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Intermodal Transporation Design Award
THE CITY OF 411WA Dubuque***** DUBB E All erica City Masterpiece on the Mississippi 2012 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Intermodal Transportation Campus Consultant for Design Phase DATE: August 3, 2012 The attached Intermodal Transportation Campus Consultant for Design Phase memorandum has been updated with some additional background information. In December 2011, final concept drawings for the Intermodal Transportation Parking Facility were presented to City Council showing potential access to 9th street. In January 2012, city staff learned of Iowa Department of Transportation concerns involving access on to 9th street for parking facility traffic. The final design of the facility will need to show no access to 9th street. Neumann Monson Architects has acknowledged that through the preliminary design research information about this access issue should have been discovered but was not. They acknowledge that their pricing for this final design contract takes into account that any work needed to revise the concept drawings to eliminate 9th street access are at no additional cost to the City. /7AAh kt1&1 4t Michael C. Van Milligen MCVM:sv Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Teri Goodmann, Assistant City Manager Gus Psihoyos, City Engineer Masterpiece on the Mississippi TO: Michael C. Van Miliigen, City Manager FROM: Gus Psihoyos, City Engineer DATE: July 26, 2012 RE: Intermodal Transportation Campus Consultant for Design Phase INTRODUCTION Dubuque kiltd All-America City '1 11 I' 2012 The purpose of this memorandum is to seek City Council authorization to contract with Neumann Monson for the Final Design and for Construction oversight of the Intermodal Transportation Campus. BACKGROUND In June 2011 Neumann Monson Architects was hired to conduct preliminary design for the Intermodal Transportation Center in the Historic Millwork District. Preliminary design includes site location analysis, conceptual layouts of the buildings, space planning, conceptual layout of parking, conceptual site layout and project cost estimates. Detailed engineering is done during final design. The City had previously received grant funding from the state of Iowa and federal transit administration to perform site selection and preliminary design of the Intermodal Campus, which was part of the Neumann Monson contract. The date that the These funds needed to be spent by December 31, 2011 to avoid losing the federal and state funding for preliminary design being removed was December 31, 2012. This completion time frame for completion was very tight considering the amount of work and complexity of the Intermodal projectinvolved. Neumann Monson and their sub - consultants including IIW, PC, who performed the preliminary civil site design, worked with city staff, adjacent property owners, railroads and utility companies to develop the preliminary design which initially included access of the parking ramp off of 9th street. This was based on preliminary discussions with the IDOT. Neumann Monson presented the final concept drawings to the City Council -at a work session on December 5, 2011. On January 3, 2012 city staff became aware of IDOT concerns regarding the current configuration of the entrance and exit for the parking ramp onto 9th street when driveway access permits were requested from IDOT utility permit staff. This was based upon the Iowa Department of Transportation (IDOT) having a restricted access area along 9th street between Washington Street and Elm Street. Neumann Monson had talked to IDOT staff about the parking ramp location on 9th street and whether its location was acceptable to the IDOT. This was not an issue until the office of Right -of Way at IDOT staff looked into the access rights to 9th street and found that access to 9th street is not allowed. On January 25, 2012 Assistant City Engineer Bob Schiesl and Civil Engineer Jon Dienst met with IDOT Area Engineer Art Gourley and IDOT Engineering Techician (Permits) Steve Lueck to discuss required permits for the Intermodal Campus. At that meeting IDOT staff confirmed that no access would be allowed on 9th street between Washington and Elm Streets due to proximity to the southbound 151/61 ramp. City staff immediately notified IIW, P.C. (Neumann Monson's civil engineer sub - contractor) that there were access restrictions on 9th street. City staff asked Neumann Monson and IIW about the access onto 9th street and whether the elimination of the access to 9th street would pose an issue for the parking ramp location. IIW did not see this as being a insurmountable problem for the ramp. The access to the ramp would be evaluated in more detail during final design. Access to the ramp could occur off of 10th street, Washington Street and Elm Street. City staff later met with IDOT Staff during the IDOT quarterly meeting May 1, 2012 about the restricted access. IDOT again confirmed that access from the parking ramp onto 9th street would not be permitted. On March 19, 2012, the City Council authorized an RFQ for final design of the Intermodal Campus with several design and construction components. The components include: a terminal building, parking facility, bus storage facility, and passenger rail platform and rail improvements. Each of the components are in various stages of design. Some components currently do not have funding for design or construction, but are identified as add alternates to this contract. In the future should components receive funding then an amendment to the contact will be negotiated for the additional work without repeating the RFQ process. The City received four proposals in response to this RFQ from the following lead firms: Vedi Associates, Inc. Straka Johnson Architects Neumann Monson Architects Legat Architects Minneapolis, MN Dubuque, IA Iowa City, IA Moline, IL Each lead firm, proposed a team of other consultants with specific areas of expertise. A nine member committee established ranking criteria and reviewed the RFQ's. The committee included: Chandra Ravada, ECIA David Solberg, Chair — Envision 2010 Rail Passenger Initiative David Heiar, Economic Development Director Barbara Morck, Transit Director Steve Sampson Brown, Engineering Project Manager Laura Carstens, Planning Services Manager Tim Horsfield, Parking System Supervisor Teri Goodmann, Assistant City Manager Bill Baum, GDDC 2 The local committee narrowed the field to three firms for interviews. These firms were Neumann Monson Architects (Iowa City), Legat Architects (Moline, IL) and Straka Johnson Architects (Dubuque). Following the interviews, Neumann Monson was the first choice of the committee for the following reasons: • Proposed a project team with intermodal experience that would address all aspects of the project, with a strong emphasis on rail connection. • Includes a local civil engineer (IIW) to be part of their team. • Have demonstrated ability to be flexible and meet tight time frames. • Demonstrated ability to scale projects to meet budgetary constraints. • Have already worked with Iowa SHPO, Region VII FTA, CN Railroad, CP Railroad, Amtrak, IDOT, and ILDOT on the initial stages of this project. Neumann Monson Architects has extensive recent experience with parking structures and multi -modal facilities across Iowa. They are currently working with the cities of Ames and Coralville on their Intermodal facilities. DISCUSSION The proposed first phase of the Intermodal Transportation Campus will include a new terminal building and parking facility. During the conceptual design phase for the Intermodal Transportation Campus, Neumann - Monson, working with multiple stakeholders, planned to locate the terminal building east of Elm Street on current IDOT property between 9th and 11th Streets. The parking facility is planned to be on City owned land between Washington Street and Elm Street between 9t" Street and 10t Street. The contract will include final design services for the Intermodal Transportation terminal, parking facility and related site work. This process will include regular discussion with the IDOT to finalize ingress /egress issues related to the intermodal facility. The train platform and the bus storage facility are add alternates to this contract. City staff will request approval from the City Council to add these alternates when funding for these additional elements become available. PROJECT SCHEDULE Neumann - Monson has listed in their proposal a tentative start date for construction of March 2013. Completion of the campus would be approximately July 2014. These dates may shift depending on property acquisition from the Iowa Department of Transportation (IDOT). The proposed terminal location is on IDOT property east of Elm Street. Ninth, Eleventh and Elms Streets need to be converted to two -way streets before the Elm Street Connector (E911) can be removed. This project will be a multi - phased project where the parking structure will be constructed first, followed by the terminal building. RECOMMENDATION 3 Based on the proposal review, contract review and negotiation, presentations, reference checks and consultant selection committee recommendation, I recommend award of the Final Design and Construction oversight of the Intermodal Campus contract to Neumann - Monson of Iowa City, IA. BUDGET IMPACT In October 2011, the City was awarded an $8 million FTA, State of Good Repair grant for the Intermodal project. The City committed a local match of $3.6 million toward this project. The contract for a consultant would be paid from these funding sources. The negotiated contract includes the following fees for design: Design of Terminal Building $282,068 Design of Parking Facility 484,571 Overall Project Management 40,000 TOTAL $806,639 REQUESTED ACTION I respectfully request that the City Council approve the award of the Multi- phased Final Design and Construction oversight of the Intermodal Campus contract to Neumann - Monson of Iowa City, Iowa. Prepared by Jon Dienst, PE cc: Jenny Larson, Budget Director Bob Green, Water Department Manager Don Vogt, Public Works Director David Heiar, Economic Development Director Phillip Wagner, Assistant Economic Development Director Tim Horsfield, Parking Division Manager Barbara Morck, Transit Division Manager Steve Brown, Project Manager Tim Schroeder, Neumann - Monson 4 THE CITY OF 411WA Dubuque***** DUBB E All erica City Masterpiece on the Mississippi 2012 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Intermodal Transportation Campus Consultant for Design Phase DATE: July 30, 2012 On March 19, 2012, the City Council authorized a Request for Qualifications for final design of the Intermodal Campus with several design and construction components. The City received four proposes in response to this RFQ. An RFQ Committee interviewed three of the firms. Following the interviews, Neumann Monson was the first choice of the committee for the following reasons: • Proposed a project team with intermodal experience that would address all aspects of the project, with a strong emphasis on rail connection. • Includes a local civil engineer (IIW) to be part of their team. • Have demonstrated ability to be flexible and meet tight time frames. • Demonstrated ability to scale projects to meet budgetary constraints. • Have already worked with Iowa SHPO, Region VII FTA, CN Railroad, CP Railroad, Amtrak, DOT, and ILDOT on the initial stages of this project. Neumann Monson Architects has extensive recent experience with parking structures and multi-modal facilities across Iowa. City Engineer Gus Psihoyos and the RFQ Review Committee recommend City Council authorization to contract with Neumann Monson for the final design and for construction oversight of the Intermodal Transportation Campus. I concur with the recommendation and respectfully request Mayor and City Council approval. /1711d144 Ift44/ Michael C. Van Milligen MCVM:jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Teri Goodmann, Assistant City Manager Gus Psihoyos, City Engineer 2 Masterpiece on the Mississippi TO: Michael C. Van Milligen, City Manager FROM: Gus Psihoyos, City Engineer j DATE: July 26, 2012 RE: Intermodal Transportation Campus Consultant for Design Phase INTRODUCTION Dubuque Ai -America City 11 1 1 1 2012 The purpose of this memorandum is to seek City Council authorization to contract with Neumann Monson for the Final Design and for Construction oversight of the Intermodal Transportation Campus. BACKGROUND On March 19, 2012, the City Council authorized an RFQ for final design of the Intermodal Campus with several design and construction components. The components include: a terminal building, parking facility, bus storage facility, and passenger rail platform and rail improvements. Each of the components are in various stages of design. Some components currently do not have funding for design or construction, but are identified as add alternates to this contract. In the future should components receive funding then an amendment to the contact will be negotiated for the additional work without repeating the RFQ process. The City received four proposals in response to this RFQ from the following lead firms: Vedi Associates, Inc. Straka Johnson Architects Neumann Monson Architects Legat Architects Minneapolis, MN Dubuque, IA Iowa City, IA Moline, IL Each lead firm, proposed a team of other consultants with specific areas of expertise. A nine member committee established ranking criteria and reviewed the RFQ's. The committee included: Chandra Ravada, ECIA David Solberg, Chair — Envision 2010 Rail Passenger Initiative David Heiar, Economic Development Director Barbara Morck, Transit Director Steve Sampson Brown, Engineering Project Manager Laura Carstens, Planning Services Manager Tim Horsfield, Parking System Supervisor Teri Goodmann, Assistant City Manager Bill Baum, GDDC The local committee narrowed the field to three firms for interviews. These firms were Neumann Monson Architects (Iowa City), Legat Architects (Moline, IL) and Straka Johnson Architects (Dubuque). Following the interviews, Neumann Monson was the first choice of the committee for the following reasons: • Proposed a project team with intermodal experience that would address all aspects of the project, with a strong emphasis on rail connection. • Includes a local civil engineer (IIW) to be part of their team. • Have demonstrated ability to be flexible and meet tight time frames. • Demonstrated ability to scale projects to meet budgetary constraints. • Have already worked with Iowa SHPO, Region VII FTA, CN Railroad, CP Railroad, Amtrak, IDOT, and ILDOT on the initial stages of this project. Neumann Monson Architects has extensive recent experience with parking structures and multi -modal facilities across Iowa. They are currently working with the cities of Ames and Coralville on their Intermodal facilities. DISCUSSION The proposed first phase of the Intermodal Transportation Campus will include a new terminal building and parking facility. During the conceptual design phase for the Intermodal Transportation Campus, Neumann - Monson, working with multiple stakeholders, planned to locate the terminal building east of Elm Street on current IDOT property between 9th and 11th Streets. The parking facility is planned to be on City owned land between Washington Street and Elm Street between 9th Street and 10t h Street. The contract will include final design services for the Intermodal Transportation terminal, parking facility and related site work. The train platform and the bus storage facility are add alternates to this contract. City staff will request approval from the City Council to add these alternates when funding for these additional elements become available. PROJECT SCHEDULE Neumann - Monson has listed in their proposal a tentative start date for construction of March 2013. Completion of the campus would be approximately July 2014. These dates may shift depending on property acquisition from the Iowa Department of Transportation (IDOT). The proposed terminal location is on IDOT property east of Elm Street. Ninth, Eleventh and Elms Streets need to be converted to two -way streets before the Elm Street Connector (E911) can be removed. This project will be a multi - phased project where the parking structure will be constructed first, followed by the terminal building. 