IDOT_Mines of Spain Trail and Trailhead Grant AgreementMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: IDOT Grant Agreement -- Mines of Spain Trail & Trailhead
DATE: November 7, 2012
Dubuque
kital
All- America City
II 111!
2012
Planning Services Manager Laura Carstens recommends City Council approval of an
agreement with the Iowa Department of Transportation for a State Recreational Trails
grant in the amount of $170,500 for development of the Mines of Spain Trail and
Trailhead project. The $57,000 local match will be from $47,000 in funds already
budgeted by the City and an additional $10,000 from private fundraising by the Friends
of the Mines of Spain.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
kr,„ 7)4,
Michael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Laura Carstens, Planning Services Manager
Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager
FROM: Laura Carstens, Planning Services Manager
SUBJECT: IDOT Grant Agreement -- Mines of Spain Trail & Trailhead
DATE: November 8, 2012
Dubuque
**
All-America City
1
2012
INTRODUCTION
This memo transmits a resolution and an agreement with the Iowa Department of
Transportation (IDOT) for a State Recreational Trails grant of $170,500 for development
of the Mines of Spain Trail and Trailhead project, for City Council review and approval.
DISCUSSION
This trail project is a key component for development of the 52 -acre E.B. Lyons
Interpretive Area Addition at the Mines of Spain State Recreation Area. The City is
partnering with the Iowa Department of Natural Resources (IDNR), the Friends of the
Mines of Spain, and the Iowa Natural Heritage Foundation on acquisition and
development of this land. The City has entered into a purchase agreement with the
Foundation for acquisition of the land. The City has received three IDNR grants totaling
$575,000 for land acquisition and development.
Estimated total cost for the Mines of Spain Trail and Trailhead project is $227,500. The
local match for the $170,500 State grant includes $47,000 from the City's Trails and
Complete Streets Projects CIP #350 -2430. This CIP has $50,000 annually available as
local match for trail grants. Additional local match of $10,000 is anticipated from private
fundraising by the Friends of the Mines of Spain. City Council authorized application for
this grant via Resolution No. 170 -12 adopted on July 2, 2012.
RECOMMENDATION
I recommend that the City Council adopt the attached resolution approving the IDOT
grant agreement for development of the Mines of Spain Trail and Trailhead project, and
authorizing the Mayor to sign the agreement on behalf of the City of Dubuque.
Attachments
cc: Marie Ware, Leisure Services Manager
Jenny Larson, Budget Director
F: \USERS\LCARSTEN \WP \Mines of Spain\IA SRT Grant\Memo to MVM FY12 SRT Grant Agreement MOS Trail.doc
Prepared by: Laura Carstens, City Planner Address: City Hall, 50 W. 13th St, Dubuque, IA 52001 Telephone: 589 -4210
Return to: Kevin Firnstahl, City Clerk Address: City Hall, 50 W. 13th St, Dubuque, IA 52001 Telephone: 589 -4121
RESOLUTION NO. 311 -12
RESOLUTION AUTHORIZING STATE RECREATIONAL TRAILS GRANT
AGREEMENT WITH IOWA DEPARTMENT OF TRANSPORTATION FOR
DEVELOPMENT OF THE MINES OF SPAIN TRAIL AND TRAILHEAD
Whereas, the Iowa Department of Transportation has awarded grant funds from the State
Recreational Trails Program for the development of the Mines of Spain Trail and Trailhead; and
Whereas, the City of Dubuque has adopted the 2008 Comprehensive Plan which includes
objectives for enhanced accessibility for parks, trails, and open space, protection of scenic and
cultural resources, and development of additional recreational trails.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA:
Section 1. The Mayor hereby is authorized to sign the grant agreement with the Iowa
Department of Transportation for a State Recreational Trails grant for the Mines of Spain Trail and
Trailhead project.
Section 2. That the City Council hereby provides its written assurance that the completed
project will be adequately maintained for its intended use in accordance with state requirements.
Attest:
Passed, approved and adopted this 19th day of November
Key!' .. Firnstah , Cit0'�
F: \USERS \LCARSTEN \WP \Mines of Spain \IA SRT Grant \Res FY12 SRT Grant Agreement MOS Trail.doc
2012.
Roy D. ;.ruol, Mayor
Iowa Department of Transportation
800 Lincoln Way, Ames, IA 50010 515 - 239 -1252
Fax: 515- 233 -7857
October 29, 2012
Laura Carstens, Planning Services Manager
City of Dubuque, Planning Services Department
50 W. 13th Street
Dubuque, IA 52001
Re: Mines of Spain Trail and Trailhead, Project #RT- 2100(676)- -9H -31
Agreement #2013 -RT -005
Dear Ms. Carstens:
Enclosed are two copies of an agreement between the City of Dubuque and the Iowa
Department of Transportation (DOT) for the above referenced State Recreational
Trails (RT) project. Please review the agreement and, if acceptable, present it to the
City Council for further action. You need to sign both copies, have them certified by
the city clerk, and return them to me. One fully executed original copy will be sent to
you after the Department has signed them. Reimbursement for eligible project
expenditures cannot be made by the Department until the agreement has been fully
executed.
