C. §§ 287 and 1001, respectively), provide that whoever makes or presents
any false, fictitious, or fraudulent statement, representation, or claim against the United
States must be subject to imprisonment of not more than five years and must be subject to a
fine in the amount provided by 18 U.S.C. § 287.
3. The Civil False Claims Act (31 U.S.C. §§ 3729 - 3733), provides that suits can be
brought by the government, or a person on behalf of the government, for false claims made
under Federal assistance programs.
4. The Copeland Anti-Kickback Act (18 U.S.C. § 874), prohibits a person or organization
engaged in a Federally supported project from enticing an employee working on the project
from giving up a part of his compensation under an employment contract. The Copeland
Anti-Kickback Act also applies to contractors and subcontractors pursuant to 40 U.S.C. §
3145.
5. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(42 U.S.C. § 4601 et seq.) and implementing regulations issued at 15 C.F.R. Part 11, which
provides for fair and equitable treatment of displaced persons or persons whose property is
acquired as a result of Federal or Federally-assisted programs. These requirements apply to
all interests in real property acquired for project purposes regardless of Federal participation
in purchases.
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6. The Hatch Act (5 U.S.C. §§ 1501-1508 and 7321-7326), which limits the political
activities of employees or officers of state or local governments whose principal employment
activities are funded in whole or in part with Federal funds.
7. To ensure compliance with Federal law pertaining to financial assistance awards, an
authorized representative of a non-Federal entity may be required to periodically provide
certain certifications to the DOC regarding Federal felony and Federal criminal tax
convictions, unpaid federal tax assessments, delinquent Federal tax returns and such other
certifications that may be required by Federal law.
c. Drug-Free Workplace
The non-Federal entity must comply with the provisions of the Drug-Free Workplace Act
of 1988 (41 U.S.C. § 8102) and DOC implementing regulations published at 2 C.F.R. Part
1329 (Requirements for Drug-Free Workplace (Financial Assistance)), which require that the
non-Federal entity take certain actions to provide a drug-free workplace.
d. Foreign Travel
1. Each non-Federal entity must comply with the provisions of the Fly America Act (49
U.S.C. § 40118). The implementing regulations of the Fly America Act are found at 41
C.F.R. §§ 301-10.131 through 301-10.143.
2. The Fly America Act requires that Federal travelers and others performing U.S.
Government-financed air travel must use U.S. flag air carriers, to the extent that service by
such carriers is available. Foreign air carriers may be used only in specific instances, such as
when a U.S. flag air carrier is unavailable or use of U.S. flag air carrier service will not
accomplish the agency’s mission.
3. One exception to the requirement to fly U.S. flag carriers is transportation provided under
a bilateral or multilateral air transport agreement, to which the United States Government and
the government of a foreign country are parties, and which the Department of Transportation
has determined meets the requirements of the Fly America Act pursuant to 49 U.S.C. §
40118(b). The United States Government has entered into bilateral/multilateral “Open Skies
Agreements” (U.S. Government Procured Transportation) that allow federal funded
transportation services for travel and cargo movements to use foreign air carriers under
certain circumstances. There are multiple “Open Skies Agreements” currently in effect. For
more information about the current bilateral and multilateral agreements, visit the GSA
website. Information on the Open Skies agreements (U.S. Government Procured
Transportation) and other specific country agreements may be accessed via the Department
of State’s website.
4. If a foreign air carrier is anticipated to be used for any portion of travel under a DOC
financial assistance award, the non-Federal entity must receive prior approval from the
Grants Officer. When requesting such approval, the non-Federal entity must provide a
justification in accordance with guidance provided by 41 C.F.R. § 301-10.142, which
requires the non-Federal entity to provide the Grants Officer with the following: name; dates
34 | 12 November 2020
of travel; origin and destination of travel; detailed itinerary of travel; name of the air carrier
and flight number for each leg of the trip; and a statement explaining why the non-Federal
entity meets one of the exceptions to the regulations. If the use of a foreign air carrier is
pursuant to a bilateral agreement, the non-Federal entity must provide the Grants Officer with
a copy of the agreement or a citation to the official agreement available on the GSA website.
The Grants Officer must make the final determination and notify the non-Federal entity in
writing (which may be done through the recipient in the case of subrecipient travel). Failure
to adhere to the provisions of the Fly America Act will result in the non-Federal entity not
being reimbursed for any transportation costs for which any non-Federal entity improperly
used a foreign air carrier.
Note: When using code-sharing flights (two or more airlines having flight numbers
assigned to the same flight) involving U.S. flag carriers and non-U.S. flag carriers, the airline
symbol and flight number of the U.S. flag carrier must be used on the ticket to qualify as a
U.S. flag carrier (e.g. "Delta Airlines Flight XXXX, operated by KLM"). Conversely, if the
ticket shows "[Foreign Air Carrier] XXX, operated by Delta," that travel is using a foreign
air carrier and is subject to the Fly America Act and must receive prior approval from the
Grants Officer as outlined in paragraph G.05.d.4.
e. Increasing Seat Belt Use in the United States
Pursuant to E.O. 13043 (62 FR 19217), non-Federal entities should encourage employees
and contractors to enforce on-the-job seat belt policies and programs when operating
company-owned, rented, or personally owned vehicles.
f. Federal Employee Expenses and Subawards or Contracts Issued to Federal
Employees or Agencies
1. Use of award funds (Federal or non-Federal) or the non-Federal entity’s provision of in-
kind goods or services for the purposes of transportation, travel, or any other expenses for
any Federal employee may raise appropriation augmentation issues. In addition, DOC policy
may prohibit the acceptance of gifts, including travel payments for federal employees, from
non-Federal entities regardless of the source. Therefore, before award funds may be used by
Federal employees, non-Federal entities must submit requests for approval of such action to
the Federal Program Officer who must review and make a recommendation to the Grants
Officer. The Grants Officer will notify the non-Federal entity in writing (generally through
the recipient) of the final determination.
