RISE Contract_South Siegert Farm, Dubuque Industrial Center SouthMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
Dubuque
kital
All- America City
II 111!
2012
SUBJECT: RISE Contract No. 2013 -R -018 for a New Street to Support the Expansion
of the Dubuque Industrial South on the Former South Siegert Farm
DATE: April 29, 2013
Economic Development Director Dave Heiar recommends City Council approval of a
RISE Contract in the amount of $229,247 for a new street to serve approximately 78
acres of new industrial property located on the former South Siegert Farm. The new
street is needed to accommodate the expansion of the Dubuque Industrial Center
South. There is a 50% local match of $229,247. In addition, the City is responsible for
the extension of water and sewer mains, street lighting, fiber optic conduit, and
landscaping along the new street in the amount of $223.326.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
brit44
Michael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
David J. Heiar, Economic Development Director
THE CITY OF
DUB
Masterpiece on the Mississippi
Dubuque
'VIII'
21Rr MEMORANDUM
April 26, 2013
TO: Michael Van Milligen, City Manager
FROM: David J. Heiar, Economic Development Director
SUBJECT: RISE Contract No. 2013 -R -018 for a New Street to Support the
Expansion of the Dubuque Industrial South on the Former South
Siegert Farm
INTRODUCTION
This memorandum requests City Council approval of a Resolution approving a RISE
contract no. 2013 -R -018 for a new street to serve approximately 78 acres of new
industrial property located on the former South Siegert Farm. The new street is needed
to accommodate the expansion of the Dubuque Industrial Center South (see attached
map).
BACKGROUND
The Iowa Department of Transportation (IDOT) administers the Revitalize Iowa's Sound
Economy (RISE) program which provides funding in support of local and /or regional
economic development efforts. The RISE Funding may be used to assist construction of
new roadways to support new economic development initiatives. In January 2013 the
City Council approved an application for RISE funding.
A local match of not less than fifty percent is required in the Competitive RISE program.
The City would utilize G.O. Bond proceeds to use as local match. The Bond would be
repaid by Tax Increment Financing.
The pace of development has created a need for the next phase of the Dubuque
Industrial Center, which is the South Siegert Farm. Grading of this project began in the
summer of 2012 and will be completed in the summer of 2013. We are preparing to
construct the needed infrastructure, including streets, water, sewer and fiber. The
infrastructure improvements will provide for a street with a temporary cul -de -sac and will
provide access to approximately 78 acres of new industrial land.
DISCUSSION
The attached Resolution authorizes approval of contract no 2013 -R -018 for RISE
funding for a new 900 foot urban industrial street with a temporary cul -de -sac providing
access to approximately 78 acres of the South Siegert Farm. This road will provide
direct access to much needed industrial lots.
The contract contains provisions required by IDOT, a certification that the roadway is
dedicated to public use and will remain so dedicated and the assurance that the City
assumes responsibility for the ongoing maintenance of the roadway improvement. The
total estimated cost of the street project is $458,494 which includes design and
engineering and construction services. The State will fund 50% or $229,247 of the
eligible costs with a RISE grant. The balance of street project cost ($229,247) will be
funded by proceeds from a G.O. Bond repaid by Tax Increment Financing. The City will
also be responsible for the extension of water and sewer mains, street lighting, fiber
optic conduit, and landscaping along the new street. This additional City cost is
estimated at $223,326, bringing the City's total projected investment at $452,573. The
City has over $3 million available in a CIP to cover these costs.
RECOMMENDATION
I recommend that the City Council approve the contract for a RISE grant for this
industrial street. This project will provide access to approximately 78 additional acres of
industrial land in the Dubuque Industrial Center South.
ACTION STEP
The action is to adopt the attached Resolution approving the attached agreement for
RISE funding.
Attachment
F: \USERS \ECON DENARISE \S SIEGERT FARM RISE\20130426 MEMO APPROVE COMPETATIVE RISE APP.DOC
RESOLUTION NO. 135 -13
RESOLUTION APPROVING AN AGREEMENT FOR R.I.S.E. FUNDING WITH THE
IOWA DEPARTMENT OF TRANSPORTATION RELATING TO DEVELOPMENT
OF A NEW STREET IN THE DUBUQUE INDUSTRIAL CENTER SOUTH.