Please send the completed forms to:
Yvonne Diller
Iowa DOT, Office of Systems Planning
800 Lincoln Way
Ames, IA 50010
As per step 11, you must submit a project schedule. In step 23, it states that plans,
specifications and other proposed contract documents must be submitted to the DOT
for review at least thirty (30) days prior to the project letting. We will expedite our
reviews as much as possible, but your schedule needs to allow this amount of time
for completing reviews and making any revisions prior to sending out any bid
documents.
Thank you for your assistance. If you have questions, I can be reached by telephone
at 515 - 239 -1252 or by e -mail at yvonne.diller @dot.iowa.gov
YD:plr
Enclosures
Sincerely, �l
L . % 1
Y onne Diller
Office of Systems Planning
Iowa Department of Transportation
800 Lincoln Way, Ames, IA 50010 515- 239 -1252
Fax: 515- 233 -7857
December 11, 2012
Laura Carstens, Planning Services Manager
City of Dubuque
Planning Services Department
50 W. 13th Street
Dubuque, IA 52001
Re: Mines of Spain Trail and Trailhead
Project #RT- 2100(676)- -9H -31
Agreement #2013 -RT -005
Dear Ms. Carstens:
Enclosed is one copy of an executed agreement between the City of Dubuque and
the Iowa Department of Transportation (DOT) for the above referenced State
Recreational Trails (RT) project.
Thank you for your assistance. If you have questions, I can be reached by telephone
at 515- 239 -1252 or by e -mail at yvonne.diller @dot.iowa.gov
Sincerely,
Yvonne Diller
Office of Systems Planning
YD:plr
Enclosure
cc: Kevin Galloway, Office of Finance (with copy of enclosure)
Shawn Majors, Office of Program Management (letter only)
Records Center /ERMS (with copy of enclosure)
Iowa Department of Transportation
Agreement for a
State Recreational Trails Project
RECIPIENT: City of Dubuque
PROJECT NUMBER: RT- 2100(676)- -9H -31
IOWA DOT AGREEMENT NUMBER: 2013 -RT -005
This is an agreement between the City of Dubuque (hereinafter referred to as Recipient) and the
Iowa Department of Transportation (hereinafter referred to as the DOT). The Recipient
submitted an application to the DOT for funding through the State Recreational Trails (RT) fund
under Iowa Code Chapter 465B (2011), and the application was approved by Transportation
Commission Order No. PPM - 2013 -18 on October 9, 2012, hereinafter referred to as the effective
date.
Pursuant to the terms of this agreement, and applicable statutes and administrative rules the DOT
agrees to provide funding to the Recipient for the authorized and approved costs for eligible
items associated with the development of the Mines of Spain Trail and Trailhead.
In consideration of the foregoing and the mutual promises contained in this agreement, the
parties agree as follows:
1. The Recipient shall be the lead organization for carrying out the provisions of this
agreement.
2. All notices required under this agreement shall be made in writing to the DOT's and /or he
Recipient's contact person. The DOT's contact person shall be Yvonne Diller, Office of
Systems Planning, 800 Lincoln Way, Ames, Iowa 50010, telephone 515- 239 -1252,
email: yvonne.diller @dot.iowa.gov. The Recipient's contact person shall be Laura
Carstens, Planning Services Manager, City of Dubuque, 50 W. 13th Street, Dubuque,
Iowa 52001, telephone 563 - 589 -4210, email: lcarsten @cityofdubuque.org.
3. The Recipient shall be responsible for the development and completion of the following
described project:
Mines of Spain Trail and Trailhead
4. Eligible project costs for the project described in Section 3 of this agreement, listed
above, which are incurred after the effective date of this agreement shall be paid as
follows:
RT Funds (Grant): $170,500
Local Contribution: $ 56,833
Project Total: $227,333
5. The local contribution stated above may include cash or non service in -kind
contributions. The Recipient shall certify to the DOT the value of any non -cash
contribution to the project prior to it being incurred. For right of way contributions, the
recipient shall submit an appraisal from a qualified independent appraiser. The DOT
reserves the right to review the Recipient's certificate of value and has sole authority to
determine the value of the Recipient's non -cash contribution for the purposes of this
agreement. If, as a result of the DOT's determination, the Recipient's total cash and non-
cash contribution is below that stated in the terms of this agreement, the Recipient shall
increase its cash contribution in order to complete the Recipient's local contribution, or
the grant and /or loan amount associated with this project shall be reduced accordingly.
6. The portion of total project costs paid by grant shall not exceed the amount stated above
$170,500 or 75 percent of the total cost of the eligible items, whichever is the smaller
amount. Any cost overruns shall be paid solely by the applicant.
7. Project activities or costs eligible for funding include only those items set out in Exhibit
A which is attached hereto and by this reference incorporated into this agreement, and
which are necessary to complete the project as described in Section 3.
