IDOT Traffic Safety Funding Agreement_NW Arterial and Pennsylvania Ave. Intersection Copyrighted
June 19, 2017
City of Dubuque Consent Items # 16.
ITEM TITLE: Iowa Department of Transportation Traffic Safety
Improvement Funding Agreement- NW Arterial and
Pennsylvania Avenue
SUMMARY: City Manager recommending authorization for the Mayor to
execute a Funding Agreement with the Iowa Department of
Transportation for a Traffic Safety Improvement Grant to
assist with the construction of a proposed right-turn lane on
Pennsylvania Avenue at the Northwest Arterial intersection.
RESOLUTION Approving a Funding Agreement(2017-TS-
015)with the Iowa Department of Transportation for a
Traffic Safety Improvement Grant to assist with the
construction of a proposed right-turn lane improvement on
Pennsylvania Avenue at the Northwest Arterial intersection
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
Iowa DOT Traffic Safety Improvement Funding Grant- City Manager Memo
MVM Memo
Staff Memo Staff Memo
Resolution Resolutions
Traffic Safety Grant Funding Agreement Supporting Documentation
THE CITY OF Dubuque
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Masterpiece 012 the Mississippi 2007.2012«2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Iowa Department of Transportation Funding Agreement to Construct a Proposed
Right Turn Lane on Pennsylvania Avenue at the Northwest Arterial
City CIP No. 3002675, Iowa DOT Project No. CS-TSF-2100 (685)-85-31
Iowa DOT Agreement No. 2017-TS-015
DATE: June 14, 2017
City Engineer Gus Psihoyos recommends City Council authorization for the Mayor to
execute a Funding Agreement with the Iowa Department of Transportation for a Traffic
Safety Improvement Grant to assist with the construction of a proposed right turn lane
on Pennsylvania Avenue at the Northwest Arterial intersection. The total cost of the
right turn lane improvement is estimated at $415,000 and $364,000 will be funded by
the Iowa DOT/Traffic Safety Improvement Grant.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Gus Psihoyos, City Engineer
THE CITY OF I��L�bt�
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TO: Michael C. Van Milligen, City Manager ,.
FROM: Gus � Y g Psiho os Cit Engineer
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DATE: June 14, 2017
RE: Iowa Department of Transportation Funding Agreement to Construct a
proposed right turn lane on Pennsylvania Avenue at the Northwest Arterial
City CIP No. 3002675, Iowa DOT Project No. CS-TSF-2100 (685)--85-31
Iowa DOT Agreement No. 2017-TS-015
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute a Funding Agreement with the
Iowa Department of Transportation (Iowa DOT) for a Traffic Safety Improvement Grant
to assist with the construction of a proposed right turn lane on Pennsylvania Avenue at
the Northwest Arterial intersection.
BACKGROUND
Every year the Engineering Department meets with staff from the Iowa Department of
Transportation Office of Traffic and Safety to discuss and identify intersections having
safety and/or operational concerns. The intersection of Pennsylvania and the
Northwest Arterial was identified due to the number of crashes that occur. Currently this
intersection does not have a designated westbound right turn lane on Pennsylvania.
Adding the right turn lane will help alleviate traffic congestion on Pennsylvania Avenue
that affects area business.
In August 2015, the City submitted an application to the Iowa DOT for the Traffic Safety
Improvement Grant. The grant application was approved by the Transportation
Commission on December 8, 2015 in the amount of $364,000.
RECOMMENDATION
I recommend that the City Council authorize the Mayor to execute a Funding Agreement
with the Iowa DOT for a Traffic Safety Improvement Grant to assist with the construction
of a proposed right turn lane improvements at NW Arterial and Pennsylvania Avenue.
BUDGETIMPACT
The total cost of the right turn lane improvement is estimated at $415,000, $364,000 of
the $415,000 will be funded by the Iowa DOT / Traffic Safety Improvement Grant and
$51,000 will be funded by City Sales Tax fund (CIP No. 3002675) which was adopted
as part of the FY 2017 and FY 2018 budget in the amount of $182,000. The City will
also be responsible for the engineering design and construction administration related
costs that are not grant eligible.
