Asbury Road and IA 32 Traffic Signal and Grading Project Funding AgreementMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Asbury Road and IA 32 Traffic Signal & Grading Project - Traffic Safety
Funding Agreement
Agreement No. 2009 -TS -017
(Iowa DOT Project No. TSF -32- 1(28)-- 92 -31)
(CIP 3002029, 2501814, and 2501815)
DATE: April 27, 2010
City Engineer Gus Psihoyos recommends City Council approval for the Mayor to
execute the Iowa Department of Transportation Traffic Safety Funding Agreement for a
signal and grading project that will make improvements to the IA 32 at Asbury Road
intersection.
This agreement provides for the utilization of State Traffic Safety Funds (TSF) funding in
the amount of $500,000. In addition, this project will also include $48,388 in U -STEP
funding and $39,590 in local funding.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Gus Psihoyos, City Engineer
Michael C. Van Milligen
Dubuque
Iteriti
All- Amedcacfy
2007
Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager
FROM: Gus Psihoyos, City Engineer
DATE: April 26, 2010
Dubuque
AU4Amalca City
1111 r
2007
SUBJECT: Asbury Road and IA 32 Traffic Signal & Grading Project — Traffic Safety
Funding Agreement
Agreement No. 2009 -TS -017
(Iowa DOT Project No. TSF -32- 1(28)-- 92 -31)
(CIP 3002029, 2501814, and 2501815)
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute the Iowa Department of
Transportation (Iowa DOT) Traffic Safety Funding Agreement (2009 -TS -017) for a
signal and grading project that will make improvements to the IA 32 at Asbury Road
intersection.
BACKGROUND
There are many multiple geometric and signal improvements taking place along IA 32
between US 20 and JFK Road during the 2010 construction year. These improvements
include extending left turn lanes, adding right turn lanes, installation of dual left turn
lanes at Asbury Road and ITS improvements at each of the signalized intersections.
These improvements will be broken down into 3 main projects. One project will be
locally bid, the other two projects will include federal dollars and will be bid through the
Iowa DOT.
DISCUSSION
Agreement No. 2009 -TS -017 is for the Asbury Road and IA 32 Traffic Signal & Grading
Project which will provide for the following: grading of the southbound right -turn lane to
accommodate shifting of through lanes for southbound and northbound dual left-turn
lanes at Asbury Road and IA 32 (Asbury Road); milling HMA pavement; traffic signal
modifications; HMA paving; temporary pavement marking; and drainage improvements.
This agreement between the Iowa DOT and the City of Dubuque (City) provides for the
utilization of State Traffic Safety Funds (TSF) funding in the amount of $500,000. In
addition, this project will also include $48,388 in U -STEP funding and $39,590 in local
funding (CIP 250 - 1814).
RECOMMENDATION
I recommend that the City Council adopt the enclosed resolution and authorize the
Mayor to sign the state funding agreement for the Traffic Safety Fund Program Project
(Agreement No. 2009 -TS -017) for the Asbury Road and IA 32 Traffic Signal & Grading
Project.
BUDGET IMPACT
The summary of the project costs is as follows:
CIP No. Funding Source Amount
3002029 Iowa DOT Traffic Safety Grant $500,000.00
3002029 Iowa DOT U -STEP Grant 48,388.00
2501814 NW Arterial Capacity Improvements 39,590.00
2501815 Traffic Consultant Services 66,496.00
Total Project Funding $ 654,474.00
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution and authorize
the Mayor to sign the Iowa Department of Transportation State Funding Agreement
(Agreement No. 2009 -TS -017) for the Asbury Road and IA 32 Traffic Signal & Grading
Project.
cc: Jenny Larson, Budget Director
Don Vogt, Public Works Director
John Klostermann, Street Maintenance Supervisor
Bob Green, Water Department Manager
Robert Schiesl, Assistant City Engineer
Jon Dienst, Civil Engineer II
Greg Doeden, Civil Engineer II
Deron Muehring, Civil Engineer II
RESOLUTION NO. 131-10
RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION
STATE AID FUNDING AGREEMENT (AGREEMENT NO. 2009 -TS -017) FOR THE
ASBURY ROAD AND IA 32 TRAFFIC SIGNAL & GRADING PROJECT.
