HomeMy WebLinkAboutIDOT_-_FY26_Dakota_Drive_Ext,_Cont._No._1129_-_4.7.2025Docusign Envelope ID: 722763F4-1F54-4496-BA4C-953837DF90A0
Iowa Department of Transportation
Agreement for a
Revitalize Iowa's Sound Economy Program (RISE) Project
RECIPIENT: Waterloo
PROJECT NO: RM-8155(789)--9D-07
IOWA DOT AGREEMENT NO.: 2025-R-005
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. TD-2025-41 on December 10, 2024.
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 construction of approximately 2,600 feet of Dakota Drive, 470 feet of Wolfe
Avenue, turn lanes on Dakota Drive and a left turn lane on Ansborough Avenue 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 Jennifer Kolacia, Systems
Planning Bureau, 800 Lincoln Way, Ames, Iowa 50010, 515-239-1738, email
Jennifer.Kolacia@iowadot.us. The Recipient's contact person shall be Jamie Knutson P.E.,
City of Waterloo, 715 Mulberry Street, Waterloo, IA 50703, Jamie.Knutson@waterloo-
ia.org, 319-291-4312.
3. The Recipient shall be responsible for the development and completion of the following
described project:
Construction of approximately 2,600 feet of Dakota Drive, 470 feet of Wolfe Avenue, turn
lanes on Dakota Drive and a left turn lane on Ansborough Avenue located on the southwest
side of town.
This project is necessary to provide access to the South Waterloo Business Park, an Iowa
Economic Development Authority certified site of more than 183 acres. The associated
economic development is the majority of the designated development area (183 acres in
total and shown on Exhibit A) will be developed with RISE eligible land uses.
See Exhibit A.
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4. 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: $2,272,935
Waterloo Local Contribution: $1,515,290
Project Total: $3,788,225
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 $2,272,935 or 60 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.
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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. If right of way is required for the project, the LPA shall acquire the necessary right
of way in accordance with 761 Iowa Administrative Code Chapter 111, Real
Property Acquisition and Relocation Assistance. For right of way acquisitions that
impact a primary road, the LPA shall submit preliminary right of way plans to the
DOT's Right of Way Bureau (Property Management LPA Coordinator) for review
and approval prior to the commencement of any acquisition negotiations.
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, Road Design and Maintenance Bureau 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
comply with all state and local environmental requirements and regulations 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.
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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
environmental 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.
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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 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
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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
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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 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.
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IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No. 2025-R-005 as
of the date shown opposite its signature below.
RECIPMagT•a bWaterloo
Ciw (kart
By. D0525D78AAC8449...
Title: Mayor
CERTIFICATION:
Date
April 7
2025
Kelley Fel chl e , certify that I am the Clerk of the city, and that
(Name of City Clerk)
Quentin Hart 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
and adopted by the city, on the day of
,-DocuSigned by:
Signed:
Fddle
A82BC 1 EEO9AB44F...
City Clerk of Waterloo, Iowa.
IOWA DEPARTMENT OF TRANSPORTATION
Transportation Development Division
800 Lincoln Way, Ames, Iowa 50010
By: Date , 20
Debra Arp
Grant Team Leader
Local Systems Bureau
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Exhibit A
Project Site Map:
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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.
g.
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.
i. County and City bond principal and interest payments associated with RISE projects. No
financing expenses incurred prior to funding commitment shall be eligible.
J.
Storm drainage and storm sewer costs to the extent needed for draining the roadway.
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.
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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 commission
notwithstanding 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.
J.
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.
q.
General government expenses and expenses associated with the provision of any public
service which are not eligible for RISE program assistance.
r. Donated right of way.