1
ACTION TO BE TAKEN
The City Council is requested to authorize the Mayor to execute a Funding Agreement
(Agreement No. 2017-TS-015) with the Iowa Department of Transportation for a Traffic
Safety Improvement Grant to assist with the construction of a proposed right turn lane
improvement on Pennsylvania Avenue at the Northwest Arterial intersection.
cc: Bob Schiesl, Asst City Engineer
David Ness, Civil Engineer
Chandra Ravada, ECIA
Kent Ellis, Iowa DOT
Y:\PROJECTS\Traffic Safety Grant-2017 NW Arterial-Penn Right Turn Lane\Funding Agreement
2
I
RESOLUTION NO. 216-17
RESOLUTION APPROVING A FUNDING AGREEMENT (2017 -TS -015) WITH THE
IOWA DEPARTMENT OF TRANSPORTATION FOR A TRAFFIC SAFETY
IMPROVEMENT GRANT TO ASSIST WITH THE CONSTRUCTION OF A PROPOSED
RIGHT TURN LANE IMPROVEMENT ON PENNSYLVANIA AVENUE AT THE
NORTHWEST ARTERIAL INTERSECTION
Whereas, the Northwest Arterial and Pennsylvania Avenue intersection was
identified due to the number of crashes and that this intersection does not have a
designated westbound right turn lane; and
Whereas, the City of Dubuque and the Iowa Department of Transportation have
recommended that turn lane improvements to this intersection would be in the best
interest of the public due to safety and/or operational concerns, construction of a
designated right turn lane on Pennsylvania Avenue at the Northwest Arterial intersection;
and
Whereas, the total cost for these improvements is estimated at $415,000.00. The
Traffic Safety Improvement Grant will fund $364,000.00 of this project, and the remaining
cost, $51,000 would be funding by City.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA, THAT:
Section 1. That said Traffic Safety Improvement Grant funding will be used within
the City of Dubuque to assist with the construction of a designated right turn lane on
Pennsylvania Avenue at the Northwest Arterial intersection is hereby approved.
Section 2. That the Mayor be authorized and directed to execute two copies of said
Funding Agreement for the Traffic Safety Improvement Grant funding that will be used
within the City of Dubuque to assist with a designated right turn lane on Pennsylvania
Avenue at the Northwest Arterial intersection.
Passed, approved and adopted this 19th day of June, 2017.
Attest:
Kevin S. Firnstahl, CMC, City Clerk
4),
Roy -b. Bt °l; Mayor
Y:\PROJECTS\Traffic Safety Grant - 2017 NW Arterial - Penn Right Turn Lane\Funding Agreement
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District 6 Office 1 Highway Division
5455 Kirkwood Blvd. SW, Cedar Rapids, IA 52404
Phone: (319) 364-0235 1 Fax (319) 364-9614 I Email: kent.ellis@iowadot.us
Bob Schiesl, Assistant City Engineer
City Hall
50 West 13th St.
Dubuque, IA 52001
Ref: CS -TSF -2100(685)--85-31
Dubuque County
City of Dubuque
Agreement # 2017 -TS -015
SUBJECT: Agreement 2017 -TS -015 FULLY EXECUTED (Addition of right -turn only
lane on the east leg of Pennsylvania Avenue with traffic signal adjustments)
Dear Bob:
Enclosed is a copy of the fully executed Iowa Department of Transportation Traffic Safety
Improvement Funding (TSF) project agreement for the referenced project.
This agreement is not the needed authorization to proceed, nor the authorization of the funding
for this project. The standard provisions in this agreement must be followed in order to ensure
reimbursement of State funds.
If you are using or will be using a consultant for this project, please provide your consultant
with a copy of this agreement.
Please contact me if you have any questions regarding the development and design
requirements for this project.
KLE/hmb
Enclosure: 2017 -TS -015
cc: Deanne Popp
Daryl Hart
Sincerely,
Kent L. Ellis, P.E.
Local Systems Engineer, District 6
January 2016
IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT FOR TRAFFIC SAFETY IMPROVEMENT PROGRAM FUNDING
(Site -Specific Improvement)
County Dubuque
Recipient Dubuque__ m. ..m.
