RISE Funding Agreement_East 7th Street ImprovementsMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: RISE Project Agreement - RM -2100 (670) -9D -31
East 7th Street
DATE: November 28, 2011
Dubuque
kard
All- America City
I
2007
Economic Development Director Dave Heiar recommends City Council approval of a
project agreement with the Iowa Department of Transportation for RISE funding to
reconstruct East 7t" Street in downtown Dubuque.
The total project cost to reconstruct 7th Street is estimated at $1,993,213. Not all of
these costs are RISE eligible (i.e. water, sewer, street lights, fiber, some sidewalks).
The RISE eligible costs are estimated at $1,371,044 of which 50% up to $680,892 is
reimbursable through this RISE agreement.
The required local match, estimated at $1,312,321, will be paid for by TIF Bond
proceeds.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
David J. Heiar, Economic Development Director
THE CITY OF
Masterpiece on the Mississippi
TO: Michael Van Milligen, City Manager
FROM: David J. Heiar, Economic Development Director
SUBJECT: RISE Project Agreement — RM -2100 (670) -9D -31
East 7th Street
DATE: November 22, 2011
Dubuque
All- America City
11111 I
2007
INTRODUCTION
This memorandum presents for City Council approval a project agreement with the Iowa
Department of Transportation for RISE funding of street improvements for East 7th
Street in downtown Dubuque. The City Council is requested to adopt a resolution
approving the RISE agreement.
BACKGROUND
On November 8, 2011, the Iowa Department of Transportation (IDOT) Commission met
and approved the City's application for RISE program funds to reconstruct East 7th
Street in downtown Dubuque. The planned roadway improvements include the
reconstruction of approximately 2,400 feet of East 7th Street east from U.S. 52 /Central
Avenue located near the downtown area (see attached map).
The City's original application also included reconstruction of Commercial Street from
7th Street under the railroad bridge to the Port of Dubuque. This portion of the street
project was not funded by the RISE program. The RISE program was established to
entice industrial development. The IDOT agreed to fund 7th Street because it provides
access from Highway 52 to the industrial riverfront properties. Particularly, this award
was based on the potential for redevelopment of the Alliant coal fired generator site.
The Commission awarded the City a RISE grant of $680,892 or 50% of total RISE
eligible project costs, whichever is less. Subsequent correspondence with IDOT
authorized the City to begin incurring RISE eligible costs but stated that reimbursement
could not be obtained until a project agreement was prepared and executed.
DISCUSSION
Attached to this memorandum is a resolution that provides for the approval of the
Agreement for RISE funding for the downtown East 7th Street project. It also authorizes
and directs the Mayor to execute the Agreement on behalf of the City.
A copy of the RISE Agreement is attached to the resolution for signature. This
Agreement contains the standard RISE grant provisions. There is one specific condition
in the Agreement, which requires that within three years after the roadway is open to
traffic that the Alliant power plant site is available for reuse. If this does not happen, the
City will be expected to repay the grant funding.
BUDGET
The total project cost to reconstruct 7th Street is estimated at $1,993,213. Not all of
these costs are RISE eligible (i.e. water, sewer, street lights, fiber, some sidewalks).
The RISE eligible costs are estimated at $1,371,044 of which 50% up to $680,892 is
reimbursable through this RISE agreement.
The required local match, estimated at $1,312,321, will be paid for by TIF Bond
proceeds.
RECOMMENDATION
I recommend that the City Council approve the proposed Agreement for RISE Funding
by adopting the attached resolution. This Agreement will provide funding for a significant
portion of our cost to reconstruct East 7th Street. I believe that the terms and conditions
of the Agreement are reasonable and consistent with the City's plan for development of
the property.
ACTION STEP
The Action Step is to adopt the attached resolution approving the RISE agreement.
Attachments
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CITY OF DUBUQUE
ENGINEERING DEPARTMENT
CITY HALL 50 WEST 1310 STREET
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_ 81.P. 11•88I 1 00101081. 1 2 1
RESOLUTION NO. 393 -11
RESOLUTION APPROVING AN AGREEMENT FOR R.I.S.E. FUNDING WITH THE
IOWA DEPARTMENT OF TRANSPORTATION RELATING TO
REDEVELOPMENT OF EAST 7TH STREET IN DOWNTOWN DUBUQUE
Whereas, the City of Dubuque has developed preliminary plans for the
reconstruction of East 7th Street in downtown Dubuque; and
Whereas, the City has requested funding under the State of Iowa's R.I.S.E.
(Revitalize Iowa's Sound Economy) program; and
Whereas, the City's application was approved by order of the Transportation
Commission on November 8, 2011; and
Whereas, the Iowa Department of Transportation has prepared and submitted
for City Council approval an Agreement relating to the R.I.S.E. grant, a copy of which is
attached hereto and by this reference made a part hereof; and
Whereas, the City Council finds that the proposed agreement is acceptable and
necessary to the growth and development of the city.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1.
Section 2.
That the Iowa Department of Transportation Agreement for R.I.S.E.
Funding, Agreement No. RM -2100 (670)- 9D -31, is hereby
approved.