Whereas, the Iowa Department of Transportation (Iowa DOT) has authorized the use of
Iowa DOT (TSF) funds for the Asbury Road and IA 32 Traffic Signal & Grading Project.
Whereas, the Asbury Road and IA 32 Traffic Signal & Grading Project which will
provide for the following: grading of the southbound right -turn lane to accommodate
shifting of through lanes for southbound and northbound dual left -turn lanes at Asbury
Road and IA 32 (Asbury Road); milling HMA pavement; traffic signal modifications;
HMA paving; temporary pavement marking; and drainage improvements.
Whereas, the Iowa DOT TSF funds will be eligible to complete said
improvements to the IA 32 at Asbury Road intersection, within Dubuque County, Iowa.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That said Iowa DOT Traffic Safety Funding Agreement (Agreement
2009 -TS -017) between the City of Dubuque and the Iowa Department of Transportation
be approved for a signal and grading project that will make improvements to the IA 32 at
Asbury Road intersection.
Section 2. That the Mayor be authorized and directed to execute two copies of
Iowa DOT Traffic Safety Funding Agreement (Agreement No. 2009 -TS -017) for the
Asbury Road at IA 32 Traffic Signal and Grading Project in Dubuque.
Attest:
Passed, approved and adopted this 3rd day of
eanne F. Schneider, CMC, City Clerk
Roy D. Buol, Mayor
Iowa Department of Transportation
NOP District 6 Office 319 - 364 -0235
430 Sixteenth Avenue SW FAX: 319 -364 -9614
P.O. Box 3150, Cedar Rapids, IA 52406 -3150 kent.ellis @dot.iowa.gov
March 25, 2010
Mr. Robert D. Schiesl, P. E.
City of Dubuque- Engineering Division
50 West 13 Street
Dubuque, Iowa 52001 -4864
SUBJECT: Agreement TSF -32- 1(28) -92 -31 FINAL (Iowa 32 at Asbury Rd in Dubuque)
Dear Mr. Schiesl:
I have enclosed two (2) copies of an agreement between the City of Dubuque and the Iowa
Department of Transportation for the referenced project. The project involves development and
completion of Traffic Safety improvements at the intersection of Iowa 32 and Asbury Road
consisting of turning lanes and a change in signal phasing..
Please secure the necessary approvals and signatures of the appropriate city officials and return
both signed copies of the agreement to this office for further processing. After I receive the signed
copies of the agreement, I will sign the agreements, and one of the fully executed agreements will
be returned to your office.
Please contact me if you have any questions concerning this agreement.
KLE /sjb
Enclosures (2)
Ref: TSF -32- 1(28 )-92 -31
Dubuque County
City of Dubuque
Agreement No. 2009 -TS -017
Sincerely,
Kent L. Ellis, P.E.
Local Systems Engineer
District 6
C34,9'10 - :�ePoclvlUU
4 Eh.s,
4'at.0- 10
IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT FOR TRAFFIC SAFETY IMPROVEMENT FUNDING
(Site Specific Improvement)
RECIPIENT: Dubuque, Iowa
COUNTY: Dubuque
PROJECT NO.: TSF -32- 1(28)- -92 -31
AGREEMENT NO.: 2009 -TS -017
This is an agreement between Dubuque, Iowa (hereinafter referred to as Recipient) and the Iowa
Department of Transportation (hereinafter referred to as the DOT). The Recipient submitted an
application to the DOT for funding through the Traffic Safety Improvement Program under Iowa
Code Section 312.2(15), and the application was approved by Transportation Commission Order No.
