Dubuque Regional Airport RISE Grant AgreementMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Dubuque Regional Airport RISE Grant Agreement
DATE: April 26, 2011
Dubuque
AI-America City
2007
The proposed construction of the new Dubuque Regional Airport Terminal Facility
necessitates construction improvements to the existing Merlin Lane and US 61
intersection to provide additional traffic capacity, upgrade geometry, increase roadway
strength and improve safety.
Acting Airport Manager Todd Dalsing recommends City Council approval of the
Revitalize Iowa's Sound Economy (RISE) Grant for the construction of road west from
Highway 61 to access lots in the Dubuque Regional Airport industrial park.
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
Todd Dalsing, Acting Airport Manager
Michael C. Van Milligen
DUBUQUE REGIONAL AIRPORT
To: Michael C. Van Milligen, City Manager
From: Todd Dalsing, Acting Airport Manager
Date: April 22, 2011
Subject: Dubuque Regional Airport RISE Grant Agreement
INTRODUCTION
DISCUSSION
Q
RECOMMENDATION
MEMORANDUM
The attached agreement is in reference to Revitalize Iowa's Sound Economy
(RISE) Grant for the construction of road west from Highway 61 to access lots in
the Dubuque Regional Airport industrial park.
The proposed construction of the new Dubuque Regional Airport Terminal
Facility necessitates construction improvements to the existing Merlin Lane and
US61 intersection to provide additional traffic capacity, upgrade geometry,
increase roadway strength and improve safety.
Currently, Merlin Lane is a low volume county road with gravel surfacing. The
planned improvements allocate the intersection priority to the proposed Airport
entrance roadway providing a direct access to the New Terminal Facility. Merlin
Lane will become secondary to the proposed Airport entrance road and would
connect to the proposed entrance road approximately 500 feet northwesterly
from US61.
Preliminary roadway and site grading construction is planned to begin in the
summer of 2011 and is expected to be completed at the end of the 2011
construction season. The US61 and proposed Airport entrance roadway
intersection, grading and paving is expected to occur at the same time.
I recommend that the City Council approve the agreement of the RISE grant for
the construction of road west from Highway 61 to access lots in the Dubuque
Regional Airport industrial park.
BUDGET IMPACT
The Airport is seeking funding assistance for the cost of improvements to US61
up to and including the Merlin Lane intersection. For the Airport entrance
roadway beyond Merlin Lane, the Federal Aviation Administration (FAA) will
provide 95% of the funding with a 5% local match. The estimated project cost
for the proposed intersection and entrance roadway to and including the Merlin
Lane intersection is approximately $620,000. The Airport is seeking additional
funding sources for these improvements. The $92,690 funding portion of the
project is pending FAA approval.
Estimate
Original Construction Contract (10- 21 -10) $437,675
Additional deceleration turn lane requirement by IDOT(12- 15 -10) 92,250
Engineering & Inspection 89,300
TOTAL (est.)$619,225
The project funding summary is as follows:
CIP No
3902316
3902316
3902316
10051400 -62731
Fund Description
FAA
RISE Grant
DRA Distribution
Misc. Services -Radar
TOTAL
Amount
$ 92,690
$287,890
$216,923
$ 21,722
$619,225
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution
approving the agreement of the RISE grant for the construction of road west
from Highway 61 to access lots in the Dubuque Regional Airport industrial park.
cc: Jenny Larson, Budget Director
RESOLUTION NO 149 11
RESOLUTION.AUTHORIZING A REVITALIZE IOWA'S SOUND ECONOMY (RISE)
GRANT AGREEMENT ACCEPTANCE FOR THE CONSTRUCTION OF A ROAD
WEST FROM HIGHWAY 61 TO ACCESS LOTS IN THE DUBUQUE REGIONAL
AIRPORT INDUSTRIAL PARK
WHEREAS, the Iowa Department of Transportation, through its Revitalize Iowa's
Sound Economy (RISE) Competitive Project Funding, has awarded the Dubuque
Regional Airport a grant to provide roadway access for the development of lots in the
Dubuque Regional Airport Industrial Park.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That the City of Dubuque hereby certifies that the roadway
improvements will be dedicated to public use and will remain so dedicated to public use
and that G.O. Bond funds will be available to finance the City's portion of project costs.
Section 2. That the City Manager is authorized to sign, on behalf of the City
Council, the acceptance of RISE funding.
ATTEST:
tahl, Acting City Clerk
PASSED, APPROVED, and ADOPTED this 2nd day of May, 2011.
Roy D. Buol, Mayor
Iowa Department of Transportation
800 Lincoln Way, Ames, IA 50010 515- 239 -1738
Fax: 515- 233 -7857
May 11, 2011
Todd Dalsing
Airport Manager
City of Dubuque
11000 Airport Road
Dubuque, IA 52003
RE: City of Dubuque, RM- 2100(666)- -9D -31
Dear Mr. Dalsing:
Enclosed is one original of the fully executed Agreement Number 2011 -R -014 that
pertains to the above referenced project. Also enclosed are a notice outlining
submittals that need to be made and a form for requesting reimbursement.
The agreement includes a copy of applicable "Contract Provisions" regarding Targeted
Small Business Affirmative Action Responsibilities on Non-Federal Aid Projects (Third -
Party State - Assisted Projects). These "Contract Provisions," or similar provisions
developed by the City, need to be included as part of the City's bidding documents.
The City is responsible for ensuring that their agreement obligations are fulfilled so that
funding is not jeopardized. Please provide a copy of the enclosed agreement to the
City's designated project engineer for their review and future reference.
We wish to thank the City for their cooperation and efforts in working with us on this
agreement.
Sincerely,
Rebecca E. Law
Office of Systems Planning
REL:plr
Enclosures
cc: Shawn Majors, Iowa DOT, Office of Program Management
Linda Thede, Iowa DOT, Office of Finance, w /copy
Iowa Department of Transportation
Agreement for a
Revitalize Iowa's Sound Economy Program (RISE) Project
RECIPIENT: Dubuque
PROJECT NO: RM- 2100(666)- -9D -31
IOWA DOT
AGREEMENT NO.: 2011 -R -014
This is an agreement between Dubuque (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 Revitalize Iowa's Sound Economy (RISE) fund
under Iowa Code Chapter 315 (2003), and the application was approved by Transportation
Commission Order No. PPM - 2011 -51 on April 12, 2011.
Pursuant to the terms of this agreement, and applicable statutes and administrative rules the DOT
agrees to provide funding to the Recipient for the authorized and approved costs for eligible
items associated with the development of the construction of left- and right -turn lanes on U.S. 61
and approximately 500 feet of new roadway.
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 organization 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 Rebecca Law, Office
of Systems Planning, 800 Lincoln Way, Ames, Iowa 50010, 515-239-1738, email
Rebecca.Law @dot.iowa.gov. The Recipient's contact person shalt be Todd Daising,
Airport Manager, 11000 Airport Road, Dubuque, IA 52003, 563 - 5894233, email
tdalsing@cityofdubuque.org.
3. The Recipient shall be responsible for the development and completion of the following
described project:
The construction of left- and right -turn lanes on U.S. 61 and approximately 500 feet of
new roadway.
See Exhibit A.
4. Eligible project costs for the project described in Section 3 of this agreement, listed
above, which are incurred after the effective date of this agreement shall be paid as
follows:
City RISE Funds (Grant): $287,891
City Local Contribution: $287,890
Project Total: $575,781
5. The local contribution stated above may include cash or non -cash contributions to the
project. The Recipient shall certify to the DOT the value of any non -cash contribution to
the project prior to it being incurred. For right of way contributions, the recipient shall
submit an appraisal from a qualified independent appraiser. The DOT reserves the right
to review the Recipient's certificate of value and has sole authority to determine the value
of the Recipient's non -cash contribution for the purposes of this agreement. If, as a result
of the DoT's determination, the Recipient's total cash and non -cash contribution is below
that stated in the terms of this agreement, the Recipient shall increase its cash
contribution in order to complete the Recipient's local contribution, or the grant and/or
loan amount associated with this project shall be reduced accordingly.
6. The portion of total project costs paid by grant shall not exceed the amount stated above
$287,891 or 50 percent of the total cost of the eligible items, whichever is the smaller
amount. Any cost overruns shall be paid solely by the applicant.
7. Project activities or costs eligible for funding include only those items set out in Exhibit
B which is attached hereto and by this reference incorporated into this agreement, and
which are necessary to complete the project as described in Section 3.