2. A non-Federal entity or its contractor may not issue a subaward, contract or subcontract
of any part of a DOC award to any agency or employee of DOC or to other Federal
employee, department, agency, or instrumentality, without the advance prior written approval
of the DOC Grants Officer.
g. Minority Serving Institutions Initiative
Pursuant to E.O.s 13555 (White House Initiative on Educational Excellence for
Hispanics) (75 FR 65417), 13592 (Improving American Indian and Alaska Native
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Educational Opportunities and Strengthening Tribal Colleges and Universities) (76 FR
76603), and 13779 (White House Initiative to Promote Excellence and Innovation at
Historically Black Colleges and Universities) (82 FR 12499), DOC is strongly committed to
broadening the participation of minority serving institutions (MSIs) in its financial assistance
programs. DOC’s goals include achieving full participation of MSIs to advance the
development of human potential, strengthen the Nation’s capacity to provide high-quality
education, and increase opportunities for MSIs to participate in and benefit from Federal
financial assistance programs. DOC encourages all applicants and non-Federal entities to
include meaningful participation of MSIs. Institutions eligible to be considered MSIs are
listed on the Department of Education website.
h. Research Misconduct
The DOC adopts, and applies to financial assistance awards for research, the Federal
Policy on Research Misconduct (Federal Policy) issued by the Executive Office of the
President’s Office of Science and Technology Policy on December 6, 2000 (65 FR 76260).
As provided for in the Federal Policy, research misconduct refers to the fabrication,
falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting
research results. Research misconduct does not include honest errors or differences of
opinion. Non-Federal entities that conduct extramural research funded by DOC must foster
an atmosphere conducive to the responsible conduct of sponsored research by safeguarding
against and resolving allegations of research misconduct. Non-Federal entities also have the
primary responsibility to prevent, detect, and investigate allegations of research misconduct
and, for this purpose, may rely on their internal policies and procedures, as appropriate, to do
so. Non-Federal entities must notify the Grants Officer of any allegation that meets the
definition of research misconduct and detail the entity’s inquiry to determine whether there is
sufficient evidence to proceed with an investigation, as well as the results of any
investigation. The DOC may take appropriate administrative or enforcement action at any
time under the award, up to and including award termination and possible suspension or
debarment, and referral to the Commerce OIG, the U.S. Department of Justice, or other
appropriate investigative body.
i. Research Involving Human Subjects
1. All proposed research involving human subjects must be conducted in accordance with
15 C.F.R. Part 27 (Protection of Human Subjects). No research involving human subjects is
permitted under this award unless expressly authorized by specific award condition, or
otherwise in writing by the Grants Officer.
2. Federal policy defines a human subject as a living individual about whom an investigator
(whether professional or student) conducting research (1) Obtains information or
biospecimens through intervention or interaction with the individual, and uses, studies, or
analyzes the information or biospecimens; or (2) Obtains, uses, studies, analyzes, or
generates identifiable private information or identifiable biospecimens. Research means a
systematic investigation, including research development, testing and evaluation, designed to
develop or contribute to generalizable knowledge.
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3. DOC regulations at 15 C.F.R. Part 27 require that non-Federal entities maintain
appropriate policies and procedures for the protection of human subjects. In the event it
becomes evident that human subjects may be involved in this project, the non-Federal entity
(generally through the recipient) must submit appropriate documentation to the Federal
Program Officer for approval by the appropriate DOC officials. As applicable, this
documentation must include:
i. Documentation establishing approval of an activity in the project by an Institutional
Review Board (IRB) under a Federal wide Assurance issued by Department of Health
and Human Services or other Federal agency guidelines (see also 15 C.F.R. § 27.103);
ii. Documentation to support an exemption for an activity in the project under 15 C.F.R.
§ 27.104(d);
iii. Documentation of IRB approval of any modification to a prior approved protocol or
to an informed consent form;
iv. Documentation of an IRB approval of continuing review approved prior to the
expiration date of the previous IRB determination; and
v. Documentation of any reportable events, such as serious adverse events,
unanticipated problems resulting in risk to subjects or others, and instances of
noncompliance.
4. No work involving human subjects may be undertaken, conducted, or costs incurred
and/or charged for human subjects research, until the appropriate documentation is approved
in writing by the Grants Officer. In accordance with 15 C.F.R. § 27.118, if research
involving human subjects is proposed after an award is made, the non-Federal entity must
contact the Federal Program Officer and provide required documentation. Notwithstanding
this prohibition, work may be initiated or costs incurred and/or charged to the project for
protocol or instrument development related to human subjects research.
j. Care and Use of Live Vertebrate Animals
Non-Federal entities must comply with the Laboratory Animal Welfare Act of 1966, as
amended, (Pub. L. No. 89-544, 7 U.S.C. §§ 2131 et seq.) (animal acquisition, transport, care,
handling, and use in projects), and implementing regulations (9 C.F.R. Parts 1, 2, and 3); the
Endangered Species Act (16 U.S.C. §§ 1531 et seq.); Marine Mammal Protection Act (16
U.S.C. §§ 1361 et seq.) (taking possession, transport, purchase, sale, export or import of
wildlife and plants); the Nonindigenous Aquatic Nuisance Prevention and Control Act (16
U.S.C. §§ 4701 et seq.) (ensure preventive measures are taken or that probable harm of using
species is minimal if there is an escape or release); and all other applicable statutes pertaining
to the care, handling, and treatment of warm-blooded animals held for research, teaching, or
other activities supported by Federal financial assistance. No research involving vertebrate
animals is permitted under any DOC financial assistance award unless authorized by the
Grants Officer.
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k. Management and Access to Data and Publications
1. In General. The recipient acknowledges and understands that information and data
contained in applications for financial assistance, as well as information and data contained
in financial, performance and other reports submitted by recipients, may be used by the DOC
in conducting reviews and evaluations of its financial assistance programs. For this purpose,
recipient information and data may be accessed, reviewed and evaluated by DOC employees,
other Federal employees, Federal agents and contractors, and/or by non-Federal personnel,
all of who enter into appropriate or are otherwise subject to confidentiality and nondisclosure
agreements covering the use of such information. Recipients are expected to support
program reviews and evaluations by submitting required financial and performance
information and data in an accurate and timely manner, and by cooperating with DOC and
external program evaluators. In accordance with 2 C.F.R. § 200.303(e), recipients are
reminded that they must take reasonable measures to safeguard protected personally
identifiable information and other confidential or sensitive personal or business information
created or obtained relating to a DOC financial assistance award.