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Exhibit D
Project Implementation Schedule:
Commission Approval Date: December 10, 2024
Design Completion: January 2026
Letting/Bid Date: February 2026
Project Closeout: December 2027
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Exhibit E
CONTRACT PROVISION
Targeted Small Business (TSB)
Affirmative Action Responsibilities
on
Non -Federal Aid Projects (Third -Party State -Assisted Projects)
October 2023
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October 2023
CONTRACT PROVISION
Targeted Small Business (TSB) Affirmative Action Responsibilities
on Non -Federal -aid Projects (Third-partyState-AssistedProjects)
1. 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 DIRECTORY INFORMATION
Available from: Iowa Economic Development Authority
Targeted Small Business Certification Program
1963 Bell Ave.
Suite 200
Des Moines, IA 50315
Phone: (515-348-6193)
Website: https://www.iowaeda.com/small-business/targeted-small-business/
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, manufacturers 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. CONTRACTORS 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 Economic Development Authority (515-348-6193) to identify
potential material suppliers, manufacturers and contractors.
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TSB Affirmative Action Responsibilities
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 submitted. Maintain complete records of negotiations efforts.
D. Provide or arrange for assistance to TSBs in seeking bonding, analyzing plans/specifications or other actions
that can be viewed as technical assistance.
E. Ensure the scheduled progress payments are made to TSBs as agreed in subcontract agreements.
F. Require all subcontractors and material suppliers to comply with all contract equal opportunity and affirmative
action provisions.
6. COUNTING TSBs PARTICIPATION ON A PROJECT
TSBs are to assume actual and contractual responsibilities for provision of materials/supplies, subcontracted work
or other commercially useful function.
A. The bidder may count:
1) Planned expenditures for materials/supplies to be obtained from TSB suppliers and manufacturers; or
2) Work to be subcontracted to a TSB; or
3) Any other commercially useful function.
B. The contractor may count:
1) 100% of an expenditure to a TSB manufacturer that produces/supplies goods manufactured from raw
materials.
2) 60% of an expenditure to TSB suppliers that are not manufacturers; provided the suppliers perform a
commercially useful function in the supply process.
3) Only those expenditures to TSBs that perform a commercially useful function in the work of a contract,
including those as a subcontractor.
4) Work the Contracting Authority has determined that it involves a commercially useful function. The
TSB must have a necessary and useful role in the transaction of a kind for which there is a market
outside the context of the TSB program. For example, leasing equipment or purchasing materials from
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:
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Docusign Envelope ID: 722763F4-1 F54-4496-BA4C-953837DF90A0
TSB Affirmative Action Responsibilities
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 Contract Information Form.
C. Contractors NOT Using Quotes From TSBs
If there are no TSBs listed on the Pre -bid Contact 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 Economic Development Authority.
8. POSITIVE EFFORT DOCUMENTATION WHEN NO GOALS ARE ASSINGED
Contractors are also required to make positive efforts in utilizing TSBs on all State -assisted projects which are not
assigned goals. Form 730007, "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. Form 730007 can be found here:
https://iowadot.seamlessdocs.com/f/TargetedSmallBusinessTSBPrebidContactlnfo
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Docusign Envelope ID: 722763F4-1 F54-4496-BA4C-953837DF90A0
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 (TSBCONTACTS
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:
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Docusign Envelope ID: 722763F4-1 F54-4496-BA4C-953837DF90A0
October 2023
UTILIZATION OF TARGETED SMALL BUSINESS (TSB) ENTERPRISES
ON NON-FEDERAL AID PROJECTS
(THIRD -PARTY STATE -ASSISTED PROJECTS)
In accordance with Iowa Code Section 19B.7, 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-
6193) or from its website at: https://www.iowaeda.com/small-business/targeted-small-business/
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 Bureau.
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. Form 260017 "Checklist and Certification for the Utilization of TSBs" shall be filled out upon completion of
each project, and sent to Iowa Department of Transportation, Civil Rights Bureau, 800 Lincoln Way,
Ames, IA 50010:
https://iowadot.seamlessdocs.com/f/ChecklistandCertforUtilizationofTSBonNonFederalProjects
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Docusign Envelope ID: 722763F4-1 F54-4496-BA4C-953837DF90A0
October 2023
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 Economic Development Authority? -YES ❑NO
If no, explain
2. Were qualified TSB firms notified of project? ❑ YES I— 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 Date
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