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HomeMy WebLinkAboutIDOT - RISE funding FY2020 Lone Tree Road Ext. Cont No. 977 - 4/1/2019Please return this copy to'. City Clerk & Finance Dept. 715 Mulberry St. Waterloo, IA 50703 Iowa Department of Transportation Agreement for a Revitalize Iowa's Sound Economy Program (RISE) Project RECIPI}NT: Waterloo PROJECT NO: RM -8155(764)--9D-07 IOWA DOT AGREEMENT NO.: 2019-R-007 This is an agreement between Waterloo (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, and the application was approved by Transportation Commission Order No. PPM -2019-59 on March 12, 2019. Pursuant to the terms of this agreement, and applicable statutes and administrative rules the DOT agrees to provide finding to the Recipient for the authorized and approved costs for eligible items associated with the construction of approximately 1,150 feet of Lone Tree Road located on the northwest side of town. In consideration of the foregoing and the mutual promises contained in this agreement, the parties agree as follows: 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 Jennifer Kolacia, Office of Systems Planning, 800 Lincoln Way, Ames, Iowa 50010, 515-239-1738, email Jennifer.Kolacia@aiowadot.us. The Recipient's contact person shall be Noel Anderson, Community Planning & Development Director, City of Waterloo, 715 Mulberry Street, Waterloo, IA 50703, noel.anderson@waterloo-ia.org, 319-291-4366. 3. The Recipient shall be responsible for the development and completion of the following described project: Construction of approximately 1,150 feet of Lone Tree Road located on the northwest side of town Project provides access to five lots totaling more than 38 acres for light industrial and manufacturing purposes. The associated economic development is the majority of the designated development area (38 acres in total and shown on Exhibit A) will be developed with RISE eligible land uses. See Exhibit A. Eligible project costs for the project described in Section 3 of this agreement, listed above, date of project approval (funding commitment) by the Transportation Commission shall be paid as follows: City RISE Funds: $383,360 City Local Contribution: $383,360 Project Total: $766,720 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 agre ment. 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 agr., ment, 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 $363,360 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 tune 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. The Recipient shall complete all known required environmental permits before the project is advertised for letting. In addition, the Recipient shall fully comply with all applicable enviromnental requirements before funds are reimbursed or credited. The approval of the project application for funding nor the signing of this agreement nor the concurrence to advertise 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 advertising of each division. Project cannot be advertised until DOT concurrence has been acquired. 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 letting. 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 five 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 a set 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, 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 agr ment 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. 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. In accordance with Iowa Code Chapter 216, the Recipient shall not discriminate against any person on the basis of race, color, creed, age, sex, sexual orientation, gender identity, national origin, religion, pregnancy, or disability. 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. Local Development: 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. Land: The Recipient shall also provide certification documentation to the DOT's contact person within three years of the date the RISE project is constructed and open to traffic that the majority of the area that was developed is RISE eligible. The Recipient will certify that the developed area has been maintained as a RISE eligible development and that the said development meets RISE eligibility requirements. This certification by the Recipient is subject to audit by the DOT and the DOT has sole authority to determine whether the associated economic development has been accomplished. if the majority of the developed area is not RISE eligible then the Recipient shall pay back an amount determined by the DOT up to the full repayment of the RISE award. 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 agre ment 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. 