Project No. CS -TSF -2100(685)--85-31
Iowa DOT
Agreement No. 2017 -TS -015 ..... This agreement is entered into by and between the Iowa Department of Transportation, hereinafter
designated the "DOT", and the city of Dubuque, Iowa, hereinafter designated the "Recipient". The
Recipient submitted an application to the DOT for funding through the Traffic Safety Improvement
Program (TSIP) under Iowa Code Section 312.2(11), and the application was approved by Transportation
Commission Order No. H-2016-37 on, December 8, 2015.
Pursuant to the terms of this agreement, and applicable statutes and administrative rules, the DOT
agrees to provide funding to the Recipient to aid in the development of a certain traffic safety
improvement project.
In consideration of the foregoing and the mutual promises contained in this agreement, the parties agree
as follows:
1. Project Information
a. The Recipient shall be the lead local governmental agency for carrying out the provisions of this
agreement.
b. All notices required under this agreement shall be made in writing to the DOT's and/or the Recipient's
contact person. The DOTs contact person shall be the District 6 Local Systems Engineer in Cedar
Rapids, Iowa. The Recipient's contact person shall be Assistant City Engineer.
c. The Recipient shall be responsible for the development and completion of the following described
project located in Dubuque:
Addition of right -tum only lane on the east leg of Pennsylvania Avenue with traffic signal
adjustments. See Exhibit A-1 for the location of the project and Exhibit A-2 for the estimated
project cost.
2. Project Costs
a. Eligible project costs for the project described in Section 1 of this agreement which are incurred after
the effective date of Commission Approval shall be paid from TSIP Funds and other funds as listed
below, subject to the execution of a signed agreement:
TSIP Funds: $364,000
b. The portion of the total project costs paid by TSIP shall not exceed the amount stated above or the
actual cost of the TSIP eligible items, whichever is the smaller amount.
c. If a letting is required, the project shall be let to contract within 2 years of the date this agreement is
approved by the Department. If a letting is not required, construction on the project shall begin within
2 years of the date this agreement is approved by the Department. If neither condition is met, the
Recipient may be in default, for which the Department may revoke funding commitments. This
agreement may be extended for a period of 6 months upon receipt of a written request from the
Recipient at least 30 days prior to the 2 year deadline.
2017 -TS -015 Dubuque 1
January 2016
d. Project activities or costs eligible for TSIP funds include only the following: (a) road modernization,
upgrading or reconstruction; (b) bridge and culvert modernization, replacement or removal; (c) road
intersection and interchange improvement including channelization, traffic control devices or lighting;
(d) right-of-way required for a traffic safety project; (e) drainage and erosion measures which are an
integral part of the project; (f) traffic control devices required by the project; (g) guardrail; (h) tree
removal; and (i) other construction activities directly related to or required by the safety project.
e. Project activities or costs ineligible for TSIP funds include, but are not limited to, the following: (a) any
and all costs incurred prior to commission approval of funding; (b) routine maintenance of a road,
street, bridge, culvert or traffic control device; (c) safety-related activities associated with projects
initiated for purposes other than traffic safety; (d) contract administration costs; (0) design and
construction engineering and inspection; (f) utility construction, reconstruction, or adjustment except
as an integral part of a project; (g) sidewalks, bicycle paths or railroad -highway crossings, except as
an integral part of the project; and (h) expenditures for items not related to the roadway.
f. If Federal highway funds, Farm -to -Market funds, or other Federal funds are used in combination with
TSIP Funds, the Recipient shall also follow all administrative and contracting procedures which would
normally be used when such funds are used on a non-TSIP project. The Recipient shall comply with
all requirements for the use of said funds.
3. Right of Way and Permits
a. In the event that right-of-way is required for the project, said right-of-way shall be acquired in
accordance with 761 Iowa Administrative Code Chapter 111, Real Property Acquisition and
Relocation Assistance. If the project impacts the Primary Road System the Recipient shall submit
preliminary right-of-way plans to the DOT's Office of Right of Way for review and approval prior to the
commencement of any acquisition. Additionally, if said right-of-way is for an improvement to the
Primary Road System, it shall be acquired in the name of the State of Iowa.
b, The Recipient shall be responsible for obtaining any permits, such as the Work Within the Right -of -
Way Permit, Access Connection/Entrance Permit, Utility Accommodation Permit, Application for
Approval of a Traffic Control Device, and/or other construction permits required for the project prior to
the start of construction. Neither the approval of the TSIP application for funding nor the signing of
this agreement shall be construed as approval of any required permit from the DOT.