8. Activities or costs ineligible for 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.
9. Notwithstanding any other provisions of this contract, if funds anticipated for the
continued fulfillment of this contract are at any time not forthcoming or insufficient,
either through the failure of the State of Iowa to appropriate funds or discontinuance or
material alteration of the program for which funds were provided, the DOT shall have the
right to terminate this contract without penalty by giving not less than ninety (90) days
written notice.
10. The DOT reserves the right to delay reimbursement of funds to the Recipient if necessary
to maintain a positive cash flow. If such a delay is necessary and lasts more than five
working days, the DOT shall so notify the Recipient in writing and shall give the
Recipient an estimate of when reimbursement might be expected. The DOT shall
establish a system to equitably make reimbursements to all Recipients so affected.
11. The attached project implementation schedule, Exhibit D, shall be used unless the
Recipient submits to the DOT, no later than 30 days subsequent to the Recipient's
signature date on this agreement, a revised implementation schedule.
12. The Recipient must have let the contract or construction started within three years of the
date this project is approved by DOT. If the Recipient does not do this, they will be in
default for which the DOT can revoke funding commitments. This agreement may be
extended for periods up to six months upon receipt of a written request from the
Recipient at least sixty (60) days prior to the deadline.
13. If any part of this agreement is found to be void and unenforceable, the remaining
provisions of this agreement shall remain in effect.
14. It is the intent of both parties that no third party beneficiaries be created by this
agreement.
15. 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.
16. This agreement is not assignable without the prior written consent of the DOT.
17. If the project described in Section 3 of this agreement crosses a DOT primary road, then:
A. The Recipient shall convey title to the State of Iowa, by quit claim deed, to any
right of way necessary for the primary road crossing, all at no cost to the DOT.
However, the DOT shall prepare detailed legal descriptions and plats. The
general configuration of the right of way to be conveyed shall be agreed to by the
Recipient and the DOT prior to the survey.
B. The Recipient shall submit six copies of plans for all primary road system
crossings to the DOT contact person for review and approval by the District
Offices for necessary permits, Offices of Road Design and Maintenance with
regard to crossing design and location, signing, fencing, safety, maintenance,
compliance with access control policy, etc. Said approval shall be obtained
before the Recipient proceeds with the construction of any primary road system
crossing.
C. The use of primary highway right of way for this projects' purpose shall be
subject to any rights enjoyed by any existing utility lines presently within the right
of way. If excavation of a utility line over which this project has been placed is
necessary for any reason, the utility shall be responsible for proper backfilling of
said excavation to ground level. The Recipient shall be responsible for any
necessary resurfacing or restoration.
D. The use of primary highway right of way for this projects' purposes shall be
subject to any future plans for reconstruction, improvement, maintenance, and/or
relocation of the highway by the DOT. Any relocation of this project necessary
because of said plans shall be at the expense of the Recipient, all at no cost to the
DOT.
18. The Recipient shall acquire the project right of way, whether by lease, easement or fee
title and shall provide relocation assistance benefits and payments in accordance with the
procedures set forth in the DoT's Right of Way manual. The Recipient shall contact the
DOT for assistance, as necessary, to ensure compliance with the required procedures,
even if no federal funds in the right of way purchase are involved. The Recipient will
need to get environmental concurrence before acquiring any needed right of way. With
prior approval, hardship and protective buying is possible. If the Recipient requests
Federal -aid participation for right of way acquisition, the Recipient will need to get
environmental concurrence and Federal Highway Administration (FHWA) authorization
before purchasing any needed right of way.
19. The Recipient shall comply with the Policy for Accommodating Utilities on City and
County Federal -aid Highways Right of Way and the Policy for Accommodating Utilities
on Primary Road system when on the DoT's right of way. Certain utility relocation,
alteration, adjustment, or removal costs to the Recipient for the project may be eligible
for Federal -aid reimbursement in accordance with the FHWA rules applicable to the type
of utility involved and Iowa Code Chapter 306A.
20. 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.
In addition, the Recipient shall certify to the DOT's contact person that all known
required environmental permits have been received and that all environmental regulations
have been complied with before funds are reimbursed or credited.
Neither the approval of the project application for funding nor the signing of this
agreement shall be construed as approval of any required permit from DOT.
21. Traffic control devices, signing, or pavement markings installed within the limits of this
project shall conform to the "Manual on Uniform Traffic Control Devices for Streets and
Highways" per 761 Iowa Administrative Code Chapter (IAC) 130. The safety of the
general public shall be assured through the use of proper protective measures and devices
such as fences, barricades, signs, flood lighting, and warning lights as necessary.
22. In the event that right of way is required for the project, said right of way will be acquired
in accordance with 761 IAC Chapter 111, Real Property Acquisition and Relocation
Assistance, and the Federal Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended.
23 . The project plans, specifications and cost estimate shall be prepared and certified by a
professional engineer, architect and or landscape architect (whichever applies), licensed
to practice in the State of Iowa. The Recipient shall submit the plans, specifications and
other agreement 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 agreement documents for each division must be submitted at
least thirty (30) days 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 modification of these plans and specifications must be
approved by the DOT prior to the modification being put into effect.
24. The recipient shall be responsible for the daily inspection of the project. For projects let
to contract, the Recipient shall compile a daily Iog of materials and quantities. For
projects constructed with local forces, the Recipient shall compile a daily log of
materials, equipment and labor on the project. The DOT reserves the right to inspect
project activities and to audit claims for funding reimbursement. The purpose of the
inspection or audit is to determine substantial compliance with the terms of this
agreement.
25. The Recipient shall maintain all books, documents, papers, accounting records, reports
and other evidence pertaining to costs incurred for the project. The Recipient shall also
make such materials available at all reasonable times during the construction period and
for three years from the date of final reimbursement, for inspection by the DOT, FHWA,
or any authorized representatives of the Federal government. Copies of said materials
shall be furnished by the Recipient if requested.
26. The Recipient may submit to the DOT periodic itemized claims for reimbursement for
eligible project costs. Reimbursement claims shall include certification that all eligible
project costs, for which reimbursement is requested, have been completed in substantial
compliance with the terms of this agreement.
27. The DOT shall reimburse the Recipient for properly documented and certified claims for
eligible project activity costs less a retainage of not more than ten percent, either by state
warrant, or by crediting other accounts from which payment may have been made
initially. If, upon audits of contracts, the DOT determines the Recipient is overpaid, the
Recipient shall reimburse the overpaid amount to the DOT.
28. Upon completion of the project described in this agreement, a professional engineer,
architect and or landscape architect (whichever applies), 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.
In addition, prior to final reimbursement for the project the Recipient shall furnish three
sets of "as- built" plans of the project to the DOT.
Final reimbursement of funds, including retainage, shall be made only after the DOT
accepts the project as complete.
29. If, in the opinion of the Recipient, the specific provisions of this agreement requiring the
services of a professional engineer, architect and or landscape architect (whichever
applies), licensed to practice in the State of Iowa, prove to be burdensome to the
Recipient or otherwise not in the public interest, and if the Recipient decides that the
provisions of this agreement can be otherwise complied with without endangering public
safety, the Recipient may request that said provisions be waived on all or specific parts of
the project identified by the Recipient. Such request shall be made in writing to the
DOT's contact person who shall, after consultation with other DOT staff, as necessary,
make the final determination concerning said waiver. If said waiver is granted, all
provisions of this agreement requiring the services of a professional engineer, architect
and or landscape architect (whichever applies), licensed to practice in the State of Iowa,
shall be performed by the Recipient's contact person or designee.
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, inspection or use 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. This agreement may be declared to be in default by the DOT if the DOT determines that
the Recipient's application for funding contained inaccuracies, omissions, errors or
misrepresentations; or if the DOT determines that the project is not developed as
described in the application.
32. 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 the Recipient by certified mail
return receipt requested, to declare any part or all of this agreement in default. The
Recipient shall have thirty (30) days from date of mailing of the 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 given to cure the
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 a notice of continued default.
33. In the event a default is not cured the DOT may revoke funding commitments and/or seek
repayment of funds loaned or granted by this agreement. By signing this agreement the
Recipient agrees to repay said funding if they are found to be in default. Repayment
methods must be approved by the DOT Commission and may include cash repayment,
installment repayments with negotiable interest rates, charges against the Recipient's
share of road use tax funds, or other methods as approved by the Commission.
34. In case of dispute concerning the terms of this agreement, the parties shall submit the
matter to arbitration pursuant to IAC 679A (2003). 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 section for arbitration.
35. The Recipient shall maintain, or cause to be maintained for the intended public use, the
improvement for twenty (20) years from the completion date in a manner acceptable to
the DOT. Failure to comply with this provision may be considered a default of this
agreement.