2 RECOMMENDATION Based on the proposal review, contract review and negotiation, presentations, reference checks and consultant selection committee recommendation, I recommend award of the Final Design and Construction oversight of the Intermodal Campus contract to Neumann - Monson of Iowa City, IA. BUDGET IMPACT In October 2011, the City was awarded an $8 million FTA, State of Good Repair grant for the Intermodal project. The City committed a local match of $3.6 million toward this project. The contract for a consultant would be paid from these funding sources. The negotiated contract includes the following fees for design: Design of Terminal Building $282,068 Design of Parking Facility 484,571 Overall Project Management 40,000 TOTAL $806,639 REQUESTED ACTION I respectfully request that the City Council approve the award of the Multi- phased Final Design and Construction oversight of the Intermodal Campus contract to Neumann - Monson of Iowa City, Iowa. Prepared by Jon Dienst, PE cc: Jenny Larson, Budget Director Bob Green, Water Department Manager Don Vogt, Public Works Director David Heiar, Economic Development Director Phillip Wagner, Assistant Economic Development Director Tim Horsfield, Parking Division Manager Barbara Morck, Transit Division Manager Steve Brown, Project Manager Tim Schroeder, Neumann - Monson 3 Init. .9 =AIA Document BIOITM - 2007 Standard Form of Agreement Between Owner and Architect AGREEMENT made as of the 15th day of June in the year 2012 an words, indicate day, month and year.) BETWEEN the Architect's client identified as the Owner: (Name, legal status, address and other information) City of Dubuque 50 West 13th St Dubuque, IA 52001 and the Architect: (Name, legal status, address and other information) Neumann Monson PC 221 E. College St, Ste. 303 Iowa City, IA 52240 for the following Project: (Name, location and detailed description) City of Dubuque Intermodal Transportation Center Phase I and Phase II Architectural Design and Engineering Services The Owner and Architect agree as follows. ADDITIONS AND DELETIONS: The author of this document has added information needed for its completion. The author may also have revised the text of the original AIA standard form. An Additions and Deletions Report that notes added information as well as revisions to the standard form text is available from the author and should be reviewed. A vertical line In the left margin of this document indicates where the author has added necessary information and where the author has added to or deleted from the original AIA text. This document has important legal consequences. Consultation with an attorney is encouraged with respect to its completion or modification. AIA Document 13101", — 2007 (formerly B151"" — 1997). Copyright ©1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This Ale Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIAO Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636298619_1 which expires on 09/18/2012, and Is not for resale. User Notes: (1802202229) Init. TABLE OF ARTICLES 1 INITIAL INFORMATION 2 ARCHITECT'S RESPONSIBILITIES 3 SCOPE OF ARCHITECT'S BASIC SERVICES 4 ADDITIONAL SERVICES 5 OWNER'S RESPONSIBILITIES 6 COST OF THE WORK 7 COPYRIGHTS AND LICENSES 8 CLAIMS AND DISPUTES 9 TERMINATION OR SUSPENSION 10 MISCELLANEOUS PROVISIONS 11 COMPENSATION 12 SPECIAL TERMS AND CONDITIONS 13 SCOPE OF THE AGREEMENT EXHIBIT A INITIAL INFORMATION ARTICLE 1 INITIAL INFORMATION § 1.1 This Agreement is based on the Initial Information set forth in this Article 1 and in Exhibit A and Exhibit B, Initial Information: (Complete Exhibit A, Initial Information, and incorporate it into the Agreement at Section 13.2, or state below Initial Information such as details of the Project's site and program, Owner's contractors and consultants, Architect's consultants, Owner's budget for the Cost of the Work, authorized representatives, anticipated procurement method, and other information relevant to the Project) § 1.2 The Owner's anticipated dates for commencement of construction and Substantial Completion of the Work are set forth below: .1 Commencement of construction date: March 2013 .2 Substantial Completion date: July 2014 § 1.3 The Owner and Architect may rely on the Initial Information. Both parties, however, recognize that such information may materially change and, in that event, the Owner and the Architect shall appropriately adjust the schedule, the Architect's services and the Architect's compensation. ARTICLE 2 ARCHITECT'S RESPONSIBILITIES § 2.1 The Architect shall provide the professional services as set forth in this Agreement. AIA Document 13101m - 2007 (formerly B151T° - 1997). Copyright © 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AlAu Document is protected by U.S. Copyright law and International Treaties. Unauthorized reproduction or distribution of this AIA° Document, or any portion of it, may result In severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No,0636296619_1 which expires on 09/1812012, and Is not for resale. User Notes: (1802202229) Init. § 2,2 The Architect shall perform its services consistent with the professional skill and care ordinarily provided by architects practicing in the same or similar locality under the same or similar circumstances. The Architect shall perform its services as expeditiously as is consistent with such professional skill and care and the orderly progress of the Project. § 2.3 The Architect shall identify a representative authorized to act on behalf of the Architect with respect to the Project. § 2.4 Except with the Owner's knowledge and consent, the Architect shall not engage in any activity, or accept any employment, interest or contribution that would reasonably appear to compromise the Architect's professional judgment with respect to this Project. § 2.5 The Architect shall maintain the following insurance for the duration of this Agreement. (Identify types and limits of insurance coverage, and other insurance requirements applicable to the Agreement, if any.) (Paragraphs deleted)Per City's requirements as shown in attached Exhibit E. ARTICLE 3 SCOPE OF ARCHITECT'S BASIC SERVICES § 3.1 The Architect's Basic Services consist of those described in Article 3 and per the attached Exhibits and include usual and customary structural, mechanical, and electrical engineering services. Services not set forth in this Article 3 are Additional Services. § 3.1.1 The Architect shall manage the Architect's services, consult with the Owner, research applicable design criteria, attend Project meetings, communicate with members of the Project team and report progress to the Owner. § 3.1.2 The Architect shall coordinate its services with those services provided by the Owner and the Owner's consultants. The Architect shall be entitled to rely on the accuracy and completeness of services and information furnished by the Owner and the Owner's consultants. The Architect shall provide prompt written notice to the Owner if the Architect becomes aware of any error, omission or inconsistency in such services or information. § 3.1.3 As soon as practicable after the date of this Agreement, the Architect shall submit for the Owner's approval a schedule for the performance of the Architect's services. The schedule initially shall include anticipated dates for the commencement of construction and for Substantial Completion of the Work as set forth in the Initial Information. The schedule shall include allowances for periods of time required for the Owner's review, for the performance of the Owner's consultants, and for approval of submissions by authorities having jurisdiction over the Project. Once approved by the Owner, time limits established by the schedule shall not, except for reasonable cause, be exceeded by the Architect or Owner. With the Owner's approval, the Architect shall adjust the schedule, if necessary, as the Project proceeds until the commencement of construction. § 3.1.4 The Architect shall not be responsible for an Owner's directive or substitution made without the Architect's approval. § 3.1.5 The Architect shall, at appropriate times, contact the govermmnental authorities required to approve the Construction Documents and the entities providing utility services to the Project. In designing the Project, the Architect shall respond to applicable design requirements imposed by such governmental authorities and by such entities providing utility services. § 3,1.6 The Architect shall assist the Owner in connection with the Owner's responsibility for filing documents required for the approval of governmental authorities having jurisdiction over the Project. § 3.2 SCHEMATIC DESIGN PHASE SERVICES § 3.2.1 The Architect shall review the program and other information furnished by the Owner, and shall review laws, codes, and regulations applicable to the Architect's services. AIA Document B101T" — 2007 ((formerly B151TM © — 1997). Copyright 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIA° Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) Init. § 3.2.2 The Architect shall prepare a preliminary evaluation of the Owner's program, schedule, budget for the Cost of the Work, Project site, and the proposed procurement or delivery method and other Initial Information, each in terms of the other, to ascertain the requirements of the Project. The Architect shall notify the Owner of (1) any inconsistencies discovered in the information, and (2) other information or consulting services that may be reasonably needed for the Project. § 3.2.3 The Architect shall present its preliminary evaluation to the Owner and shall discuss with the Owner alternative approaches to design and construction of the Project, including the feasibility of incorporating environmentally responsible design approaches. The Architect shall reach an understanding with the Owner regarding the requirements of the Project. § 3.2.4 Based on the Project's requirements agreed upon with the Owner, the Architect shall prepare and present for the Owner's approval a preliminary design illustrating the scale and relationship of the Project components. § 3.2.5 Based on the Owner's approval of the preliminary design, the Architect shall prepare Schematic Design Documents for the Owner's approval. The Schematic Design Documents shall consist of drawings and other documents including a site plan, if appropriate, and preliminary building plans, sections and elevations; and may include some combination of study models, perspective sketches, or digital modeling. Preliminary selections of major building systems and construction materials shall be noted on the drawings or described in writing. § 3,2.5.1 The Architect shall consider environmentally responsible design alternatives, such as material choices and building orientation, together with other considerations based on program and aesthetics, in developing a design that is consistent with the Owner's program, schedule and budget for the Cost of the Work. The Owner may obtain other environmentally responsible design services under Article 4. § 3.2.5.2 The Architect shall consider the value of alternative materials, building systems and equipment, together with other considerations based on program and aesthetics, in developing a design for the Project that is consistent with the Owner's program, schedule and budget for the Cost of the Work. § 3.2.6 The Architect shall submit to the Owner an estimate of the Cost of the Work prepared in accordance with Section 6.3. § 3.2.7 And as defined in the attached Exhibit B § 3.3 DESIGN DEVELOPMENT PHASE SERVICES § 3.3.1 Based on the Owner's approval of the Schematic Design Documents, and on the Owner's authorization of any adjustments in the Project requirements and the budget for the Cost of the Work, the Architect shall prepare Design Development Documents per the attached Exhibit B for the Owner's approval. The Design Development Documents shall illustrate and describe the development of the approved Schematic Design Documents and shall consist of drawings and other documents including plans, sections, elevations, typical construction details, and diagrammatic layouts of building systems to fix and describe the size and character of the Project as to architectural, structural, mechanical and electrical systems, and such other elements as may be appropriate. The Design Development Documents shall also include outline specifications that identify major materials and systems and establish in general their quality levels. § 3.3.2 The Architect shall update the estimate of the Cost of the Work. § 3.3.3 The Architect shall submit the Design Development Documents to the Owner, advise the Owner of any adjustments to the estimate of the Cost of the Work, and request the Owner's approval. § 3.4 CONSTRUCTION DOCUMENTS PHASE SERVICES § 3.4.1 Based on the Owner's approval of the Design Development Documents, and on the Owner's authorization of any adjustments in the Project requirements and the budget for the Cost of the Work, the Architect shall prepare Construction Documents for the Owner's approval. The Construction Documents shall illustrate and describe the further development of the approved Design Development Documents and shall consist of Drawings and Specifications setting forth in detail the quality levels of materials and systems and other requirements for the construction of the Work. The Owner and Architect acknowledge that in order to construct the Work the Contractor AIA Document 8101" — 2007 (formerly BISITM - 1997). Copyright © 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIA Document, or any portion of It, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resate. User Notes: (1802202229) Init. will provide additional information, including Shop Drawings, Product Data, Samples and other similar submittals, which the Architect shall review in accordance with Section 3.6.4. § 3.4.2 The Architect shall incorporate into the Construction Documents the design requirements of governmental authorities having jurisdiction over the Project. § 3.4.3 During the development of the Construction Documents, the Architect shall assist the Owner in the development and preparation of (1) bidding and procurement information that describes the time, place and conditions of bidding, including bidding or proposal forms; (2) the form of agreement between the Owner and Contractor; and (3) the Conditions of the Contract for Construction (General, Supplementary and other Conditions). The Architect shall also compile a project manual that includes the Conditions of the Contract for Construction and Specifications and may include bidding requirements and sample forms. § 3.4.4 The Architect shall update the estimate for the Cost of the Work. § 3.4.5 The Architect shall submit the Construction Documents to the Owner, advise the Owner of any adjustments to the estimate of the Cost of the Work, take any action required under Section 6.5, and request the Owner's approval. § 3.5 BIDDING OR NEGOTIATION PHASE SERVICES § 3.5.1 GENERAL The Architect shall assist the Owner in establishing a list of prospective contractors. Following the Owner's approval of the Construction Documents, the Architect shall assist the Owner in (1) obtaining either competitive bids or negotiated proposals; (2) confirming responsiveness of bids or proposals; (3) determining the successful bid or proposal, if any; and, (4) awarding and preparing contracts for construction. § 3.5.2 COMPETITIVE BIDDING § 3.5.2.1 Bidding Documents shall consist of bidding requirements and proposed Contract Documents. § 3.5.2.2 The Architect shall assist the Owner in bidding the Project by .1 procuring the reproduction of Bidding Documents for distribution to prospective bidders; .2 distributing the Bidding Documents to prospective bidders, requesting their return upon