8. Activities or costs ineligible for funding include but are not limited to those items set out
in Exhibit B which is attached hereto and by this reference incorporated into this
agreement.
9. Notwithstanding any other provisions of this contract, if funds anticipated for the
continued fulfillment of this contract are at any time not forthcoming or insufficient,
either through the failure of the State of Iowa to appropriate funds or discontinuance or
material alteration of the program for which funds were provided, the DOT shall have the
right to terminate this contract without penalty by giving not less than ninety (90) days
written notice.
10. The DOT reserves the right to delay reimbursement of funds to the Recipient if necessary
to maintain a positive cash flow. If such a delay is necessary and lasts more than five
working days, the DOT shall so notify the Recipient in writing and shall give the
Recipient an estimate of when reimbursement might be expected. The DOT shall
establish a system to equitably make reimbursements to all Recipients so affected.
11. The Recipient shall submit to the DOT, no later than 30 days subsequent to the
Recipient's signature date on this agreement, a timetable outlining the project schedule.
Failure to do so by the Recipient may be considered a default under this agreement.
12. The Recipient must have let the contract or construction started within three years of the
date this project is approved by DOT. If the Recipient does not do this, they will be in
default for which the DOT can revoke funding commitments. This agreement may be
extended for periods up to six months upon receipt of a written request from the
Recipient at least sixty (60) days prior to the deadline.
13. If any part of this agreement is found to be void and unenforceable, the remaining
provisions of this agreement shall remain in effect.
14. It is the intent of both parties that no third party beneficiaries be created by this
agreement.
15. This agreement shall be executed and delivered in two or more copies, each of which so
executed and delivered shall be deemed to be an original and shall constitute but one and
the same instrument.
16. This agreement is not assignable without the prior written consent of the DOT.
17. If the project described in Section 3 of this agreement crosses a DOT primary road, then:
A. The Recipient shall convey title to the State of Iowa, by quitclaim deed, to any
right of way necessary for the primary road crossing, all at no cost to the DOT.
However, the DOT shall prepare detailed legal descriptions and plats. The
general configuration of the right of way to be conveyed shall be agreed to by the
Recipient and the DOT prior to the survey.
The Recipient shall submit six copies of plans for all primary road system
crossings to the DOT contact person for review and approval by the District
Offices for necessary permits, Offices of Road Design and Maintenance with
regard to crossing design and location, signing, fencing, safety, maintenance,
compliance with access control policy, etc. Said approval shall be obtained
before the Recipient proceeds with the construction of any primary road system
crossing.
C. The use of primary highway right of way for this projects' purpose shall be
subject to any rights enjoyed by any existing utility lines presently within the right
of way. If excavation of a utility line over which this project has been placed is
necessary for any reason, the utility shall be responsible for proper backfilling of
said excavation to ground level. The Recipient shall be responsible for any
necessary resurfacing or restoration.
D. The use of primary highway right of way for this project's purposes shall be
subject to any future plans for reconstruction, improvement, maintenance, and /or
relocation of the highway by the DOT. Any relocation of this project necessary
because of said plans shall be at the expense of the Recipient, all at no cost to the
DOT.
18. The Recipient shall acquire the project right of way, whether by lease, easement or fee
title and shall provide relocation assistance benefits and payments in accordance with the
procedures set forth in the DOT's Right of Way manual. The Recipient shall contact the
DOT for assistance, as necessary, to ensure compliance with the required procedures,
even if no federal funds in the right of way purchase are involved. The Recipient will
need to get environmental concurrence before acquiring any needed right of way. With
prior approval, hardship and protective buying is possible. If the Recipient requests
Federal -aid participation for right of way acquisition, the Recipient will need to get
environmental concurrence and Federal Highway Administration (FHWA) authorization
before purchasing any needed right of way.
19. The Recipient shall comply with the Policy for Accommodating Utilities on City and
County Federal -aid Highways Right of Way and the Policy for Accommodating Utilities
on Primary Road system when on the DOT's right of way. Certain utility relocation,
alteration, adjustment, or removal costs to the Recipient for the project may be eligible
for Federal -aid reimbursement in accordance with the FHWA rules applicable to the type
of utility involved and Iowa Code Chapter 306A.
20. The Recipient shall be responsible for obtaining any permits, such as the Right to Occupy
and /or Perform Work Within the Right of Way, Permit of Access, Utility
Accommodation, Right to Install and Maintain Traffic Control Devices, and /or other
construction permits required for the project prior to the start of construction.
In addition, the Recipient shall certify to the DOT's contact person that all known
required environmental permits have been received and that all environmental regulations
have been complied with before funds are reimbursed or credited.
Neither the approval of the project application for funding nor the signing of this
agreement shall be construed as approval of any required permit from DOT.