Whereas, the City of Dubuque has developed plans for the construction of a new
street in the Dubuque Industrial Center South; and
Whereas, the City has requested funding under the State of Iowa's R.I.S.E.
(Revitalize Iowa's Sound Economy) program; and
Whereas, the City's application was approved by order of the Transportation
Commission on. April 9, 2013; and
Whereas, the Iowa Department of Transportation has prepared and submitted
for City Council approval an Agreement relating to the R.I.S.E. grant, a copy of which is
attached hereto and by this reference made a part hereof; and
Whereas, the City Council finds that the proposed agreement is acceptable and
necessary to the growth and development of the city.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That the Iowa Department of Transportation Agreement for R.I.S.E.
Funding, Agreement No. 2013 -R -018, is hereby approved.
Section 2.
That the Mayor and City Clerk are hereby authorized and directed
to execute two copies of the Agreement on behalf of the City of
Dubuque and forward the executed copies to the Iowa Department
of Transportation for their approval.
Passed, approved and adopted this 6th day of May, 2013.
Roy D. Buol, Mayor
Attest:
Ke ' irnstahl, ity Clerk
F: \USERS \Econ Dev \RISE \S Siegert Farm RISE \20130426 Resolution RISE Contract 2013- R- 018.doc
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Page 1 of 1
David Heiar - Dubuque RISE agreement
From:
To:
Date:
Subject:
Attachments:
"Law, Rebecca [DOT]" <Rebecca.Law @dot.iowa.gov>
"'Dheiar @cityofdubuque.org "" <Dheiar @cityofdubuque.org>
4/11/2013 2:36 PM
Dubuque RISE agreement
Dubuque Agreement.pdf
RISE Project: RM- 2100(677)- -9D -31
Agreement Number: 2013 -R -018
Attached is the Iowa DOT Agreement that has been prepared for the above referenced project. Please review
the agreement and if acceptable, print two originals and present it to the City Council for further action.
Following signature by the City, please return both originals to me for signature by the Iowa DOT. A fully
executed original will be returned to you for your files.
Effective April 9, 2013, the City is hereby authorized to incur costs for project expenditures on the above
referenced RISE project, prior to execution of a formal agreement. However, no reimbursement can be made by
the Department until the agreement has been fully executed. The agreement identifies what project activities
and associated costs are eligible for RISE funding and reimbursement.
Please note that the agreement contains a clause stating that plans, specifications and other proposed contract
documents must be submitted to the Iowa DOT for review at least thirty (30) days prior to the project letting.
We will expedite our reviews as much as possible, but your schedule needs to allow this amount of time for
completing reviews and making any necessary revisions. Any necessary revisions will need to be made prior to
sending out any bid documents.
Thank you,
ebecca . law
Iowa Dept. of Transportation
RISE Program Manager
TE Project Manager
(515)239 -1738
file: / /C: \Documents and Settings \dheiar \Local Settings \Temp \XPgrpwise \5166CA5EDBQ... 4/11/2013
Iowa Department of Transportation
800 Lincoln Way, Ames, IA 50010 515 - 239 -1738
Fax: 515- 233 -7857
May 16, 2013
David Heiar
Economic Development Director
50 West 14`h Street
Dubuque, IA 52001
RE: City of Dubuque, RM- 2100(677)- -9D -31
Dear Mr. Heiar:
Enclosed is an original of the fully executed Agreement Number 2013 -R -018 that
pertains to the above referenced project.
The agreement includes a copy of applicable "Contract Provisions" regarding
Targeted Small Business Affirmative Action Responsibilities on Non - Federal Aid
Projects (Third -Party State - Assisted Projects). These "Contract Provisions," or similar
provisions developed by the City, need to be included as part of the City's bidding
documents.
The City is responsible for ensuring that their agreement obligations are fulfilled so
that funding is not jeopardized. Please provide a copy of the enclosed agreement to
the City's designated project engineer for their review and future reference.
We wish to thank the City for their cooperation and efforts in working with us on this
agreement.