36. The Recipient shall comply with all provisions of the equal employment opportunity
requirements prohibiting discrimination and requiring affirmative action to assure equal
employment opportunity as required by the IAC 216 (2003). No person shall, on the
grounds of age, race, creed, sex, color, national origin, religion, or disability, be excluded
from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the Recipient receives state funds
from the DOT.
37. 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 E which is attached hereto and by this reference incorporated into this agreement.
38. 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 bidders and hold a public letting for the project work. Prior to awarding the
contract, the Recipient shall provide the DOT file copies of project letting documents
within five (5) working days after the letting. The Recipient must wait for DOT
concurrence before making the final award.
39. 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.
40. The Recipient shall notify the DOT's contact person within 30 days of the date the RISE
project was constructed and open to traffic. The Recipient shall certify to the DOT's
contact person within two years of the date the RISE project is constructed and open to
traffic any associated economic development which has resulted from the project,
including infrastructure improvements, capital investment, and /or job creation. This
certification by the Recipient is subject to review by the DOT.
The DOT shall monitor the progress of the associated economic development following
the construction of the RISE project. Failure to certify the associated economic
development shall be considered a default under this agreement.
41. This agreement as set forth in sections 1 through 41 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 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.
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No.
2011 -R -014 as of the date shown opposite its signature below.
By: '3` = r . WT Date: Nay 2 ,2011
• 77
Title: May
I, Kevin S. Firns t ah l , certify that I am Acting City Clerk
, and that Roy D, Buol , who
signed said Agreement for and on behalf of the City of Dubuque was duly
authorized to execute the same by virtue of a formal Resolution duly passed and adopted
by the City Council , on the 2nd day of may
Address: 50 W. 13th Street, Dubuque, IA 52001
IOWA DEPARTMENT OF TRANSPORTATION
Planning and Programming Division
800 Lincoln Way, Ames, Iowa 50010
By :
Roy D. Buol
Craig Markley
Director
Office of Systems Planning
Date: May 2 , 20_11
Date
STATE OF IOWA
COUNTY OF DUBUQUE
CERTIFICATE OF CITY CLERK
1, Kevin S. Firnstahl, do hereby certify that 1 am the duty appointed, qualified, Acting City
Clerk of the City of Dubuque, Iowa, in the County aforesaid, and as such Acting City
Clerk 1 have in my possession or have access to the records of the proceedings of the
City council. 1 do further state that the hereto attached
Resolution 149 ®11 is a correct
copy of the original Resolution 149-11 approved and adopted by the City Council of
...........
the City of Dubuque, Iowa, at a session held by said Council on the 2nd day of May,
2011.
In Testimony Whereof, 1 hereunto set my hand and official seal of the City of Dubuque,
Iowa.
Dated at Dubuque, Iowa, on this 3rd day of May, 2011.
(SEAL)
7
Kevin S. Firnstahl
Acting City Clerk
RESOLUTION AUTHORIZING A REVITALIZE IOWA'S SOUND ECONOMY (RISE)
GRANT AGREEMENT ACCEPTANCE FOR THE CONSTRUCTION OF A ROAD
WEST FROM HIGHWAY 61 TO ACCESS LOTS IN THE DUBUQUE REGIONAL
AIRPORT INDUSTRIAL PARK
WHEREAS, the Iowa Department of Transportation, through its Revitalize Iowa's
Sound Economy (RISE) Competitive Project Funding, has awarded the Dubuque
Regional Airport a grant to provide roadway access for the development of lots in the
Dubuque Regional Airport Industrial Park.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That the City of Dubuque hereby certifies that the roadway
improvements will be dedicated to public use and will remain so dedicated to public use
and that G.O. Bond funds will be available to finance the City's portion of project costs.
Section 2. That the City Manager is authorized to sign, on behalf of the City
Council, the acceptance of RISE funding.
ATTEST:
PASSED, APPROVED, and ADOPTED this 2nd day of May, 2011.
Kevin S. FirntahI, Acting City Clerk
RESOLUTION NO 149 -11
," Roy D. Buol, Mayor
it _c.o t ■ulrbes
j it
;ll
°
City of Dubuque
n A
--
tit
5 1 1
1
Exhibit A
Te±rlseal Oirndocfnent
Non - Aeronautical
ilavalopmenl
-!„ �
.&ject b�Feni xsrmri
t :....yak
Martin Lano
E sr Uaa
Lend Use - Nan A.en,nauficaJ
Lena Use - Open Spam
RISE Or t Pr3 Area
!tamest" talFaaaapArYDa,t,V Fa/1 bewav
mil€ -' wt1a75n: L, Co•mn.1,
C7c 1W...w srA04.53 C F,�z;+ra Ly Ar -.erg
Exhibit B
Project activities or costs eligible for RISE funding include only the following:
a. Roadway resurfacing, rehabilitation, modernization, upgrading, reconstruction or initial
construction, including grading and drainage, paving, erosion control, pavement overlays
and shoulder widening and stabilization.
b. Bridge and culvert repair, modernization, replacement or initial construction.
c. Roadway intersection and interchange improvements including warranted traffic
signalization when it is integral to the improvement.
d. Right of way purchase.
e. Construction or improvement of motorist rest areas, welcome centers and information
centers.
f. Design engineering costs and construction inspection costs associated with RISE -
financed projects.
g•
County and City bond principal and interest payments associated with RISE projects. No
financing expenses incurred prior to funding commitment shall be eligible.
h. Storm drainage and storm sewer costs to the extent needed for draining the roadway.
Exhibit C
Activities or costs ineligible for RISE funding include but are not limited to the
following:
a. Any and all costs incurred prior to a funding commitment by the Transportation
Commission except advance right of way costs to protect or preserve a project corridor.
(1) If there is an extreme urgency involving right of way acquisition, a potential applicant
may formally request from the department a written waiver which, if granted, will permit
the applicant to acquire the right of way immediately without jeopardizing the eligibility
of the acquisition costs for future RISE funding. Granting of the waiver shall not imply
or guarantee that a subsequent application which includes the acquisition costs will be
funded. The request for the advance eligibility must include justification regarding the
urgency of the acquisition, a description of the land to be acquired, and a map showing its
location.
( The advance eligibility waiver must be requested and approved prior to the applicant's
acquisition of the land in question, and the RISE application which included the
acquisition costs must be received by the DOT within two years following the granting of
the waiver, or the waiver is not valid.
b. Routine roadway, bridge and culvert maintenance, including pothole filling, crack
sealing, seal coating, patching, shoulder maintenance, gravel or earth roadway
maintenance, and bridge painting.
c, Winter roadway and bridge maintenance, including snow plowing, sanding and salting.
d. Overhead and operating costs associated with eligible project activities, including
auditing.
e. Expenses associated with the preparation and submission of applications for RISE
funding.
f. Pre - design engineering expenses.
g. Traffic signalization, except as an integral part of a roadway project.
h. Pavement marking and traffic signs, except as an integral part of a roadway project.
i. Electric, water, natural gas, telephone and other utility construction, reconstruction or
adjustment except when utilities located on private property are replaced or relocated for
project construction.
Safety appurtenances, except as an integral part of a roadway project.
k. Lighting, except as an integral part of a roadway project.
1. Lighting energy and maintenance costs.
m. Sidewalks, bicycle paths and railroad - highway crossings, except when replacing those
facilities in service and affected by the project, or as an integral part of a roadway project.
n. Parking expenditures, including those for structure, lots, meters and marking.
0. Non - roadway transportation expenditures, including those for railway, aviation, public
transportation and inland waterway facilities and equipment.
p. Purchase of furnishings, construction equipment and personal property.
q. General government expenses and expenses associated with the provision of any public
service which are not eligible for RISE program assistance.
r. Sanitary sewers.
s. Water mains.
t. Donated right of way.
C ornrnis sion Approval date
Design
Construction
Project Closeout
Exhibit D
April 12, 2011
April 2011
June - September 2011
November 2011
Exhibit E
CONTRACT PROVISIOT
Targeted Small Business (TSB)
Affirmative Action Responsibilities
on
Non - Federal Aid Projects (Third -Party State - Assisted Projects)
April 2010
April 2010
1. TSB DEFINITION
2. TSB REQUIREMENTS
3. TSB DIRECTORY INFORMATION
4. THE CONTRACTOR'S TSB POLICY
CONTRACT PROVISION
Targeted Small Business (TSB) Affirmative Action Responsibilities
on Non - Federal -aid Projects (Third -party State - Assisted Projects)
A TSB is a small business, as defined by Iowa Code Section 15.102(5), which is 51% or more owned, operated
and actively managed by one or more women, minority persons or persons with a disability. Generally this is a
for- profit small business enterprise under single management, is located in Iowa and has an annual gross income
of less than 3 million dollars computed as an average of the three preceding fiscal years.