completion of the bidding process, and maintaining a log of distribution and retrieval and of the amounts of deposits, if any, received from and returned to prospective bidders; .3 organizing and conducting a pre -bid conference for prospective bidders; .4 preparing responses to questions from prospective bidders and providing clarifications and interpretations of the Bidding Documents to all prospective bidders in the form of addenda; and .5 organizing and conducting the opening of the bids, and subsequently documenting and distributing the bidding results, as directed by the Owner. § 3.5.2.3 The Architect shall consider requests for substitutions, if the Bidding Documents permit substitutions, and shall prepare and distribute addenda identifying approved substitutions to all prospective bidders. § 3.5.3 NEGOTIATED PROPOSALS § 3.5.3.1 Proposal Documents shall consist of proposal requirements and proposed Contract Documents. § 3.5.3.2 The Architect shall assist the Owner in obtaining proposals by .1 procuring the reproduction of Proposal Documents for distribution to prospective contractors, and requesting their return upon completion of the negotiation process; .2 organizing and participating in selection interviews with prospective contractors; and .3 participating in negotiations with prospective contractors, and subsequently preparing a summary report of the negotiation results, as directed by the Owner. § 3.5.3.3 The Architect shall consider requests for substitutions, if the Proposal Documents permit substitutions, and shall prepare and distribute addenda identifying approved substitutions to all prospective contractors. AIA Document B101TM — 2007 formerly B151 `" — 1997). Copyright © 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIA° Document, or any portion of It, may result In severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AMA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) Init. § 3.6 CONSTRUCTION PHASE SERVICES § 3.6.1 GENERAL § 3.6.1.1 The Architect shall provide administration of the Contract between the Owner and the Contractor as set forth below and in AIA Document A201T"L2007, General Conditions of the Contract for Construction. If the Owner and Contractor modify AIA Document A201 -2007, those modifications shall not affect the Architect's services under this Agreement unless the Owner and the Architect amend this Agreement. § 3.6.1.2 The Architect shall advise and consult with the Owner during the Construction Phase Services. The Architect shall have authority to act on behalf of the Owner only to the extent provided in this Agreement. The Architect shall not have control over, charge of, or responsibility for the construction means, methods, techniques, sequences or procedures, or for safety precautions and programs in connection with the Work, nor shall the Architect be responsible for the Contractor's failure to perform the Work in accordance with the requirements of the Contract Documents. The Architect shall be responsible for the Architect's negligent acts or omissions, but shall not have control over or charge of, and shall not be responsible for, acts or omissions of the Contractor or of any other persons or entities performing portions of the Work. § 3.6.1.3 Subject to Section 4.3, the Architect's responsibility to provide Construction Phase Services commences with the award of the Contract for Construction and terminates on the date the Architect issues the final Certificate for Payment. § 3.6.2 EVALUATIONS OF THE WORK § 3.6.2.1 The Architect shall visit the site at intervals appropriate to the stage of construction, or as otherwise required in Section 4.3.3, to become generally familiar with the progress and quality of the portion of the Work completed, and to determine, in general, if the Work observed is being performed in a manner indicating that the Work, when fully completed, will be in accordance with the Contract Documents. However, the Architect shall not be required to make exhaustive or continuous on -site inspections to check the quality or quantity of the Work. On the basis of the site visits, the Architect shall keep the Owner reasonably informed about the progress and quality of the portion of the Work completed, and report to the Owner (1) known deviations from the Contract Documents and from the most recent construction schedule submitted by the Contractor, and (2) defects and deficiencies observed in the Work. § 3.6.2.2 The Architect has the authority to reject Work that does not conform to the Contract Documents. Whenever the Architect considers it necessary or advisable, the Architect shall have the authority to require inspection or testing of the Work in accordance with the provisions of the Contract Documents, whether or not such Work is fabricated, installed or completed. However, neither this authority of the Architect nor a decision made in good faith either to exercise or not to exercise such authority shall give rise to a duty or responsibility of the Architect to the Contractor, Subcontractors, material and equipment suppliers, their agents or employees or other persons or entities performing portions of the Work. § 3.6.2.3 The Architect shall interpret and decide matters concerning performance under, and requirements of, the Contract Documents on written request of either the Owner or Contractor. The Architect's response to such requests shall be made in writing within any time limits agreed upon or otherwise with reasonable promptness. § 3.6.2.4 Interpretations and decisions of the Architect shall be consistent with the intent of and reasonably inferable from the Contract Documents and shall be in writing or in the form of drawings. When making such interpretations and decisions, the Architect shall endeavor to secure faithful performance by both Owner and Contractor, shall not show partiality to either, and shall not be liable for results of interpretations or decisions rendered in good faith. The Architect's decisions on matters relating to aesthetic effect shall be final if consistent with the intent expressed in the Contract Documents. § 3.6.2.5 Unless the Owner and Contractor designate another person to serve as an Initial Decision Maker, as that term is defined in AIA Document A201 -2007, the Architect shall render initial decisions on Claims between the Owner and Contractor as provided in the Contract Documents. AIA Document B101 •" — 2007 (formerly B151h - 1997). Copyright © 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA' Document Is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIA° Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636298619_1 which expires on 09/18/2012, and Is not for resale. User Notes: (1802202229) Init. § 3.6.3 CERTIFICATES FOR PAYMENT TO CONTRACTOR § 3.6.3.1 The Architect shall review and certify the amounts due the Contractor and shall issue certificates in such amounts. The Architect's certification for payment shall constitute a representation to the Owner, based on the Architect's evaluation of the Work as provided in Section 3.6.2 and on the data comprising the Contractor's Application for Payment, that, to the best of the Architect's knowledge, information and belief, the Work has progressed to the point indicated and that the quality of the Work is in accordance with the Contract Documents. The foregoing representations are subject (1) to an evaluation of the Work for conformance with the Contract Documents upon Substantial Completion, (2) to results of subsequent tests and inspections, (3) to correction of minor deviations from the Contract Documents prior to completion, and (4) to specific qualifications expressed by the Architect. § 3.6.3.2 The issuance of a Certificate for Payment shall not be a representation that the Architect has (1) made exhaustive or continuous on -site inspections to check the quality or quantity of the Work, (2) reviewed construction means, methods, techniques, sequences or procedures, (3) reviewed copies of requisitions received from Subcontractors and material suppliers and other data requested by the Owner to substantiate the Contractor's right to payment, or (4) ascertained how or for what purpose the Contractor has used money previously paid on account of the Contract Sum. § 16.3.3 The Architect shall maintain a record of the Applications and Certificates for Payment. § 3.6.4 SUBMITTALS § 3.6.4.1 The Architect shall review the Contractor's submittal schedule and shall not unreasonably delay or withhold approval. The Architect's action in reviewing submittals shall be taken in accordance with the approved submittal schedule or, in the absence of an approved submittal schedule, with reasonable promptness while allowing sufficient time in the Architect's professional judgment to permit adequate review. § 3.6.4.2 hi accordance with the Architect- approved submittal schedule, the Architect shall review and approve or take other appropriate action upon the Contractor's submittals such as Shop Drawings, Product Data and Samples, but only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. Review of such submittals is not for the purpose of determining the accuracy and completeness of other information such as dimensions, quantities, and installation or performance of equipment or systems, which are the Contractor's responsibility. The Architect's review shall not constitute approval of safety precautions or, unless otherwise specifically stated by the Architect, of any construction means, methods, techniques, sequences or procedures. The Architect's approval ofa specific item shall not indicate approval of an assembly of which the item is a component. § 3.6.4.3 If the Contract Documents specifically require the Contractor to provide professional design services or certifications by a design professional related to systems, materials or equipment, the Architect shall specify the appropriate performance and design criteria that such services must satisfy. The Architect shall review Shop Drawings and other submittals related to the Work designed or certified by the design professional retained by the Contractor that bear such professional's seal and signature when submitted to the Architect. The Architect shall be entitled to rely upon the adequacy, accuracy and completeness of the services, certifications and approvals performed or provided by such design professionals. § 3.6.4.4 Subject to the provisions of Section 4.3, the Architect shall review and respond to requests for information about the Contract Documents. The Architect shall set forth in the Contract Documents the requirements for requests for information. Requests for information shall include, at a minimum, a detailed written statement that indicates the specific Drawings or Specifications in need of clarification and the nature of the clarification requested. The Architect's response to such requests shall be made in writing within any time limits agreed upon, or otherwise with reasonable promptness. If appropriate, the Architect shall prepare and issue supplemental Drawings and Specifications in response to requests for information. § 3.6.4.5 The Architect shall maintain a record of submittals and copies of submittals supplied by the Contractor in accordance with the requirements of the Contract Documents. AIA Document B101" — 2007 formerly B151" — 1997). Copyright ©1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA Document Is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this MA® Document, or any portion of it, may result in severe civIt and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and Is not for resale. User Notes: (1802202229) Init. § 3.6.5 CHANGES IN THE WORK § 3.6.5.1 The Architect may authorize minor changes in the Work that are consistent with the intent of the Contract Documents and do not involve an adjustment in the Contract Sum or an extension of the Contract Time. Subject to the provisions of Section 4.3, the Architect shall prepare Change Orders and Construction Change Directives for the Owner's approval and execution in accordance with the Contract Documents. § 3.6.5.2 The Architect shall maintain records relative to changes in the Work. § 3.6.6 PROJECT COMPLETION § 3.6.6.1 The Architect shall conduct inspections to determine the date or dates of Substantial Completion and the date of final completion; issue Certificates of Substantial Completion; receive from the Contractor and forward to the Owner, for the Owner's review and records, written warranties and related documents required by the Contract Documents and assembled by the Contractor; and issue a final Certificate for Payment based upon a final inspection indicating the Work complies with the requirements of the Contract Documents. § 3.6.6.2 The Architect's inspections shall be conducted with the Owner to check conformance of the Work with the requirements of the Contract Documents and to verify the accuracy and completeness of the list submitted by the Contractor of Work to be completed or corrected. § 3.6.6.3 When the Work is found to be substantially complete, the Architect shall inform the Owner about the balance of the Contract Sum remaining to be paid the Contractor, including the amount to be retained from the Contract Sum, if any, for final completion or correction of the Work. § 3.6.6.4 The Architect shall forward to the Owner the following information received from the Contractor: (I) consent of surety or sureties, if any, to reduction in or partial release of retainage or the making of final payment; (2) affidavits, receipts, releases and waivers of liens or bonds indemnifying the Owner against liens; and (3) any other documentation required of the Contractor under the Contract Documents. § 3.6.6.5 Upon request of the Owner, and prior to the expiration of one year from the date of Substantial Completion, the Architect shall, without additional compensation, conduct a meeting with the Owner to review the facility operations and performance. ARTICLE 4 ADDITIONAL SERVICES § 4.1 (Not Used) Additional Services Responsibility (Architect, Owner or Not Provided) Location of Service Description (Section 4.2 below or in an exhibit attached to this document and identified below) § 4.1.1 Not used... services are outlined in Exhibit B (Rows deleted) § 4.2 (Not Used) § 4.3 Additional Services, not included in Basic Services outlined in Exhibit A and Exhibit B, may be provided after execution of this Agreement, without invalidating the Agreement. Except for services required due to the fault of the Architect, any Additional Services provided in accordance with this Section 4.3 shall entitle the Architect to compensation pursuant to Section 11.3 and an appropriate adjustment in the Architect's schedule. § 4.3.1 Upon recognizing the need to perform the following Additional Services, the Architect shall notify the Owner in writing with reasonable promptness and explain the facts and circumstances giving rise to the need. The Architect shall not proceed to provide the following services until the Architect receives the Owner's written authorization: .1 Services necessitated by a change in the initial Information, previous instructions or approvals given by the Owner, or a material change in the Project including, but not limited to, size, quality, location, complexity, the Owner's schedule or budget for Cost of the Work, or procurement or delivery method; AIA Document B101 T" — 2007 formerly B151TM — 1997). Copyright © 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This Aliku Document Is protected by U.S. Copyright Law and International Treaties. Unauthorised reproduction or distribution of this AIA° Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) Init. .2 Changing or editing previously prepared Instruments of Service necessitated by the enactment or revision of codes, laws or regulations or official interpretations of schedule, .3 Services necessitated by decisions of the Owner not rendered in a timely manner or any other failure of performance on the part of the Owner or the Owner's consultants or contractors; (Paragraphs deleted) .4 Preparation for, and attendance at a dispute