2019-R-007 as of the date shown opposite its signature below. RECIPIENT: WATERLOO By: Title: Mayor Date CERTIFICATION: me of City Clerk) , certify that I am the Clerk of the city, and that t\ \My\ \ �r' ��zt r -� , who signed said Agreement for and on behalf of (Name of Mayor/Signer Above) the city was duly authorized to execute the same by virtue of a formal resolution duly passed Or— and adopted by the city, on the day of ZU t°I . Signed: City Clerk oaterloo, Iowa. IOWA DEPARTMENT OF TRANSPORTATION Planning, Programming and Modal Division 800 Lincoln Way, Ames, Iowa 50010 By: Date Craig Markley Director Office of Systems Planning Exhibit A Project Site Map: Exhibit B Project activities or costs eligible for RISE funding, and which may be counted as part of the non -RISE participation in immediate opportunity and local development roadway projects, 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. Public transportation system improvements, including but not limited to bus shelters, bus turnouts, and passenger information signage, when they are integral to the roadway improvement and were approved for inclusion in the project by the Department prior to the funding commitment. e. Bicycle and pedestrian infrastructure improvements, including but not limited to sidewalks, at -grade pedestrian crossings, bike lanes, and separated bike lanes, when they are integral to the roadway improvement and were approved for inclusion in the project by the Department prior to the funding commitment. f. Right-of-way acquisition costs, including but not limited to appraisals, negotiation, compensation, and cultural resources surveys necessary to comply with applicable local, state and federal laws, rules and regulations. Construction or improvement of motorist rest areas, welcome centers and information centers. h. Design engineering costs leading to construction plan development and construction inspection costs associated with RISE -financed projects. County and City bond principal and interest payments associated with RISE projects. No financing expenses incurred prior to funding commitment shall be eligible. Storm drainage and storm sewer costs to the extent needed for draining the roadway. j. k. Reconstruction or adjustment of utilities, including but not limited to water, sanitary sewer, electric, telephone, and natural gas, when utilities are located on private property and require replacement or relocation due to project construction; or said utilities are located in the public right-of-way and the utility is not required to relocate at its own expense. 1. Costs associated with the acquisition of local, state and federal permits required for roadway construction. Exhibit C Activities or costs ineligible for RISE funding, and which may not be counted as part of the non - RISE participation in immediate opportunity or local development roadway projects, include but are not limited to the following: a. Any and all costs incurred prior to a funding commitment by the Transportation Commission unless granted advance eligibility to incur costs according to Administrative Rule 761-163.9(315): b. Routine roadway, bridge and culvert maintenance, including but not limited to pothole filling, crack sealing, seal coating, patching, shoulder maintenance, gravel or earth roadway maintenance, and bridge painting. c. Winter roadway and bridge maintenance, including but not limited to 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, feasibility or alignment studies, and other planning 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. Utility construction, reconstruction or adjustment except for those activities or costs described in Exhibit B, Item k. ,I. Safety appurtenances, except as an integral part of a roadway project. k. Lighting, except as an integral part of a roadway project. 1. Lighting energy and maintenance costs. m. Sidewalks, bicycle paths and railroad -highway crossings, except when replacing those facilities in service and affected by the project, or as an integral part of a roadway project. n. Parking expenditures, including those for structure, lots, meters, paving, and marking whether on -street or off-street parking. 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. General government expenses and expenses associated with the provision of any public service which are not eligible for RISE program assistance. Donated right of way. Exhibit ll Project Implementation Schedule: Commission Approval Date March 12, 2019 Construction: September 2019 Project Closeout: July 2020 Exhibit E CONTRACT PROVISION Targeted Small Business (TSB) Affirmative Action Responsibilities on Non -Federal Aid Projects (Third -Party State -Assisted Projects) March 2019 March 2019 CONTRACT PROVISION Targeted Small Business(TSB)Affirmative Action Responsibilities on Non -Federal -aid Projects (Third -party State -Assisted Projects) TSB DEFINITION A TSB is a small business, as defined by Iowa Code Section 15.102(10), which is 51% or more owned, operated and actively managed by one or more women, minority persons, service disabled veterans or persons with a disability provided the business meets all of the following requirements: is located in this state, is operated for profit and has an annual gross income of less than 4 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. These requirements supersede all existing TSB regulations, orders, circulars and administrative requirements. 