In all State - assisted projects made available through the Iowa Department of Transportation, local governments
have certain affirmative action requirements to encourage and increase participation of disadvantaged individuals
in business enterprises. These requirements are based on Iowa Code Section 19B.7 and 541 Iowa
Administrative Code Chapter 4. These requirements supersede all existing TSB regulations, orders, circulars and
administrative requirements.
Available from: Iowa Department of Inspections and Appeals
Targeted Small Business
Lucas Building
Des Moines, IA 50319
Phone: 515 -281 -7102
Website: htto://diaiowa.cioviloaqe7.html
The contractor is expected to promote participation of disadvantaged business enterprises as suppliers,
manufactures and subcontractors through a continuous, positive, result- oriented program. Therefore the
contractor's TSB policy shall be:
It is the policy of this firm that Targeted Small Business (TSB) concerns shall have the maximum practical
opportunity to participate in contracts funded with State - assisted funds which are administered by this firm
(e.g. suppliers, manufactures and subcontractors). The purpose of our policy is to encourage and
increase the TSB participation in contracting opportunities made available by State - assisted programs.
5. CONTRACTOR SHALL APPOINT AN EQUAL EMPLOYMENT OPPORTUNITY (EEO) OFFICER
The contractor shall designate a responsible person to serve as TSB officer to fulfill the contractors affirmative
action responsibilities. This person shall have the necessary statistics, funding, authority and responsibility to
carry out and enforce the firm's EEO policy. The EEO officer shall be responsible for developing, managing and
implementing the program on a day -to -day basis. The officer shall also:
A. For current TSB information, contact the Iowa Department of Inspections and Appeals (515-281-7102) to
identify potential material suppliers, manufactures and contractors.
B. Make every reasonable effort to involve TSBs by soliciting quotations from them and incorporating them
into the firm's bid.
C. Make every reasonable effort to establish systematic written and verbal contact with those TSBs having
the materials or expertise to perform the work to be subcontracted, at least two weeks prior to the time
quotations are to be submitted. Maintain complete records of negotiation efforts.
Page 1
TSB Affirmative Action Responsibilities
D. Provide or arrange for assistance to TSBs in seeking bonding, analyzing plans /specifications or other
actions that can be viewed as technical assistance.
E. Ensure the scheduled progress payments are made to TSBs as agreed in subcontract agreements.
F. Require all subcontractors and material suppliers to comply with all contract equal opportunity and
affirmative action provisions.
6. COUNTING TSBs PARTICIPATION ON A PROJECT
TSBs are to assume actual and contractual responsibilities for provision of materials /supplies, subcontracted work
or other commercially useful function.
A. The bidder may count:
A. Bidders
(1) Planned expenditures for materials /supplies to be obtained from TSB suppliers and
manufacturers; or
(2) Work to be subcontracted to a TSB; or
(3) Any other commercially useful function.
B. The contractor may count:
( 100% of an expenditure to a TSB manufacturer that produces /supplies goods manufactured from
raw materials.
(2) 60% of an expenditure to TSB suppliers that are not manufacturers; provided the suppliers
perform a commercially useful function in the supply process.
(3) Only those expenditures to TSBs that perform a commercially useful function in the work of a
contract, including those as a subcontractor.
(4) Work the Contracting Authority has determined that it involves a commercially useful function.
The TSB must have a necessary and useful role in the transaction of a kind for which there is a
market outside the context of the TSB program. For example, leasing equipment or purchasing
materials from the prime contractor would not count.
7. REQUIRED DATA, DOCUMENTS AND CONTRACT AWARD PROCEDURES FROM
BIDDERS /CONTRACTORS FOR PROJECTS WITH ASSIGNED GOALS
Bidders who fail to demonstrate reasonable positive efforts may be declared ineligible to be awarded the
contract. Bidders shall complete the bidding documents plus a separate form called "TSB Pre -Bid
Contact Information ". This form includes:
(1) Name(s) of the TSB(s) contacted regarding subcontractable items.
(2) Date of the contract.
(3) Whether or not a TSB bid/quotation was received.
(4) Whether or not the TSB's bid/quotation was used.
(5) The dollar amount proposed to be subcontracted.
B. Contractors Using Quotes From TSBs
Use those TSBs whose quotes are listed in the "Quotation Used in Bid" column along with a "yes"
indicated on the Pre -bid Contact Information form.
Page 2
TSB Affirmative Action Responsibilities
C. Contractors NOT Using Quotes From TSBs
If there are no TSBs listed on the Pre -bid Contract Information form, then the contractor shall document
all efforts made to include TSB participation in this project by documenting the following:
(1) What pre - solicitation or pre -bid meetings scheduled by the contracting authority were attended?
(2) Which general news circulation, trade associations and/or minority- focused media were
advertised concerning the subcontracting opportunities?
(3) Were written notices sent to TSBs that TSBs were being solicited and was sufficient time allowed
for the TSBs to participate effectively?
(4) Were initial solicitations of interested TSBs followed up?
(5) Were TSBs provided with adequate information about the plans, specifications and requirements
of the contract?
(6) Were interested TSBs negotiated with in good faith? If a TSB was rejected as unqualified, was
the decision based on an investigation of their capabilities?
(7) Were interested TSBs assisted in obtaining bonding, lines of credit or insurance required by the
contractor?
(8) Were services used of minority community organization, minority contractors groups; local, State
and Federal minority business assistance offices or any other organization providing such
assistance.
The above documentation shall remain in the contractor's files for a period of three (3) years after the completion
of the project and be available for examination by the Iowa Department of Inspections and Appeals.
8. POSITIVE EFFORT DOCUMENTATION WHEN NO GOALS ARE ASSIGNED
Contractors are also required to make positive efforts in utilizing TSBs on all State- assisted projects which are not
assigned goals. Form "TSB Pre -bid Contact Information" is required to be submitted with bids on all projects. If there
is no TSB participation, then the contractor shall comply with section 7C. of this document prior to the contract award.
Page 3
ca
- z
(/)
CI] —
W <
—
CI) rx
m i
J - —
Q 1-
W U ❑
a
< m -�
r-- ' 5
v =
u, . w
a c
O .
E
o a
c
o I—
L ▪ �
o a
L
Fr)
U v . u)
E
.� 0 AD
0
EL 0 5 E
•
ua
0)
0,
a)
E
a
0
v
0
a
0)
zi 0
ra
E
0
• o
to T
o a?
✓ v v]
0 � —
lid to E Li=
v v
£-c
e — r o
E -c
v 0 -0
s v
• g
a
• L
• v
a
c o
- rn
v
v
> >-
aa D
LE
U
co o � U3
III
L � 0 I—
co a_ Q w WU
0 z > < I-
ct
v WQ W oz
O ❑ U W 0
0) ® ._ c U
[o m ES
E Z I-
§2 0
W D Wa
• _Z
ca co cn
0 2 0
W
o E 1—
2 CO
co <
N
CO • .6 ZIT 0
......... .
( La � �
0) 0 0 CO
c o �Q
a)
0
c v
cn z0
W
0
W W
O 0
• Q
O C
• Z
0
m
Q
< • W
J m
❑1-
April 2010
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://vvww.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 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:
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.
Page 5
April 2010
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? ❑ 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? ❑ YES ❑ NO
If no, what action was taken by Recipient?
Is documentation in files? ❑ YES ❑ 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? $
Title
Name(s) and address(es) of the TSB firm(s)
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.
Signature
Page 6
(Use additional sheets if necessary)
Iowa Department of Transportation
Office of Systems Planning
Planning, Programming and Modal Division 515-239-1738
800 Lincoln way, Ames, IA 50010 FAX: 515- 233 -7857
SUBMITTALS REQUIRED ON LOCALLY LET STATE -AIDED
PROJECTS
Except where indicated otherwise below, submittals should be sent to the address
shown above. If a consultant will be providing design and/or construction phase
services in your behalf, you need to provide the project engineer with a copy of
the agreement and this notice and determine who will make the required
submittals.
1. Submit 2 sets of proposed bidding documents (this includes plans, bidding
proposal, specifications -if other than DOT's are used, special provisions, and
any other standard contract requirements) for review as shown below.