Sincerely,
Rebecca E. Law
Office of Systems Planning
REL:plr
Enclosures
cc: Shawn Majors, Iowa DOT, Office of Program Management
Linda Thede, Iowa DOT, Office of Finance, w /enclosures
Iowa Department of Transportation
Agreement for a
Revitalize Iowa's Sound Economy Program (RISE) Project
RECIPIENT: Dubuque
PROJECT NO: RM- 2100(677)- -9D -31
IOWA DOT
AGREEMENT NO.: 2013 -R -018
This is an agreement between Dubuque (hereinafter referred to as Recipient) and the Iowa
Department of Transportation (hereinafter referred to as the DOT). The Recipient submitted an
application to the DOT for funding through the Revitalize Iowa's Sound Economy (RISE) fund
under Iowa Code Chapter 315 (2011), and the application was approved by Transportation
Commission Order No. PPM - 2013 -55 on April 9, 2013.
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 approximately 900 feet of new roadway located on the
southwest side of town.
In consideration of the foregoing and the mutual promises contained in this agreement, the
parties agree as follows:
1. The Recipient shall be the lead organization for carrying out the provisions of this
agreement.
2. All notices required under this agreement shall be made in writing to the DOT's and /or
the Recipient's contact person. The DOT's contact person shall be Rebecca Law, Office
of Systems Planning, 800 Lincoln Way, Ames, Iowa 50010, 515- 239 -1738, email
Rebecca.Law @dot.iowa.gov. The Recipient's contact person shall be David Heiar,
Economic Development Director, City Hall, 50 W. Btil Street, Dubuque, IA 52001, 563-
589 -4393, email dheiar @cityofdubuque.org.
3. The Recipient shall be responsible for the development and completion of the following
described project:
the development of approximately 900 feet of new roadway located on the southwest side
of town.
See Exhibit A.
4. Eligible project costs for the project described in Section 3 of this agreement, listed
above, which are incurred after the effective date of this agreement shall be paid as
follows:
City RISE Funds (Grant): $ 229,247
City Local Contribution: $ 229,247
Project Total: $ 458,494
5. The local contribution stated above may include cash or non -cash contributions to the
project. The Recipient shall certify to the DOT the value of any non -cash contribution to
the project prior to it being incurred. For right of way contributions, the recipient shall
submit an appraisal from a qualified independent appraiser. The DOT reserves the right
to review the Recipient's certificate of value and has sole authority to determine the value
of the Recipient's non -cash contribution for the purposes of this agreement. If, as a result
of the DOT's determination, the Recipient's total cash and non -cash contribution is below
that stated in the terms of this agreement, the Recipient shall increase its cash
contribution in order to complete the Recipient's local contribution, or the grant and /or
loan amount associated with this project shall be reduced accordingly.
6. The portion of total project costs paid by RISE grant shall not exceed the amount stated
above $229,247 or 50 percent of the total cost of the eligible items, whichever is the
smaller amount. Any cost overruns shall be paid solely by the applicant.
7. Project activities or costs eligible for funding include only those items set out in Exhibit
B which is attached hereto and by this reference incorporated into this agreement, and
which are necessary to complete the project as described in Section 3.
8. Activities or costs ineligible for funding include but are not limited to those items set out
in Exhibit C which is attached hereto and by this reference incorporated into this
agreement.
9. Notwithstanding any other provisions of this contract, if funds anticipated for the
continued fulfillment of this contract are at any time not forthcoming or insufficient,
either through the failure of the State of Iowa to appropriate funds or discontinuance or
material alteration of the program for which funds were provided, the DOT shall have the
right to terminate this contract without penalty by giving not less than ninety (90) days
written notice.
10. The DOT reserves the right to delay reimbursement of funds to the Recipient if necessary
to maintain a positive cash flow. If such a delay is necessary and lasts more than five
working days, the DOT shall so notify the Recipient in writing and shall give the
Recipient an estimate of when reimbursement might be expected. The DOT shall
establish a system to equitably make reimbursements to all Recipients so affected.
11. The attached project implementation schedule, Exhibit D, shall be used unless the
Recipient submits to the DOT, no later than 30 days subsequent to the Recipient's
signature date on this agreement, a revised implementation schedule.
12. The Recipient must have let the contract or construction started within three years of the
date this project is approved by DOT. If the Recipient does not do this, they will be in
default for which the DOT can revoke funding commitments. This agreement may be
extended for periods up to six months upon receipt of a written request from the
Recipient at least sixty (60) days prior to the deadline.