3. TSB DIRECTORYINFORMATION Available from: Iowa Economic Development Authority Targeted Small Business Certification Program 200 East Grand Avenue Des Moines, IA 50309 Phone: (515-348-6159) Website: https://iowaeconomicdevelopment.com/tsb 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 APPOINTAN 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 Economic Development Authority (515-348-6159) 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. Page 1 TSB Affirmative Action Responsibilities 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. 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 usefulfunction. 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 CONTRACTAWARD PROCEDURES FROM BIDDERS/CONTRACTORS FOR PROJECTS WITH ASSIGNED GOALS 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) Nam e(s) of the TSB(s) contacted regarding subcontractable items. (2) Date ofthe 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. 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. Page 2 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 concerningthe 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 fora period of three (3) years after the completion of the project and be available for examination by the Iowa Economic Development Authority. 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 m 0) N 0) w Z D o mF J 2 J 0O Q LL U wr¢- wo O w❑ CD Ea W < (To Be Completed By All Bidders Per The Current Contract Provision) a T L a ro E U ea 0 U N m E m N U) rn ro 0 0) 0 0 0 0 0 U) O O 0 O O N ro 0' C 0 O U ED_ -a N ° o 0 c o 00. 0 a a0) N lb - a) O :a 0 w N C C 0 0 nro O 0 a C_ a N L 01— C O N a `o n C N co co O C a) a CO 0 ro E T O L m U 0 U m 0 O 0 o) a CO 0 O Ll m .0 a) m`L C N E N E O O co N N 6 y 6 0 O) O N O N m C '00 f9 ro m E ma) -o 13o a — rnc CO to H 0 a) ..L, U m m - C a L.0 C 0, O ro `m 0 0 Y a ., r_ LO >L m N O C C a 0) N ro 0 v N Eo m ro (0 O 0) -o t 9 ro y 0 0 0)) p U m ro di Um Z, a ro (0 N W OU c p m m C7 H E w 0 a) = Z co ro 0 m C Q coJ 0 co y 0 W O oil' 0 wt 0 0 m ~ U Na _0 f- � o ro N m ro oa 0 0 o' w 0) 0.0 .20 0 4) a ro E E nw N ro L- O " _ a 0 a) LI 0 m W . . '- -45 Z fR R N C O m m F O m C a .. a o CD U L A o 0C U a� en 0 O en N O.0) O 9 O C U) 0 E O E c ro T 9 N o E a QUOTATION USED IN BID DOLLAR AMT. PROPOSED TO BE SUBCONTRACTED YES/ NO QUOTES RECEIVED DATES CONTACTED } OZ DATES CONTACTED m H SUBCONTRACTOR fR R N C O m m F O m C a .. a o CD U L A o 0C U a� en 0 O en N O.0) O 9 O C U) 0 E O E c ro T 9 N o E a March 2019 UTILIZATION OF TARGETED SMALL BUSINESS (TSB) ENTERPRISES ON NON-FEDERAL AID PROJECTS (THIRD -PARTY STATE -ASSISTED PROJECTS) In accordance with Iowa Code Section 198.7, 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 Economic Development Authority (515- 348-6159) or from its website at: https://iowaeconomicdevelopment.com/tsb. 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 from the Administering Office. 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 5 March 2019 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 6 March 2019 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? DYES ONO If no, explain 2. Were qualified TSB firms notified of project? D YES D NO If yes, by 0 letter, 0 telephone, D personal contact, or D other (specify) If no, explain 3. Were bids or proposals solicited from qualified TSB firms? 0 YES D NO If no, explain 4. Was a goal or percentage established for TSB participation? D YES 0 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? D YES 0 NO If no, what action was taken by Recipient? Is documentation in files? 