21. Traffic control devices, signing, or pavement markings installed within the limits of this
project shall conform to the "Manual on Uniform Traffic Control Devices for Streets and
Highways" per 761 Iowa Administrative Code Chapter (IAC) 130. The safety of the
general public shall be assured through the use of proper protective measures and devices
such as fences, barricades, signs, flood lighting, and warning lights as necessary.
22. In the event that right of way is required for the project, said right of way will be acquired
in accordance with 761 IAC Chapter 111, Real Property Acquisition and Relocation
Assistance, and the Federal Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended.
23. The project plans, specifications and cost estimate shall be prepared and certified by a
professional engineer, architect and or landscape architect (whichever applies), licensed
to practice in the State of Iowa. The Recipient shall submit the plans, specifications and
other agreement documents to the DOT for review. This submittal may be in divisions
and in the order of preference as determined by the Recipient. However, the plans,
specifications and other agreement documents for each division must be submitted at
least thirty (30) days prior to the project letting of each division. The DOT shall review
said submittal(s) recognizing the Recipient's development schedule and shall, after
satisfactory review, authorize in writing the Recipient to proceed with implementation of
the project. The work on this project shall be in accordance with the survey, plans, and
specifications on file. Any modification of these plans and specifications must be
approved by the DOT prior to the modification being put into effect.
24. The recipient shall be responsible for the daily inspection of the project. For projects let
to contract, the Recipient shall compile a daily log of materials and quantities. For
projects constructed with local forces, the Recipient shall compile a daily log of
materials, equipment and labor on the project. The DOT reserves the right to inspect
project activities and to audit claims for funding reimbursement. The purpose of the
inspection or audit is to determine substantial compliance with the terms of this
agreement.
25. The Recipient shall maintain all books, documents, papers, accounting records, reports
and other evidence pertaining to costs incurred for the project. The Recipient shall also
make such materials available at all reasonable times during the construction period and
for three years from the date of final reimbursement, for inspection by the DOT, FHWA,
or any authorized representatives of the Federal government. Copies of said materials
shall be furnished by the Recipient if requested.
26. The Recipient may submit to the DOT periodic itemized claims for reimbursement for
eligible project costs. Reimbursement claims shall include certification that all eligible
project costs, for which reimbursement is requested, have been completed in substantial
compliance with the terms of this agreement.
27. The DOT shall reimburse the Recipient for properly documented and certified claims for
eligible project activity costs less a retainage of not more than ten percent, either by state
warrant, or by crediting other accounts from which payment may have been made
initially. If, upon audits of contracts, the DOT determines the Recipient is overpaid, the
Recipient shall reimburse the overpaid amount to the DOT.
28. Upon completion of the project described in this agreement, a professional engineer,
architect and or landscape architect (whichever applies), licensed to practice in the State
of Iowa, shall certify in writing to the DOT that the project activities were completed in
substantial compliance with the plans and specifications set out in this agreement.
In addition, prior to final reimbursement for the project the Recipient shall furnish three
sets of "as- built" plans of the project to the DOT.
Final reimbursement of funds, including retainage, shall be made only after the DOT
accepts the project as complete.
29. If, in the opinion of the Recipient, the specific provisions of this agreement requiring the
services of a professional engineer, architect and or landscape architect (whichever
applies), licensed to practice in the State of Iowa, prove to be burdensome to the
Recipient or otherwise not in the public interest, and if the Recipient decides that the
provisions of this agreement can be otherwise complied with without endangering public
safety, the Recipient may request that said provisions be waived on all or specific parts of
the project identified by the Recipient. Such request shall be made in writing to the
DOT's contact person who shall, after consultation with other DOT staff, as necessary,
make the final determination concerning said waiver. If said waiver is granted, all
provisions of this agreement requiring the services of a professional engineer, architect
and or landscape architect (whichever applies), licensed to practice in the State of Iowa,
shall be performed by the Recipient's contact person or designee.
30. To the extent permitted by law, the Recipient agrees to indemnify, defend and hold the
DOT harmless from any action or liability arising out of the design, construction,
maintenance, placement of traffic control devices, inspection or use of this project. This
agreement to indemnify, defend and hold harmless applies to all aspects of the DOT's
application review and approval process, plan and construction reviews and funding
participation.
31. This agreement may be declared to be in default by the DOT if the DOT determines that
the Recipient's application for funding contained inaccuracies, omissions, errors or
misrepresentations; or if the DOT determines that the project is not developed as
described in the application.
32. If the Recipient fails to perform any obligation under this agreement, the DOT shall have
the right, after first giving thirty (30) days written notice to the Recipient by certified mail
return receipt requested, to declare any part or all of this agreement in default. The
Recipient shall have thirty (30) days from date of mailing of the notice to cure the
default. If the Recipient cures the default, the Recipient shall notify DOT no later than
five (5) days after cure or before the end of said thirty (30) day period given to cure the
default. Within ten (10) working days of receipt of Recipient's notice of cure, the DOT
shall issue either a notice of acceptance of cure or a notice of continued default.
