HomeMy WebLinkAboutIowa Department of Transportation-11/1/2010IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT
FOR THE FISCAL YEAR 2011
COMMERCIAL SERVICE VERTICAL INFRASTRUCTURE PROGRAM (CSVI)
This AGREEMENT is made between the Iowa Department of Transportation called the "Iowa
DOT" and City of Waterloo, hereafter the "SPONSOR".
1.00 PURPOSE:
The purpose of this agreement is to set forth terms, conditions and
obligations for accomplishment of certain improvements at the
Waterloo Regional Airport, hereafter the "Airport".
Improvements shall consist of:
Rehabilitate hangars, as more clearly defined in the project application.
It shall be referred to as the "Project" and shall be identified by
Project number: 9I110AL0200
Contract number: 12278
2.0 GENERAL PROVISIONS
2.01 The SPONSOR shall have the project under contract no later than 12 months after the
date of the agreement or the Iowa DOT reserves the right to revoke this grant.
2.02 The Iowa DOT agrees to reimburse the SPONSOR 100% of the eligible project costs, not
to exceed the maximum amount payable of $104,082, incurred according to the terms of
this agreement. Reimbursement will be made in whole dollar amounts only, rounded
down. Final payment request may include documentation of unreimbursed amounts due
to rounding. Final reimbursement will be made up to the contract amount in whole
dollars.
2.03 All projects meeting the definition of public improvements shall follow the competitive
bid and competitive quotation procedures for vertical infrastructure as identified in
Chapter 26 of the Code of Iowa and 761 Iowa Administrative Code Chapter 180.
(http://www.legis.state.ia.us/Rules/Current/iac/761 iac/t180/t180.pdf )
• Competitive bid procedures for all projects greater than $100,000.
• Competitive quotation procedures for airport authorities and city sponsors with
populations greater than 50,000 for projects between $65,000 and $100,000
• Competitive quotation procedures for airport authorities and city sponsors with
population of 50,000 or less for projects between $45,000 and $100,000,
• Informal local procedures for projects less than the thresholds identified for
competitive quotations.
The SPONSOR shall follow requirements of the Iowa Code Section 544A.18, 193B Iowa
Administrative Code Chapter 5, Chapter 542B of the Code of Iowa, and 193C
Administrative Code Chapter 1 to determine when professional engineering or
architectural plans and specifications must be used.
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FY 2011 CSV1Con rac Number: 12278 Project 1y umber: 91110A L0200
2.02 Should the SPONSOR fail to comply with any Condition or Assurance provided herein,
the Iowa DOT may withhold further payment and may require reimbursement of any or
all payments made by the Iowa DOT toward accomplishment of the Project.
2.03 The Iowa DOT shall not waive any right of authority by making payments pursuant to
this agreement, and such payments shall not constitute approval or acceptance of any part
of the Project.
2.06 Neither the Department nor the Sponsor intend to create rights in, and shall not be liable
to, any third parties by reason of this agreement.
2.07 If any provision of this agreement is held invalid, the remainder of this agreement shall
not be affected thereby if such remainder would then continue to conform to applicable
law and the intent of this agreement.
2.08 The Iowa DOT shall determine what costs charged to the project account are eligible for
participation under the terms of this agreement and the SPONSOR shall bear all
additional costs accepted and paid.
2.09 Notwithstanding any other provisions of this agreement, the Iowa DOT shall have the
right to enforce, and may require the SPONSOR to comply with, any and all Conditions
and Assurances agreed to herein.
2.10 The Iowa DOT's obligations hereunder shall cease immediately, without penalty of
further payment being required, in any year for which the General Assembly of the State
of Iowa fails to make an appropriation or reappropriation to pay such obligations, and the
Iowa DOT's obligations hereunder shall cease immediately without penalty of further
payment being required at any time where there are not sufficient authorized funds
lawfully available to the Iowa DOT to meet such obligations. The Iowa DOT shall give
the SPONSOR notice of such termination of funding as soon as practicable after the Iowa
DOT becomes aware of the failure of funding. In the event the Iowa DOT provides such
notice, the SPONSOR may terminate this agreement or any part thereof.
