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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