Roadway Plans need to be submitted on 11x17 sheets. Include a detailed
cost estimate and indicate the anticipated letting date. Refer to the project
agreement regarding when the submittal is to be made. If the project involves
any roadway improvements to a primary route, current Iowa DOT
specifications and bid items are to be used for all work that pertains to the
primary route.
2. If the project affects a primary route, one (1) set of proposed bidding
documents needs to be provided to the appropriate District Engineering
Operations Technician along with a request for a permit. The permit needs to
be obtained prior to project letting.
3. If the project affects a primary route, refer to the project agreement and fulfill
all obligations regarding right of way activities (if a consultant will be
performing the services, ensure they make the required submittals).
4. Prior to the letting, if the project requires additional right of way or easements,
submit a letter indicating that all needed right of way has already been
obtained or that physical possession will occur prior to the letting. State
whether all environmental aspects have been addressed.
5. After addressing all review concerns /comments, submit the same number of
sets of the final bidding documents that were submitted in 1. above. The bid
package shall include the enclosed TSB Contract Provisions unless the
contracting authority has developed their own comparable provisions. Also
submit a copy of the final detailed cost estimate. Proceed if there are no more
comments. Five working days before the letting, inform us when and where it
is to be held.
6. Submit any addendums that are issued to bidders prior to the letting.
Iowa Department of Transportation
Office of Systems Planning
Planning, Programming and Modal Division 515-239-1738
800 Lincoln Way, Ames, IA 50010 FAX: 515 -233 -7857
7. Conduct the letting.
8. Following the letting submit a tabulation of bids along with TSB
documentation from all bidders, inform us of the contracting authority's
determination regarding the lowest responsive bid/bidder and request Iowa
DOT concurrence to award the contract.
9. Following award of contract to the lowest responsive bidder, submit one
machine copy of the contract. If a preconstruction conference will be held,
inform us, five (5) working days before, of when and where it will be.
10. If Change Orders are needed on the project, use DOT Change Order Form
830240. Our office needs to review all change orders prior to obtaining
signatures. Please submit the Change Order (RISE eligible and ineligible)
electronically to me and we will review and provide any necessary
changes/modifications. Once you receive our concurrence on the Change
Order, please obtain signatures and send five (5) originals to our office to fully
execute. We will then send them back to you. The form is available at:
11. Use Claim Form 240011 when submitting claims for reimbursements on
regularly funded RISE projects. Attach all information required by the
instructions. The form is available at:
r i=
12. If the project involves through traffic lanes on a primary route: proposed extra
work orders are to be submitted for review and concurrence prior to approval;
working day reports are to be submitted; and materials inspection submittals
are to be made to the District Materials Engineer at the Iowa Department of
Transportation District Office for your area, in accordance with applicable
Material's Instructional Memorandums.
13. For any portion of the project which is on or intersects any primary route,
submit one (1) set of "as- built" project plans within six (6) months after the
project is built.
14. Upon project completion, submit form 640003 which is available at:
;•y. � t• [, � • ;;. 1 •) L � • k •1" 41ii y l• ` � :�i L f A" �J^ � r. s- � / 7. i, "•� _ Ey r s' � _ .. i{
Claim No.: Check for Final Reimbursement Date:
Sponsor:
Contract/Agreement With:
Project Description:
1 Maximum payable per the DOT project agreement:
2 Cash match (if applicable):
3 Total project cost:
16
Project Sponsor
City /County of
Mailing Address
bra Department of Transportation
Form 240011 (12 -09)
CLAIM FOR REIMBURSEMENT OF STATE PROGRAM PROJECT COSTS
Engineering (Preliminary and Construction)
4 Total dollar amount of eligible Engineering costs billed for this claim:
5 Total dollar amount of eligible Engineering costs billed to date, including this claim:
Administration
6 Total dollar amount of eligible Administration costs billed for this claim:
7 Total dollar amount of eligible Administration costs billed to date, including this claim:
Right-of Way Acquisition (ROW)
8 Total dollar amount of eligible ROW costs billed for this claim:
9 Total dollar amount of eligible ROW costs billed to date, including this claim:
Construction ( CONST)
10 Total dollar amount of eligible CONST costs billed for this claim:
11 Total dollar amount of eligible CONST costs billed to date, including this claim:
15 Amount reimbursed by the Iowa DOT prior to this claim:
17 Amount due this payment/final payment (line 14 minus line 15 and line 16 ):
Make Check Payable to:
(Sign in Ink)
12 Total amount eligible for reimbursement
13 Reimbursement rate per the DOT project agreement:
Amount eligible for reimbursement (line 12 multiplied by line 13) or the maximum payable per the DOT project
14
agreement, whichever is less:
Less 5% Retainage of State portion of CONSTRUCTION cost by Iowa DOT until project completed (5% of the
product of line 11 multiplied by line 13):
I hereby certify that all eligible project activities for which reimbursement is requested have been completed in compliance with the project plans, specifications,
the project agreement, the laws of the State of Iowa and the ordinances of the CITY /COUNTY.
1 certify that the items claimed for payment are proper and true and that no part of this claim has been paid by the Iowa DOT.
Project No.:
Agreement No.:
City 1 County:
Return to: Iowa Department of Transportation, Office of Systems Planning, 800 Lincoln Way, Ames, Iowa 50010
, Iowa
Date
Title
$o.00
:u
$0.00
$o.00
$o.00
$0.00
Claim No. The first claim is request No. 1, the next No. 2 and so on.
Check the checkbox for final reimbursement when completing final reimbursement claim.
"Date" is the date the claim is prepared.
Verify that the local public sponsor, city, county, project number, agreement number, project name, contract/agreement with maximum
payable, cash match, and total project costs are correct.
Line 1. Enter the maximum payable available per the DOT agreement.
Line 2. Show the amount of "cash match ".
Line 3. This is the sum of the State award and the cash match. (add lines 1 and 2)
Line 4. This is the amount of eligible Engineering (Preliminary and Construction) costs billed for this claim.
Line 5. This is the total amount of eligible Engineering (Preliminary and Construction) costs billed to date, including this claim.
Line 6. This is the amount eligible for Administration costs billed for this claim.
Line 7. This is the total amount of eligible Administration costs billed to date, including this claim.
Line 8. This is the amount of eligible Right of Way Acquisition costs billed for this claim.
Line 9. This is the total amount of eligible Right of Way Acquisition costs billed to date, including this claim.
Line 10. This is the amount of eligible Construction costs billed for this claim.
Line 11. This is the total amount of eligible Construction costs billed to date, including this claim.
Line 12. The total amount eligible for reimbursement. (Add lines 5, 7, 9 and 11).
Line 13. The reimbursement rate is the approved rate per the DOT project agreement.
Line 14. The total amount of project costs eligible for reimbursement. (line 12 multiplied by line 13) or the maximum payable per the
DOT project agreement.
Line 15. The amount of funds reimbursed for this project prior to this claim for this project.
Line 16.
Instructions for use of form 240011- "Claim for Reimbursement of STATE Grant Program Project Costs"
The Iowa DOT requires 5% of the State portion of Construction costs to be withheld prior to completion of the project. Enter
this amount here.
Line 17. The amount due this payment/final payment equals (line 14 minus line 15 and minus line 16)
NOTE: Reimbursement claims must be accompanied by a signed reimbursement claim form (this form), copies of invoices and
cancelled checks totaling 100% of the amount of work for which reimbursement is being requested.
Return to: Iowa Department of Transportation, Office of Systems Planning, 800 Lincoln Way, Ames, Iowa 50010.
Last revised 12/23/2009
Iowa Department of Transportation
800 Lincoln Way, Ames, IA 50010 515 - 239 -1738
Fax: 515- 233 -7857
April 13, 2011
Todd Dalsing
Airport Manager
City of Dubuque
11000 Airport Road
Dubuque, IA 52003
RE: City of Dubuque, RM- 2100(666)- -9D -31
Dear Mr. Dalsing:
Enclosed are two unsigned originals of Iowa DOT Agreement Number 2011 -R -014 that
have been prepared for the above referenced project. Please review the agreement and if
acceptable, present it to the City Council for further action.
Following signature by the City, please return both originals to me for signature by the Iowa
DOT. A fully executed original will be returned to you for your files.
Effective April 12, 2011, the City is hereby authorized to incur costs for project expenditures
on the above referenced RISE project, prior to execution of a formal agreement. However,
no reimbursement can be made by the Department until the agreement has been fully
executed. The agreement identifies what project activities and associated costs are eligible
for RISE funding and reimbursement.