The Sponsor specifically acknowledges it is aware that the Legislature has appropriated
$1.5 million for the Commercial Service Vertical Infrastructure Program, to be funded
from the sale of revenue bonds as part of the I -Jobs program. These bonds have not yet
been sold, and in the event that the bonds do not produce enough income to cover all of
the appropriations made by the legislature resulting in a deappropriation at a later time,
the Iowa DOT's obligations hereunder shall cease immediately, without penalty of
further payment being required.
2.11 The SPONSOR is the contracting agent and, as such, retains sole responsibility for
compliance with local, state and federal laws and regulations related to accomplishment
of the Project. The sponsor shall ensure compliance with Title VI of the Civil Rights Act
of 1964, 78 STAT. 252, 42 U.S.C. 2000d-42 U.S.C. 2000d-4, and all requirements
imposed by or pursuant to Title 49, Code of Federal Regulations, Department of
Transportation, Subtitle A, Office of the Secretary, Part 21— to the end that no person in
the United States shall, on the grounds of race, color, or national origin, be excluded from
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FY 201 1 CSVIContract Number: 12273 Projeci Number: 91110A1-0200
participation in, be denied the benefits of, or be otherwise subjected to discrimination
under any program or activity receiving financial assistance from the Iowa DOT.
2.12 The attached Exhibit A, "Utilization of Targeted Small Business (TSB) Enterprises on
Non -Federal Aid Projects (Third -Party State Assisted Projects)," will apply and is hereby
made a part of this Agreement.
2.13 Funding will be available for reimbursement of the project for three fiscal years after the
date of the agreement, unless appropriations are withdrawn under 2.10. Assurances in
this agreement remain in full force and effect for a period of 20 years from the date of the
agreement.
3.00 PROJECT CONDITIONS
3.10 The SPONSOR Agrees to:
(a) Let contracts according to provisions Chapter 26 of the Code of Iowa and preside
at all public hearings occasioned by the Project.
(b) Contract for all professional and construction services as needed, submitting a
copy of any consultant/engineering contract to the Iowa DOT if reimbursement
for the engineering will be submitted to the Iowa DOT. If the
engineering/consultant agreement is $50,000 or greater and the sponsor will
request state reimbursement for the engineering/consultant services, the
agreement must be submitted to the Iowa DOT for pre -audit prior to execution of
the agreement.
(c) Establish and maintain a project schedule, to preclude unnecessary construction
delays and to assure minimum inconvenience to the public.
(d) Submit to the Iowa DOT a Request for Reimbursement form, copies of invoices,
and proof of payment for reimbursement. Progress payments are allowed.
(e) Inspect work and equipment, test materials, and control construction to ensure
that the design intent of the plans and specifications is achieved.
(g) Inform the Iowa DOT of construction completion and allow the Iowa DOT access
to review the completed project.
(h) Retain all records relating to project cost, including supporting documents, for a
period of three (3) years following final payment by the Iowa DOT, and to make
such records and documents available to Iowa DOT personnel for audit.
(i) Submit quarterly project information electronically into the I -Jobs program at
reporting.iowa.gov, providing contractor information including hours worked on
the project and residency, status updates and other information as required by the
I -Jobs program.
4.00 SPECIAL PROVISIONS
4.01 The Project is for the sole purpose and use of aviation related activities and must be
owned by the SPONSOR. The SPONSOR shall not lease airport space constructed with
this grant to activities unrelated to aviation.