resolution proceeding or legal proceeding, except where the Architect is party thereto; .5 Consultation conceming replacement of Work resulting from fire or other cause during construction; or .6 Assistance to the initial Decision Maker, if otter than the Architect. § 4.3.2 (Paragraphs deleted) Not Used § 4.3.3 (Paragraphs deleted) Not Used § 4.3.4 If the services covered by this Agreement have not been completed by the end of this project, through no fault of the Architect, extension of the Architect's services beyond that time shall be compensated as Additional Services per article 4.3.1. ARTICLE 5 OWNER'S RESPONSIBILITIES § 5.1 Unless otherwise provided for under this Agreement, the Owner shall provide information in a timely manner regarding requirements for and limitations on the Project. Within 15 calendar days after receipt of a written request from the Architect, the Owner shall furnish the requested information as necessary and relevant for the Architect to evaluate, give notice of or enforce lien rights. § 5.2 The Owner shall establish and periodically update the Owner's budget for the Project, including (I) the budget for the Cost of the Work as defined in Section 6.1; (2) the Owner's other costs; and, (3) reasonable contingencies related to all of these costs. If the Owner significantly increases or decreases the Owner's budget for the Cost of the Work, the Owner shall notify the Architect. The Owner and the Architect shall thereafter agree to a corresponding change in the Project's scope and quality. § 5.3 The Owner shall identify a representative authorized to act on the Owner's behalf with respect to the Project. The Owner shall render decisions and approve the Architect's submittals in a timely manner in order to avoid unreasonable delay in the orderly and sequential progress of the Architect's services. § 5.4 The Architect shall furnish surveys to describe physical characteristics, legal limitations and utility locations for the site of the Project, and a written legal description of the site. The surveys and legal information shall include, as applicable, grades and lines of streets, alleys, pavements and adjoining property and structures; designated wetlands; adjacent drainage; rights -of -way, restrictions, easements, encroachments, zoning, deed restrictions, boundaries and contours of the site; locations, dimensions and necessary data with respect to existing buildings, other improvements and trees; and information concerning available utility services and lines, both public and private, above and below grade, including inverts and depths. All the information on the survey shall be referenced to a Project benchmark. § 5.5 The Architect shall furnish services of geotechnical engineers, which may include but are not litnited to test borings, test pits, determinations of soil bearing values, percolation tests, evaluations of hazardous materials, seismic evaluation, ground corrosion tests and resistivity tests, including necessary operations for anticipating subsoil conditions, with written reports and appropriate recommendations, includnhgdevelopment of a soil management plan. § 5.6 The Owner shall coordinate the services of its own consultants with those services provided by the Architect. Upon the Architect's request, the Owner shall furnish copies of the scope of services in the contracts between the Owner and the Owner's consultants. The Owner shall furnish the services of consultants other than those designated in this Agreement, or authorize the Architect to furnish them as an Additional Service, when the Architect requests such AIA Document B101 "' — 2007 formerly B151 T'" — 1997). Copyright ©1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIA° Document, or any portion of it, may result In severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/0612012 under Order No.0636296619_1 which expires on 09118/2012, and is not for resale. User Notes: (1802202229) Init. 1 services and demonstrates that they are reasonably required by the scope of the Project. The Owner shall require that its consultants maintain professional liability insurance as appropriate to the services provided. § 5.7 The Owner shall furnish tests, inspections and reports required by law or the Contract Documents, such as structural, mechanical, and chemical tests, tests for air and water pollution, and tests for hazardous materials. The architect and/ or their sub - consultants will define and coordinate the scope of the required tests during construction that will be part of the Contractor's scope of services under a separate contract with the Owner. § 5.8 The Owner shall furnish all legal, insurance and accounting services, including auditing services, that may be reasonably necessary at any time for the Project to meet the Owner's needs and interests. § 5.9 The Owner shall provide prompt written notice to the Architect if the Owner becomes aware of any fault or defect in the Project, including errors, omissions or inconsistencies in the Architect's Instruments of Service. § 5.10 Except as otherwise provided in this Agreement, or when direct communications have been specially authorized, the Owner shall endeavor to communicate with the Contractor and the Architect's consultants through the Architect about matters arising out of or relating to the Contract Documents. The Owner shall promptly notify the Architect of any direct communications that may affect the Architect's services. § 5.11 Before executing the Contract for Construction, the Owner shall coordinate the Architect's duties and responsibilities set forth in the Contract for Construction with the Architect's services set forth in this Agreement. The Owner shall provide the Architect a copy of the executed agreement between the Owner and Contractor, including the General Conditions of the Contract for Construction. § 5.12 The Owner shall provide the Architect access to the Project site prior to commencement of the Work and shall obligate the Contractor to provide the Architect access to the Work wherever it is in preparation or progress. ARTICLE 6 COST OF THE WORK 1 § 6.1 For purposes of this Agreement, the Cost of the Work shall be as defined in Exhibit A. § 6.2 The Owner's budget for the Cost of the Work is provided in Initial Information, and may be adjusted throughout the Project as required under Sections 5.2, 6.4 and 6.5. Evaluations of the Owner's budget for the Cost of the Work, the preliminary estimate of the Cost of the Work and updated estimates of the Cost of the Work prepared by the Architect, represent the Architect's judgment as a design professional. It is recognized, however, that neither the Architect nor the Owner has control over the cost of labor, materials or equipment; the Contractor's methods of determining bid prices; or competitive bidding, market or negotiating conditions. Accordingly, the Architect cannot and does not warrant or represent that bids or negotiated prices will not vary from the Owner's budget for the Cost of the Work or from any estimate of the Cost of the Work or evaluation prepared or agreed to by the Architect. § 6.31n preparing esthnates of the Cost of Work, the Architect shall be permitted with prior written authorization from the Owner to include contingencies for design, bidding and price escalation; to determine what materials, equipment, component systems and types of construction are to be included in the Contract Documents; to make reasonable adjustments in the program and scope of the Project; and to include in the Contract Documents alternate bids as may be necessary to adjust the estimated Cost of the Work to meet the Owner's budget for the Cost of the Work. The Architect's estimate of the Cost of the Work shall be based on current area, volume or similar conceptual estimating techniques. If the Owner requests detailed cost estimating services, the Architect shall provide such services as an Additional Service under Article 4. § 6.4 If the Bidding or Negotiation Phase has not commenced within 90 days after the Architect submits the Construction Documents to the Owner, through no fault of the Architect, the Owner's budget for the Cost of the Work shall be adjusted to reflect changes in the general level of prices in the applicable construction market. § 6.5 If at any time the Architect's estimate of the Cost of the Work exceeds the Owner's budget for the Cost of the Work, the Architect shall make appropriate recommendations to the Owner to adjust the Project's size, quality or budget for the Cost of the Work, and the Owner shall cooperate with the Architect in making such adjustments. AIA Document 13101,m— 2007 (formerly 8151 T" - 1997). Copyright ©1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA- Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIA° Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07106/2012 under Order No.0836296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) 10 Init. § 6.6 If the Owner's budget for the Cost of the Work at the conclusion of the Construction Documents Phase Services is exceeded by the lowest bona fide bid or negotiated proposal, the Owner shall .1 give written approval of an increase in the budget for the Cost of the Work; .2 authorize rebidding or renegotiating of the Project within a reasonable time; .3 terminate in accordance with Section 9.5; .4 in consultation with the Architect, revise the Project program, scope, or quality as required to reduce the Cost of the Work; or .5 implement any other mutually acceptable alternative. § 6.7 If the Owner chooses to proceed under Section 6.6.4, the Architect, without additional compensation, shall modify the Construction Documents as necessary to comply with the Owner's budget for the Cost of the Work at the conclusion of the Construction Documents Phase Services, or the budget as adjusted under Section 6.6.1. The Architect's modification of the Construction Documents shall be the limit of the Architect's responsibility under this Article 6. ARTICLE 7 COPYRIGHTS AND LICENSES § 7.1 The Architect and the Owner warrant that in transmitting Instruments of Service, or any other information, the transmitting party is the copyright owner of such information or has permission from the copyright owner to transmit such information for its use on the Project. If the Owner and Architect intend to transmit Instruments of Service or any other information or documentation in digital form, they shall endeavor to establish necessary protocols governing such transmissions. § 7.2 The Architect and the Architect's consultants shall be deemed the authors and owners of their respective Instruments of Service, including the Drawings and Specifications, and shall retain all common law, statutory and other reserved rights, including copyrights. Submission or distribution of Instruments of Service to meet official regulatory requirements or for similar purposes in connection with the Project is not to be construed as publication in derogation of the reserved rights of the Architect and the Architect's consultants. § 7.3 Upon execution of this Agreement, the Architect grants to the Owner a nonexclusive License to use the Architect's Instruments of Service solely and exclusively for purposes of constructing, using, maintaining, altering and adding to the Project, provided that the Owner substantially performs its obligations, including prompt payment of all sums when due, under this Agreement. The Architect shall obtain similar nonexclusive licenses from the Architect's consultants consistent with this Agreement. The license granted under this section permits the Owner to authorize the Contractor, Subcontractors, Sub - subcontractors, and material or equipment suppliers, as well as the Owner's consultants and separate contractors, to reproduce applicable portions of the Instruments of Service solely and exclusively for use in performing services or construction for the Project. If the Architect rightfully terminates this Agreement for cause as provided in Section 9.4, the license granted in this Section 7.3 shall terminate. § 7.3.1 In the event the Owner uses the Instruments of Service without retaining the author of the Instruments of Service, the Owner releases the Architect and Architect's consultant(s) from all claims and causes of action arising from such uses. The Owner, to the extent pennitted by law, further agrees to indemnify and hold harmless the Architect and its consultants from all costs and expenses, including the cost of defense, related to claims and causes of action asserted by any third person or entity to the extent such costs and expenses arise from the Owner's use of the Instruments of Service under this Section 7.3.1. The terms of this Section 7.3.1 shall not apply if the Owner rightfully terminates this Agreement for cause under Section 9.4. § 7.4 Except for the licenses granted in this Article 7, or as exempted by Exhibit D, Section 8; no other license or right shall be deemed granted or implied under this Agreement. The Owner shall not assign, delegate, sublicense, pledge or otherwise transfer any license granted herein to another party without the prior written agreement of the Architect. Any unauthorized use of the Instruments of Service shall be at the Owner's sole risk and without liability to the Architect and the Architect's consultants. ARTICLE 8 CLAIMS AND DISPUTES § 8.1 GENERAL § 8.1.1 The Owner and Architect shall commence all claims and causes of action, whether in contract, tort, or otherwise, against the other arising out of or related to this Agreement in accordance with the requirements of the method of binding dispute resolution selected in this Agreement within the period specified by applicable law, but in AIA Document B1011/4 — 2007 (formerly B151T1d — 1997). Copyright ©1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AlAu Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this MA° Document, or any portion of i1, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) 11 Intl. any case not more than 10 years after the date of Substantial Completion of the Work. The Owner and Architect waive all claims and causes of action not commenced in accordance with this Section 8.1.1. § 8.1.2 To the extent damages are covered by property insurance, the Owner and Architect waive all rights against each other and against the contractors, consultants, agents and employees of the other for damages, except such rights as they may have to the proceeds of such insurance as set forth in AIA Document A201 -2007, General Conditions of the Contract for Construction. The Owner or the Architect, as appropriate, shall require of the contractors, consultants, agents and employees of any of then similar waivers in favor of the other parties enumerated herein. § 8,1.3 The Architect and Owner waive consequential damages for claims, disputes or other matters in question arising out of or relating to this Agreement. This nnitlal waiver is applicable, without limitation, to all consequential damages due to either party's termination of this Agreement, except as specifically provided in Section 9.7. § 8.2 MEDIATION § 8.2.1 Any claim, dispute or other matter in question arising out of or related to this Agreement shall be subject to mediation as a condition precedent to binding dispute resolution. If such matter relates to or is the subject of a cha. 573 claim arising out of the Architect's services, the Architect may proceed in accordance with applicable law to comply with the clainn notice or filing deadlines prior to resolution of the matter by mediation or by binding dispute resolution. § 8.2.2 The Owner and Architect shall endeavor to resolve claims, disputes and other matters in question between them by mediation first which, unless the parties mutually agree otherwise, shall be administered by the American Arbitration Association in accordance with its Construction Industry Mediation Procedures in effect on the date of the Agreement. A request for mediation shall be made in writing, delivered to the other party to the Agreement, and filed with the person or entity administering the mediation. The