13. If any part of this agreement is found to be void and unenforceable, the remaining
provisions of this agreement shall remain in effect.
14. It is the intent of both parties that no third party beneficiaries be created by this
agreement.
15. This agreement shall be executed and delivered in two or more copies, each of which so
executed and delivered shall be deemed to be an original and shall constitute but one and
the same instrument.
16. This agreement is not assignable without the prior written consent of the DOT.
17. If the project described in Section 3 of this agreement crosses a DOT primary road, then:
A. The Recipient shall convey title to the State of Iowa, by quit claim deed, to any
right of way necessary for the primary road crossing, all at no cost to the DOT.
However, the DOT shall prepare detailed legal descriptions and plats. The
general configuration of the right of way to be conveyed shall be agreed to by the
Recipient and the DOT prior to the survey.
B. The Recipient shall submit six copies of plans for all primary road system
crossings to the DOT contact person for review and approval by the District
Offices for necessary permits, Offices of Road Design and Maintenance with
regard to crossing design and location, signing, fencing, safety, maintenance,
compliance with access control policy, etc. Said approval shall be obtained
before the Recipient proceeds with the construction of any primary road system
crossing.
C. The use of primary highway right of way for this projects' purpose shall be
subject to any rights enjoyed by any existing utility lines presently within the right
of way. If excavation of a utility line over which this project has been placed is
necessary for any reason, the utility shall be responsible for proper backfilling of
said excavation to ground level. The Recipient shall be responsible for any
necessary resurfacing or restoration.
D. The use of primary highway right of way for this projects' purposes shall be
subject to any future plans for reconstruction, improvement, maintenance, and /or
relocation of the highway by the DOT. Any relocation of this project necessary
because of said plans shall be at the expense of the Recipient, all at no cost to the
DOT.
18. The Recipient shall acquire the project right of way, whether by lease, easement or fee
title and shall provide relocation assistance benefits and payments in accordance with the
procedures set forth in the DOT's Right of Way manual. The Recipient shall contact the
DOT for assistance, as necessary, to ensure compliance with the required procedures,
even if no federal funds in the right of way purchase are involved. The Recipient will
need to get environmental concurrence before acquiring any needed right of way. With
prior approval, hardship and protective buying is possible. If the Recipient requests
Federal -aid participation for right of way acquisition, the Recipient will need to get
environmental concurrence and Federal Highway Administration (FHWA) authorization
before purchasing any needed right of way.
19. The Recipient shall comply with the Policy for Accommodating Utilities on City and
County Federal -aid Highways Right of Way and the Policy for Accommodating Utilities
on Primary Road system when on the DOT's right of way. Certain utility relocation,
alteration, adjustment, or removal costs to the Recipient for the project may be eligible
for Federal -aid reimbursement in accordance with the FHWA rules applicable to the type
of utility involved and Iowa Code Chapter 306A.
20. The Recipient shall be responsible for obtaining any permits, such as the Right to Occupy
and /or Perform Work Within the Right of Way, Permit of Access, Utility
Accommodation, Right to Install and Maintain Traffic Control Devices, and /or other
construction permits required for the project prior to the start of construction.
In addition, the Recipient shall certify to the DOT's contact person that all known
required environmental permits have been received and that all environmental regulations
have been complied with before funds are reimbursed or credited.
Neither the approval of the project application for funding nor the signing of this
agreement shall be construed as approval of any required permit from DOT.
21. Traffic control devices, signing, or pavement markings installed within the limits of this
project shall conform to the "Manual on Uniform Traffic Control Devices for Streets and
Highways" per 761 Iowa Administrative Code Chapter (IAC) 130. The safety of the
general public shall be assured through the use of proper protective measures and devices
such as fences, barricades, signs, flood lighting, and warning lights as necessary.
22. In the event that right of way is required for the project, said right of way will be acquired
in accordance with 761 IAC Chapter 111, Real Property Acquisition and Relocation
Assistance, and the Federal Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended.