Please note that the agreement contains a clause stating that plans, specifications and
other proposed contract documents must be submitted to the Iowa DOT for review at least
thirty (30) days prior to the project letting. We will expedite our reviews as much as
possible, but your schedule needs to allow this amount of time for completing reviews and
making any necessary revisions. Any necessary revisions will need to be made prior to
sending out any bid documents.
If you have any questions, please feel free to contact me.
REL:plr
Enclosures
Sincerely,
idatit zkw.)
Rebecca E. Law
Office of Systems Planning
Iowa Department of Transportation
Agreement for a
Revitalize Iowa's Sound Economy Program (RISE) Project
See Exhibit A.
RECIPIENT: Dubuque
PROJECT NO: RM- 2100(666)- -9D -31
IOWA DOT
AGREEMENT NO.: 2011 -R -014
This is an agreement between Dubuque (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 Revitalize Iowa's Sound Economy (RISE) fund
under Iowa Code Chapter 315 (2003), and the application was approved by Transportation
Commission Order No. PPM - 2011 -51 on April 12, 2011.
Pursuant to the terms of this agreement, and applicable statutes and administrative rules the DOT
agrees to provide funding to the Recipient for the authorized and approved costs for eligible
items associated with the development of the construction of left- and right -turn lanes on U.S. 61
and approximately 500 feet of new roadway.
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 organization 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 Rebecca Law, Office
of Systems Planning, 800 Lincoln Way, Ames, Iowa 50010, 515- 239 -1738, email
Rebecca.Law @dot.iowa.gov. The Recipient's contact person shall be Todd Dalsing,
Airport Manager, 11000 Airport Road, Dubuque, IA 52003, 563 -589 -4233, email
tdalsing @cityofdubuque.org.
3. The Recipient shall be responsible for the development and completion of the following
described project:
The construction of left- and right -turn lanes on U.S. 61 and approximately 500 feet of
new roadway.
4. Eligible project costs for the project described in Section 3 of this agreement, listed
above, which are incurred after the effective date of this agreement shall be paid as
follows:
City RISE Funds (Grant): $287,891
City Local Contribution: $287,890
Project Total: $575,781
5. The local contribution stated above may include cash or non -cash contributions to the
project. The Recipient shall certify to the DOT the value of any non -cash contribution to
the project prior to it being incurred. For right of way contributions, the recipient shall
submit an appraisal from a qualified independent appraiser. The DOT reserves the right
to review the Recipient's certificate of value and has sole authority to determine the value
of the Recipient's non -cash contribution for the purposes of this agreement. If, as a result
of the DOT's determination, the Recipient's total cash and non -cash contribution is below
that stated in the terms of this agreement, the Recipient shall increase its cash
contribution in order to complete the Recipient's local contribution, or the grant and/or
loan amount associated with this project shall be reduced accordingly.
6. The portion of total project costs paid by grant shall not exceed the amount stated above
$287,891 or 50 percent of the total cost of the eligible items, whichever is the smaller
amount. Any cost overruns shall be paid solely by the applicant.
7. Project activities or costs eligible for funding include only those items set out in Exhibit
B which is attached hereto and by this reference incorporated into this agreement, and
which are necessary to complete the project as described in Section 3.
8. Activities or costs ineligible for 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.
9. Notwithstanding any other provisions of this contract, if funds anticipated for the
continued fulfillment of this contract are at any time not forthcoming or insufficient,
either through the failure of the State of Iowa to appropriate funds or discontinuance or
material alteration of the program for which funds were provided, the DOT shall have the
right to terminate this contract without penalty by giving not less than ninety (90) days
written notice.
10. The DOT reserves the right to delay reimbursement of funds to the Recipient if necessary
to maintain a positive cash flow. If such a delay is necessary and lasts more than five
working days, the DOT shall so notify the Recipient in writing and shall give the
Recipient an estimate of when reimbursement might be expected. The DOT shall
establish a system to equitably make reimbursements to all Recipients so affected.
11. The attached project implementation schedule, Exhibit D, shall be used unless the
Recipient submits to the DOT, no later than 30 days subsequent to the Recipient's
signature date on this agreement, a revised implementation schedule.
12. The Recipient must have let the contract or construction started within three years of the
date this project is approved by DOT. If the Recipient does not do this, they will be in
default for which the DOT can revoke funding commitments. This agreement may be
extended for periods up to six months upon receipt of a written request from the
Recipient at least sixty (60) days prior to the deadline.
13. If any part of this agreement is found to be void and unenforceable, the remaining
provisions of this agreement shall remain in effect.
14. It is the intent of both parties that no third party beneficiaries be created by this
agreement.
15. 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.
16. This agreement is not assignable without the prior written consent of the DOT.
17. If the project described in Section 3 of this agreement crosses a DOT primary road, then:
A. The Recipient shall convey title to the State of Iowa, by quit claim deed, to any
right of way necessary for the primary road crossing, all at no cost to the DOT.
However, the DOT shall prepare detailed legal descriptions and plats. The
general configuration of the right of way to be conveyed shall be agreed to by the
Recipient and the DOT prior to the survey.
B. The Recipient shall submit six copies of plans for all primary road system
crossings to the DOT contact person for review and approval by the District
Offices for necessary permits, Offices of Road Design and Maintenance with
regard to crossing design and location, signing, fencing, safety, maintenance,
compliance with access control policy, etc. Said approval shall be obtained
before the Recipient proceeds with the construction of any primary road system
crossing.
C. The use of primary highway right of way for this projects' purpose shall be
subject to any rights enjoyed by any existing utility lines presently within the right
of way. If excavation of a utility line over which this project has been placed is
necessary for any reason, the utility shall be responsible for proper backfilling of
said excavation to ground level. The Recipient shall be responsible for any
necessary resurfacing or restoration.
D. The use of primary highway right of way for this projects' purposes shall be
subject to any future plans for reconstruction, improvement, maintenance, and /or
relocation of the highway by the DOT. Any relocation of this project necessary
because of said plans shall be at the expense of the Recipient, all at no cost to the
DOT.
18. The Recipient shall acquire the project right of way, whether by lease, easement or fee
title and shall provide relocation assistance benefits and payments in accordance with the
procedures set forth in the DOT's Right of Way manual. The Recipient shall contact the
DOT for assistance, as necessary, to ensure compliance with the required procedures,
even if no federal funds in the right of way purchase are involved. The Recipient will
need to get environmental concurrence before acquiring any needed right of way. With
prior approval, hardship and protective buying is possible. If the Recipient requests
Federal -aid participation for right of way acquisition, the Recipient will need to get
environmental concurrence and Federal Highway Administration (FHWA) authorization
before purchasing any needed right of way.
19. The Recipient shall comply with the Policy for Accommodating Utilities on City and
County Federal -aid Highways Right of Way and the Policy for Accommodating Utilities
on Primary Road system when on the DOT's right of way. Certain utility relocation,
alteration, adjustment, or removal costs to the Recipient for the project may be eligible
for Federal -aid reimbursement in accordance with the FHWA rules applicable to the type
of utility involved and Iowa Code Chapter 306A.
20. 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.
In addition, the Recipient shall certify to the DOT's contact person that all known
required environmental permits have been received and that all environmental regulations
have been complied with before funds are reimbursed or credited.
Neither the approval of the project application for funding nor the signing of this
agreement shall be construed as approval of any required permit from DOT.
21. Traffic control devices, signing, or pavement markings installed within the limits of this
project shall conform to the "Manual on Uniform Traffic Control Devices for Streets and
Highways" per 761 Iowa Administrative Code Chapter (IAC) 130. The safety of the
general public shall be assured through the use of proper protective measures and devices
such as fences, barricades, signs, flood lighting, and warning lights as necessary.
22. In the event that right of way is required for the project, said right of way will be acquired
in accordance with 761 IAC Chapter 111, Real Property Acquisition and Relocation
Assistance, and the Federal Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended.
23. The project plans, specifications and cost estimate shall be prepared and certified by a
professional engineer, architect and or landscape architect (whichever applies), licensed
to practice in the State of Iowa. The Recipient shall submit the plans, specifications and
other agreement 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 agreement documents for each division must be submitted at
least thirty (30) days 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 modification of these plans and specifications must be
approved by the DOT prior to the modification being put into effect.
24. The recipient shall be responsible for the daily inspection of the project. For projects let
to contract, the Recipient shall compile a daily log of materials and quantities. For
projects constructed with local forces, the Recipient shall compile a daily log of
materials, equipment and labor on the project. The DOT reserves the right to inspect
project activities and to audit claims for funding reimbursement. The purpose of the
inspection or audit is to determine substantial compliance with the terms of this
agreement.