2. Scientific Data. Non-Federal entities must comply with the data management and access
to data requirements established by the DOC funding agency as set forth in the applicable
Notice of Funding Opportunity and/or in Specific Award Conditions.
3. Publications, Videos, and Acknowledgment of Sponsorship.
i. Publication of results or findings in appropriate professional journals and production
of video or other media is encouraged as an important method of recording, reporting and
otherwise disseminating information and expanding public access to federally-funded
projects (e.g., scientific research). Non-Federal entities must comply with the data
management and access to data requirements established by the DOC funding agency as
set forth in the applicable Notice of Funding Opportunity and/or in Specific Award
Conditions.
ii. Non-Federal entities may be required to submit a copy of any publication materials,
including but not limited to print, recorded, or Internet materials, to the funding agency.
iii. When releasing information related to a funded project, non-Federal entities must
include a statement that the project or effort undertaken was or is sponsored by DOC and
must also include the applicable financial assistance award number.
iv. Non-Federal entities are responsible for assuring that every publication of material
based on, developed under, or otherwise produced pursuant to a DOC financial assistance
award contains the following disclaimer or other disclaimer approved by the Grants
Officer:
This [report/video/etc.] was prepared by [recipient name] using Federal funds under
award [number] from [name of operating unit], U.S. Department of Commerce. The
statements, findings, conclusions, and recommendations are those of the author(s) and do
38 | 12 November 2020
not necessarily reflect the views of the [name of operating unit] or the U.S. Department
of Commerce.
l. Homeland Security Presidential Directive
If the performance of this DOC financial assistance award requires non-Federal entity
personnel to have routine access to Federally-controlled facilities and/or Federally-controlled
information systems (for purpose of this term “routine access” is defined as more than 180
calendar days), such personnel must undergo the personal identity verification credential
process. In the case of foreign nationals, the DOC will conduct a check with U.S.
Citizenship and Immigration Services’ (USCIS) Verification Division, a component of the
Department of Homeland Security (DHS), to ensure the individual is in a lawful immigration
status and that he or she is eligible for employment within the United States. Any items or
services delivered under a financial assistance award must comply with DOC personal
identity verification procedures that implement Homeland Security Presidential Directive 12
(Policy for a Common Identification Standard for Federal Employees and Contractors),
Federal Information Processing Standard (FIPS) PUB 201, and OMB Memorandum M-05-
24. The recipient must ensure that its subrecipients and contractors (at all tiers) performing
work under this award comply with the requirements contained in this term. The Grants
Officer may delay final payment under an award if the subrecipient or contractor fails to
comply with the requirements listed in the term below. The recipient must insert the
following term in all subawards and contracts when the subaward recipient or contractor is
required to have routine physical access to a Federally-controlled facility or routine access to
a Federally-controlled information system:
The subrecipient or contractor must comply with DOC personal identity verification
procedures identified in the subaward or contract that implement Homeland Security
Presidential Directive 12 (HSPD-12), Office of Management and Budget (OMB)
Guidance M-05-24, as amended, and Federal Information Processing Standards
Publication (FIPS PUB) Number 201, as amended, for all employees under this
subaward or contract who require routine physical access to a Federally-controlled
facility or routine access to a Federally-controlled information system.
The subrecipient or contractor must account for all forms of Government-provided
identification issued to the subrecipient or contractor employees in connection with
performance under this subaward or contract. The subrecipient or contractor must
return such identification to the issuing agency at the earliest of any of the following,
unless otherwise determined by DOC: (1) When no longer needed for subaward or
contract performance; (2) Upon completion of the subrecipient or contractor employee’s
employment; (3) Upon subaward or contract completion or termination.
m. Compliance with Department of Commerce Bureau of Industry and Security
Export Administration Regulations
1. This clause applies to the extent that this financial assistance award encompasses
activities that involve export-controlled items.
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2. In performing this financial assistance award, a non-Federal entity may participate in
activities involving items subject to export control (export-controlled items) under the
Export Administration Regulations (EAR). The non-Federal entity is responsible for
compliance with all applicable laws and regulations regarding export-controlled items,
including the EAR’s deemed exports and re-exports provisions. The non-Federal entity
must establish and maintain effective export compliance procedures at DOC and non-DOC
facilities, including facilities located abroad, throughout performance of the financial
assistance award. At a minimum, these export compliance procedures must include
adequate restrictions on export-controlled items, to guard against any unauthorized exports,
including in the form of releases or transfers to foreign nationals. Such releases or transfers
may occur through visual inspection, including technology transmitted electronically, and
oral or written communications.
3. Definitions
i. Export-controlled items. Items (commodities, software, or technology), that are
subject to the EAR (15 C.F.R. §§ 730-774), implemented by the DOC’s Bureau of
Industry and Security. These are generally known as “dual-use” items, items with
a military and commercial application. The export (shipment, transmission, or
release/transfer) of export-controlled items may require a license from DOC.
ii. Deemed Export/Re-export. The EAR defines a deemed export as a release or transfer
of export-controlled items (specifically, technology or source code) to a foreign person
(foreign national) in the U.S. Such release is “deemed” to be an export to the foreign
person’s most recent country of citizenship or permanent residency (see 15 C.F.R. §
734.13(a)(2) & (b)). A release may take the form of visual inspection or oral or
written exchange of information. See 15 C.F.R. § 734.15(a). If such a release or
transfer is made abroad to a foreign person of a country other than the country where
the release occurs, it is considered a deemed re-export to the foreign person’s most
recent country of citizenship or permanent residency. See 15 C.F.R. § 734.14(a)(2).
Licenses from DOC may be required for deemed exports or re-exports. An act
causing the release of export-controlled items to a foreign person (e.g., providing or
using an access key or code) may require authorization from DOC to the same extent
that an export or re-export of such items to the foreign person would. See 15 C.F.R. §
734.15(b).