5.00 SPONSOR ASSURANCES
By authorizing execution of this agreement the SPONSOR hereby certifies that:
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FY 2011 CSVIContract Number: 12278 Project Number: 9I110AL0200
5.01 It will not enter into any transaction which would operate to deprive it of any of the rights
and powers necessary to perform any or all of the assurances made herein, unless by such
transaction the obligation to perform all such covenants are assumed by another public
agency.
5.03 It will not dispose of or encumber its title or other interests in the site and facilities during
the 20 -year period of this agreement.
5.04 It will operate and maintain in a safe and serviceable condition the Airport and all
facilities thereon and connected therewith which are necessary to service the aeronautical
users of the Airport and will not permit any activity thereon which would interfere with
its use for airport purposes.
5.05 Insofar as it is within its power and reasonable, the Sponsor will, either by the acquisition
and retention of easements or other interests in or rights for the use of land or airspace
and by the adoption and enforcement of zoning regulations, prevent the construction,
erection, alteration, or growth of any structure, tree, or other object in the approach areas
of the runways of the Airport, which would constitute an obstruction to air navigation
according to the criteria or standards prescribed in Section 77.23 as applied to Section
77.25, Part 77, of the Federal Aviation Regulations. In addition, the Sponsor will not
erect or permit the erection of any permanent structure or facility that would interfere
materially with the use, operation, or future development of the Airport, or any portion of
a runway approach area in which the Sponsor has acquired, or hereafter acquires.
5.06 It will operate the Airport as such for the use and benefits of the public. In furtherance of
this covenant (but without limiting its general applicability and effect), the SPONSOR
specifically agrees that it will keep the Airport open to all types, kinds, and classes of
aeronautical use on fair and reasonable terms without unlawful discrimination between
such types, kinds, and classes. The SPONSOR may establish such fair, equal, and not
unjustly discriminatory conditions to be met by all users of the Airport as may be
necessary for the safe and efficient operation of the airport. The SPONSOR may also
prohibit or limit any given type, kind, or class of aeronautical use of the Airport if such
action is necessary for the safe operation of the Airport or necessary to serve the civil
aviation need of the public.
5.07 It will operate the Airport on fair and reasonable terms, and without unjust
discrimination. In furtherance of the covenant (but without limiting its general
applicability and effect,) the SPONSOR specifically covenants and agrees:
(a) That in its operation and the operation of all facilities on the Airport, neither it nor
any person or organization occupying space or facilities thereon will discriminate
against any person or class or persons by reason of race, color, creed, or national
origin in the use of any of the facilities provided for the public on the Airport.
5.08 The SPONSOR will keep up-to-date and provide to the Iowa DOT an airport layout plan.
The SPONSOR will not make or permit the making of any changes or alterations in the
Airport or any of its facilities other than in conformity with the airport layout plan, if
such changes or alterations might adversely affect the safety, utility, or efficiency of the
Airport.
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FY 2011 CSVIContract Number: 12278 Project Number: 911 10ALO200
6.00 EXECUTION OF THE AGREEMENT. By resolution made a part of this agreement
the SPONSOR authorized the undersigned to execute this agreement.
Signed this
SPONSOR.
By:
Title:
2
day of
J\JaYOx'/j'V ,.8Q' 0 , on behalf of the
Attested:
esf C� • C.Acta —
Air
Title:
Signed this day of
Iowa Department of Transportation.
By: L/7/7/LR
Michelle F. cEnany
Director
Office of Aviation
Page 5 of 5
0, on behalf of the
Exhibit A
CONTRACT PROVISION
Targeted Small Business (TSB)
Affirmative Action Responsibilities
On
Non -Federal Aid Projects (Third -Party State -Assisted Projects)
April 2010
April 2010
CONTRACT PROVISION
Targeted Small Business (TSB) Affirmative Action Responsibilities
on Non -Federal -aid Projects (Third -party State -Assisted Projects)
1. TSB DEFINITION
A TSB is a small business, as defined by Iowa Code Section 15.102(5), which is 51% or more owned, operated
and actively managed by one or more women, minority persons or persons with a disability. Generally this is a
for-profit small business enterprise under single management, is located in Iowa and has an annual gross income
of less than 3 million dollars computed as an average of the three preceding fiscal years.