25. The Recipient shall maintain all books, documents, papers, accounting records, reports
and other evidence pertaining to costs incurred for the project. The Recipient shall also
make such materials available at all reasonable times during the construction period and
for three years from the date of final reimbursement, for inspection by the DOT, FHWA,
or any authorized representatives of the Federal government. Copies of said materials
shall be furnished by the Recipient if requested.
26. The Recipient may submit to the DOT periodic itemized claims for reimbursement for
eligible project costs. Reimbursement claims shall include certification that all eligible
project costs, for which reimbursement is requested, have been completed in substantial
compliance with the terms of this agreement.
27. The DOT shall reimburse the Recipient for properly documented and certified claims for
eligible project activity costs less a retainage of not more than ten percent, either by state
warrant, or by crediting other accounts from which payment may have been made
initially. If, upon audits of contracts, the DOT determines the Recipient is overpaid, the
Recipient shall reimburse the overpaid amount to the DOT.
28. Upon completion of the project described in this agreement, a professional engineer,
architect and or landscape architect (whichever applies), 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.
In addition, prior to final reimbursement for the project the Recipient shall furnish three
sets of "as- built" plans of the project to the DOT.
Final reimbursement of funds, including retainage, shall be made only after the DOT
accepts the project as complete.
29. If, in the opinion of the Recipient, the specific provisions of this agreement requiring the
services of a professional engineer, architect and or landscape architect (whichever
applies), licensed to practice in the State of Iowa, prove to be burdensome to the
Recipient or otherwise not in the public interest, and if the Recipient decides that the
provisions of this agreement can be otherwise complied with without endangering public
safety, the Recipient may request that said provisions be waived on all or specific parts of
the project identified by the Recipient. Such request shall be made in writing to the
DOT's contact person who shall, after consultation with other DOT staff, as necessary,
make the final determination concerning said waiver. If said waiver is granted, all
provisions of this agreement requiring the services of a professional engineer, architect
and or landscape architect (whichever applies), licensed to practice in the State of Iowa,
shall be performed by the Recipient's contact person or designee.
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, inspection or use 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. This agreement may be declared to be in default by the DOT if the DOT determines that
the Recipient's application for funding contained inaccuracies, omissions, errors or
misrepresentations; or if the DOT determines that the project is not developed as
described in the application.
32. 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 the Recipient by certified mail
return receipt requested, to declare any part or all of this agreement in default. The
Recipient shall have thirty (30) days from date of mailing of the 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 given to cure the
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 a notice of continued default.
33. In the event a default is not cured the DOT may revoke funding commitments and /or seek
repayment of funds loaned or granted by this agreement. By signing this agreement the
Recipient agrees to repay said funding if they are found to be in default. Repayment
methods must be approved by the DOT Commission and may include cash repayment,
installment repayments with negotiable interest rates, charges against the Recipient's
share of road use tax funds, or other methods as approved by the Commission.
34. In case of dispute concerning the terms of this agreement, the parties shall submit the
matter to arbitration pursuant to IAC 679A (2003). 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 section for arbitration.
35. The Recipient shall maintain, or cause to be maintained for the intended public use, the
improvement for twenty (20) years from the completion date in a manner acceptable to
the DOT. Failure to comply with this provision may be considered a default of this
agreement.
36. The Recipient shall comply with all provisions of the equal employment opportunity
requirements prohibiting discrimination and requiring affirmative action to assure equal
employment opportunity as required by the IAC 216 (2003). No person shall, on the
grounds of age, race, creed, sex, color, national origin, religion, or disability, be excluded
from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the Recipient receives state funds
from the DOT.
37. 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 E which is attached hereto and by this reference incorporated into this agreement.
38. 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 bidders and hold a public letting for the project work. Prior to awarding the
contract, the Recipient shall provide the DOT file copies of project letting documents
within five (5) working days after the letting. The Recipient must wait for DOT
concurrence before making the final award.
39. 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.
40. The Recipient shall notify the DOT's contact person within 30 days of the date the RISE
project was constructed and open to traffic. The Recipient shall certify to the DOT's
contact person within two years of the date the RISE project is constructed and open to
traffic any associated economic development which has resulted from the project,
including infrastructure improvements, capital investment, and/or job creation. This
certification by the Recipient is subject to review by the DOT.
The DOT shall monitor the progress of the associated economic development following
the construction of the RISE project. Failure to certify the associated economic
development shall be considered a default under this agreement.
41. This agreement as set forth in sections 1 through 41 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 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.
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No.
2011 -R -014 as of the date shown opposite its signature below.
RECIPIENT:
By: Date:
Title:
I ,
signed said Agreement for and
authorized to execute the same
by
Signed:
Address:
IOWA DEPARTMENT OF TRANSPORTATION
Planning and Programming Division
800 Lincoln Way, Ames, Iowa 50010
By:
Craig Markley
Director
Office of Systems Planning
, certify that I am
,20
, and that , who
on behalf of was duly
by virtue of a formal Resolution duly passed and adopted
, on the day of
, 20_.
Date:
Date
, 20
, 20
City of Dubuque
Exhibit A
PlerMarenautioal
drobleipresal
eue.1 ;sot
Una Ow. Ogan
■ ORI.b010110
Exhibit B
Project activities or costs eligible for RISE funding include only the following:
a. Roadway resurfacing, rehabilitation, modernization, upgrading, reconstruction or initial
construction, including grading and drainage, paving, erosion control, pavement overlays
and shoulder widening and stabilization.
b. Bridge and culvert repair, modernization, replacement or initial construction.
c. Roadway intersection and interchange improvements including warranted traffic
signalization when it is integral to the improvement.
d. Right of way purchase.
e. Construction or improvement of motorist rest areas, welcome centers and information
centers.
f. Design engineering costs and construction inspection costs associated with RISE -
financed projects.
g.
County and City bond principal and interest payments associated with RISE projects. No
financing expenses incurred prior to funding commitment shall be eligible.
h. Storm drainage and storm sewer costs to the extent needed for draining the roadway.
Exhibit C
Activities or costs ineligible for RISE funding include but are not limited to the
following:
a. Any and all costs incurred prior to a funding commitment by the Transportation
Commission except advance right of way costs to protect or preserve a project corridor.
(1) If there is an extreme urgency involving right of way acquisition, a potential applicant
may formally request from the department a written waiver which, if granted, will permit
the applicant to acquire the right of way immediately without jeopardizing the eligibility
of the acquisition costs for future RISE funding. Granting of the waiver shall not imply
or guarantee that a subsequent application which includes the acquisition costs will be
funded. The request for the advance eligibility must include justification regarding the
urgency of the acquisition, a description of the land to be acquired, and a map showing its
location.
(2) The advance eligibility waiver must be requested and approved prior to the applicant's
acquisition of the land in question, and the RISE application which included the
acquisition costs must be received by the DOT within two years following the granting of
the waiver, or the waiver is not valid.
b. Routine roadway, bridge and culvert maintenance, including pothole filling, crack
sealing, seal coating, patching, shoulder maintenance, gravel or earth roadway
maintenance, and bridge painting.
c. Winter roadway and bridge maintenance, including snow plowing, sanding and salting.
d. Overhead and operating costs associated with eligible project activities, including
auditing.
e. Expenses associated with the preparation and submission of applications for RISE
funding.
f. Pre - design engineering expenses.
g. Traffic signalization, except as an integral part of a roadway project.
h. Pavement marking and traffic signs, except as an integral part of a roadway project.
i. Electric, water, natural gas, telephone and other utility construction, reconstruction or
adjustment except when utilities located on private property are replaced or relocated for
project construction.
J.
Safety appurtenances, except as an integral part of a roadway project.
k. Lighting, except as an integral part of a roadway project.
1. Lighting energy and maintenance costs.
m. Sidewalks, bicycle paths and railroad- highway crossings, except when replacing those
facilities in service and affected by the project, or as an integral part of a roadway project.
n. Parking expenditures, including those for structure, lots, meters and marking.
o. Non - roadway transportation expenditures, including those for railway, aviation, public
transportation and inland waterway facilities and equipment.
p. Purchase of furnishings, construction equipment and personal property.
q. General government expenses and expenses associated with the provision of any public
service which are not eligible for RISE program assistance.
r. Sanitary sewers.
s. Water mains.
t. Donated right of way.