4. The non-Federal entity must secure all export-controlled items that it possesses or that
comes into its possession in performance of this financial assistance award, to ensure that
the export of such items, including in the form of release or transfer to foreign persons, is
prevented, or licensed, as required by applicable Federal laws, E.O.s, and/or regulations,
including the EAR.
5. As applicable, non-Federal entity personnel and associates at DOC sites will be informed of
any procedures to identify and protect export-controlled items from unauthorized export.
40 | 12 November 2020
6. To the extent the non-Federal entity wishes to release or transfer export-controlled items to
foreign persons, the non-Federal entity will be responsible for obtaining any necessary
licenses, including licenses required under the EAR for deemed exports or deemed re-
exports. Failure to obtain any export licenses required under the EAR may subject the non-
Federal entity to administrative or criminal enforcement. See 15 C.F.R. part 764.
7. Nothing in the terms of this financial assistance award is intended to change, supersede, or
waive the requirements of applicable Federal laws, E.O.s or regulations.
8. Compliance with this term will not satisfy any legal obligations the non-Federal entity may
have regarding items that may be subject to export controls administered by other agencies
such as the Department of State, which has jurisdiction over exports and re-exports of
defense articles and services subject to the International Traffic in Arms Regulations
(ITAR) (22 C.F.R. §§ 120-130), including the release of defense articles to foreign persons
in the United States and abroad.
9. The non-Federal entity must include the provisions contained in this term in all lower tier
transactions (subawards, contracts, and subcontracts) under this financial assistance award
that may involve research or other activities that implicate export-controlled items.
n. The Trafficking Victims Protection Act of 2000 (22 U.S.C. § 7104(g)), as
amended, and the implementing regulations at 2 C.F.R. Part 175
The Trafficking Victims Protection Act of 2000 authorizes termination of financial assistance
provided to a private entity, without penalty to the Federal Government, if any non-Federal entity
engages in certain activities related to trafficking in persons. The DOC hereby incorporates the
following award term required by 2 C.F.R. § 175.15(b):
Trafficking in persons.
a. Provisions applicable to a recipient that is a private entity.
1. You as the recipient, your employees, subrecipients under this award, and subrecipients’
employees may not—
i. Engage in severe forms of trafficking in persons during the period of time that the
award is in effect;
ii. Procure a commercial sex act during the period of time that the award is in effect; or
iii. Use forced labor in the performance of the award or subawards under the award.
41 | 12 November 2020
2. We as the Federal awarding agency may unilaterally terminate this award, without
penalty, if you or a subrecipient that is a private entity —
i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or
ii. Has an employee who is determined by the agency official authorized to terminate the
award to have violated a prohibition in paragraph a.1 of this award term through conduct
that is either— (A) Associated with performance under this award; or (B) Imputed to you
or the subrecipient using the standards and due process for imputing the conduct of an
individual to an organization that are provided in 2 C.F.R. Part 180 (OMB Guidelines to
Agencies on Governmentwide Debarment and Suspension – Nonprocurement), as
implemented by DOC at 2 C.F.R. Part 1326 (Nonprocurement Debarment and
Suspension).
b. Provision applicable to a recipient other than a private entity. We as the Federal
awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is
a private entity—
1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award
term; or
2. Has an employee who is determined by the agency official authorized to terminate the
award to have violated an applicable prohibition in paragraph a.1 of this award term
through conduct that is either—
i. Associated with performance under this award; or
ii. Imputed to the subrecipient using the standards and due process for imputing the
conduct of an individual to an organization that are provided in 2 C.F.R. Part 180 (OMB
Guidelines to Agencies on Governmentwide Debarment and Suspension –
Nonprocurement), as implemented by DOC at 2 C.F.R. Part 1326, (Nonprocurement
Debarment and Suspension).
c. Provisions applicable to any recipient.
1. You must inform us immediately of any information you receive from any source
alleging a violation of a prohibition in paragraph a.1 of this award term.
2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this
section:
i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA),
as amended (22 U.S.C. 7104(g)), and
ii. Is in addition to all other remedies for noncompliance that are available to us under
this award.
42 | 12 November 2020
3. You must include the requirements of paragraph a.1 of this award term in any subaward
you make to a private entity.
d. Definitions. For purposes of this award term:
1. “Employee” means either:
i. An individual employed by you or a subrecipient who is engaged in the performance of
the project or program under this award; or
ii. Another person engaged in the performance of the project or program under this
award and not compensated by you including, but not limited to, a volunteer or individual
whose services are contributed by a third party as an in-kind contribution toward cost
sharing or matching requirements.
2. “Forced labor” means labor obtained by any of the following methods: the recruitment,
harboring, transportation, provision, or obtaining of a person for labor or services, through
the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude,
peonage, debt bondage, or slavery.
3. “Private entity”:
i. Means any entity other than a State, local government, Indian tribe, or foreign public
entity, as those terms are defined in 2 C.F.R. § 175.25;
ii. Includes: (A) A nonprofit organization, including any nonprofit institution of higher
education, hospital, or tribal organization other than one included in the definition of
Indian tribe at 2 C.F.R. § 175.25(b); and (B) A for-profit organization.
4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the
meanings given at section 103 of the TVPA, as amended (22 U.S.C. § 7102).
o. The Federal Funding Accountability and Transparency Act (FFATA) (31 U.S.C.
§ 6101 note)
1. Reporting Subawards and Executive Compensation. Under FFATA, recipients of
financial assistance awards of $30,000 or more are required to report periodically on executive
compensation and subawards, as described in the following term from 2 C.F.R. Part 170,
Appendix A, which is incorporated into this award:
Reporting Subawards and Executive Compensation
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term,
you must report each action that equals or exceeds $30,000 in Federal funds for a subaward
43 | 12 November 2020
to a non-Federal entity or Federal agency (see definitions in paragraph e. of this award
term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a.1. of this award term
to http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following the
month in which the obligation was made. (For example, if the obligation was made on
November 7, 2010, the obligation must be reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action that the
submission instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives for non-Federal entities.