0 YES 0 NO 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? D YES 0 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 Page 7 Iowa Department of Transportation Office of Systems Planning Planning, Programming and Modal Division 800 Lincoln Way, Ames, IA 50010 SUBMITTALS REQUIRED ON LOCALLY LET STATE -AIDED RISE/SRT PROJECTS ❑ Except where indicated otherwise below, submittals should be sent to the address shown above or via email or TPMS, if applicable. If a consultant will be providing design and/or construction phase services on your behalf, you need to provide the project engineer with a copy of the agreement and this notice and determine who will make the required submittals. ❑ As of the Transportation Commission Meeting date, you have the authority to start incurring costs for reimbursement. Note: grant funding cannot be disbursed until a fully executed agreement is on file. ❑ An agreement will be sent to you either electronically or hard copy. Execute two original agreements and mail both to our office to fully execute. One original will be mailed to you for your records. (In prior agreed to circumstances, the agreement submission may be delayed.) Fl The RISE/SRT program is a cost -reimbursement program. This means that you will need to carry funds until disbursements are made. To request reimbursement, submit an original signed Claim Form 240011 along with copies of all invoices; copies of cancelled checks and all other supporting documentation (see instructions on Claim Form). The form is available at: http://www.iowadot.gov/forms/index.htm. ❑ Submit one set of proposed bidding documents (this includes check plans submitted on 11x17 sheets, bidding proposal, DOT or Local specifications, special provisions, and any other standard contract requirements) for review (or digital plans). The bid package shall include the Targeted Small Business (TSB) Contract Provisions unless the contracting authority has developed their own comparable provisions. Any modification of these plans and specifications must be approved by the DOT prior to the modification being put into effect. ❑ Include a detailed cost estimate and indicate the anticipated letting date. Refer to the project agreement regarding when the submittal is to be made. Review time for bidding documents is a minimum of 30 calendar days. ❑ For Projects including Sidewalks, ADA compliance is required. S sheets contain sidewalk plan sheets and tabulations that show detailed information for sidewalk layouts that must comply with ADA laws. For more information, see Iowa DOT Design Manual section 1F-18. The S sheets contain the following items in the order listed: 1. Sidewalk Sheet Legend and Symbol Information Sheet. 2. Plan Sheets for Sidewalk Layouts. 3. Tabulation of Sidewalk. SUDAS and Iowa DOT jointly developed this section based on the July 26, 2011 "Proposed Accessibility Guidelines for Pedestrian Facilities in the Public Right -of -Way." This section was developed in accordance with Federal regulations (23 CFR 652 and 28 CFR 35) and is the standard for use by all governmental entities in the State of Iowa. A local jurisdiction may elect to produce their own standards; however, these will require review and approval by FHWA and/or the United States Department of Justice. Where sidewalks are provided, they must be constructed so they are accessible to all potential users, including those with disabilities. If an existing pedestrian path is within the project limits, the contract documents must address how or if pedestrian access will be provided. The pedestrian paths may remain open, may be closed or may be detoured. Remain Open: No special accommodations need to be made. Sometimes a statement is included in the contract documents stating the pedestrian path(s) are to remain open during construction. Closed: Type II barricades meeting the requirements of NCHRP Report 350 must be installed that extends the full width of the closed pedestrian path. The top rail of the barricade is to be 36 to 42 inches above the pedestrian path surface. The top rail of the barricade is parallel to the bottom rail and situated to allow pedestrians to use the rail as a guide for their hands. The toe rail on the barricades must have minimum sight distance restrictions for road users. Per Section 2528.01A(10) of the Standard Specifications, the contractor must provide 10 calendar days advance notification of a pedestrian path closure to the Iowa Department of the Blind, curtis.chong@blind.state.ia.us and mark.edge@blind.state.ia.us; the National Federation of the Blind of Iowa, nfbiowa@qwestoffice.net; and the Construction Monitoring Engineer. Detoured: When crosswalks or other pedestrian facilities are closed or relocated, temporary facilities shall be detectable and shall include accessibility features consistent with the features present in the existing pedestrian facility. For more detail see Notes and Figure 6H.28 Sidewalk Detour or Diversion (TA -28) in the 2009 MUTCD at http://mutcd.fhwa.dot.gov/pdfs/2009/mutcd2009edition.pdf, page 688-689. ❑ After addressing all review concerns/comments, submit a set of the final bidding documents and request DOT approval to let the project. a) If the project involves through traffic lanes on a primary route: proposed extra work orders are to be submitted for review