H- 2008 -50 on, February 12, 2008.
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. The Recipient shall be the lead local governmental agency for carrying out the provisions of
this agreement.
2. All notices required under this agreement shall be made in writing to the DOT's and/or the
Recipient's contact person. The DOT's contact person shall be the District 6 Local Systems
Engineer in Cedar Rapids, Iowa. The Recipient's contact person shall be the City Traffic
Engineer.
3. The Recipient shall be responsible for the development and completion of the following
described Traffic Safety Improvement project:
The intersection of Iowa 32 and Asbury Road will be improved with the
addition of turn lanes and a change in signal phasing. See Exhibit A -1 for
the location of the project and Exhibit A -2 for the estimated project cost.
4. Eligible project costs for the project described in paragraph 3 of this agreement which are
incurred after the effective date of Commission Approval shall be paid from Traffic Safety
Improvement funds and other funds as listed below, subject to the execution of a signed
agreement:
2
Traffic Safety Improvement Funds: $500,000
5. The portion of the total project costs paid by Traffic Safety Improvement funds shall not
exceed the amount stated above ($500,000) or the actual cost of the Traffic Safety
Improvement eligible items, whichever is the smaller amount.
6. 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.
7. 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.
8. The Recipient shall initiate project activities in a timely manner. The proposed project
completion date is December 31, 2011. If construction of the project has not been
completed by this date, this agreement shall be considered to be in default. The Recipient
may request the approval of the DOT to revise the completion date. The request must be
in writing and be submitted thirty (30) days prior to the completion date as shown above.
9. A clear zone will be established as part of this project. The clear zone to the face of the
signal poles /controller shall be whichever of the following provides the greater clearance:
A. 18 feet from the edge of the traveled way along Iowa 32.
B. 10 feet from the edge of the traveled way along Asbury Road.
C. In areas of auxiliary lanes and/or corner radii /tapers, 10 feet from the back -of -curb or
edge of slab; or
D. Within the entire project limits, all fixed objects, including signal poles /controller, shall
be located /relocated to meet the clear zone established above.
E. Any fixed object, existing or new, that causes a sight restriction that would interfere with
the visibility of the signal indications shall be relocated or removed.
F. The DOT Office of Traffic and Safety may approve exceptions on a case -by -case basis.
3
10. For projects which include the installation or modification of traffic signal systems, the
following shall apply:
A. There will be a minimum of one mast -arm mounted signal head with back plate for each
incoming through or left -turn lane. In addition there will be one signal head, side of pole
mounted, on the far right side pole.
B. Combination signal /lighting pole shall be used to minimize the number of fixed objects.
C. 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 by the DOT Office of Traffic and Safety.
D. Pedestrian activated signals shall be provided for all pedestrian movements and timed in
accordance with the current MUTCD.
E. The concrete pad for the controller shall extend no more than 4 inches above the ground
line.
F. Where the distance from the stop bar to the signal indication is in excess of 150 feet,
there shall also be a near side signal head.
G. Dilemma zone protection shall be provided if the 85th percentile speed is at / over 35
mph.
H. Signals shall operate with protected only phasing with dual left-turn lanes at North/South
Iowa 32. A right -turn lane shall be added on the north side southbound lane of Iowa 32.
Lighting shall be added for the intersection approaches.
11. The project plans, specifications and engineer's 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. 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.
4
12. 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.
13. In the event that right -of -way is required for the project listed in paragraph 3 of this
agreement, said right -of -way shall be acquired in accordance with 761 Iowa Administrative
Code Chapter 111, Real Property Acquisition and Relocation Assistance. 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.
14. The Recipient shall be responsible for obtaining any permits, such as the Right to Occupy
and/or Perform Work Within the Right -of -Way, Permit of Access , Utility Accommodation,
Right to Install and Maintain Traffic Control Devices, and/or other construction permits
required for the project prior to the start of construction. Neither the approval of the Traffic
Safety application for funding nor the signing of this agreement shall be construed as
approval of any required permit from the DOT.