1. Applicability and what to report. You must report total compensation for each of your
five most highly compensated executives for the preceding completed fiscal year, if—
i. the total Federal funding authorized to date under this Federal award equals or
exceeds $30,000 as defined in 2 C.F.R § 170.320;
ii. in the preceding fiscal year, you received—
(A) 80 percent or more of your annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards), and
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency
Act, as defined at 2 C.F.R. § 170.320 (and subawards); and,
iii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. § 78m(a), 78o(d)) or section 6104 of the Internal Revenue
Code of 1986. (To determine if the public has access to the compensation information, see
the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in
paragraph b.1. of this award term:
i. As part of your registration profile found at the System for Award Management (SAM)
website located at https://www.sam.gov.
44 | 12 November 2020
ii. By the end of the month following the month in which this award is made, and
annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of
this award term, for each first-tier non-Federal entity subrecipient under this award, you
shall report the names and total compensation of each of the subrecipient’s five most highly
compensated executives for the subrecipient’s preceding completed fiscal year, if—
i. in the subrecipient’s preceding fiscal year, the subrecipient received—
(A) 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards) and,
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts), and Federal financial assistance subject to the Transparency
Act (and subawards); and
ii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue
Code of 1986. (To determine if the public has access to the compensation information, see
the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.).
See also 2 C.F.R. § 200.300(b).
2. Where and when to report. You must report subrecipient executive total compensation
described in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the subaward.
For example, if a subaward is obligated on any date during the month of October of a
given year (i.e., between October 1 and 31), you must report any required compensation
information of the subrecipient by November 30 of that year.
d. Exemptions. If, in the previous tax year, you had gross income, from all sources, under
$300,000, you are exempt from the requirements to report: i. Subawards, and ii. The total
compensation of the five most highly compensated executives of any subrecipient.
45 | 12 November 2020
e. Definitions. For purposes of this award term:
1. Federal Agency means a Federal agency as defined at 5 U.S.C. 551(1) and further
clarified by 5 U.S.C. 552(f).
2. Non-Federal entity means all of the following, as defined in 2 C.F.R. Part 25:
i. A Governmental organization, which is a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization; and,
iv. A domestic or foreign for-profit organization.
3. Executive means officers, managing partners, or any other employees in management
positions.
4. Subaward:
i. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and that
you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed to carry
out the project or program (for further explanation, see 2 C.F.R § 200.331).
iii. A subaward may be provided through any legal agreement, including an agreement
that you or a subrecipient considers a contract.
5. Subrecipient means a non-Federal entity or Federal agency that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the subaward.
6. Total compensation means the cash and noncash dollar value earned by the executive
during the recipient’s or subrecipient’s preceding fiscal year and includes the following (for
more information see 17 C.F.R. § 229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)
(FAS 123R), Shared Based Payments.
46 | 12 November 2020
iii. Earnings for services under non-equity incentive plans. This does not include group
life, health, hospitalization or medical reimbursement plans that do not discriminate in
favor of executives, and are available generally to all salaried employees.
iv. Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
v. Above-market earnings on deferred compensation which is not tax-qualified.
vi. Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the employee,
perquisites or property) for the executive exceeds $10,000.
2. System for Award Management (SAM) and Universal Identifier Requirements -- as
described in 2 C.F.R. Part 25, Appendix A, which is incorporated into this award:
System for Award Management (SAM) and Universal Identifier Requirements
a. Requirement for System for Award Management. Unless you are exempted from this
requirement under 2 C.F.R. § 25.110, you as the recipient must maintain current information in
the SAM. This includes information on your immediate and highest level owner and
subsidiaries, as well as on all of your predecessors that have been awarded a Federal contract
or Federal financial assistance within the last three years, if applicable, until you submit the
final financial report required under this Federal award or receive the final payment, whichever
is later. This requires that you review and update the information at least annually after the
initial registration, and more frequently if required by changes in your information or another
Federal award term.
b. Requirement for Unique Entity Identifier. If you are authorized to make subawards
under this Federal award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph c of this
award term) may receive a subaward from you until the entity has provided its Unique Entity
Identifier to you.
2. May not make a subaward to an entity unless the entity has provided its Unique Entity
Identifier to you. Subrecipients are not required to obtain an active SAM registration, but
must obtain a Unique Entity Identifier.
c. Definitions for purposes of this term:
1. SAM means the Federal repository into which a recipient must provide information
required for the conduct of business as a recipient. Additional information about
registration procedures may be found at the SAM Internet site (currently at
https://www.SAM.gov).
47 | 12 November 2020
2. Unique Entity Identifier means the identifier assigned by SAM to uniquely identify
business entities.
3. Entity includes non-Federal entities as defined at 2 C.F.R. § 200.1 and also includes all
of the following, for purposes of this part:
i. A foreign organization;
ii. A foreign public entity;
iii. A domestic for-profit organization; and
iv. A Federal agency.
4. Subaward has the meaning given in 2 C.F.R § 200.1.
5. Subrecipient has the meaning given in 2 C.F.R § 200.1.
See also 2 C.F.R. § 200.300(b).
p. Recipient Integrity and Performance Matters (Appendix XII to 2 C.F.R. Part
200)
Reporting of Matters Related to Recipient Integrity and Performance
1. General Reporting Requirement. If the total value of your currently active grants,
cooperative agreements, and procurement contracts from all Federal awarding agencies
exceeds $10,000,000 for any period of time during the period of performance of this Federal
award, then you as the recipient during that period of time must maintain the currency of
information reported to the System for Award Management (SAM) that is made available in
the designated integrity and performance system (currently the Federal Awardee
Performance and Integrity Information System (FAPIIS)) about civil, criminal, or
administrative proceedings described in paragraph 2 of this award term and condition. This
is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C.
2313). As required by section 3010 of Public Law 111-212, all information posted in the
designated integrity and performance system on or after April 15, 2011, except past
performance reviews required for Federal procurement contracts, will be publicly available.