23. The project plans, specifications and cost estimate shall be prepared and certified by a
professional engineer, architect and or landscape architect (whichever applies), licensed
to practice in the State of Iowa. The Recipient shall submit the plans, specifications and
other agreement documents to the DOT for review. This submittal may be in divisions
and in the order of preference as determined by the Recipient. However, the plans,
specifications and other agreement documents for each division must be submitted at
least thirty (30) days prior to the project letting of each division. The DOT shall review
said submittal(s) recognizing the Recipient's development schedule and shall, after
satisfactory review, authorize in writing the Recipient to proceed with implementation of
the project. The work on this project shall be in accordance with the survey, plans, and
specifications on file. Any modification of these plans and specifications must be
approved by the DOT prior to the modification being put into effect.
24. The recipient shall be responsible for the daily inspection of the project. For projects let
to contract, the Recipient shall compile a daily log of materials and quantities. For
projects constructed with local forces, the Recipient shall compile a daily log of
materials, equipment and labor on the project. The DOT reserves the right to inspect
project activities and to audit claims for funding reimbursement. The purpose of the
inspection or audit is to determine substantial compliance with the terms of this
agreement.
25. The Recipient shall maintain all books, documents, papers, accounting records, reports
and other evidence pertaining to costs incurred for the project. The Recipient shall also
make such materials available at all reasonable times during the construction period and
for three years from the date of final reimbursement, for inspection by the DOT, FHWA,
or any authorized representatives of the Federal government. Copies of said materials
shall be furnished by the Recipient if requested.
26. The Recipient may submit to the DOT periodic itemized claims for reimbursement for
eligible project costs. Reimbursement claims shall include certification that all eligible
project costs, for which reimbursement is requested, have been completed in substantial
compliance with the terms of this agreement.
27. The DOT shall reimburse the Recipient for properly documented and certified claims for
eligible project activity costs less a retainage of not more than ten percent, either by state
warrant, or by crediting other accounts from which payment may have been made
initially. If, upon audits of contracts, the DOT determines the Recipient is overpaid, the
Recipient shall reimburse the overpaid amount to the DOT.
28. Upon completion of the project described in this agreement, a professional engineer,
architect and or landscape architect (whichever applies), licensed to practice in the State
of Iowa, shall certify in writing to the DOT that the project activities were completed in
substantial compliance with the plans and specifications set out in this agreement.
In addition, prior to final reimbursement for the project the Recipient shall furnish three
sets of "as- built" plans of the project to the DOT.
Final reimbursement of funds, including retainage, shall be made only after the DOT
accepts the project as complete.
29. If, in the opinion of the Recipient, the specific provisions of this agreement requiring the
services of a professional engineer, architect and or landscape architect (whichever
applies), licensed to practice in the State of Iowa, prove to be burdensome to the
Recipient or otherwise not in the public interest, and if the Recipient decides that the
provisions of this agreement can be otherwise complied with without endangering public
safety, the Recipient may request that said provisions be waived on all or specific parts of
the project identified by the Recipient. Such request shall be made in writing to the
DOT's contact person who shall, after consultation with other DOT staff, as necessary,
make the final determination concerning said waiver. If said waiver is granted, all
provisions of this agreement requiring the services of a professional engineer, architect
and or landscape architect (whichever applies), licensed to practice in the State of Iowa,
shall be performed by the Recipient's contact person or designee.
30. The Recipient agrees to indemnify, defend and hold the DOT harmless from any action
or liability arising out of the design, construction, maintnance, 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) and IAC 160.
No person shall, on the grounds of age, race, creed, sex, color, national origin, religion, or
disability, be excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination under any program or activity for which the Recipient
receives state funds from the DOT.
37. The Recipient shall use positive efforts to solicit bids from and to utilize Targeted Small
Business (TSB) enterprises as contractors and ensure that the contractors make positive
efforts to utilize these enterprises as subcontractors, suppliers or participants in the work
covered by this agreement. Efforts shall be made and documented in accordance with
Exhibit E which is attached hereto and by this reference incorporated into this agreement.
38. The Recipient shall conduct the project development and implementation in compliance
with applicable laws, ordinances and administrative rules. For portions of the project let
to bid, the Recipient shall advertise for bidders, make a good faith effort to get at least
three bidders and hold a public letting for the project work. Prior to awarding the
contract, the Recipient shall provide the DOT file copies of project letting documents
within five (5) working days after the letting. The Recipient must wait for DOT
concurrence before making the final award.