15. The Recipient shall develop all site specific improvements using good engineering judgment.
The Recipient shall use "A Policy on Geometric Design of Highways and Streets ", (latest
edition), by the American Association of State Highway and Transportation Officials and/or,
the "The Manual on Uniform Traffic Control Devices for Streets and Highways ", by the
Federal Highway Administration, as a guide.
16. 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, and energy costs of said
installation or modification.
17. The Recipient shall conduct the project development and implementation in compliance with
applicable laws, ordinances and administrative rules. 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.
Additionally, for projects where Federal highway funds, Farm -to- Market funds, or other
Federal funds are used to match Traffic Safety Improvement funds, the Recipient shall also
follow all administrative and contracting procedures which would normally be used when
such funds are used on a non - Traffic Safety Improvement project. The Recipient shall
comply with all requirements for the use of said funds.
18. The Recipient shall certify to the DOT's contact person that all known environmental permits
have been received and that all environmental regulations have been complied with before
Traffic Safety Improvement funds are reimbursed or credited.
5
19. Project activities or costs eligible for Traffic Safety Improvement funding include only those
items set out in Exhibit B which is attached hereto and by this reference incorporated into
this agreement.
20. Activities or costs ineligible for Traffic Safety Improvement funding include but are not
limited to those items set out in Exhibit C which is attached hereto and by this reference
incorporated into this agreement.
21. 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 Engineering and Safety. Failure to comply
shall be considered a default under the terms of this agreement.
22. 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.
23. The Recipient may submit to the DOT periodic itemized claims for reimbursement for
eligible project activities. 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.
24. The Department shall reimburse the Recipient for properly documented and certified claims
for eligible project activity costs, less a withholding of 5% of the Federal and / or State share
of construction costs, either by state warrant or by crediting other accounts from which
payment may have been initially made. If upon final audit, 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 Federal or State funds withheld.
25. 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 plans and specifications set out in this
agreement. Final reimbursement of Traffic Safety Improvement funds shall be made only
after the DOT accepts the project as complete.
26. 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.
6
27. 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 return
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.
28. In the event a default is not cured the DOT may revoke funding commitments and/or seek
repayment of Traffic Safety Improvement funds granted by this agreement through charges
against the Recipient's road use tax funds.
29. 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.
30. 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. 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.
31. In accordance with Iowa Code Chapter 216, the Recipient shall not discriminate against any
person on the basis of race, color, creed, age, sex, sexual orientation, gender identity, national
origin, religion, pregnancy, or disability.
32. 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
D which is attached hereto and by this reference incorporated into this agreement.
33. If any part of this agreement is found to be void and unenforceable then the remaining
provisions of this agreement shall remain in effect.
34. This agreement is not assignable without the prior written consent of the DOT.
35. It is the intent of both parties that no third party beneficiaries be created by this agreement.
36. In case of dispute concerning 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
7
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.
37. 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.
38. This agreement as set forth in paragraphs 1 through 38 herein, including referenced exhibits,
constitutes the entire agreement between the DOT and the Recipient concerning 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 tern 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.
8
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No. 2009 -TS -017 as
of the date shown opposite its signature below.
City of Dubu ue, Iowa:
By:
Title:
Ma or
Date May 3
,20
I, J e a n n e F. Schneider , certify that I am the Clerk of the City, and that
Roy D. B u o 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 i 3rd day of May , 2010
Signed � < </ ' AFAR Date May 3 , 20 .
City Cl of Dubuque, Iowa
Iowa. Department of Transportation:
By: Date , 20
Steve Gent
Director,
Office of Traffic and Safety
IA 32 (NW ARTERIAL) - ASBURY ROAD
INTERSECTION LOCATION MAP
ITEM
Remove Pavement
Sawcut Existing Pavement
PAVEMENT / SURFACING
Concrete Pavement
Concrete Curb & Gutter
Concrete Median Surfacing
HWA Wedge & Leveling Courses
HWA Full Depth Widening
Granular Shoulders
Excavation
Embankment
STORM SEWER
Storm Sewer Inlet (RA -41)
Storm Sewer Pipe (18" Dia.)