2. Proceedings About Which You Must Report. Submit the information required about
each proceeding that:
i. Is relating to the award or performance of a grant, cooperative agreement, or
procurement contract from the Federal Government;
ii. Reached its final disposition during the most recent five-year period; and
48 | 12 November 2020
iii. Is one of the following:
(A) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this
award term and condition;
(B) A civil proceeding that resulted in a finding of fault and liability and payment of a
monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;
(C) An administrative proceeding, as defined in paragraph 5 of this award term and
condition, that resulted in a finding of fault and liability and your payment of either
a monetary fine or penalty of $5,000 or more or reimbursement, restitution, or
damages in excess of $100,000; or
(D) Any other criminal, civil, or administrative proceeding if:
I. It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this
award term and condition;
II. It had a different disposition arrived at by consent or compromise with an
acknowledgment of fault on your part; and
III. The requirement in this award term and condition to disclose information about
the proceeding does not conflict with applicable laws and regulations.
3. Reporting Procedures. Enter in the SAM Entity Management area the information that
SAM requires about each proceeding described in paragraph 2 of this award term and
condition. You do not need to submit the information a second time under assistance awards
that you received if you already provided the information through SAM because you were
required to do so under Federal procurement contracts that you were awarded.
4. Reporting Frequency. During any period when you are subject to the requirement in
paragraph 1 of this award term and condition, you must report proceedings information
through SAM for the most recent five-year period, either to report new information about any
proceeding(s) that you have not reported previously or affirm that there is no new
information to report. Recipients that have Federal contract, grant, and cooperative
agreement awards with a cumulative total value greater than $10,000,000 must disclose
semiannually any information about the criminal, civil, and administrative proceedings.
5. Definitions. For purposes of this award term and condition:
i. Administrative proceeding means a non-judicial process that is adjudicatory in nature
to make a determination of fault or liability (e.g., Securities and Exchange Commission
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed
Services Board of Contract Appeals proceedings). This includes proceedings at the Federal
and State level but only in connection with performance of a Federal contract or grant. It
does not include audits, site visits, corrective plans, or inspection of deliverables.
49 | 12 November 2020
ii. Conviction, for purposes of this award term and condition, means a judgment or
conviction of a criminal offense by any court of competent jurisdiction, whether entered
upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.
iii. Total value of currently active grants, cooperative agreements, and procurement
contracts includes:
(A) Only the Federal share of the funding under any Federal award with a recipient cost
share or match; and
(B) The value of all expected funding increments under a Federal award and options,
even if not yet exercised.
q. Never Contract with the Enemy (2 C.F.R Part 183; 2 C.F.R. § 200.215)
Under 2 C.F.R. § 200.215 (Never contract with the enemy) Federal awarding agencies and
recipients are subject to the regulations implementing Never Contract with the Enemy in 2
C.F.R. Part 183. These regulations affect covered contracts, grants and cooperative agreements
that are expected to exceed $50,000 within the period of performance, are performed outside the
United States and its territories, and are in support of a contingency operation in which members
of the Armed Forces are actively engaged in hostilities.
1. Applicability. This term applies only to recipients of covered grants or cooperative
agreements, as defined in 2 C.F.R. § 183.35 Definitions.
2. Requirements. As applicable, recipients must fulfill the requirements as described in the
following terms from 2 C.F.R. Part 183, Appendix A, which is incorporated into this award:
a. Term 1. Prohibition on Providing Funds to the Enemy.
1. The recipient must—
i. Exercise due diligence to ensure that none of the funds, including supplies and services,
received under this grant or cooperative agreement are provided directly or indirectly
(including through subawards or contracts) to a person or entity who is actively
opposing the United States or coalition forces involved in a contingency operation in
which members of the Armed Forces are actively engaged in hostilities, which must be
completed through 2 CFR Part 180.300 prior to issuing a subaward or contract and;
ii. Terminate or void in whole or in part any subaward or contract with a person or entity
listed in SAM as a prohibited or restricted source pursuant to subtitle E of Title VIII of
the NDAA for FY 2015, unless the Federal awarding agency provides written approval to
continue the subaward or contract.
50 | 12 November 2020
2. The recipient may include the substance of this clause, including this paragraph (1), in
subawards under this grant or cooperative agreement that have an estimated value over
$50,000 and will be performed outside the United States, including its outlying areas.
3. The Federal awarding agency has the authority to terminate or void this grant or
cooperative agreement, in whole or in part, if the Federal awarding agency becomes aware
that the recipient failed to exercise due diligence as required by paragraph (1) of this clause
or if the Federal awarding agency becomes aware that any funds received under this grant
or cooperative agreement have been provided directly or indirectly to a person or entity who
is actively opposing coalition forces involved in a contingency operation in which members
of the Armed Forces are actively engaged in hostilities
b. Term 2. Additional Access to Recipient Records.
1. In addition to any other existing examination-of-records authority, the Federal
Government is authorized to examine any records of the recipient and its subawards or
contracts to the extent necessary to ensure that funds, including supplies and services,
available under this grant or cooperative agreement are not provided, directly or indirectly,
to a person or entity that is actively opposing United States or coalition forces involved in a
contingency operation in which members of the Armed Forces are actively engaged in
hostilities, except for awards awarded by the Department of Defense on or before Dec 19,
2017 that will be performed in the United States Central Command (USCENTCOM) theater
of operations
2. The substance of this clause, including this paragraph (2), is required to be included in
subawards or contracts under this grant or cooperative agreement that have an estimated
value over $50,000 and will be performed outside the United States, including its outlying
areas.
r. Prohibition on certain telecommunications and video surveillance services or
equipment (Public Law 115-232, section 889; 2 C.F.R. ⸹ 200.216)
(a) Recipients and subrecipients are prohibited from obligating or expending loan or grant
funds to:
(1) Procure or obtain,
(2) Extend or renew a contract to procure or obtain, or
(3) Enter into a contract (or extend or renew a contract) to procure or obtain equipment,
services or systems that uses covered telecommunications equipment or services as a
substantial or essential component of any system, or as critical technology as part of any
system.
51 | 12 November 2020
As described in Public Law 115-232, section 889, covered telecommunications
equipment is telecommunications equipment produced by Huawei Technologies
Company or ZTE Corporation (or any subsidiary or affiliate of such entities).