request may be made concurrently with the filing of a complaint or other appropriate demand for binding dispute resolution but, in such event, mediation shall proceed in advance of binding dispute resolution proceedings, which shall be stayed pending mediation for a period of 60 days from the date of filing, unless stayed for a longer period by agreement of the parties or court order. If an arbitration proceeding is stayed pursuant to this section, the parties may nonetheless proceed to the selection of the arbitrator(s) and agree upon a schedule for later proceedings. § 8.2.3 The parties shall share the mediator's fee and any filing fees equally. The mediation shall be held in the place where the Project is located, unless another location is mutually agreed upon. Agreements reached in mediation shall be enforceable as settlement agreements in any court having jurisdiction thereof. § 8.2.4 If the parties do not resolve a dispute through mediation pursuant to this Section 8.2, the method of binding dispute resolution shall be the following: (Check the appropriate box. If the Owner and Architect do not select a method of binding dispute resolution below, or do not subsequently agree in writing to a binding dispute resolution method other than litigation, the dispute will be resolved in a court of competent jurisdiction.) [ ] Arbitration pursuant to Section 8.3 of this Agreement [ X ] Litigation in a court of competent jurisdiction [ ] Other (Specify) § 8.3 ARBITRATION § 8.3.1 If the parties have selected arbitration as the method for binding dispute resolution in this Agreement, any claim, dispute or other matter in question arising out of or related to this Agreement subject to, but not resolved by, mediation shall be subject to arbitration which, unless the parties mutually agree otherwise, shall be administered by the American Arbitration Association in accordance with its Construction Industry Arbitration Rules in effect on the date of this Agreement. A demand for arbitration shall be made in writing, delivered to the other party to this Agreement, and filed with the person or entity administering the arbitration. § 8.3.1.1 A demand for arbitration shall be made no earlier than concurrently with the filing of a request for mediation, but in no event shall it be made after the date when the institution of legal or equitable proceedings based on the claim, AIA Document 8101w — 2007 (formerly 8151w — 1997). Copyright © 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This AIA Document is protected by U.S, Copyright Law and International Treaties. Unauthorized reproduction or distribution of this AIA° Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) 12 Init. dispute or other matter In question would be barred by the applicable statute of limitations. For statute of limitations purposes, receipt of a written demand for arbitration by the person or entity administering the arbitration shall constitute the institution of legal or equitable proceedings based on the claim, dispute or other matter in question. § 8.3.2 The foregoing agreement to arbitrate and other agreements to arbitrate with an additional person or entity duly consented to by parties to this Agreement shall be specifically enforceable in accordance with applicable law in any court having jurisdiction thereof. § 8.3.3 The award rendered by the arbitrator(s) shall be final, and judgment may be entered upon it in accordance with applicable law in any court having jurisdiction thereof. § 8.3.4 CONSOLIDATION OR JOINDER § 8.3.4.1 Either party, at its sole discretion, may consolidate an arbitration conducted under this Agreement with any other arbitration to which it is a party provided that (1) the arbitration agreement governing the other arbitration permits consolidation; (2) the arbitrations to be consolidated substantially involve common questions of law or fact; and (3) the arbitrations employ materially similar procedural rules and methods for selecting arbitrator(s). § 8.3.4.2 Either party, at its sole discretion, may include by joinder persons or entities substantially involved in a common question of law or fact whose presence is required if complete relief is to be accorded in arbitration, provided that the party sought to be joined consents in writing to such joinder. Consent to arbitration involving an additional person or entity shall not constitute consent to arbitration of any claim, dispute or other matter in question not described in the written consent. § 8.3.4.3 The Owner and Architect grant to any person or entity made a party to an arbitration conducted under this Section 8.3, whether by joinder or consolidation, the same rights of joinder and consolidation as the Owner and Architect under this Agreement. ARTICLE 9 TERMINATION OR SUSPENSION § 9.1 If the Owner fails to make payments to the Architect in accordance with this Agreement, such failure shall be considered substantial nonperformance and cause for termination or, at the Architect's option, cause for suspension of performance of services under this Agreement. If the Architect elects to suspend services, the Architect shall give fourteen days' written notice to the Owner before suspending services. In the event of a suspension of services, the Architect shall have no liability to the Owner for delay or damage caused the Owner because of such suspension of services. Before resuming services, the Architect shall be paid all sums due prior to suspension and any expenses incurred in the interruption and resumption of the Architect's services. The Architect's fees for the remaining services and the time schedules shall be equitably adjusted. § 9.2If the Owner suspends the Project, the Architect shall be compensated for services performed prior to notice of such suspension. When the Project is resumed, the Architect shall be compensated for direct expenses incurred in the interruption and resumption of the Architect's services. The Architect's fees for the remaining services and the time schedules shall be equitably adjusted. § 9.3 If the Owner suspends the Project for more than 90 cumulative days for reasons other than the fault of the Architect, the Architect may terminate this Agreement by giving not less than fourteen days' written notice. § 9.4 Either party may terminate this Agreement upon not less than fourteen days' written notice should the other party fail substantially to perform in accordance with the terms of this Agreement through no fault of the party initiating the termination. § 9.5 The Owner may terminate this Agreement upon not less than fourteen days' written notice to the Architect for the Owner's convenience and without cause. § 9.6 In the event of termination not the fault of the Architect, the Architect shall be compensated for services performed prior to termination, together with Reimbursable Expenses then due. (Paragraph deleted) AIA Document B101 TM - 2007 (formerly 8151 T"' — 1997). Copyright© 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This Ale Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of 13 this AIA° Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) § 9.8 The Owner's rights to use the Architect's Instruments of Service in the event of a termination of this Agreement are set forth in Article 7 and Section 11.9. ARTICLE 10 MISCELLANEOUS PROVISIONS § 10.1 This Agreement shall be governed by the law of the place where the State of Iowa, except that if the parties have selected arbitration as the method of binding dispute resolution, the Federal Arbitration Act shall govern Section 8.3. § 10.2 Terms in this Agreement shall have the same meaning as those in AIA Document A201 -2007, General Conditions of the Contract for Construction. § 10.3 The Owner and Architect, respectively, bind themselves, their agents, successors, assigns and legal representatives to this Agreement. Neither the Owner nor the Architect shall assign this Agreement without meeting the City of Dubuque's Terms and Conditions per Exhibit D, except that the Owner may assign this Agreement to a lender providing financing for the Project if the lender agrees to assume the Owner's rights and obligations under this Agreement. § 10.4 If the Owner requests the Architect to execute certificates, the proposed language of such certificates shall be submitted to the Architect for review at least 14 days prior to the requested dates of execution. If the Owner requests the Architect to execute consents reasonably required to facilitate assignment to a lender, the Architect shall execute all such consents that are consistent with this Agreement, provided the proposed consent is submitted to the Architect for review at Least 14 days prior to execution. The Architect shall not be required to execute certificates or consents that would require knowledge, services or responsibilities beyond the scope of this Agreement. § 10.5 Nothing contained in this Agreement shall create a contractual relationship with or a cause of action in favor of a third party against either the Owner or Architect. § 10.6 Unless otherwise required in this Agreement, the Architect shall have no responsibility for the discovery, presence, handling, removal or disposal of, or exposure of persons to, hazardous materials or toxic substances in any form at the Project site. § 10.7 The Architect shall have the right to include photographic or artistic representations of the design of the Project among the Architect's promotional and professional materials. The Architect shall be given reasonable access to the completed Project to make such representations. However, the Architect's materials shall not include the Owner's confidential or proprietary information if the Owner has previously advised the Architect in writing of the specific information considered by the Owner to be confidential or proprietary. The Owner shall endeavor to provide professional credit for the Architect in the Owner's promotional materials for the Project during the design and construction of the project . § 10.8 If the Architect or Owner receives information specifically designated by the other party as "confidential" or "business proprietary," the receiving party shall keep such information strictly confidential and shall not disclose it to any other person except to (1) its employees, (2) those who need to know the content of such information in order to perform services or construction solely and exclusively for the Project, or (3) its consultants and contractors whose contracts include similar restrictions on the use of confidential information unless otherwise required by State or Federal law. ARTICLE 11 COMPENSATION § 11.1 For the Architect's Basic Services described under Article 3, the Owner shall compensate the Architect as follows: (Paragraph deleted) Per the values shown in the attached work Breakdown Structure (Exhibit A). The Architect shall have payment invoices processed once monthly. The invoice amount shall be based on the Earned Value of the percent work completed as reported on the most recently updated and submitted work Breakdown Schedule. § 11.2 (Paragraphs deleted) (Not Used) AIA Document B101T" -2007 formerly BISITM — 1997). Copyright© 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights Init. reserved. WARNING: This AIA Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of 14 this MA° Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under t the law. This document was produced by AIA software at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and Is not for resate. User Notes: (1802202229) Init. § 11.3 For Additional Services that may arise during the course of the Project, including those under Section 4.3, the Owner shall compensate the Architect as follows: (Paragraph deleted) On an hourly rate basis based on the Schedule of hourly rates attached in Exhibit C § 11.4 Compensation for Additional Services of the Architect's consultants when not included in Section 11.2 or 11.3, shall be the amount (Paragraphs deleted) negotiated in advance and approved in writing with a not -to- exceed number. § 11.5 Not Used (Table deleted) § 11.6 When compensation is based on a percentage of the Cost of the Work and any portions of the Project are deleted or otherwise not constructed, compensation for those portions of the Project shall be payable to the extent services are performed on those portions, in accordance with the schedule set forth in Section 11.5 based on (I) the lowest bona fide bid or negotiated proposal, or (2) if no such bid or proposal is received, the most recent estimate of the Cost of the Work for such portions of the Project. The Architect shall be entitled to compensation in accordance with this Agreement for all services performed whether or not the Construction Phase is commenced. § 11.7 The hourly billing rates for services of the Architect and the Architect's consultants, if any, are set forth in the attached Exhibit C below. The rates shall be adjusted in accordance with the Architect's and Architect's consultants' normal review (Paragraphs deleted) practices for periodic reviews. (Table deleted) § 11.8 COMPENSATION FOR REIMBURSABLE EXPENSES § 11.8.1 Reimbursable Expenses are in addition to compensation for Basic and Additional Services and include expenses incurred by the Architect and the Architect's consultants directly related to the Project, as follows: .1 Transportation and authorized out -of -town travel and subsistence; .2 Long distance services, dedicated data and communication services, teleconferences, Project Web sites, and extranets; .3 Fees paid for securing approval of authorities having jurisdiction over the Project; .4 Printing, reproductions, plots, standard form documents; .5 Postage, handling and delivery; .6 Expense of overtime work requiring higher than regular rates, if authorized in advance in writing by the Owner; .7 Renderings, models, mock -ups, professional photography, and presentation materials requested by the Owner (does not apply to 3D imagery or sketch -up models as defined in the RFP); .8 Architect's Consultant's expense of professional liability insurance dedicated exclusively to this Project, or the expense of additional insurance coverage or limits if the Owner requests such insurance in excess of that normally carried by the Architect's consultants; .9 All taxes levied on professional services and on reimbursable expenses; .10 Other similar Project - related expenditures. § 11.8.2 For Reimbursable Expenses the compensation shall be expenses incurred by the Architect and the Architect's consultants plus 10% of the expense incurred. The Owner expects to pay the reimbursable expenses to the Architect's Consultants at cost plus 10% without paying any additional premiums to the Architect related to such Expenses. § 11.9 COMPENSATION FOR USE OF ARCHITECT'S INSTRUMENTS OF SERVICE If the Owner terminates the Architect for its convenience under Section 9.5, or the Architect terminates this Agreement under Section 9.3, the Owner shall pay a licensing fee as compensation for the Owner's continued use of the Architect's Instruments of Service solely for purposes of completing, using and maintaining the Project as follows: NONE —See City Terms and Conditions — Section 8, § 11.10 PAYMENTS TO THE ARCHITECT § 11.10.1 An initial payment of Zero ($ 0.00 ) shall be made upon execution of this Agreement and is the minimum payment under this Agreement. It shall be credited to the Owner's account in the final invoice. AIA Document 13101m — 2007 formerly 8151'" — 1997). Copyright ©1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This Ale Document Is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution or 15 this AIA® Document, or any portion of it, may result in severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA sofhvare at 14:11:38 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1802202229) Init. § 11.10.2 Unless otherwise agreed, payments for services shall be made monthly in proportion to services performed. Payments are due and payable upon presentation of the Architect's invoice. Amounts unpaid Twenty -one (21) days after the invoice date