The Recipient shall be responsible for obtaining any environmental permits and approvals, when
necessary, to comply with all environmental regulations.
c.
4. Project Design
a. The Recipient shall develop all project improvements using good engineering judgment. The
Recipient shall use the DOT "Design Manuar on projects involving the Primary Road System and/or
routes located on the National Highway System. Projects not on the Primary Road system shall use
"A Policy on Geometric Design of Highways and Streets", (latest edition), by the American
Association of State Highway and Transportation Officials. In all cases the "The Manual on Uniform
Traffic Control Devices for Streets and Highways" (MUTCD), as adopted pursuant to 761 Iowa
Administrative Code, Chapter 130 shall apply.
b. For projects which include the installation or modification of traffic signal systems, the following shall
apply:
1. There will be a minimum of one mast -arm mounted signal head with back plate for each incoming
through or lett-turn lane. In addition there will be one signal head, side of pole mounted, on the far
right side pole. All vehicle signal lenses shall be 12 -inch. The positioning of signal faces and the
signal indications for left -turn movements shall be in accordance with current adopted MUTCD.
2017 -TS -015 Dubuque 2
January 2018
11 Combination signal/lighting pole shall be used to minimize the number of fixed objects.
iii. Interconnection and coordinated traffic signal timing plans shall be developed for the traffic
signals if there are two or more other signal installations within 1/2 mile of the subject access to
provide for progressive traffic flow. Said plans shall be reviewed and approved the DOT Office of
Traffic & Safety.
iv. Pedestrian activated signals shall be provided for all pedestrian movements and timed in
accordance with the MUTCD.
v. The concrete pad for the controller shall extend no mom than 4 inches above the ground line.
vi. Where the distance from the stop bar to the signal indication is in excess of 180 feet, there shall
also be a near side signal head.
vii. Dilemma zone protection shall be provided if the 851h percentile speed is at/over 35 mph.
5. Bid Letting
a. If the project must be let for bids, then project plans, specifications and engineers cost estimate for
site specific Improvements and/or traffic control devices shall be prepared and certified by a
professional engineer licensed to practice in the State of Iowa. The Recipient shall submit the plans,
specifications and other contract documents to the DOT for review. This submittal may be in divisions
and in the order of preference as determined by the Recipient. However, the plans, specifications and
other contract documents for each division must be submitted at least ten weeks (traffic control
devices) or fourteen weeks (site specific project) prior to the project letting of each division. If the
project will be let through the Iowa DOT, project development submittals shall follow Local Systems
I.M. 3.005. The DOT shall review said submittal(s) recognizing the Recipient's development schedule
and shall, after satisfactory review, authorize in writing the Recipient to proceed with implementation
of the project. The work on this project shall be in accordance with the survey, plans, and
specifications on file. Any substantial modification of these plans and specifications must be approved
by the DOT prior to the modification being put into effect.
b. If the Recipient lets the project, as described herein, the Recipient shall include in their Notice to
Bidders that Sales Tax Exemption Certificates will be Issued, as provided for by Iowa Code section
423.3, subsection 80. The Recipient shall be responsible for obtaining the sales tax exemption
certificates through the Iowa Department of Revenue and Finance. The Recipient shall issue these
certificates to the successful bidder and any subcontractors to enable them to purchase qualifying
materials for the project free of sales tax.
c. If the Recipient lets the project, then the Recipient shall use positive efforts to solicit bids from and to
utilize Targeted Small Business (TSB) enterprises as contractors and ensure that the contractors
make positive efforts to utilize these enterprises as subcontractors, suppliers or participants in the
work covered by this agreement. Efforts shall be made and documented In accordance with Exhibit B
which is attached hereto and by this reference incorporated into this agreement.
d. For portions of the project let to bid, the Recipient shall advertise for bidders, make a good faith effort
to get at least three (3) bidders, hold a public letting and award contracts for the project work. DOT
concurrence in the award must be obtained prior to the award. The Recipient shall provide the DOT
file copies of project letting documents within five (5) days after letting.
e. The Recipient shall be the contracting authority for the project.