(i). For the purpose of public safety, security of government facilities, physical
security surveillance of critical infrastructure, and other national security
purposes, video surveillance and telecommunications equipment produced by
Hytera Communications Corporation, Hangzhou Hikvision Digital Technology
Company, or Dahua Technology Company (or any subsidiary or affiliate of such
entities).
(ii). Telecommunications or video surveillance services provided by such entities or
using such equipment.
(iii). Telecommunications or video surveillance equipment or services produced or
provided by an entity that the Secretary of Defense, in consultation with the
Director of the National Intelligence or the Director of the Federal Bureau of
Investigation, reasonably believes to be an entity owned or controlled by, or
otherwise connected to, the government of a covered foreign country.
(b) In implementing the prohibition under Public Law 115-232, section 889, subsection (f),
paragraph (1), heads of executive agencies administering loan, grant, or subsidy programs shall
prioritize available funding and technical support to assist affected businesses, institutions and
organizations as is reasonably necessary for those affected entities to transition from covered
communications equipment and services, to procure replacement equipment and services, and to
ensure that communications service to users and customers is sustained.
(c) See Public Law 115-232, section 889 for additional information.
(d) See also §200.471.
s. Federal Financial Assistance Planning During a Funding Hiatus or Government
Shutdown
This term sets forth initial guidance that will be implemented for Federal assistance awards in
the event of a lapse in appropriations, or a government shutdown. The Grants Officer may issue
further guidance prior to an anticipated shutdown.
1. Unless there is an actual rescission of funds for specific grant or cooperative agreement
obligations, non-Federal entities under Federal financial assistance awards for which funds
have been obligated generally will be able to continue to perform and incur allowable
expenses under the award during a funding hiatus. Non-Federal entities are advised that
ongoing activities by Federal employees involved in grant or cooperative agreement
administration (including payment processing) or similar operational and administrative
work cannot continue when there is a funding lapse. Therefore, there may be delays,
including payment processing delays, in the event of a shutdown.
52 | 12 November 2020
2. All award actions will be delayed during a government shutdown; if it appears that a non-
Federal entity’s performance under a grant or cooperative agreement will require agency
involvement, direction, or clearance during the period of a possible government shutdown,
the Program Officer or Grants Officer, as appropriate, may attempt to provide such
involvement, direction, or clearance prior to the shutdown or advise non-Federal entities that
such involvement, direction, or clearance will not be forthcoming during the shutdown.
Accordingly, non-Federal entities whose ability to withdraw funds is subject to prior agency
approval, which in general are non-Federal entities that have been designated high risk, non-
Federal entities under construction awards, or are otherwise limited to reimbursements or
subject to agency review, will be able to draw funds down from the relevant Automatic
Standard Application for Payment (ASAP) account only if agency approval is given and
coded into ASAP prior to any government shutdown or closure. This limitation may not be
lifted during a government shutdown. Non-Federal entities should plan to work with the
Grants Officer to request prior approvals in advance of a shutdown wherever possible. Non-
Federal entities whose authority to draw down award funds is restricted may decide to
suspend work until the government reopens.
3. The ASAP system should remain operational during a government shutdown. Non-
Federal entities that do not require any Grants Officer or agency approval to draw down
advance funds from their ASAP accounts should be able to do so during a shutdown. The
30-day limitation on the drawdown of advance funds will still apply notwithstanding a
government shutdown (see section B.02.b.1 of these terms).
Memo
Department of Planning & Housing
TO: Mayor and City Council
FROM: Kelly Diekmann, Planning & Housing Director
DATE: April 21, 2021
SUBJECT: Public Hearing for Zoning Text Amendment for Planned Unit Development (PUD)
Overlay District and Private Street Standards
Staff requests that the City Council continue the public hearing for the Zoning Text Amendment for
Planned Unit Development (PUD) Overlay District and Private Street Standards until May 11, 2021.
The continuance is to allow for coordination between planning and legal staff on the draft ordinance.
City staff anticipates having a full staff report and draft ordinance for the May 11, 2021, City Council
meeting.
Item No. 44
1
ITEM # __45_ __
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: WATER POLLUTION CONTROL FACILITY SLUDGE PUMPING
BUILDING IMPROVEMENTS
BACKGROUND:
A comprehensive evaluation of the mechanical condition of the Water Pollution Control
Facility was performed in 2012. The outcome of that evaluation was a prioritized schedule
for the repair or replacement of key mechanical equipment associated with solids
handling. The Water Pollution Control Facility (WPCF) Sludge Pumping Building
Improvements Project is the final component of the Digester Improvements CIP Projects.
The original scope identified in the FY 14/15 CIP included replacement of three waste
pumps. Upon further investigation, there were additional improvements that staff
recommended incorporating, with savings from the prior Digester Improvements CIP
Projects used to cover the increased scope of work.
City Council issued a Noticed to Bidders for this project on March 9, 2021. On April 14,
2021, bids were opened. Two bids were received and are summarized below.
Engineer’s Estimate $308,000
Minturn, Inc. $397,400
Woodruff Construction, Inc. $427,300
Minturn, Inc. is the lowest responsive, responsible bidder. However, both bids received
were substantially higher than the Engineer’s Estimate and the lowest bid price
was 29% above the estimate. If this low bid was accepted, the revised project expense
with 10% contingency included would be as follows.
Revised Project Expense
Construction $ 397,400
10% Contingency $ 39,740
Revised Project Expense $ 437,140
The authorized project budget is shown below. Based on the bids received, there is
a deficit of $96,140. Because of this deficit, staff is recommending that the City
Council reject the project bids.
Authorized Budget
FY 20/21 CIP $ 183,000
Digester Improvements CIP Savings $ 158,000
Total Authorized Budget $ 341,000
2
Staff reached out to several contractors during the bidding phase to try and generate
interest in the project, but ultimately only two bids were received. After following up
with these contractors, it appears there is abundant work right now and many
contractors didn’t have time to prepare a bid for the project. Another contributing
factor to the high bid prices was attributed to the increased cost of materials due
to shortages associated with the coronavirus pandemic. Furthermore, this project
included several subcontractors for specialty work and their pricing was higher
than anticipated.