shall bear interest at the rate entered below, or in the absence thereof at the legal rate prevailing from time to time at the principal place of business of the Architect. (Insert rate of monthly or annual interest agreed upon.) 12 % § 11.10.3 The Owner shall not withhold amounts from the Architect's compensation to impose a penalty or liquidated damages on the Architect, or to offset sums requested by or paid to contractors for the cost of changes in the Work unless the Architect agrees or has been found liable for the amounts in a binding dispute resolution proceeding. § 11.10.4 Records of Reimbursable Expenses, expenses pertaining to Additional Services, and services performed on the basis of hourly rates shall be submitted to the Owner at the time the monthly invoice is presented for payment. ARTICLE 12 SPECIAL. TERMS AND CONDITIONS Special terms and conditions that modify this Agreement are as follows: Exhibit D – City of Dubuque Contract Terms and Conditions ARTICLE 13 SCOPE OF THE AGREEMENT § 13.1 This Agreement represents the entire and integrated agreement between the Owner and the Architect and supersedes all prior negotiations, representations or agreements, either written or oral. This Agreement may be amended only by written instrument signed by both Owner and Architect. § 13.2 This Agreement is comprised of the following documents listed below: .1 AIA Document B101Th1-2007, Standard Form Agreement Between Owner and Architect .2 (Paragraphs deleted) Other documents: ( List other documents, if nary, including Exhibit A, Initial Information, and additional scopes of service, if any, fonnning part of the Agreement.) Exhibit A – Work Breakdown Structure Exhibit B – Vertical Construction Scope of Service Checklist Exhibit C – Architect Schedule of Hourly Rates Exhibit D – City of Dubuque Contract Terms and Conditions Exhibit E– City of Dubuque Insurance Schedule L, March 2011 Exhibit F – Iowa DOT Certification of Restrictions on Lobbying Exhibit G - Iowa DOT Certification Regarding Debarment, Suspension & Other Responsibility Matters Exhibit H - Iowa DOT Non - Collusion Bidding Certificate This Agreement entered into as of the day and year first written above. OWNER ARCHIT T 411"6".14-1 (Signature) (Signati re) Kevin MonsonPresident (Printed name and title) (Printed name and title) AIA Document B101T" — 2007 formerly BISITM — 1997). Copyright © 1974, 1978, 1987, 1997 and 2007 by The American Institute of Architects. All rights reserved. WARNING: This Ale Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of 16 this AIA° Document, or any portion of it, may result In severe civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law. This document was produced by AIA software at 14:19:51 on 07/06/2012 under Order No.0636296619_1 which expires on 09/18/2012, and is not for resale. User Notes: (1634947431) Dubuque Intermodal Center fee proposal -v1.3 7.08.201, PHASE 1 Task Project Element Neumann Monson Design Engrs. IIW -Civil RakerRhoades Rich &Assoc. SteckerHarmsen FlenkerLA Fee 1A Terminal Bldg- DD $40,804 $15,000 $20,350 $10,000 $11,000 $2,000 $7,500 $95,654 1B Terminal Bldg -CD -CA $119,544 $25,000 $12,100 $19,250 $2,125 $8,395 $186,414 2A Parking Fac. -DD $56,900 $20,000 $6,600 $4,000 $24,200 $2,000 $7,500 $121,200 28 Parking Fac. -CD -CA $173,576 $32,675 $2,200 $8,000 $136,400 $2,125 $13,415 $363,371 Sub -Total Phasel $390,824 $92,675 $41,250 $41,250 $160,600 $8,250 $36,810 $766,639 Project Management $40,000 $40,000 Expenses Sub -Total $50,000 $6,600 $2,750 $6,600 $11,0001 $400 $2,750 $80,100 Additional Services: - Geotech pica I Services - Platting the terminal building Site - Task2B Revenue/ Expense Projection PHASE 2 $35,000 $4,400 $5,500 each Phase 1 - Estimated Construction Cost Gross fee Net fee (w /o Civil, Landscape, LA & PM) $8,850,000 $806,639 $685,349 9.11% 7.74% Exhibit A Task Project Element Neumann Monson Design Engrs. IIW RakerRhoades Rich &Assoc. SteckerHarmsen FlenkerLA T.Y.Linn Fee 1C Terminal Buildout $67,500 $2Q000 $11,000 $2,500 $2,750 $103,750 2C Parking Buildout $122,500 $32,800 $37,750 $2,500 $2,750 $198,300 3A 3B Rail Platform Rail Improvements $2Q000 $35,000 $136,710 $176,770 $156,710 $211,770 4A 4B Bus Storage- SD Bus Storage- DD -CA $6Q000 $188,000 $2Q000 $103,200 $16,500 $22,000 $3,500 $4,500 $12,750 $18,750 $125,860 $437,650 4A 4B IIW - Structural Fee IIW- Structural Fee $13,110 $101,200 Sub -Total Phase $493,000 $176,000 $152,810 $11,000 $37,750 $13,000 $37,000 $313,480 $1,234,040 Project Management $84,000 $84,000 Expenses IL $35,000 $5,500 $1,250 $3,300 $2,750 $500 $250 $7,800 $56,350 Additional Services: - Geotech nica I Services - Energy Modeling $38,000 $18,150 Phase 2 - Estimated Construction Cost Gross fee Net fee (w /o Civil, Landscape, LA & PM) NOTES _ Phase 1 Fees assume 9th and 11th will be changes to two -way _ Project scope and related fees for Tasks, IC, 2C, 3 and 4 will need to be reassessed once the required funding is procured _ Project scope and related fees are based on 2011 estimates. Estimates will wary depending on the date of commencement of the project Task. _ Project scope and related fees are based on 2011 estimates based on the following project component costs: Phase 1 - Summary Estimated Const. Cost Canopy Terminal Pecl Bridge Parking $65Q000 $2,50Q000 $45Q000 $5,250,000 Total $8,850,000 Phase 2 - Summary Estimated Const Cost Terminal $1,520,000 Parking $4,649,000 Rail Platform $3,335,000 Raillmprvmnts $2,869,000 Bus storage $9,200,000 Total I $21,573,000 $21,573,000 $1,318,040 6.11% $1,031,230 4.78% Exhibit B VERTICAL CONSTRUCTION SCOPE OF SERVICE CHECKLIST Project: Project #: Date: Location: City Project Manager: Prepared By: Owner: Consultant Project Manager: Included Not I Included T.B.D. Comments PREDESIGN PHASE 1 Predesign Services Project Management Per RFP Instructions Green Design Services LEED /ENERGY STAR/ETC. Disciplines Coordination and Document Checking Identification of All Required Federal, State and City Agency Reviews and Permit Approvals Submit written narrative detailing re • . - ents for the project Historic District, Site Plan Revie • , oning Issues, NPDES, POD Design Review, etc. Coordination of Owner- supplied data Space Utilization Planning Existing Facilities Surveys NIC Marketing Studies Comparative Studies of Prospective Sites Economic Feasibility Studies Project Financing Project Scheduling Project Budgeting Models /RenderingslAnim.. s Presentations Project Meet. a s 2 Site Analysis Services Project Management See RFP Language Green Design Services LEED /ENERGY STAR /ETC. Project Kick - off /Scope Review Meeting with City and Project Team Submit written narrative of project understanding that in ... es schedule and cost in follow -up to the meeting Disciplines Coordination and Document Checking Agency Review Coordination and Permit Approvals Coordination of Owner- Supplied Data Site Analysis & Selection Site Development Planning Detailed Site Utilization Study On -Site Utility /Mechanical System Studies NIC Off-Site Utility Coordination /Requirement Studies Energy Studies Air Balancing Study Geotechnical Investigation Contaminated Materials Studies Environmental Studies and Reports Zoning Compliance Review Project Scheduling Project Budgeting Models/Renderings/ Imations Presentations Project M-. ings DESIGN PHASE 3 Schematic Design Services TASK 4A only Project Management See RFP Language Green Design Services LEED /ENERGY STAR/ETC. (LEED TBD I Disciplines Coordination and Document Checking , Agency Review Coordination and Permit Approvals / Coordination of Owner- Supplied Data Architectural Design /Documentation Data /Communications Design /Documentation Security System Design /Documention Structural Design /Documentation Geotechnical Design /Documentation Mechanical Design /Documentation Plumbing Design /Documentation Sprinkler Design /Documentation Electrical Design /Documentation Civil Design /Documentation Utility Rebate Coordination 0 Constructability Coordination and Construction Staging Landscape Design /Documentation Interior Design /Documentation Materials Research /Specifications Schematic Design Plan Submittal to City for Review and Comment Project Scheduling Project Budgeting Updated Formal Statement of Probable Total Project Cost Value Engineering Phase Summary Report Traffic Impact Study --- Models/ Renderings /Animations ■. JSketch -uo models includedlrenderinas &animations Presentations Project Meetings 4 Design Development Services Project Management See RFP Language Green Design Services LEED /ENERGY STAR/ETC. LEED TBD I Disciplines Coordination and Document Checking 41 Agency Review Coordination and Permit Approvals Coordination of Owner - Supplied Data Architectural Design/Documentation Data/Communications sign /Docu tio Design/Documentation 01111 Security System Design /Documention Structural Design /Documentation Geotechnical Design /Documentation Mechanical Design /Documentation Plumbing Design/Documentation _ Sprinkler Design /Documentation Electrical Design /Documentation Civil Design /Documentation bri Utility Rebate Coordination _ Constructability Coordination and Construction Staging "gilliIllIllIll Landscape Design /Documentation Interior Design /Documentation Materials Research /Specifications Outline Specification Design Development Plan Submittal to City for Review and Comment Submittal includes: Floor Plans, Elevations, Sections, Details, Interior Elevations, Reflected Ceiling Plans, Schedules, Specifications and as necessary Structural Design, Mechanical /Electrical, Site, Kitchen, Elevator, Laundry, Refuse, Other Project Scheduling Project Budgeting Updated Formal Statement of Probable Total Total Project Cost Value Engineering Phase Summary Report Building Code Report t Report to include at least: Building, Electrical, Mechanical, Plumbing, ADA Compliance, Iowa Energy Code, Historic District and other applicable codes Fire Code Report il Models /Renderings /Animations Sketch -up models included/renderinas&animations TBD 1 Presentations Project Meetings _ 5 Construction Document Services Project Management See RFP Language Green Design Services _ LEED /ENERGY STAR/ETC. I LEED TBD I Disciplines Coordination and Document Checking Agency Review Coordination and Permit Approvals , Coordination of Owner - Supplied Data Architectural Design /Documentation Data /Comrnunications Design /Documentation Security System Design /Documention Structural Design /Documentation Mechanical Design /Documentation Plumbing Design /Documentation Sprinkler Design /Documentation Electrical Design /Documentation Civil Design /Documentation Utility Rebate Coordination Constructs S Coordination and Construction n Staging Landscape Design /Documentation Interior Design /Documentation Materials Research /Specifications Contaminated Materials Documentation Inclusion in Bid Specs Owner provided services to be included in Bid Specs Environmental Documentation Inclusion in Bid Specs Owner provided services to be included in Bid Specs 90% Submittal of Construction Documents Package to City for Review and Comment Project Scheduling Project Budgeting Updated Formal Statement of Probable Total Project Cost Models /Renderings /Animations _ Sketch -up models included/renderinas&animations TBD Presentations Project Meetings On -board final plan and spec review meeting with the City project team. CONSTRUCTION PHASE 6 Bidding or Negotiation Services Project Management See RFP Language Green Design Services - LEED /ENERGY STAR/ETC ILEED TBD I Disciplines Coordination and Document Checking . Agency Review Coordination and Permit Approvals 0111111111F- in coordination with Owner Coordination of Owner - Supplied Data City Council Bid Letting Procedure - Document Preparation and Council Meeting Attendance Bid Initiation through Award Compile AIA Standard Bid Package(s) Incorperate City standard public bidding contract documents and other City applicable terms and conditions Bid Letting(s) Addenda Preparation and Distribution Organize and lead pre -bid informational meeting Bid Opening Attendance and Evaluation Analysis of Bid Alternates /Substitutions Special Bidding Services Construction Contract Agreements Project Scheduling 0 Project Budgeting TodatPd Formal Statement of Probable Total Project Cost Oil Models /Renderings /Animations Presentations Project Meetings Construction Administration Services Project Management �LEEDIENERGY See Contract Language Green Design Services STAR/ETC. ILEED TBD Building System Commissioning Disciplines Coordination and Document Checking Agency Review Coordination and Permit Approvals in coordination with Owner Coordination of Owner- Supplied Data Furnishings Purchase Coordination Purchases by Owner or Architect Attend Pre - Construction Meeting Construction Office Administration 01 Construction Field Observation Approximate Time On Site = Answer Questions During Construction on the Interpretation and Intent of the Plans and Specifications Coop Coordination Drawing Review and Coordination , Approve Material Sources Process Pay Application Requests a Quotation Requests /Change Orders Coordination of Materials Testing and Technical Inspection Services City notified within 24 hours of receipt of bad test repo . Utility Rebate Coordination in coordination with Owner] Project Scheduling Monitoring Construction Cost Accounting - Monitoring el Semi Final Inspection with Owner and Contractor and Create Punch List Pry Actively Monitor and Report on Punch List Progress Review and Coordinate Proper Contractor Submittal of Project Record Drawings Issue Certificate of Substantial Completion Observe the Contractor's Final Testing and Start -up of Utilities, Operational Systems and Equipment Secure, Review and Transmit to the City - Warranties, Maintenance Manuals and Similar Submittals Project Closeout _ Project/Building Tours Models /Renderings /Animations Meeting Presentations POST 8 Post - construction Services Project Management Green Design Services _ LEED /ENERGY STAR/ETC. ILEED TBD Disciplines Coordination and Document Checking di Agency Review Coordination and Permit Approvals in coordination with Owner Coordination of Owner - Supplied Data Maintenance and Operational Programming Start -up Assistance Start -Up Materials and Systems Testing M -E -P Performance Benchmarking Record Drawings dil Warranty Review Post - Construction Evaluation Models /Renderings /Animations _ Presentations Project Meetings SUPPLEMENTAL 9 Supplemental Services Meeting Minutes Preparation Direct Distribution to all participants - City PM to distribute to others Conference Call Minutes Preparation Direct Distribution to all participants - City PM to distribute to others Detailed Construction Cost Estimates Life Cycle Cost Analysis Value Analysis Special Studies Computer Applications Model Construction Mock -up Services Furniture Selection Non - Building Equipment Selection Special Furnishings Design Fine tit and Crafts Services Quantity Services Graphics Design Tenant Related Services Project Promotion - Public Relations Leasing Brochures Still Photography Motion Pictures and Videotape - Coordination with Non - Design Professionals Expert Witness Emergency Operations Center Special Disciplines Consultation Special Building Type Consultation Demolition Services Moving Assistance Contaminated Materials Studies and Reports in coordination with Owner Environmental Monitoring PROJECT PARAMETERS 10 Design Assumptions Electronic File Specifications CADD- Renderings - Contract Specs - Sheet size Drawing scale Design Plan Review Submittal Electronic or Paper Bid Letting(s) Bid Document Distribution Paper or Electronic Meeting Minute Preparation Email or Paper Distribution Applicable Building Codes National, State, Local Codes, Life Safety, ADA HorizontalNertical Datum Average Illumination Level Irrigation Yes /No APPENDIX A SCHEDULE OF HOURLY RATES 2012 NEUMANN MONSON P.C. IOWA CITY and DES MOINES, IOWA Various personnel of the firm have been classified according to experience and technical training, and the following schedule of charges for services will apply for all work performed during 2012. For the work undertaken