39. The Recipient shall include in their Notice to Bidders that Sales Tax Exemption
Certificates will be issued, as provided for by Iowa Code section 423.3, subsection 80.
The Recipient shall be responsible for obtaining the sales tax exemption certificates
through the Iowa Department of Revenue and Finance. The Recipient shall issue these
certificates to the successful bidder and any subcontractors to enable them to purchase
qualifying materials for the project free of sales tax.
40. The Recipient shall notify the DOT's contact person within 30 days of the date the RISE
project was constructed and open to traffic. The Recipient shall certify to the DOT's
contact person within three years of the date the RISE project is constructed and open to
traffic any associated economic development which has resulted from the project,
including infrastructure improvements, capital investment, and/or job creation. This
certification by the Recipient is subject to review by the DOT.
The DOT shall monitor the progress of the associated economic development following
the construction of the RISE project. Failure to certify the associated economic
development shall be considered a default under this agreement.
41. This agreement as set forth in sections 1 through 41 herein, including referenced exhibits,
constitutes the entire agreement between the DOT and the Recipient concerning this
project. Representations made before the signing of this agreement are not binding, and
neither party has relied upon conflicting representations in entering into this agreement.
Any change or alteration to the terms of this agreement must be made in the form of an
addendum to this agreement. Said addendum shall become effective only upon written
approval of the DOT and Recipient.
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No.
2013 -R -018 as of the date shown opposite its signature below.
RECIPIENT.
City of Dubuque
By: / C/. /J --� Date: May 6 ,20j3
Title: M or
I, Kevin S. Firnstahl ,certify that Iam City Clerk
, and that Roy D. B u o l , who
signed said Agreement for and on behalf oft he City of Dubuque was duly
authorized to execute the same by virtue of a formal Resolution duly passed and adopted
by the City Council ,on the 6th day of
M. , 2013
Signed: %e"Tk/ ■- ! Date: May 6 ,2013
Address: 0 W. 13th St., Dubuque, IA 52001
IOWA DEPARTMENT OF 'TRANSPORTATION
Planning, Programming and Modal Division
800 Lincoln Way, Ames, Iowa 50010
By:
Cr Ma pJ ley
D. ctor
O ice of Systems Planning
Date
/S,201)
Exhibit A
City of Dubuque
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Exhibit B
Project activities or costs eligible for RISE funding include only the following:
a. Roadway resurfacing, rehabilitation, modernization, upgrading, reconstruction or initial
construction, including grading and drainage, paving, erosion control, pavement overlays
and shoulder widening and stabilization.
b. Bridge and culvert repair, modernization, replacement or initial construction.
c. Roadway intersection and interchange improvements including warranted traffic
signalization when it is integral to the improvement.
d. Right of way purchase.
e. Construction or improvement of motorist rest areas, welcome centers and information
centers.
f. Design engineering costs and construction inspection costs associated with RISE -
financed projects.
g.
County and City bond principal and interest payments associated with RISE projects. No
financing expenses incurred prior to funding commitment shall be eligible.
h. Storm drainage and storm sewer costs to the extent needed for draining the roadway.
Exhibit C
Activities or costs ineligible for RISE funding include but are not limited to the
following:
a. Any and all costs incurred prior to a funding commitment by the Transportation
Commission except advance right of way costs to protect or preserve a project corridor.
(1) If there is an extreme urgency involving right of way acquisition, a potential applicant
may formally request from the department a written waiver which, if granted, will permit
the applicant to acquire the right of way immediately without jeopardizing the eligibility
of the acquisition costs for future RISE funding. Granting of the waiver shall not imply
or guarantee that a subsequent application which includes the acquisition costs will be
funded. The request for the advance eligibility must include justification regarding the
urgency of the acquisition, a description of the land to be acquired, and a map showing its
location.