and concurrence prior to approval; working day reports are to be submitted; and materials inspection submittals are to be made to the District Materials Engineer at the DOT District Office for your area, in accordance with applicable Material's Instructional Memorandums. b) If the project involves a new or revised interchange access, refer to the DOT, Office of Systems Planning, planning guide for further assistance and work with the appropriate District Engineering Office. The link to the Interchange Justification process is: http://www.iowadot.gov/systems_ planning/pr_guide/Interchange%20Justification/Process %20for%20new %20or%20revised%20interstate%20access. pdf c) If the project involves any roadway improvements to a primary route, current DOT specifications and bid items are to be used for all work that pertains to the primary route. Also, one set of proposed bidding documents needs to be provided to the appropriate District Engineering Operations Technician along with a request for a permit. The permit needs to be obtained prior to project letting. If the project affects a primary route, refer to the project agreement and fulfill all obligations regarding right of way activities (if a consultant will be performing the services, ensure they make the required submittals). ❑ Submit any addendums that are issued to bidders prior to the letting. ❑ DOT recommends, the recipient request a pre-bid meeting and reiterate the importance of completing the TSB documentation correctly. Assist the bidders in locating the up-to-date TSB directory provided by the Department of Inspections and Appeals. Additional guidance is included in the Contact Provisions as part of the RISE/SRT agreement, Submit a copy of the pre-bid meeting minutes. 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 in the agreement. ❑ Conduct the letting. 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. ❑ Following the letting submit a tabulation of bids along with TSB documentation from all bidders; inform us of the contracting authority's determination regarding the lowest responsive bid/bidder and request Iowa DOT concurrence to award the contract. Also include in the request for concurrence: all needed right of way has already been obtained or that physical possession will occur prior to the letting. a) 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 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 19701 as amended. The DOT Office of Right of Way can assist if additional guidance is needed. Their phone number is: 515-239-1216. b) The Recipient shall certify that all known required environmental permits have been received and that all environmental regulations have been complied. The DOT Office of Location and Environment can assist if additional guidance is needed. Their phone number is: 515-239-1225. ❑ Following award of contract to the lowest responsive bidder, submit one copy of the contract. Submit a copy of the preconstruction meeting minutes, if a meeting was held. ❑ 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. ❑ DOT Approval of Change Orders are needed on DOT Change Order Forms on the project if there is a change in the scope of the project prior to work being started or if the project includes work on a primary route (DOT jurisdiction); otherwise on all other recipient. approved change orders, submit one copy of the fully executed change order for our file if minor work items are adjusted and scope of project is unchanged. ❑ Before the recipient accepts the project, contact the Iowa DOT project manager and schedule a time to conduct a site review of the project for any noncompliance measures. ❑ Upon project completion, submit an original Form 640003 ("Certificate of Completion and Final Acceptance of Agreement work") which is available at: http://www.iowadot.gov/forms/index.htm. Note: for RISE projects, the field completion date is the date the roadway was open to traffic. ❑ Along with the Form 640003, an original "Checklist and Certification for the Utilization of Targeted Small Businesses (TSB) on Non -Federal -aid Projects" shall be completed by the Recipient and mailed in. This checklist is attached to the RISE agreement. ❑ On RISE projects, submit two sets of final "as -built" project plans within six months after the roadway project is complete. On SRT projects, submit one set of final "as -built" project plans within six months after project is complete. ❑ The Recipient shall certify 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 audit by the DOT and the DOT has sole authority to determine whether the associated economic development has been consummated. ❑ The DOT shall monitor the progress of the associated economic development following the construction of the RISE project.