in subsequent years, this schedule may be negotiated upward as a direct result of salary escalation. SERVICES Classification Hourly Rate Clerical I $50.00 Clerical II $55.00 Clerical III $60.00 Drafter I $50.00 Drafter II $60.00 Drafter III $65.00 CAD Operator I $70.00 CAD Operator II $75.00 CAD Operator III $80.00 CAD Operator IV $85.00 Technical Staff I $95.00 Technical Staff II $100.00 Technical Staff III $105.00 Interior Designer I $80.00 Interior Designer II $85.00 Interior Designer III $90.00 Intern Architect I $80.00 Intern Architect II $85.00 Intern Architect III $90.00 Intern Architect IV $95.00 Architect I $100.00 Architect II $105.00 Architect III $110.00 Structural Engineer $150.00 Associate I $115.00 Associate II $125.00 Associate III $135.00 Associate IV $145.00 Director $155.00 Principal I $165.00 Principal II $200.00 Confidential 2012 Rich & Associates, Inc. Hourly Billable Rates (US Dollars) (FY 2012) Classification 2012 Principal Parking Designer $225 Principal Parking Planner $180 Principal Architect $140 Principal Structural Engineer $140 Senior Architect, Project Manager $140 Senior Parking Planner $140 Planner / Project Development $140 Design, Project Manager $105 Parking Planner /Project Manager $87 Parking Planners $82 Architectural Designer $78 Architectural Tech $70 Engineering Tech $70 C.A.D. Technicians $60 Bookkeeping $50 Clerical $40 RCRAKER RHODES Engineering Raker Rhodes Engineering 520 42" Street Des Moines, IA 50312 515.277.0275 Raker Rhodes Engineerinci 2012 Hourly Rates Principal Expert witness $165 /hour $225 /hour Associate / Registered Eng $125 /hour Project Engineer $95 /hour Drafter $75 /hour Clerical $60 /hour Structural Engineers for Architects, Owners, and Contractors "DESIGN We ENGINEERS MECHANICAL AND ELECTRICAL CONSULTANTS APPENDIX B HOURLY BILLING RATES — 2012 Classification Rate Principal $180.00 Associate Principal $150.00 Associate $140.00 Senior Engineer II $140.00 Senior Engineer I $130.00 Project Engineer II $120.00 Project Engineer I $110.00 Business Manager $120.00 BIM Manager $ 90.00 Engineer II $ 90.00 Engineer I $ 80.00 Senior Designer II $ 90.00 Senior Designer I $ 80.00 Designer II $ 70.00 Designer I $ 65.00 Senior CAD Technician $ 60.00 CAD Technician II $ 50.00 CAD Technician I $ 45.00 Clerical II $ 60.00 Clerical I $ 45.00 These rates are subject to annual adjustment (on or about January 1) and your contract will adjust accordingly. 8801 PRAIRIE VIEW LANE SW, SUITE 200, CEDAR RAPIDS, IOWA 52404 -4850 PHONE. 3 19.841.1 944 FAX 3 19.841 . 1 949 WWv, DE- PC.COM Schedule of Professional Fee Rates January 2012 through December 2012 Staff Type Professional Engineer V Professional Engineer IV Professional Engineer III Professional Engineer II Professional Engineer I Professional Land Surveyor III Professional Land Surveyor II Professional Land Surveyor I Licensed Architect III Licensed Architect II Licensed Architect I Design Engineer IV Design Engineer III Design Engineer II Design Engineer I Environmental Specialist Construction Specialist Technical Specialist Architectural Designer II Architectural Intern I Technician IV Technician III Technician II Technician I Engineering Aide II Engineering Aide I Clerical Hourly Rate $160.00 $141.00 $127.00 $120.00 $116.00 $141.00 $127.00 $118.00 $137.00 $116.00 $106.00 $111.00 $100.00 $95.00 $85.00 $100.00 $93.00 $88.00 $88.00 $66.00 $88.00 $76.00 $66.00 $54.00 $76.00 $61.00 $48.00 `These hourly rates include miscellaneous expenses such as printing, telephone, postage, mileage, computer expenses, and supplies. These costs will not be invoiced as reimbursable expenses. Reimbursable expenses will not be invoiced without your prior authorization. MW, P.C. www.iiwengr.com ARCHITECTURE CIVIL ENGINEERING CONSTRUCTION SERVICES ENVIRONMENTAL ENGINEERING LAND SURVEYING MUNICIPAL ENGINEERING STRUCTURAL ENGINEERING TRANSPORTATION ENGINEERING Dennis F. Waugh, PE /SE* Charles A. Cate, PE ** Gary D. Sejkora, PE Michael A. Jansen, PE /SE Ronald A. Balmer, PE /SE /AIA John M. Tranmer, PLS Timothy J. Tranel, PE* John F. Wandsnider, PE Julie P. Neebel, PE James P. Kaune, PE Thomas J. Oster. PLS ** Wray A. Childers, PLS Geoffry T. Blandin, PE Mark C. Jobgen, PE Lauren N. Ray, PE /SE* Bradley J. Mootz, PE /SE Cody T. Austin, PE* Marc D. Ruden, PE Mark R. Fassbinder, AIA` Michael A. Ruden, NCARB /AIA* Alice M. Ohrtmann, PE Craig J. Elskamp, AIA Robert W. Blok, PE Eric J. Helminiak, PE /SE* Steven J. Hunn, PE Jeff J. Brandt; RLS * LEED AP ** Retired 4155 Pennsylvania Avenue, Dubuque, IA 52002 -2628 ♦ [P] 563.556.2464/800.556.4491 ♦ [F] 563.556.7811 ENGINEERS. ARCHITECTS. SURVEYORS. ijw LIN INTERNATIONAL engineers 1 planners 1 scientists T.Y. Lin International Hourly Billing Rates Dubuque Intermodal Facility Final Design and Construction Administration Employee Classification Hourly Billing Rate Project Manager $ 240 Senior Civil Engineer $ 110 Project Architect $ 101 Construction Engineer $ 115 The above billing rates are based on current T.Y.Lin rates of employee compensation, audited overhead rate and 10% profit. Direct expenses will be invoiced at actual cost. April 12, 2012 200 S. Wacker Drive, Suite 1400 1 Chicago, Illinois 60606 1 T 312.777.2900 1 F 312.705.0305 1 www.tylin.com An Affirmative Action / Equal Opportunity Employer M/F/D/V Hourly Rates Schedule: Category Rate Registered Landscape Architect/ CPESC/CPSWQ ...................... $ 90.00 / Hour Wetland Specialists ........................... ............................... $ 90.00 / Hour Agronomist /Soil Scientist .................. ............................... $ 75.00 / Hour Graphic Designer. $ 65.00 / Hour LA Intern ........................... $ 60.00 / Hour Technician. . $ 50.00 / Hour - $70.00 /Hour Administrative Assistant .................... ............................... $ 40.00 / Hour Expense Rates Schedule: Mileage .............................. $ 0.60 / mile Sub -meter GPS Equipment / Laser Level Equipment......... $ 100.00 / Day Flags / Stakes $ 0.50 / Each In -House Plotting /Printing Black & White Copies (8.5" x 14" & Smaller) .................. $ 0.30 / Each Black & White Computer Plots (Bond Paper) .........................$ 2.00 / Sq. Ft. Color Computer Plots (Bond Paper') .... ............................... $ 3.00 / Sq. Ft. * Additional Charge for Other Paper / Medium Meal per Diem $ 35.00 / Day Sub-Consultants.. Cost plus 10% Postage@ Cost Lodging & Other Transportation ............ ............................ @ Cost Other Direct Reimbursable Costs @ Cost C:\Architect\ Standard Rate Schedule\ 01 -2012 TERMS AND CONDITIONS The following clauses shall be included in the final signed contract: 1. CONSULTANT'S ENDORSEMENT ON PLANS. The Consultant shall endorse the completed computations prepared under this Agreement, and shall affix thereto the seal of a licensed professional engineer, or licensed professional architect, licensed to practice in the State of Iowa, in accordance with the current Code of Iowa. 2. CHANGE IN SCOPE OF SERVICES. No change in scope shall be permitted during this project without the prior written agreement of both parties and the WBS being updated. 3. SUBSTITUTION OF PROJECT TEAM MEMBERS. The Project Manager, partners, management, other supervisory staff and technical specialists proposed for the project may be changed if those personnel leave the Consultant. These personnel may also be changed for other reasons however, in either case, the City retains the right to approve or reject the replacements and no replacements shall begin working on the project without the express, prior written permission of the City of Dubuque. 4. INSURANCE. Consultant shall at all times during the performance of this Agreement provide insurance as required by the attached Insurance Schedule. 5. INDEMNIFICATION. To the fullest extent permitted by law, Consultant shall indemnify and hold harmless the City its officers, agents, and employees from and against all claims, damages, losses and expenses, including but not limited to attorneys' fees, arising out of or resulting from performance of the Contract, provided that such claim, damages, loss or expense is attributable to bodily injury, sickness, disease or death, or injury to or destruction of property (other than the Project itself) including loss of use resulting therefrom, but only to the extent caused in whole or in part by negligent acts or omissions of the Consultant, Consultant's subcontractor, or anyone directly or indirectly employed by Consultant or Consultant subcontractor or anyone for whose acts Consultant or Consultant's subcontractor may be liable, regardless of whether or not such claim, damage, loss or expense is caused in part by a party indemnified hereunder. 6. TERMINATION. City may terminate this agreement, with or without cause, upon providing 14 days written notice to the Consultant. 7. ERRORS & OMISSIONS. In the event that the work product prepared by the Consultant is found to be in error and revision or reworking the work product is necessary, the Consultant agrees that it Page 23 of 26 shall do such revisions without expense to the City, even though final payment may have been received. The Consultant must give immediate attention to these changes so there will be a minimum of delay during construction. The above and foregoing is not to be constructed as a limitation of the City's right to seek recovery of damages for negligence on the part of the Consultant herein. 8. OWNERSHIP OF ENGINEERING DOCUMENTS. All sketches, tracings, plans, specifications, reports on special studies and other data prepared under this Agreement shall become the property of the City and shall be delivered to the Project Manager upon completion of the plans or termination of the services of the Consultant. There shall be no restriction or limitations on their future use by the City, except any use on extensions of the project or on any other project without written verification or adaptation by the Consultant for the specific purpose intended will be the City's sole risk and without liability or legal exposure to the Consultant. The City acknowledges the Consultant's plans and specifications, including all documents on electronic media, as instruments of professional service. Nevertheless, the plans and specifications prepared under this Agreement shall become the property of the City upon completion of the services and payment in full of all moneys due to the Consultant. The City and the Consultant agree that any electronic files prepared by either party shall conform to the specifications listed in Attachment _ of the contract. Any change to these specifications by either the City or the Consultant is subject to review and acceptance by the other party. Additional efforts by the Consultant made necessary by a change to the CADD software specifications shall be compensated for as Additional Services. The City is aware that significant differences may exist between the electronic files delivered and the respective construction documents due to addenda, change orders or other revisions. In the event of a conflict between the signed construction documents prepared by the Consultant and electronic files, the signed construction documents shall govern. The City may reuse or make modifications to the plans and specifications, or electronic files while agreeing to take responsibility for any claims arising from any modification or unauthorized reuse of the plans and specifications. 9. SUBLETTING, ASSIGNMENT OR TRANSFER. Subletting, assignment, or transfer of all or part of the interest of the Consultant in this Agreement is prohibited unless written consent is obtained from the Engineer and approved by the City. Page 24 of 26 Insurance Schedule C shall furnish a signed Certificate of Insurance to the City of Dubuque, Iowa for the coverage required in Exhibit I prior to commencing work and at the end of the project if the term of work is longer than 60 days. Providers presenting annual certificates shall present a Certificate at the end of each project with the final billing. Each Certificate shall be prepared on the most current ACORD form approved by the Iowa Department of Insurance or an equivalent. 2. All policies of insurance required hereunder shall be with a carrier authorized to do business in Iowa and all carriers shall have a rating of A or better in the current A.M. Best's Rating Guide. 3. Each Certificate shall be furnished to the contracting department of the City of Dubuque. 4. Failure to provide minimum coverage shall not be deemed a waiver of these requirements by the City of Dubuque. Failure to obtain or maintain the required insurance shall be considered a material breach of this agreement. 5. Subcontractors and sub subcontractor performing work or service shall provide a Certificate of Insurance in accord with Exhibit I. 6. All required endorsements to various policies shall be attached to Certificate of insurance. 7. Whenever a specific ISO form is listed, an equivalent form may be substituted subject to the provider identifying and listing in writing all deviations and exclusions that differ from the ISO form. 8. Provider shall be required to carry the minimum coverage /limits, or greater if required by law or other legal agreement, in Exhibit I. Page 23 of 52 Insurance Schedule C (continued) Exhibit 1 A) COMMERCIAL GENERAL LIABILITY General Aggregate Limit $2,000,000 Products - Completed Operations Aggregate Limit$1,000,000 Personal and Advertising Injury Limit $1,000,000 Each Occurrence $1,000,000 Fire Damage Limit (any one occurrence) $ 50,000 Medical Payments $ 5,000 a) Coverage shall be written on an occurrence, not claims made, form. All deviations from the standard ISO commercial general liability form CG 0001, or Business owners form BP 0002, shall be clearly identified. b) Include ISO endorsement form CG 25 04 "Designated Location(s) General Aggregate Limit" or CG 25 03 "Designated Construction Project (s) General Aggregate Limit" as appropriate. c) Include endorsement indicating that coverage is primary and non - contributory. d) Include endorsement to preserve Governmental Immunity. (Sample attached). e) Include additional insured endorsement for: The City of Dubuque, including all its elected and appointed officials, all its employees and volunteers, all its boards, commissions and /or authorities and their board members, employees and volunteers. using ISO form CG 20 10. Ongoing operations. B) AUTOMOBILE LIABILITY $1,000,000 (Combined Single Limit) C) WORKERS' COMPENSATION & EMPLOYERS LIABILITY Coverage A Coverage B Statutory —State of Iowa Employers Liability Each Accident $100,000 Each Employee- Disease $100,000 Policy Limit - Disease $500,000 a) Policy shall include an endorsement providing a waiver of subrogation to the City of Dubuque. b) Coverage B limits shall be greater if required by Umbrella Carrier. D) UMBRELLA LIABILITY $1,000,000 E) PROFESSIONAL LIABILITY $1,000,000 Page 24 of 52 Preservation of Governmental Immunities Endorsement 1. Nonwaiver of Governmental Immunity. The insurance carrier expressly agrees and states that the purchase of this policy and the including of the City of Dubuque, Iowa as an Additional Insured does not waive any of the defenses of governmental immunity available to the City of Dubuque, Iowa under Code of Iowa Section 670.4 as it is now exists and as it may be amended from time to time. 2. Claims Coverage. The insurance carrier further agrees that this policy of insurance shall cover only those claims not subject to the defense of governmental immunity under the Code of Iowa Section 670.4 as it now exists and as it may be amended from time to time. Those claims not subject to Code of Iowa Section 670.4 shall be covered by the terms and conditions of this insurance policy. 3. Assertion of Government Immunity. The City of Dubuque, Iowa shall be responsible for asserting any defense of governmental immunity, and may do so at any time and shall do so upon the timely written request of the insurance carrier. 