That the Mayor and City Clerk are hereby authorized and directed
to execute two copies of the Agreement on behalf of the City of
Dubuque and forward the executed copies to the Iowa Department
of Transportation for their approval.
Passed, approved and adopted this 5th day of Decemb-r, 2011.
Attest:
Kevi S. Firnstahl, City C erk
F: \USERS \Econ Dev \RISE \7th Street\20111122_7th Street RISE Agree Resolution.doc
Roy D. Buol, Mayor
Iowa Department of Transportation
Agreement for a
Revitalize Iowa's Sound Economy Program (RISE) Project
RECIPIENT: Dubuque
PROJECT NO: RM- 2100(670)- -9D -31
IOWA DOT
AGREEMENT NO.: 2012 -R -012
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 - 2012 -28 on November 8, 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 reconstruction of approximately 2,400 feet of East
Seventh Street east from U.S. 52 /Central Avenue located near the downtown area.
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 David J. Heiar,
Economic Development Director, City of Dubuque, City Hall, 510 W. 13th Street,
Dubuque, IA 52001, 563 -589 -4393, email dheiar @cityofdubuque.org.
3. The Recipient shall be responsible for the development and completion of the following
described project:
the reconstruction of approximately 2,400 feet of East Seventh Street east from U.S.
52 /Central Avenue located near the downtown area.
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): $ 680,892
City Local Contribution: $ 680,892
Project Total: $1,361,783
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 teiuis 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
$680,892 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 two 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 peiniits, 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 penniits 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 Unifoini 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 haunless 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 thirty (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 three 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.
The City must within three years after the roadway is open to traffic; have the
developable land available for use; namely, the Alliant power plant site.
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.
2012 -R -012 as of the date shown opposite its signature below.
RECIPIENT:
Roy D. Buol Date: December 5 ,2011
By: Roy D. Buol
Title: Mayor
I, Kevin S Firnstahl , certify that I am the City Clerk, and that Roy D. Buol
signed said Agreement for and on behalf of the City of Dubuque
authorized to execute the same by virtue of a formal Resolution duly passed
by the City count; 1 . ,on the ,th day of
December ,2011
Signed:
Address:
50 W. 13th Street
Clerk
, who
was duly
and adopted
Date: December 5 ,2O 11
Dnhuque, IA 20c1
IOWA DEPARTMENT OF TRANSPORTATION
Planning and Programming Division
800 Lincoln Way, Ames, Iowa 50010
By: Date
Craig Markley
Director
Office of Systems Planning
, 20_
Exhibit A
Dubuque
Project Location
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 date
Exhibit D
November 8, 2011
November 2011 - March 2012
May 2012 - October 2012
November 2012
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
CONTRACT PROVISION
Targeted Small Business (TSB) Affirmative Action Responsibilities
on Non - Federal -aid Projects (Third -party State - Assisted Projects)
1. TSB DEFINITION
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.
2. TSB REQUIREMENTS
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.
3. TSB DIRECTORY INFORMATION
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.Qov /pape7 html
4. THE CONTRACTOR'S TSB POLICY
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
contractors 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.
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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:
(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
A. Bidders
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.
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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.
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Form 730007WP 7 -97
Contractor
Project#
County
City
TARGETED SMALL BUSINESS (TSB)
PRE -BID CONTACT INFORMATION
(To Be Completed By All Bidders Per The Current Contract Provision)
Page#
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
SUBCONTRACTOR
TSB
DATES
CONTACTED
QUOTES RECEIVED
QUOTATION USED IN BID
YES/
NO
DATES
CONTACTED
YES/
NO
DOLLAR AMT. PROPOSED
TO BE SUBCONTRACTED
Total dollar amount proposed to be subcontracted to TSB on this project $
List items by name to be subcontracted:
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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.ipwa.gov /page7.html.
2. Notifying qualified TSB firms of proposed projects involving State funding. Notification should be made in
sufficient time to allow the TSB firms to participate effectively in the bidding or request for proposal (RFP)
process.
3. Soliciting bids or proposals from qualified TSB firms on each project, and identifying for TSB firms the availability
of subcontract work.
4. Considering establishment of a percentage goal for TSB participation in each contract that is a part of this project
and for which State funds will be used. Contract goals may vary depending on the type of project, the
subcontracting opportunities available, the type of service or supplies needed for the project, and the availability
of qualified TSB firms in the area.
5. For construction contracts:
a) Including in the bid proposals a contract provision titled "TSB Affirmative Action Responsibilities on Non -
Federal Aid Projects (Third -Party State - Assisted Projects)" or a similar document developed by the Recipient.
This contract provision is available on -line at:
http: / /www. dot.state. ia. us /local_ systems / publications /tsb_contract_provision. pdf
b) Ensuring that the awarded contractor has and shall follow the contract provisions.
6. For consultant contracts:
a) Identifying the TSB goal in the Request for Proposal (RFP), if one has been set.
b) Ensuring that the selected consultant made a positive effort to meet the established TSB goal, if any. This
should include obtaining documentation from the consultant that includes a list of TSB firms contacted; a list
of TSB firms that responded with a subcontract proposal; and, if the consultant does not propose to use a
TSB 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.
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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? $
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.
Title
Signature
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