(2) The advance eligibility waiver must be requested and approved prior to the applicant's
acquisition of the land in question, and the RISE application which included the
acquisition costs must be received by the DOT within two years following the granting of
the waiver, or the waiver is not valid.
b. Routine roadway, bridge and culvert maintenance, including pothole filling, crack
sealing, seal coating, patching, shoulder maintenance, gravel or earth roadway
maintenance, and bridge painting.
c. Winter roadway and bridge maintenance, including snow plowing, sanding and salting.
d. Overhead and operating costs associated with eligible project activities, including
auditing.
e. Expenses associated with the preparation and submission of applications for RISE
funding.
f. Pre - design engineering expenses.
g. Traffic signalization, except as an integral part of a roadway project.
h. Pavement marking and traffic signs, except as an integral part of a roadway project.
i. Electric, water, natural gas, telephone and other utility construction, reconstruction or
adjustment except when utilities located on private property are replaced or relocated for
project construction.
J•
Safety appurtenances, except as an integral part of a roadway project.
k. Lighting, except as an integral part of a roadway project.
Lighting energy and maintenance costs.
m. Sidewalks, bicycle paths and railroad- highway crossings, except when replacing those
facilities in service and affected by the project, or as an integral part of a roadway project.
n. Parking expenditures, including those for structure, lots, meters and marking.
o. Non- roadway transportation expenditures, including those for railway, aviation, public
transportation and inland waterway facilities and equipment.
p. Purchase of furnishings, construction equipment and personal property.
q. General government expenses and expenses associated with the provision of any public
service which are not eligible for RISE program assistance.
r. Sanitary sewers.
s. Water mains.
t. Donated right of way.
Commission Approval Date
Engineering
Construction
Project Close out
Exhibit D
April 9, 2013
April 2013 - June 2013
July 2013- November 2013
December 2013
Exhibit E
CONTRACT PROVISION
Targeted Small Business (TSB)
Affirmative Action Responsibilities
on
Non- Federal Aid Projects (Third -Party State - Assisted Projects)
April 2012
April 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.ciov /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 responsibility to
carry out and enforce the firm's EEO policy. The EEO officer shall be responsible for developing, managing and
implementing the program on a day -to -day basis. The officer shall also:
A. For current TSB information, contact the Iowa Department of Inspections and Appeals (515- 281 -7102) to
identify potential material suppliers, manufactures and contractors.
B. Make every reasonable effort to involve TSBs by soliciting quotations from them and incorporating them
into the firm's bid.
C. Make every reasonable effort to establish systematic written and verbal contact with those TSBs having
the materials or expertise to perform the work to be subcontracted, at least two weeks prior to the time
quotations are to be submitted. Maintain complete records of negotiation efforts.
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TSB Affirmative Action Responsibilities
D. Provide or arrange for assistance to TSBs in seeking bonding, analyzing plans /specifications or other
actions that can be viewed as technical assistance.
E. Ensure the scheduled progress payments are made to TSBs as agreed in subcontract agreements.
F. Require all subcontractors and material suppliers to comply with all contract equal opportunity and
affirmative action provisions.
6. COUNTING TSBs PARTICIPATION ON A PROJECT
TSBs are to assume actual and contractual responsibilities for provision of materials /supplies, subcontracted work
or other commercially useful function.
A. The bidder may count:
(1)
(2)
(3)
Planned expenditures for materials /supplies to be obtained from TSB suppliers and
manufacturers; or
Work to be subcontracted to a TSB; or
Any other commercially useful function.
B. The contractor may count:
100% of an expenditure to a TSB manufacturer that produces /supplies goods manufactured from
raw materials.
60% of an expenditure to TSB suppliers that are not manufacturers; provided the suppliers
perform a commercially useful function in the supply process.
Only those expenditures to TSBs that perform a commercially useful function in the work of a
contract, including those as a subcontractor.
Work the Contracting Authority has determined that it involves a commercially useful function.
The TSB must have a necessary and useful role in the transaction of a kind for which there is a
market outside the context of the TSB program. For example, leasing equipment or purchasing
materials from the prime contractor would not count.
7. REQUIRED DATA, DOCUMENTS AND CONTRACT AWARD PROCEDURES FROM
BIDDERS /CONTRACTORS FOR PROJECTS WITH ASSIGNED GOALS
A. Bidders
Bidders who fail to demonstrate reasonable positive efforts may be declared ineligible to be awarded the
contract. Bidders shall complete the bidding documents plus a separate form called "TSB Pre -Bid
Contact Information ". This form includes:
(1) Name(s) of the TSB(s) contacted regarding subcontractable items.