Funding could be made available from savings in other CIP projects to cover the
higher than expected bid prices. However, staff believes that revising the scope
of work and shifting the construction window to include winter months could
increase interest in this project and decrease overall costs. Staff intends to issue
another Notice to Bidders in the coming 1-2 months.
ALTERNATIVES:
1. a.) Receive the report of bids.
b.) Reject all bids. Staff will revise the scope of work, extend the construction
window, and rebid the project in the near future.
2. Award the Water Pollution Control Facility Sludge Pumping Building Improvements
Project to the apparent low bidder, Minturn, Inc., from Brooklyn, Iowa, in the
amount of $397,400. If Council selects this alternative, the work could be funded
by utilizing savings from other CIP Projects. However, staff believes a more
competitive bid price could be received by altering the scope of work and rebidding.
CITY MANAGER’S RECOMMENDED ACTION:
Only two bids were received for this project and both exceeded the Engineer’s Estimate.
Staff believes that altering the scope of work and issuing a new Notice to Bidders for the
project with a construction window that extends through the winter months could increase
interest in the project and decrease pricing. Therefore, it is the recommendation of the
City Manager that the City Council adopt Alternative No. 1, as described above.
ITEM#: 46
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: 2019/20 CONCRETE PAVEMENT IMPROVEMENT PROGRAM – (E 3RD
ST, E 2ND ST, DES MOINES AVE, AND CENTER AVE), (DOUGLAS
AVE – 7TH ST TO 10TH ST) AND (5TH ST – NORHTWESTERN AVE TO
GRAND AVE)
BACKGROUND:
This is an annual program to rehabilitate or reconstruct concrete street sections that
have deteriorated in order to prevent premature breakdown of the pavement. This work
will provide enhanced rideability to residents and visitors. This project involves a
pavement rehabilitation on E 3rd St, E 2nd St, Des Moines Ave, and Center Ave and
full-depth replacement of pavement on Douglas Ave from 7th Street to 10th Street
and 5th Street from Northwestern to Grand. On March 23rd, City Council confirmed
infill of sidewalk to be implemented as shown on the plans to ensure that sidewalk
connectivity was provided.
City of Ames staff has completed plans and specifications for this project with a base
bid and alternatives for the type of pavement used on the reconstruction of Douglas Ave
project. Alternative A will be for using concrete and Alternative B is for using
asphalt.
On April 21, 2021, bids for the project were received as follows:
Bidder Base+Alt A Base+Alt B
Amount Amount
Engineer’s estimate $1,667,130.23 $1,647,858.43
Manatt’s Inc N/A $1,571,889.43
Con-Struct Inc $1,731,876.20 $1,688,895.00
One non-responsive bid was received in addition to the two responsive bids listed
above.
Revenue and expenses associated with this program are estimated as follows:
Available
Revenue
Estimated
Expenses
ALTERNATIVES:
1. a. Accept the report of bids for the 2019/20 Concrete Pavement
Improvement project (E 3rd St, E 2nd St, Des Moines Ave, Center Ave,
Douglas Ave, and 5th St).
b. Approve the final plans and specifications for this project.
c. Award the 2019/20 Concrete Pavement Improvement project (E 3rd St, E
2nd St, Des Moines Ave, Center Ave, Douglas Ave, and 5th St) to Manatts
Inc. of Ames, Iowa, in the amount of $1,571,889.43.
2. Award the contract to one of the other bidders.
3. Do not proceed with this project.
MANAGER’S RECOMMENDED ACTION:
By approving final plans and specifications and awarding the contract, this project will
result in lower street maintenance costs and it will provide enhanced rideability to
residents and visitors.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as noted above.
ITEM#: 47
DATE: 04-27-21
COUNCIL ACTION FORM
SUBJECT: FY 2020/21 AIRPORT IMPROVEMENTS PROGRAM (RUNWAY 01/19
AND TAXIWAY A LIGHTING PROJECT)
BACKGROUND:
On March 30, 2021, City Council approved the plans and specifications for the FY
2020/21 Airport Improvements Program project to replace the old Runway 01/19 (Base
Bid) and Taxiway A lighting (Bid Alternate). The bids were received on April 21, 2021, as
follows:
Bidder Base Bid Bid Alternate Total Bid
Engineer Estimate $397,505.00 $80,680.00 $478,185.00
Because of the good bid pricing, it is recommended that the award be based upon
the Base Bid + Bid Alternate. Therefore, the Runway 01/19 and Taxiway A lighting
construction costs based on the lowest responsible-responsive bidder is $390,399.50.
With estimated costs for design/construction administration of $99,900 and $3,000 for
staff administrative costs, the total estimated budget is $493,299.50. The Federal Aviation
Administration (FAA) will fund this project at 90% Federal participation with the 10% local
match of approximately $49,330 being budgeted from the Airport Construction fund.
There is adequate Airport Construction Fund balance to cover these expenses.
Grant Update: Discussion with the FAA has indicated that there is potential that the
recently passed $1.9 trillion Coronavirus Relief package from the Federal Government
may change this funding to 100% (no local match required). However, staff will not know
if this is the case until the bid results are submitted to FAA; the deadline for submission
is May 1, 2021.
ALTERNATIVES:
1. a. Accept the report of bids.
b. Award Base + Bid Alternate of the FY 2020/21 Airport Improvements Program
(Runway 01/19 And Taxiway A Lighting Project) to Voltmer, Inc. from Decorah,
Iowa in the amount of $390,399.50, contingent on the project being funded by the
FAA grant.
c. Approve the grant application to the FAA for the FY 2020/21 Airport Improvements
Program (Runway 01/19 And Taxiway A Lighting Project) based on the total
estimated projects costs of $493,299.50.
2. Reject the Project.
MANAGER’S RECOMMENDED ACTION:
One of the primary goals of the Ames Municipal Airport is the safety of its users. By
approving these plans and specifications, the City Council will ensure the continued high
safety standards and quality of the facilities at our airport while leveraging federal funds.
Therefore, it is the recommendation of the City Manager that the City Council adopt
Alternative No. 1, as noted above.