Commission Approval date
Design
Construction
Project Closeout
Exhibit D
April 12, 2011
April2011
June - September 2011
November 2011
Exhibit E
CONTRACT PROVISION
Targeted Small Business (TSB)
Affirmative Action Responsibilities
on
Non - Federal Aid Projects (Third -Party State - Assisted Projects)
April 2010
April 2010
1. TSB DEFINITION
2. TSB REQUIREMENTS
3. TSB DIRECTORY INFORMATION
4. THE CONTRACTOR'S TSB POLICY
CONTRACT PROVISION
Targeted Small Business (TSB) Affirmative Action Responsibilities
on Non - Federal -aid Projects (Third -party State - Assisted Projects)
A TSB is a small business, as defined by Iowa Code Section 15.102(5), which is 51% or more owned, operated
and actively managed by one or more women, minority persons or persons with a disability. Generally this is a
for - profit small business enterprise under single management, is located in Iowa and has an annual gross income
of less than 3 million dollars computed as an average of the three preceding fiscal years.
In all State - assisted projects made available through the Iowa Department of Transportation, local governments
have certain affirmative action requirements to encourage and increase participation of disadvantaged individuals
in business enterprises. These requirements are based on Iowa Code Section 19B.7 and 541 Iowa
Administrative Code Chapter 4. These requirements supersede all existing TSB regulations, orders, circulars and
administrative requirements.
Available from: Iowa Department of Inspections and Appeals
Targeted Small Business
Lucas Building
Des Moines, IA 50319
Phone: 515- 281 -7102
Website: http: / /dia.iowa.gov /page7.html
The contractor is expected to promote participation of disadvantaged business enterprises as suppliers,
manufactures and subcontractors through a continuous, positive, result- oriented program. Therefore the
contractor's TSB policy shall be:
It is the policy of this firm that Targeted Small Business (TSB) concerns shall have the maximum practical
opportunity to participate in contracts funded with State - assisted funds which are administered by this firm
(e.g. suppliers, manufactures and subcontractors). The purpose of our policy is to encourage and
increase the TSB participation in contracting opportunities made available by State - assisted programs.
5. CONTRACTOR SHALL APPOINT AN EQUAL EMPLOYMENT OPPORTUNITY (EEO) OFFICER
The contractor shall designate a responsible person to serve as TSB officer to fulfill the contractors affirmative
action responsibilities. This person shall have the necessary statistics, funding, authority and responsibility to
carry out and enforce the firm's EEO policy. The EEO officer shall be responsible for developing, managing and
implementing the program on a day -to -day basis. The officer shall also:
A. For current TSB information, contact the Iowa Department of Inspections and Appeals (515- 281 -7102) to
identify potential material suppliers, manufactures and contractors.
B. Make every reasonable effort to involve TSBs by soliciting quotations from them and incorporating them
into the firm's bid.
C. Make every reasonable effort to establish systematic written and verbal contact with those TSBs having
the materials or expertise to perform the work to be subcontracted, at least two weeks prior to the time
quotations are to be submitted. Maintain complete records of negotiation efforts.
Page 1
TSB Affirmative Action Responsibilities
D. Provide or arrange for assistance to TSBs in seeking bonding, analyzing plans /specifications or other
actions that can be viewed as technical assistance.
E. Ensure the scheduled progress payments are made to TSBs as agreed in subcontract agreements.
F. Require all subcontractors and material suppliers to comply with all contract equal opportunity and
affirmative action provisions.
6. COUNTING TSBs PARTICIPATION ON A PROJECT
TSBs are to assume actual and contractual responsibilities for provision of materials /supplies, subcontracted work
or other commercially useful function.
A. The bidder may count:
(1) Planned expenditures for materials /supplies to be obtained from TSB suppliers and
manufacturers; or
(2) Work to be subcontracted to a TSB; or
(3) Any other commercially useful function.
B. The contractor may count:
A. Bidders
(1) 100% of an expenditure to a TSB manufacturer that produces /supplies goods manufactured from
raw materials.
(2) 60% of an expenditure to TSB suppliers that are not manufacturers; provided the suppliers
perform a commercially useful function in the supply process.
(3) Only those expenditures to TSBs that perform a commercially useful function in the work of a
contract, including those as a subcontractor.
(4) Work the Contracting Authority has determined that it involves a commercially useful function.
The TSB must have a necessary and useful role in the transaction of a kind for which there is a
market outside the context of the TSB program. For example, leasing equipment or purchasing
materials from the prime contractor would not count.
7. REQUIRED DATA, DOCUMENTS AND CONTRACT AWARD PROCEDURES FROM
BIDDERS /CONTRACTORS FOR PROJECTS WITH ASSIGNED GOALS
Bidders who fail to demonstrate reasonable positive efforts may be declared ineligible to be awarded the
contract. Bidders shall complete the bidding documents plus a separate form called "TSB Pre -Bid
Contact Information ". This form includes:
(1) Name(s) of the TSB(s) contacted regarding subcontractable items.
(2) Date of the contract.
(3) Whether or not a TSB bid /quotation was received.
(4) Whether or not the TSB's bid /quotation was used.
(5) The dollar amount proposed to be subcontracted.
B. Contractors Using Quotes From TSBs
Use those TSBs whose quotes are listed in the "Quotation Used in Bid" column along with a "yes"
indicated on the Pre -bid Contact Information form.
Page 2
TSB Affirmative Action Responsibilities
C. Contractors NOT Using Quotes From TSBs
If there are no TSBs listed on the Pre -bid Contract Information form, then the contractor shall document
all efforts made to include TSB participation in this project by documenting the following:
(1) What pre - solicitation or pre -bid meetings scheduled by the contracting authority were attended?
(2) Which general news circulation, trade associations and /or minority- focused media were
advertised concerning the subcontracting opportunities?
(3) Were written notices sent to TSBs that TSBs were being solicited and was sufficient time allowed
for the TSBs to participate effectively?
(4) Were initial solicitations of interested TSBs followed up?
(5) Were TSBs provided with adequate information about the plans, specifications and requirements
of the contract?
(6) Were interested TSBs negotiated with in good faith? If a TSB was rejected as unqualified, was
the decision based on an investigation of their capabilities?
(7) Were interested TSBs assisted in obtaining bonding, lines of credit or insurance required by the
contractor?
(8) Were services used of minority community organization, minority contractors groups; local, State
and Federal minority business assistance offices or any other organization providing such
assistance.
The above documentation shall remain in the contractor's files for a period of three (3) years after the completion
of the project and be available for examination by the Iowa Department of Inspections and Appeals.
8. POSITIVE EFFORT DOCUMENTATION WHEN NO GOALS ARE ASSIGNED
Contractors are also required to make positive efforts in utilizing TSBs on all State - assisted projects which are not
assigned goals. Form "TSB Pre -bid Contact Information" is required to be submitted with bids on all projects. If there
is no TSB participation, then the contractor shall comply with section 7C. of this document prior to the contract award.
Page 3
SUBCONTRACTOR
TSB
DATES
CONTACTED
QUOTES RECEIVED
QUOTATION USED IN BID
YES/
NO
DATES
CONTACTED
YES/
NO
DOLLAR AMT. PROPOSED
TO BE SUBCONTRACTED
Form 730007WP 7 -97
Contractor
Project#
County
City
TARGETED SMALL BUSINESS (TSB)
PRE -BID CONTACT INFORMATION
Page#
(To Be Completed By All Bidders Per The Current Contract Provision)
In order for your bid to be considered responsive, you are required to provide information on this form showing your Targeted Small Business contacts made with your bid
submission. This information is subject to verification and confirmation.
In the event it is determined that the Targeted Small Business goals are not met, then before awarding the contract, the Contracting Authority will make a determination as
to whether or not the apparent successful low bidder made good faith efforts to meet the goals.
NOTE: Every effort shall be made to solicit quotes or bids on as many subcontractable items as necessary to achieve the established goals. If a TSB's quote is used in
the bid, it is assumed that the firm listed will be used as a subcontractor.
TABLE OF INFORMATION SHOWING BIDDERS PRE -BID
TARGETED SMALL BUSINESS (TSB) CONTACTS
Total dollar amount proposed to be subcontracted to TSB on this project $
List items by name to be subcontracted:
Page 4
April 2010
In accordance with Iowa Code Section 196.7 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.00v /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:
UTILIZATION OF TARGETED SMALL BUSINESS (TSB) ENTERPRISES
ON NON - FEDERAL AID PROJECTS
(THIRD -PARTY STATE - ASSISTED PROJECTS)
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 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.
Page 5
April 2010
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? ❑ 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? ❑ YES ❑ NO
If no, what action was taken by Recipient?
Is documentation in files? ❑ YES ❑ 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? $
Title
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.
Signature
Page 6