4. Non - Denial of Coverage. The insurance carrier shall not deny coverage under this policy and the insurance carrier shall not deny any of the rights and benefits accruing to the City of Dubuque, Iowa under this policy for reasons of governmental immunity unless and until a court of competent jurisdiction has ruled in favor of the defense(s) of governmental immunity asserted by the City of Dubuque, Iowa. No Other Change in Policy. The above preservation of governmental immunities shall not otherwise change or alter the coverage available under the policy. Page 25 of 52 Farm 020096wd 0502 '41P�Iowa Department of Transportation CERTIFICATION OF RESTRICTIONS ON LOBBYING (for contracts or subcontracts with $100,000 or more value) The undersigned (contractor) certifies, to the best of his/her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying ", in accordance with it's instruction as amended by government -wide guidance for new restrictions on lobbying 61 Fed. Reg. 1413(1/19/96). (3) The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including subcontracts, sub grants, and contracts under grants, loans, and cooperative agreements) and that all sub recipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certificate is a prerequisite for making or entering into this transaction imposed by 31 USC 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The Contractor, / kL.LM d4uAJ j Jl AY 50() 'PC" , certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 USC 3801, et. seq., apply to this certification and disclosure, if any. Kjt ✓/ N Nia Psal a4 ISizolz Signature of Contractor's Authorized Official Name and Title of Contractor's Authorized Official Date Form 020087wd 07 -10 The a Iowa Department of Transportation IOWA TRANSIT VENDOR / SERVICE PROVIDER CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS (For Contracts With $25,000 or Greater Vahre) (Name of Vendor) in a FTA grant, certifies to the best of its knowledge and belief, that it and its principals: as a participant 1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; 2. Have not within a three -year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction or records, making false statements, or receiving stolen property; 3. Are not presently indicated for or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (2) of this certification; and 4. Have not within a three -year period preceding this application / proposal had one or more public transactions (Federal, State, or local) terminated for cause of default. (If the transit vendor or service provider is unable to certify to any of the statements in this certification, the vendor / service provider shall attach an explanation of this certification) The A.)fczt M $s J (/(/iplv$o,) PG certifies or affirms the (Name of Vendor or Service Provider) truthfulness and accuracy of the contents of the statements submitted on or with this certification and understands that the provisions of 31 U.S.C. Sections 3801 Et. Se q. are herplly applicable. S® B y Date: (P ( 7-(9/ Z • Name Signatu/ e Instructions 1. On the preventative maintenance worksheet record the vehicle number, date, mileage, and special instructions for scheduled maintenance and repairs. 2. Inspect the vehicle, perform scheduled service, and make adjustments as indicated on the worksheet. 3. Mark each item: (check) OK, (x) Adjustment Made, or (o) Needs Attention - for work that cannot be completed at that time. 4. Under "Comments ", describe repairs and service in more detail. Form 020081 1 -91 itA Iowa Department of Transportation NON - COLLUSION BIDDING CERTIFICATION I hereby swear (or affirm) under the penalty for perjury: 1. That I am the bidder (if the bidder is an individual), a partner in the bid (if the bidder is a partnership), or an officer or employee of the bidding corporation having authority to sign on its behalf (if the bidder is a corporation); 2. That the attached bid or bids have been arrived at by the bidder independently and have been submitted without collusion and without any agreement, understanding, or planned common course of action with any other vendor for materials, supplies, equipment, or services described in the invitation to bid, designed to limit independent bidding or competition. 3. That the contents of the bid or bids have not been communicated by the bidder or its employees or agents to any person not an employee or agent of the bidder or its surety on any bond furnished with the bid or bids, and will not be communicated to any such person prior to the official opening of the bid or bids; and 4. That I have fully informed myself regarding the accuracy of the statements made in the affidavit. Signature 4641449'43'7"2 , r,45 Firm Name %V k4 4.\ AIJ, so/J TC.., Subscribed and sworn to before me this y of tUL—' , 20 ftub' &cJJLO Notary Public a5 My commission expires Bidder's E.I. Number 20 I5 Number Used on Employer's Quarterly Federal Tax Return PAMELA B. DEVINE Commission Number 157997 My Commission Expires January 25, 2015 FEDERAL TRANSIT ADMINSTRATION REQUIRED CERTIFICATIONS AND ASSURANCES Instructions Step # 1; Read through each of the Certifications and Assurances required for capital projects. Step # 2: Initial each of the Certifications and Assurances in the table below indicating you have read and understand each one. Step # 3: Submit the initialed Certifications and Assurances included with the RFQ with your completed proposal packet. IT IS CRITICAL THAT THE PROPOSOR PROPERLY INITIAL EACH CERTIFICATION AND SIGN THE SIGNATURE PAGE ON THE NEXT PAGE. FAILURE TO DO SO WILL DISQUALIFY THE PROPOSER. Certification/ Assurance Title Please initial each Certification 1 OVERALL FEDERAL REGULATION COMPLIANCE jam, 2 FLY AMERICA REQUIREMENTS IC-4/", 3 ENERGY CONSERVATION REQUIREMENTS 11,44✓) 4 CLEAN WATER REQUIREMENTS PIA' 5 LOBBYING ii.,I^"' 6 ACCESS TO RECORDS AND REPORTS i(wv-> d 7 FEDERAL CHANGES 8 CLEAN AIR k.4'7 NO GOVERNMENT OBLIGATIONS TO THIRD PARTIES 10 PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND RELATED ACT ^ ' 11 TERMINATION" 12 GOVERNMENT -WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) IU^'°' 13 CIVIL RIGHTS REQUIREMENTS 14 BREACHES AND DISPUTE RESOLUTION 144/Y`j kA4^ -/ 15 DISADVANTAGED BUSINESS ENTERPRISE (DBE) 16 AMERICANS WITH DISABILITIES ACT OF 1990 REQUIREMENTS Imo' 17 SEISMIC SAFETY REQUIREMENT kA/" 18 ACCESS REQUIREMENTS FOR PERSONS WITH DISABILITIES Page 43 of 52 Chief Executive or Administrative Officer Statement The undersigned chief executive or administrative officer hereby certifies that the proposer has read and understands the Certifications and Assurances initialed in the table above and further assures that, as a condition to submitting this proposal, the proposer will comply with the requirements as specified in the applicable attached Certifications and Assurances in implementing and managing the contract. The person whose signature appears below is authorized to sign this assurance on behalf of the proposer or recipient. Proposer: I(CGCQril l / 16N*81C) 1:7C Signature of Chief or Administrative Office • Oc....., 14f44e/it- Printed Name ag-✓II I 4/10/0.6 /J Date: Iik. 18 i Zo! 2 Page 44 of 52 This Certifies That Flenker Land Architecture Consultants, LLC 0 78 N cd b0 0 .5t, g 0 o o tb 1/46 r21 eq 0 W N to O y AI a O O Qy ti *.= N !al Ln 0 W o o o N W o q ` 0 b x U ° Expiration Date: April 15, 2014 Exhibit A CERTIFICATE OF GOOD -FAITH EFFORTS (GEE) The intent of this certification is to document the good faith efforts implemented by the apparent successful concessionaire in soliciting and utilizing DBE firms to meet DBE participation requirements. This certification will assist the Recipient in determining whether the apparent successful consultant has implemented comprehensive good faith efforts. Failure to implement "good faith" efforts to the satisfaction of the Recipient could result in the rejection of the proposal. I, Kevin Monson representative of Neumann Monson PC , do hereby acknowledge that I am the authorized , and am submitting this good faith effort certificate to document efforts undertaken by our firm to meet the assigned DBE goal. RFQ No. RFQ Title Total Contract Amount DBE Percentage- Goal DBE Percentage - Pledged N/A Dubuque Intermodal Center TBD 6.6% TBD I. Provide a brief summary on why you believe your firm is unable to meet the DBE participation goals on this project (attach additional pages if necessary): Based on the consultants solicited for the project, our selection was limited by the number of consultants available within our Region that we either have an established working relationship with or who have a local level presence to enhance our opportunity to procure this substantial project. Due to the level of expertise required to complete the project scope, the Parking and Railroad consultants were predetermined based on our knowledge of their work and reputation. The MEP consultants we used are ones who have experience in related projects types and the Civil consultants provided us with local presence and familiarity with the project site and the FTA rules and regulations that were unmatched. This left us with the LA consultant and MEP consultants for our railroad portion of the project as the only viable option to be included on our design team that provided the professional expertise needed for this project. II. I hereby certify that I have utilized comprehensive "good faith" efforts to solicit and utilize DBE firms to meet the DBE participation requirements of this contract proposal, as demonstrated by my responses to the following questions: A. Identify Work Items for DBE Participation: Consultants are encouraged to select portions of work to be performed by DBEs in a manner which will increase the likelihood of meeting the DBE goals. In selecting work to be performed, consultant will consider, where appropriate, direct opportunities for participation by DBEs. Consultant can also meet the goal by purchasing goods and supplies from suppliers of goods and certified as DBE firms. Page 46 of 52 1. Which portion(s) or section(s) of the contract proposal, in terms of the nature of the work, were selected for direct participation by DBEs. The Landscape Design portion of the project is under direct contract with us which is a DBE. The MEP portion of our railroad consultants work related to the railroad work is being performed by a DBE. During the construction phase we will require the contractors bidding the project to provide a list of DBE sub - contractors and/ or vendors who are actively involved in the contract scope of the proposals to meet the goal of purchasing goods and suppliers certified as DBE firms. 2. What efforts were undertaken to purchase goods and services from certified DBE firms? Were any efforts made to break down the purchasing contract into economically feasible units to facilitate DBE participation? We acquired a directory of Certified DBE firms in the our region from the Iowa DOT and contacted the firms that had the potential to participate on the project team and expand our range of services offered towards the overall project's success. Page 47 of 52 B. Notifying DBE Firms of Contracting Opportunities 1. In the table below, indicate all firms (DBEs and non DBEs) which received written notification of the participation opportunities on the contract. In the appropriate space, also indicate when firms received subsequent telephone solicitations. Please attach additional page(s) so that all companies contacted are listed. (Attach photocopies of all written solicitations to DBE firms to this certificate.) Company Contacted Date of Written Notification DBE (Yes/No) Date of Follow -up Telephone Call Rich and Associates Inc. week of March 19th No IIW P.C. week of March 19th No T.Y.Linn International week of March 19th No Design Engineers P.C. week of March 19th No Flenker Land Architecture Consultants, LLC week of March 19th Yes March 29th 2012 Kaltsouni Mehdi Inc. week of March 26th Yes 2. Identify publications in which announcements or notifications were placed and published, if any. (Attach copies of proof of each announcement or notification.) Published Announcement/ Name of Publication Date Page 48 of 52 3. Identify DBE associations or organizations that received written notifications, including dates of all notifications. Provide name of person and date of follow -up call. If no follow -up calls made, explain why not. (Attach copies of letter sent as proof of notification.) DBE Associations /Organizations Contacted Date of Notification Contact Person Date of Follow -up Telephone Call 4. Was the Recipient contracted to assist in the recruitment of DBE firms? Yes No X Contact was made by: telephone Date contacted: N/A C. Providing Assistance to DBE firms: written correspondence Person contacted: 1. Explain any efforts undertaken to provide DBE firms with adequate information about the contracting opportunities and contractual requirements: N/A 2. Describe any efforts undertaken to assist interested DBE firms in obtaining lines of credit or insurance required by the Recipient or Consultant: N/A 3. Describe any other efforts initiated to provide special assistance to DBE firms interested in participating on the contract: N/A Page 49 of 52 D. Soliciting Proposals from Interested DBE Firms Consultants must solicit proposals in good faith with interested DBE firms. Proposals from interested DBE firms must not be rejected by consultant without sound justification. 1. Indicate in the table below which DBE firms submitted proposals. Also, provide a brief explanation of why any of these DBE proposals were rejected. Please attach additional page(s) if necessary. Name /Address /Contact Person of DBE Firm Opportunity Offered and Reason for Rejection Flenker Land Architecture Consultants, LLC 29476 240th Avenue Long Grove Iowa 52756 Firm was accepted as the Landscape Architects for the project phone: 563.225.2255 Contact: Meg K. Flenker KALTSOUNI MEH DI INC. (KMI) 407 South Dearborn Street. Suite 200 Ching, 11 RoRns Firm was accepted as the MEP consultants for the Railroad component of the project Phone: 312.987.9800 contact: John Mehdi, Principal E. Other evidence and documentation you want the Recipient to consider: We solicited the firms that we felt gave us the best opportunity to procure the project. Specific attention was paid to recruit DBE firms where feasible. As stated earlier, the project scope demanded from us solicitation of firms that provided a level of expertise in their specific fields (parking garage facilities and Railroad Consultants) that we were unable to find with DBE firms that we had an established relationship with. The fast track nature of the first phase of the project demanded that we team up with firms we had an established relationship with to meet the project deadlines with or who had the expertise to convince our clients to select our team in the first place. We selected IIW as our civil consultants as they had a local presence and had already been facilitating the City with regards to FTA requirements related to site survey and other Iowa DOT projects. Design Engineers were chosen for MEP consultation as our firm had completed a number of FTA funded projects, including Intermodal facility in Coralville, Iowa and other parking garage projects in the region. Due to these pre - established relationships during the first phase of the project, the only logical DBE partner we could add to our team was a Landscape architect and MEP sub - consultants to railroad portion of the project scope . Therefore we sought the services of a local landscape architectural firm that is familiar with the project site and the local flora to help our team achieve an environmentally conscious and sustainable project. The MEP sub - consultants of T.Y. Linn, KMI, have a established relationship with the Chicago offices of T.Y. Linn and will therefore be able to provide a coordinated effort towards the railroad component of the Intermodal Center project. NOTE: The information requested as set forth above is the minimum information required by the Recipient. Consultant may be asked to submit additional information on certain other actions taken to secure DBE participation in an effort to meet the goals. Page 50 of 52