33. In the event a default is not cured the DOT may revoke funding commitments and /or seek
repayment of funds loaned or granted by this agreement. By signing this agreement the
Recipient agrees to repay said funding if they are found to be in default. Repayment
methods must be approved by the DOT Commission and may include cash repayment,
installment repayments with negotiable interest rates, charges against the Recipient's
share of road use tax funds, or other methods as approved by the Commission.
34. In case of dispute concerning the terms of this agreement, the parties shall submit the
matter to arbitration pursuant to Iowa Code Chapter 679A (2011). Either party has the
right to submit the matter to arbitration after ten (10) days notice to the other party of
their intent to seek arbitration. The written notice must include a precise statement of the
disputed question. DOT and the Recipient agree to be bound by the decision of the
appointed arbitrator. Neither party may seek any remedy with the state or federal courts
absent exhaustion of the provisions of this section for arbitration.
35. The Recipient shall maintain, or cause to be maintained for the intended public use, the
improvement for twenty (20) years from the completion date in a manner acceptable to
the DOT. Failure to comply with this provision may be considered a default of this
agreement.
36. The Recipient shall comply with all provisions of the equal employment opportunity
requirements prohibiting discrimination and requiring affirmative action to assure equal
employment opportunity as required by the Iowa Code Chapter 216 (2011). No person
shall, on the grounds of age, race, creed, sex, color, national origin, religion, or disability,
be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the Recipient receives state funds
from the DOT.
37. The Recipient shall use positive efforts to solicit bids from and to utilize Targeted Small
Business (TSB) enterprises as contractors and ensure that the contractors make positive
efforts to utilize these enterprises as subcontractors, suppliers or participants in the work
covered by this agreement. Efforts shall be made and documented in accordance with
Exhibit C which is attached hereto and by this reference incorporated into this agreement.
38. The Recipient shall conduct the project development and implementation in compliance
with applicable laws, ordinances and administrative rules. For portions of the project let
to bid, the Recipient shall advertise for bidders, make a good faith effort to get at least
three bidders and hold a public letting for the project work. Prior to awarding the
contract, the Recipient shall provide the DOT file copies of project letting documents
within five (5) working days after the letting. The Recipient must wait for DOT
concurrence before making the final award.
39. The Recipient shall include in their Notice to Bidders that Sales Tax Exemption
Certificates will be issued, as provided for by Iowa Code section 423.3, subsection 80.
The Recipient shall be responsible for obtaining the sales tax exemption certificates
through the Iowa Department of Revenue and Finance. The Recipient shall issue these
certificates to the successful bidder and any subcontractors to enable them to purchase
qualifying materials for the project free of sales tax.
40. This agreement as set forth in sections 1 through 40 herein, including referenced exhibits,
constitutes the entire agreement between the DOT and the Recipient concerning this
project. Representations made before the signing of this agreement are not binding, and
neither party has relied upon conflicting representations in entering into this agreement.
Any change or alteration to the terms of this agreement must be made in the form of an
addendum to this agreement. Said addendum shall become effective only upon written
approval of the DOT and Recipient.
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement Number
2013 -RT -005 as of the date shown opposite its signature below.
RECIPIENT:
By: Date: November 19 ,2012
Title: Roy D. Buol , Mayor
I, Kevin Firnstahl ,certify that Iam the City Clerk of
the City of Dubuque , and that Roy D. Buo l , Mayor , who
signed said Agreement for and on behalf of the City of Dubuque was duly
authorized to execute the same by virtue of a formal Resolution duly passed and adopted
by the Dubuque City Council , on the 19th day of
November ,20 12 .
Signed:
Date: November 19 ,2012
Address: Kevin Firnstahl, City Clerk, City Hall - 50 W. 13th Street,
Dubuque, IA 52001
IOWA DEPARTMENT OF TRANSPORTATION
Planning, Programming and Modal Division
800 Lincoln Way, Ames, Iowa 50010
By: ' Date: // ' ZS' , 2012
Crai , Markey
Direvtor/
Office of Systems Planning
Exhibit A
Project activities or costs eligible for RT funding include only the following:
a. Land acquisition costs including, but not limited to, appraisal costs, negotiation costs and
the required cultural resources survey pursuant to Iowa Code Chapter 305A are eligible
project costs. Land may be acquired by lease, easement or fee simple. Except for
primary road projects, the performance of land negotiation and acquisition activities shall
not be the responsibility of the DOT although the DOT may provide advisory services.
b. Trail surfacing, resurfacing, rehabilitation, modernization, upgrading and reconstruction,
including pavement repairs and overlays and shoulder widening and stabilization; or
initial trail construction including grading, drainage, paving and erosion control.
c Bridge and culvert repair, modernization, replacement or initial construction.
d. Roadway intersection and interchange improvements, including warranted traffic
signalization that is an integral part of this project.
e. Construction or improvement of rest areas, information centers, waysides, permanent
interpretive displays, lighting and rest rooms, including the costs of utility connections
that are an integral part of the project.
f. Design engineering and construction inspection costs directly associated with the project.
g. Storm drainage and storm sewer costs to the extent needed for draining the trail.
h. Utility relocation costs necessary for trail construction or improvement if the utility is not
located on public right of way.
i. Trail signs, fencing, landscaping, parking areas and walkways.