(2) Date of the contract.
(3) Whether or not a TSB bid /quotation was received.
(4) Whether or not the TSB's bid /quotation was used.
(5) The dollar amount proposed to be subcontracted.
B. Contractors Using Quotes From TSBs
Use those TSBs whose quotes are listed in the "Quotation Used in Bid" column along with a "yes"
indicated on the Pre -bid Contact Information form.
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TSB Affirmative Action Responsibilities
C. Contractors NOT Using Quotes From TSBs
If there are no TSBs listed on the Pre -bid Contract Information form, then the contractor shall document
all efforts made to include TSB participation in this project by documenting the following:
(1) What pre - solicitation or pre -bid meetings scheduled by the contracting authority were attended?
(2) Which general news circulation, trade associations and /or minority- focused media were
advertised concerning the subcontracting opportunities?
(3) Were written notices sent to TSBs that TSBs were being solicited and was sufficient time allowed
for the TSBs to participate effectively?
(4) Were initial solicitations of interested TSBs followed up?
(5) Were TSBs provided with adequate information about the plans, specifications and requirements
of the contract?
(6) Were interested TSBs negotiated with in good faith? If a TSB was rejected as unqualified, was
the decision based on an investigation of their capabilities?
(7) Were interested TSBs assisted in obtaining bonding, lines of credit or insurance required by the
contractor?
(8) Were services used of minority community organization, minority contractors groups; local, State
and Federal minority business assistance offices or any other organization providing such
assistance.
The above documentation shall remain in the contractor's files for a period of three (3) years after the completion
of the project and be available for examination by the Iowa Department of Inspections and Appeals.
8. POSITIVE EFFORT DOCUMENTATION WHEN NO GOALS ARE ASSIGNED
Contractors are also required to make positive efforts in utilizing TSBs on all State- assisted projects which are not
assigned goals. Form "TSB Pre -bid Contact Information" is required to be submitted with bids on all projects. If there
is no TSB participation, then the contractor shall comply with section 7C. of this document prior to the contract award.
Page 3
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 4
April 2012
UTILIZATION OF TARGETED SMALL BUSINESS (TSB) ENTERPRISES
ON NON - FEDERAL AID PROJECTS
(THIRD -PARTY STATE - ASSISTED PROJECTS -LET LOCALLY)
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, and for locally let projects, 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.
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 let by the
Recipient and forwarded to: Iowa Department of Transportation, Civil Rights Coordinator, Office of Employee
Services, 800 Lincoln Way, Ames, IA 50010.
Page 5
April 2012
CHECKLIST AND CERTIFICATION
For the Utilization of Targeted Small Businesses (TSB)
On Non - Federal -aid Projects (Third -Party State - Assisted Projects - Locally Let)
Recipient: Project Number:
County: Agreement Number:
1. Were the names of qualified TSB firms obtained from the Iowa Department of Inspections and Appeals? ❑ YES ❑ NO
If no, explain
2. Were qualified TSB firms notified of project? ❑ YES ❑ NO
If yes, by ❑ letter, ❑ telephone, ❑ personal contact, or ❑ other (specify)
If no, explain
3. Were bids or proposals solicited from qualified TSB firms? ❑ YES ❑ NO
If no, explain
4. Was a goal or percentage established for TSB participation? ❑ YES ❑ NO
If yes, what was the goal or percentage?
If no, explain why not:
5. Did the prime contractor or consultant use positive efforts to utilize TSB firms on subcontracts? ❑ YES ❑ NO
If no, what action was taken by Recipient?
Is documentation in files? ❑ YES ❑ NO
6. What was the dollar amount reimbursed to the Recipient
from the Iowa Department of Transportation? $
What was the final project cost? $
What was the dollar amount performed by TSB firms? $
Name(s) and address(es) of the TSB firm(s)
(Use additional sheets if necessary)
Was the goal or percentage achieved? ❑ YES ❑ NO
If no, explain
As the duly authorized representative of the Recipient, I hereby certify that the Recipient used positive efforts to utilize
TSB firms as participants in the State - assisted contracts associated with this project.
Title
Signature
Page 6
Date