2. TSB REQUIREMENTS
In all state -assisted projects made available through the Iowa Department of Transportation, local governments
have certain affirmative action requirements to encourage and increase participation of disadvantaged individuals
in business enterprises. These requirements are based on Iowa Code Section 196.7 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 contractor's 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.
Exhibit A - Page 1
April 2010 - 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 TSB 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:
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.
Exhibit A - Page 2
April 2010 - 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.
Exhibit A - Page 3
Form 730007WP 7-97
Contractor
Project#
County
City
TARGETED SMALL BUSINESS (TSB)
PRE-BID CONTACT INFORMATION
Page#
(To Be Completed By All Bidders per the Current Contract Provision)
In order for your bid to be considered responsive, you are required to provide information on this form showing your Targeted Small Business contacts made with your bid
submission. This information is subject to verification and confirmation.
In the event it is determined that the Targeted Small Business goals are not met, then before awarding the contract, the Contracting Authority will make a determination as
to whether or not the apparent successful low bidder made good faith efforts to meet the goals.
NOTE: Every effort shall be made to solicit quotes or bids on as many subcontractable items as necessary to achieve the established goals. If a TSB's quote is used in
the bid, it is assumed that the firm listed will be used as a subcontractor.
TABLE OF INFORMATION SHOWING BIDDERS PRE-BID
TARGETED SMALL BUSINESS (TSB) CONTACTS
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:
Exhibit A - Page 4
UTILIZATION OF TARGETED SMALL BUSINESS (TSB) ENTERPRISES
ON NON-FEDERAL AID PROJECTS
(THIRD -PARTY STATE -ASSISTED PROJECTS)
In accordance with Iowa Code Section 196.7 and 541 Iowa Administrative Code (IAC) Chapter 4, it is the policy of the Iowa
Department of Transportation (Iowa DOT) that Targeted Small Business (TSB) enterprises shall have the maximum practicable
opportunity to participate in the performance of contracts financed in whole or part with State funds.
Under this policy the Recipient shall be responsible to make a positive effort to solicit bids or proposals from TSB firms and to
utilize TSB firms as contractors or consultants. The Recipient shall also ensure that the contractors or consultants make positive
efforts to utilize TSB firms as subcontractors, subconsultants, suppliers, or participants in the work covered by this agreement.
The Recipient's "positive efforts" shall include, but not be limited to:
1. Obtaining the names of qualified TSB firms from the Iowa Department of Inspections and Appeals (515-281-7102) or
from its website at: http://dia.iowa.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.iowadot.gov/local systems/publications/tsb contract provision.pdf
b) Ensuring that the awarded contractor has and shall follow the contract provisions.
6. For consultant contracts:
a) Identifying the TSB goal in the Request for Proposal (RFP), if one has been set.
b) Ensuring that the selected consultant made a positive effort to meet the established TSB goal, if any. This should
include obtaining documentation from the consultant that includes a list of TSB firms contacted; a list of TSB firms
that responded with a subcontract proposal; and, if the consultant does not propose to use a TSB firm that submitted
a subcontract proposal, an explanation why such a TSB firm will not be used.
The Recipient shall provide the Iowa DOT the following documentation:
1. Copies of correspondence and replies, and written notes of personal and/or telephone contacts with any TSB firms.
Such documentation can be used to demonstrate the Recipient's positive efforts and it should be placed in the general
project file.
2. Bidding proposals or RFPs noting established TSB goals, if any.
3. The attached "Checklist and Certification." This form shall be filled out upon completion of each project and forwarded to:
Iowa Department of Transportation, EEO Administrator, Office of Contracts, 800 Lincoln Way, Ames, IA 50010.
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 firms(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 Date