Exhibit B
Activities or costs ineligible for RT funding include but are not limited to the following:
a. Any and all costs incurred prior to Transportation Commission approval of funding for a
project are ineligible for funding under the recreational trails program, except:
(1) If there is an extreme urgency involving land acquisition, a potential applicant may
formally request from the DOT a written waiver which, if granted, shall permit the
applicant to acquire the land immediately without jeopardizing the project's eligibility for
funding approval. Granting of the waiver shall not imply or guarantee that a subsequent
application which includes the acquisition costs shall be funded. The request for the
advance eligibility waiver must include justification regarding the urgency of the
acquisition, a description of the land to be acquired and a county map showing its
location. The advance eligibility waiver must be requested and approved prior to the
applicant's acquisition of the land in question.
(2) If the Transportation Commission specifically grants an exception to its rules to
allow a project or reimbursement of project expenses which would otherwise be
ineligible.
b. Routine maintenance of a trail, bridge, culvert, fence or sign; winter maintenance of a
trail or bridge, including snow plowing, sanding and salting.
c. Overhead and operating costs associated with a project, such as auditing, legal and
administrative costs.
d. Expenses associated with the preparation and submission of a project application.
e. Pre - design engineering and planning expenses.
f. Utility costs other than those listed in Exhibit A, Section H.
g. Pavement markings, traffic signs, safety appurtenances or lighting except as an integral
part of a trail project.
h. Purchases of office furnishings or equipment, construction equipment or personal
property.
i. Sanitary sewers or water mains except as necessary for rest room construction.
j. General government expenses and expenses associated with the provision of any public
service that are not otherwise eligible for project funding.
Exhibit C
CONTRACT PROVISION
Targeted Small Business (TSB)
Affirmative Action Responsibilities
on
Non - Federal Aid Projects (Third -Party State - Assisted Projects)
May 2012
May 2012
CONTRACT PROVISION
Targeted Small Business (TSB) Affirmative Action Responsibilities
on Non - Federal -aid Projects (Third -party State - Assisted Projects)
1. TSB DEFINITION
A TSB is a small business, as defined by Iowa Code Section 15.102(5), which is 51% or more owned,
operated and actively managed by one or more women, minority persons or persons with a disability.
Generally this is a for - profit small business enterprise under single management, is located in Iowa and
has an annual gross income of less than 3 million dollars computed as an average of the three preceding
fiscal years.
2. TSB REQUIREMENTS
In all State - assisted projects made available through the Iowa Department of Transportation, local
governments have certain affirmative action requirements to encourage and increase participation of
disadvantaged individuals in business enterprises. These requirements are based on Iowa Code Section
19B.7 and 541 Iowa Administrative Code Chapter 4. These requirements supersede all existing TSB
regulations, orders, circulars and administrative requirements.
3. TSB DIRECTORY INFORMATION
Available from: Iowa Department of Inspections and Appeals
Targeted Small Business
Lucas Building
Des Moines, IA 50319
Phone: 515- 281 -7102
Website: http: / /dia.iowa.gov /page7.html
4. THE CONTRACTOR'S TSB POLICY
The contractor is expected to promote participation of disadvantaged business enterprises as suppliers,
manufactures and subcontractors through a continuous, positive, result - oriented program. Therefore the
contractor's TSB policy shall be:
It is the policy of this firm that Targeted Small Business (TSB) concerns shall have the
maximum practical opportunity to participate in contracts funded with State - assisted funds which
are administered by this firm (e.g. suppliers, manufactures and subcontractors). The purpose of
our policy is to encourage and increase the TSB participation in contracting opportunities made
available by State - assisted programs.
5. CONTRACTOR SHALL APPOINT AN EQUAL EMPLOYMENT OPPORTUNITY (EEO) OFFICER
The contractor shall designate a responsible person to serve as TSB officer to fulfill the contractors
affirmative action responsibilities. This person shall have the necessary statistics, funding, authority and
Page 1
TSB Affirmative Action Responsibilities
responsibility to carry out and enforce the firm's EEO policy. The EEO officer shall be responsible for
developing, managing and implementing the program on a day -to -day basis. The officer shall also:
A. For current TSB information, contact the Iowa Department of Inspections and Appeals (515 -281-
7102) to identify potential material suppliers, manufactures and contractors.
B. Make every reasonable effort to involve TSBs by soliciting quotations from them and
incorporating them into the firm's bid.
C. Make every reasonable effort to establish systematic written and verbal contact with those TSBs
having the materials or expertise to perform the work to be subcontracted, at least two weeks
prior to the time quotations are to be submitted. Maintain complete records of negotiation
efforts.
D. Provide or arrange for assistance to TSBs in seeking bonding, analyzing plans /specifications or
other actions that can be viewed as technical assistance.