2017 -TS -015 Dubuque
January 2016
6. Construction and Maintenance
a. The Recipient shall conduct the project development and implementation in compliance with
applicable laws, ordinances and administrative rules.
b. The Recipient shall be responsible for the daily inspection of the project, and the compilation of a
daily log of materials, equipment and labor on the project.
c. The Recipient shall maintain records, documents, and other evidence in support of work performed
under the terms of this contract. All accounting practices applied and all records maintained will be in
accordance with generally accepted accounting principles and procedures. Documentation shall be
made available for inspection and audit by authorized representatives of the DOT or its designee at
all reasonable times during the period of the contract and for three (3) years after the date of final
payment. Reimbursement shall be based on eligible actual and indirect costs associated with
performance of contract service work. The Recipient shall provide copies of said records and
documents to the DOT upon request.
d. The Recipient shall notify the DOT's contact person of the date that construction begins and the date
that the project is substantially complete (i.e., when the road is re -opened to traffic).
e. The Recipient shall require its contractors to permit the DOT authorized representative to inspect all
work materials, records, and any other data with regard to agreement related costs, revenues and
operating sources.
f. Upon project completion and prior to final reimbursement for the project, the Recipient shall furnish
three sets of "as -built" plans for any portion of the project which is on or intersects any primary road
or primary road extension to the DOT's contact person for future maintenance and road design
purposes.
g. If this project requires the installation of or modification to a traffic control signal system, the Recipient
shall be responsible for all future ownership, maintenance, operation and energy costs of said
installation or modification.
h. The Recipient hereby certifies that, for a period of ten (10) years following completion of project and
receipt of final payment from the DOT, there shall be no modifications in the geometric features, the
construction features, or the access management features (including driveway design and location) of
the project, nor shall there be any fixed objects or obstructions placed in any clear zone established in
conjunction with this project without the prior written approval of the Office of Traffic and Safety.
Failure to comply shall be considered a default under the terms of this agreement.
7. Payments and Reimbursements
a. The Recipient may submit to the DOT periodic itemized claims for reimbursement for eligible project
activities. Eligible and ineligible costs are outlined in Iowa Administrative Code (IAC) 781 Chapter
164, Traffic Safety Improvement Program (see IAC 761-164.6(312) and IAC 761 -164.7(312)).
Reimbursement claims shall include certification by a professional engineer licensed to practice in the
State of Iowa that all eligible project activities for which reimbursement is requested have been
completed in substantial compliance with the terms of this agreement.
b. The Department will reimburse the Recipient for properly documented and certified claims for eligible
project costs. The Department may withhold up to 5% of the construction costs or 5% of the TSIP
funds available for the project, whichever is less. Reimbursement will be made either by State warrant
or by crediting other accounts from which payment was Initially made. If, upon final audit or review,
the Department determines the Recipient has been overpaid, the Recipient shall reimburse the
overpaid amount to the Department. After the final audit or review is complete and after the Recipient
has provided all required paperwork, the Department will release the funds withheld, if any.
2017 -TS -015 Dubuque 4
January 2016
c. Upon completion of the project described in this agreement, a professional engineer licensed to
practice in the State of Iowa shall certify in writing to the DOT that the project activities were
completed in substantial compliance with the terms of this agreement. Final reimbursement of TSIP
Funds shall be made only after the DOT accepts the project as complete.
d. The Recipient shall request reimbursement and final payment from the DOT within one year of field
completion of the work. If this condition is not met, the Recipient may be in default, for which the
Department may revoke funding commitments.
e. If the Recipient fails to perform any obligation under this agreement, the DOT shall have the right,
after first giving thirty (30) days written notice to Recipient by certified mail retum receipt requested, to
declare this agreement in default. The Recipient shall have thirty (30) days from date of mailing of
notice to cure the default. If the Recipient cures the default, the Recipient shall notify DOT no later
than five (5) days after cure or before the end of said thirty (30) day period to cure default. Within ten
(10) working days of receipt of Recipient's notice of cure, the DOT shall issue either a notice of
acceptance of cure or notice of continued default.
f. In the event a default is not cured the DOT may revoke funding commitments and/or seek repayment
of TSIP Funds granted by this agreement through charges against the Recipient's road use tax funds.