Storm Sewer Flared End Section
(18 " Dia.)
Signals
(2 New Poles, Mast Arms, Signal Heads)
Pavement Markings
(10% of Pavement / Surfacing Cost)
10
EXHIBIT A -2 (1 of 2)
QUANITY UNITS UNIT TOTAL
COST COST
% OF
TOTAL
COST
4.985 SY $9.00 $44,865 3.77%
1.500 LF $3.80 $5,700 0.48%
5,020 SY $45.00 $225,900 18.98%
2,050 LF $22.00 $45,100 3.79%
375 SY $40.00 $15,000 1.26%
60 TON $53.00 $3,180 0.27%
370 TON $55.00 $20,350 1.71%
310 TON $15.00 $4,650 039%
100 CY $2.50 $250 0.02%
1,850 CY $6.50 $12,025 1.01%
4 EA $3,520.00 $14,080 1.18%
375 LF $48.00 $18,000 1.51%
4 EA $640.00 $2,560 0.22%
1 LS $40,000
$40,000
Lighting 1 LS $150,000 $150,000
(Includes 20 Luminaires for IA 32 ?Asbury Road Intersection Approcahes)
$31,418
3.36%
12.61%
2.64%
ITEM
Traffic Control
(10% of Pavement / Surfacing Cost)
Modified Subbase
(25% of Pavement / Surfacing Cost)
Subgrade Stabilization
(30% of Pavement / Surfacing Cost)
Landscaping
(15% of Pavement / Surfacing Cost)
Subtotal
Mobilization
(5% of Above Items)
Contingencies
(30% of Above Items)
11
EXHIBIT A -2 (2 of 2)
QUANITY UNITS UNIT TOTAL % OF
COST COST TOTAL
COST
$31,418 2.64%
$78,545 6.60%
$94,254 7.92%
$47,127 3.96%
$884,422
$44,221 3.72%
22.30%
$265,327
C.
12
EXHIBIT B
(Site- Specific Improvements)
Project activities or costs eligible for Traffic Safety Improvement 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.
i. Other construction activities directly related to or required by the safety project.
13
EXHIBIT C
(Site - Specific Improvements)
Activities or costs ineligible for Traffic Safety Improvement 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.
e. 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.
h. Expenditures for items not related to the roadway.
5. For construction contracts:
6. For consultant contracts:
14
EXHIBIT D
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 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 -7357)
or from its website at: http : / /www.iowai.net/iowa /dia /tsb
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 projects
sub - contractible items, the type of service or supplies needed for the project, and the availability of qualified TSB
firms in the area.
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.
a) Identifying the TSB goal in the 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
firm that submitted a subcontract proposal, an explanation why such a TSB firm will not be used.
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.
Recipient: Project Number:
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? $
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? ❑ YES ❑ NO
If yes, by ❑ letter, ❑ telephone, ❑ personal contact, or ❑ other (specify)
If no, explain
3. Were bids or proposals solicited from qualified TSB firms? ❑ YES ❑ NO
If no, explain
4. Was a goal or percentage established for TSB participation? ❑ YES ❑ 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 ❑ NO
If no, what action was taken by Recipient?
Is documentation in files? ❑ YES ❑ NO
15
CHECKLIST AND CERTIFICATION
For the Utilization of Targeted Small Businesses (TSB)
On Non - Federal -aid Projects (Third -Party State - Assisted Projects)
County: Agreement Number:
Title
Signature
Name(s) and address(es) of the TSB firm(s)
(Use additional sheets if necessary)
Was the goal or percentage achieved? ❑ YES ❑ 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.
Date