E. Ensure the scheduled progress payments are made to TSBs as agreed in subcontract agreements.
F. Require all subcontractors and material suppliers to comply with all contract equal opportunity
and affirmative action provisions.
6. COUNTING TSBs PARTICIPATION ON A PROJECT
TSBs are to assume actual and contractual responsibilities for provision of materials /supplies,
subcontracted work or other commercially useful function.
A. The bidder may count:
(1) Planned expenditures for materials /supplies to be obtained from TSB suppliers and
manufacturers; or
(2) Work to be subcontracted to a TSB; or
(3) Any other commercially useful function.
B. The contractor may count:
(1) 100% of an expenditure to a TSB manufacturer that produces /supplies goods
manufactured from raw materials.
(2) 60% of an expenditure to TSB suppliers that are not manufacturers; provided the
suppliers perform a commercially useful function in the supply process.
(3) Only those expenditures to TSBs that perform a commercially useful function in the work
of a contract, including those as a subcontractor.
(4) Work the Contracting Authority has determined that it involves a commercially useful
function. The TSB must have a necessary and useful role in the transaction of a kind for
which there is a market outside the context of the TSB program. For example, leasing
equipment or purchasing materials from the prime contractor would not count.
Page 2
TSB Affirmative Action Responsibilities
7. REQUIRED DATA, DOCUMENTS AND CONTRACT AWARD PROCEDURES FROM
BIDDERS /CONTRACTORS FOR PROJECTS WITH ASSIGNED GOALS
A. Bidders
Bidders who fail to demonstrate reasonable positive efforts may be declared ineligible to be
awarded the contract. Bidders shall complete the bidding documents plus a separate form called
"TSB Pre -Bid Contact Information ". This form includes:
(1) Name(s) of the TSB(s) contacted regarding subcontractable items.
(2) Date of the contract.
(3) Whether or not a TSB bid /quotation was received.
(4) Whether or not the TSB's bid /quotation was used.
(5) The dollar amount proposed to be subcontracted.
B. Contractors Using Quotes From TSBs
Use those TSBs whose quotes are listed in the "Quotation Used in Bid" column along with a
"yes" indicated on the Pre -bid Contact Information form.
C. Contractors NOT Using Quotes From TSBs
If there are no TSBs listed on the Pre -bid Contract Information form, then the contractor shall
document all efforts made to include TSB participation in this project by documenting the
following:
(1) What pre - solicitation or pre -bid meetings scheduled by the contracting authority were
attended?
(2) Which general news circulation, trade associations and /or minority- focused media were
advertised concerning the subcontracting opportunities?
(3) Were written notices sent to TSBs that TSBs were being solicited and was sufficient time
allowed for the TSBs to participate effectively?
(4) Were initial solicitations of interested TSBs followed up?
(5) Were TSBs provided with adequate information about the plans, specifications and
requirements of the contract?
(6) Were interested TSBs negotiated with in good faith? If a TSB was rejected as
unqualified, was the decision based on an investigation of their capabilities?
(7) Were interested TSBs assisted in obtaining bonding, lines of credit or insurance required
by the contractor?
(8) Were services used of minority community organization, minority contractors groups;
local, State and Federal minority business assistance offices or any other organization
providing such assistance.
The above documentation shall remain in the contractor's files for a period of three (3) years after the
completion of the project and be available for examination by the Iowa Department of Inspections and
Appeals.
Page 3
TSB Affirmative Action Responsibilities
8. POSITIVE EFFORT DOCUMENTATION WHEN NO GOALS ARE ASSIGNED
Contractors are also required to make positive efforts in utilizing TSBs on all State - assisted projects
which are not assigned goals. Form "TSB Pre -bid Contact Information" is required to be submitted with
bids on all projects. If there is no TSB participation, then the contractor shall comply with section 7C. of
this document prior to the contract award.
Page 4
Form 730007WP 7 -97
Contractor
Project#
County
City
TARGETED SMALL BUSINESS (TSB)
PRE -BID CONTACT INFORMATION
(To Be Completed By All Bidders Per The Current Contract Provision)
Page#
In order for your bid to be considered responsive, you are required to provide information on this form showing your Targeted Small Business contacts made with your bid
submission. This information is subject to verification and confirmation.
In the event it is determined that the Targeted Small Business goals are not met, then before awarding the contract, the Contracting Authority will make a determination as
to whether or not the apparent successful low bidder made good faith efforts to meet the goals.
NOTE: Every effort shall be made to solicit quotes or bids on as many subcontractable items as necessary to achieve the established goals. If a TSB's quote is used in
the bid, it is assumed that the firm listed will be used as a subcontractor.