8. General Provisions
a. This agreement shall be considered to be in default if the DOT determines that the Recipient's
application for funding contained inaccuracies, omissions, errors or misrepresentations.
b. To the extent allowed by law, the Recipient agrees to indemnify, defend and hold the DOT harmless
from any action or liability arising out of the design, construction, maintenance, placement of traffic
control devices, or inspection of this project. To the extent allowed by law, this agreement to
indemnify, defend and hold harmless applies to all aspects of the DOT's application review and
approval process, plan and construction reviews, and funding participation.
c. In accordance with Iowa Code Chapter 218, the Recipient shall not discriminate against any person
on the basis of race, color, creed, age, sex, sexual orientation, gender identity, national on'gin,
religion, pregnancy, or disability.
d. The Recipient shall comply with the requirements of Title II of the Americans with Disabilities Act of
1990 (ADA), Section 504 of the Rehabilitation Act of 1973 (Section 504), and the associated Federal
regulations that implement these laws.
e. If any part of this agreement is found to be void and unenforceable then the remaining provisions of
this agreement shall remain in effect.
f. This agreement is not assignable without the prior written consent of the DOT.
g. It is the intent of both parties that no third party beneficiaries be created by this agreement.
h. In case of dispute conceming the terms of this agreement, the parties shall submit the matter to
arbitration pursuant to Iowa Code Chapter 679A. Either party has the right to submit the matter to
arbitration after ten (10) days notice to the other party of their intent to seek arbitration. The written
notice must include a precise statement of the disputed question. DOT and the Recipient agree to be
bound by the decision of the appointed arbitrator. Neither party may seek any remedy with the state
or federal courts absent exhaustion of the provisions of this paragraph for arbitration.
201748-015 Dubuque 5
January 2016
1. This agreement shall be executed and delivered in two or more copies, each of which so executed
and delivered shall be deemed to be an original and shall constitute but one and the same
instrument.
J.
This agreement, including referenced exhibits, constitutes the entire agreement between the DOT
and the Recipient conceming this project. Representations made before the signing of this agreement
are not binding, and neither party has relied upon conflicting representations in entering into this
agreement. Any change or alteration to the terms of this agreement must be made in the form of an
addendum to this agreement. Said addendum shall become effective only upon written approval of
the DOT and Recipient.
2017 -TS -015 Dubuque 6
January 2018
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No. 2017 -TS -015 as of the
date shown opposite its signature below.
City of Dubuque, Iowa:
ml r'^„ �fe 11 0.
Title: Mav
Date
June 19
20 17
1, Kevin S . F i r n s t a h l , certify that I am the Clerk of the City, and that
Roy n,. Run 1 , who signed said Agreement for and on behalf of the City was duly
authorized to execute the same by virtue of a formal Resolution duly passed and adopted by the
City, on the 19th
day of June, 2017
Signed .
City Clerk of Dubuque, Iowa
Iowa Department of Zransportation:
Steve J. Gent
Director,
Office of Traffic and Safety
Date jjune 19 ,, 20 1 7 .
Date
2017 -TS -015 Dubuque 7
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2077-TS-015 Dubuque 9
EXHIBIT B
UTILIZATION OF TARGETED SMALL BUSINESS (TSB) ENTERPRISES
ON NON-FEDERAL AID PROJECTS
(THIRD -PARTY STATE ASSISTED PROJECTS)
In accordance with Iowa Code Section 19B.7 and 541 Iowa Administrative Code (IAC) Chapter 4, it is the
policy of the Iowa Department of Transportation (Iowa DOT) that Targeted Small Business (TSB)
enterprises shall have the maximum practicable opportunity to participate in the performance of contracts
financed in whole or part with State funds.
Under this policy the Recipient shall be responsible to make a positive effort to solicit bids or proposals
from TSB firms and to utilize TSB firms as contractors or consultants. The Recipient shall also ensure
that the contractors or consultants make positive efforts to utilize TSB firms as subcontractors,
subconsultants, suppliers, or participants in the work covered by this agreement.
The Recipient's "positive efforts" shall include, but not be limited to:
1. Obtaining the names of qualified TSB firms from the Iowa Department of Inspections and Appeals
(515-281-7102) or from its website at: http://dia.iowa.gov/page7.html.
2. Notifying qualified TSB firms of proposed projects involving State funding. Notification should be
made in sufficient time to allow the TSB firms to participate effectively in the bidding or request for
proposal (RFP) process.
3. Soliciting bids or proposals from qualified TSB firms on each project, and identifying for TSB firms
the availability of subcontract work.
4. Considering establishment of a percentage goal for TSB participation in each contract that is a
part of this project and for which State funds will be used. Contract goals may vary depending on
the type of project, the subcontracting opportunities available, the type of service or supplies
needed for the project, and the availability of qualified TSB firms in the area.
5. For construction contracts:
a) Including in the bid proposals a contract provision titled "TSB Affirmative Action
Responsibilities on Non -Federal Aid Projects (Third -Party State -Assisted Projects)" or a
similar document developed by the Recipient. This contract provision is available on-line at:
http://www.dot.state.ia.us/local_systems/publications/tsb contract provision.pdf
b) Ensuring that the awarded contractor has and shall follow the contract provisions.
6. For consultant contracts:
a) Identifying the TSB goal in the Request for Proposal (RFP), if one has been set.
b) Ensuring that the selected consultant made a positive effort to meet the established TSB
goal, if any. This should include obtaining documentation from the consultant that includes a
list of TSB firms contacted; a list of TSB firms that responded with a subcontract proposal;
and, if the consultant does not propose to use a TSB firrn that submitted a subcontract
proposal, an explanation why such a TSB firm will not be used.
2017-TS-015_Dubuque 10
The Recipient shall provide the Iowa DOT the following documentation:
1. Copies of correspondence and replies, and written notes of personal and/or telephone contacts
with any TSB firms. Such documentation can be used to demonstrate the Recipient's positive
efforts and it should be placed in the general project file.
2. Bidding proposals or RFPs noting established TSB goals, if any.
3. The attached "Checklist and Certification." This form shall be filled out upon completion of each
project and forwarded to: Iowa Department of Transportation, EEO Administrator, Office of
Contracts, 800 Lincoln Way, Ames, IA 50010.
2017-TS-015_Dubuque 11
CHECKLIST AND CERTIFICATION
For the Utilization of Targeted Small Businesses (TSB)
On Non -Federal -aid Projects (Third -Party State -Assisted Projects)
Recipient: Project Number:
County: Agreement Number:
1. Were the names of qualified TSB firms obtained from the Iowa Department of Inspections and Appeals?
❑ YES ❑ NO
If no, explain
2. Were qualified TSB firms notified of project? 0 YES 0 NO
If yes, by 0 letter, 0 telephone, 0 personal contact, or 0 other (specify)
If no, explain
3. Were bids or proposals solicited from qualified TSB firms? 0 YES 0 NO
If no, explain
4. Was a goal or percentage established for TSB participation? 0 YES 0 NO
If yes, what was the goal or percentage?
If no, explain why not:
5. Did the prime contractor or consultant use positive efforts to utilize TSB firms on subcontracts? 0 YES 0 NO
If no, what action was taken by Recipient?
Is documentation in files? 0 YES 0 NO
6. What was the dollar amount reimbursed to the Recipient
from the Iowa Department of Transportation? $
What was the final project cost? $
What was the dollar amount performed by TSB firms? $
Name(s) and address(es) of the TSB firm(s)
(Use additional sheets if necessary)
Was the goal or percentage achieved? ❑ YES 0 NO
If no, explain
As the duly authorized representative of the Recipient, I hereby certify that the Recipient used positive efforts to utilize
TSB firms as participants in the State -assisted contracts associated with this project.
Title
Signature
2017 -TS -015 Dubuque
12
Date