TABLE OF INFORMATION SHOWING BIDDERS PRE -BID
TARGETED SMALL BUSINESS (TSB) CONTACTS
SUBCONTRACTOR
TSB
DATES
CONTACTED
QUOTES RECEIVED
QUOTATION USED IN BID
YES/
NO
DATES
CONTACTED
YES/
NO
DOLLAR AMT. PROPOSED
TO BE SUBCONTRACTED
Total dollar amount proposed to be subcontracted to TSB on this project $
List items by name to be subcontracted:
Page 5
UTILIZATION OF TARGETED SMALL BUSINESS (TSB) ENTERPRISES
ON NON - FEDERAL AID PROJECTS
(THIRD -PARTY STATE - ASSISTED PROJECTS)
In accordance with Iowa Code Section 19B.7 and 541 Iowa Administrative Code (IAC) Chapter 4, it is the
policy of the Iowa Department of Transportation (Iowa DOT) that Targeted Small Business (TSB) enterprises
shall have the maximum practicable opportunity to participate in the performance of contracts financed in
whole or part with State funds.
Under this policy the Recipient shall be responsible to make a positive effort to solicit bids or proposals from
TSB firms and to utilize TSB firms as contractors or consultants. The Recipient shall also ensure that the
contractors or consultants make positive efforts to utilize TSB firms as subcontractors, subconsultants,
suppliers, or participants in the work covered by this agreement.
The Recipient's "positive efforts" shall include, but not be limited to:
1. Obtaining the names of qualified TSB firms from the Iowa Department of Inspections and Appeals
(515- 281 -7102) or from its website at: http: / /dia.iowa.gov /page7.html.
2. Notifying qualified TSB firms of proposed projects involving State funding. Notification should be
made in sufficient time to allow the TSB firms to participate effectively in the bidding or request for
proposal (RFP) process.
3. Soliciting bids or proposals from qualified TSB firms on each project, and identifying for TSB firms the
availability of subcontract work.
4. Considering establishment of a percentage goal for TSB participation in each contract that is a part of
this project and for which State funds will be used. Contract goals may vary depending on the type of
project, the subcontracting opportunities available, the type of service or supplies needed for the project,
and the availability of qualified TSB firms in the area.
5. For construction contracts:
a. Including in the bid proposals a contract provision titled "TSB Affirmative Action Responsibilities
on Non - Federal Aid Projects (Third -Party State - Assisted Projects)" or a similar document developed
by the Recipient. This contract provision is available on -line at:
http: / /www. dot. state.ia.us /local_ systems / publications /tsb_contract_provision.pdf
b. Ensuring that the awarded contractor has and shall follow the contract provisions.
6. For consultant contracts:
a. Identifying the TSB goal in the Request for Proposal (RFP), if one has been set.
b. Ensuring that the selected consultant made a positive effort to meet the established TSB goal, if any.
This should include obtaining documentation from the consultant that includes a list of TSB firms
contacted; a list of TSB firms that responded with a subcontract proposal; and, if the consultant does
not propose to use a TSB firm that submitted a subcontract proposal, an explanation why such a TSB
firm will not be used.
Page 6
The Recipient shall provide the Iowa DOT the following documentation:
1. Copies of correspondence and replies, and written notes of personal and /or telephone contacts with any
TSB firms. Such documentation can be used to demonstrate the Recipient's positive efforts and it
should be placed in the general project file.
2. Bidding proposals or RFPs noting established TSB goals, if any.
3. The attached "Checklist and Certification." This form shall be filled out upon completion of each
project and forwarded to: Iowa Department of Transportation, Civil Rights Coordinator, Office of
Employee Services, 800 Lincoln Way, Ames, IA 50010.
Page 7
CHECKLIST AND CERTIFICATION
For the Utilization of Targeted Small Businesses (TSB)
On Non - Federal -aid Projects (Third -Party State - Assisted Projects)
Recipient: Project Number:
County: Agreement Number:
1. Were the names of qualified TSB firms obtained from the Iowa Department of Inspections and Appeals? ❑ YES ❑ NO
If no, explain
2. Were qualified TSB firms notified of project? ❑ YES ❑ NO
If yes, by ❑ letter, ❑ telephone, ❑ personal contact, or ❑ other (specify)
If no, explain
3. Were bids or proposals solicited from qualified TSB firms? ❑ YES ❑ NO
If no, explain
4. Was a goal or percentage established for TSB participation? ❑ YES ❑ NO
If yes, what was the goal or percentage?
If no, explain why not:
5. Did the prime contractor or consultant use positive efforts to utilize TSB firms on subcontracts? ❑ YES ❑ NO
If no, what action was taken by Recipient?
Is documentation in files? ❑ YES ❑ NO
6. What was the dollar amount reimbursed to the Recipient
from the Iowa Department of Transportation? $
What was the final project cost? $
What was the dollar amount performed by TSB firms? $
Name(s) and address(es) of the TSB firm(s)
(Use additional sheets if necessary)
Was the goal or percentage achieved? ❑ YES ❑ NO
If no, explain
As the duly authorized representative of the Recipient, I hereby certify that the Recipient used positive efforts to utilize
TSB firms as participants in the State - assisted contracts associated with this project.
Title
Page 8
Signature