HomeMy WebLinkAbout2020-05-18-I01I IDOT Funding Agreement_TSIP_Five-Way IntersectionAGENDA ITEM:
CITY OF WAUKEE, IOWA
CITY COUNCIL MEETING COMMUNICATION
MEETING DATE: May 18, 2020
AGENDA ITEM:Consideration of approval of a resolution approving Iowa Department of
Transportation Agreement for Traffic Safety Improvement Program
Funding (Site-Specific Improvement), Agreement No. 2021-TS-011
(Five-Way Intersection Improvements)
FORMAT:Resolution
SYNOPSIS INCLUDING PRO & CON: The Transportation Safety Improvement Program
(TSIP) funding agreement between the Iowa Department of Transportation and the City of Waukee
is for the construction of a roundabout at the intersection of Warrior Lane, Ashworth Drive, and
Northview Drive known as the 5 Way Intersection Improvements project in the recently adopted
FY 2020-26 Capital Improvements Plan. There is no local match requirement with these funds.
FISCAL IMPACT INCLUDING COST/BENEFIT ANALYSIS:
Total Project Cost: $2,500,000 (estimated)
ICAAP funds: $1,277,370.00
TSIP funds: $500,000
Local Match funds: $722,630 (estimated)
COMMISSION/BOARD/COMMITTEE COMMENT:
STAFF REVIEW AND COMMENT: Staff recommends approval of the agreement.
RECOMMENDATION: Approve the resolution.
ATTACHMENTS: I. Iowa Department of Transportation Agreement for Traffic Safety
Improvements Program Funding
PREPARED BY:Beth Richardson
REVIEWED BY:Rudy Koester RK
PUBLIC NOTICE INFORMATION –
NAME OF PUBLICATION:
DATE OF PUBLICATION:
I1I
THE CITY OF WAUKEE, IOWA
RESOLUTION 2020-
APPROVING IOWA DEPARTMENT OF TRANSPORTATION AGREEMENT FOR
TRAFFIC SAFETY IMPROVEMENT PROGRAM FUNDING (SITE-SPECIFIC
IMPROVEMENT), AGREEMENT NO. 2021-TS-011 [FIVE-WAY INTERSECTION
IMPROVEMENTS]
IN THE NAME AND BY THE AUTHORITY OF THE CITY OF WAUKEE, IOWA
WHEREAS, the City of Waukee, Dallas County, State of Iowa, is a duly organized Municipal
Organization; AND,
WHEREAS, the Iowa Department of Transportation has established the Traffic Safety Improvement
Program and provides funding for locations where vehicular safety is a concern and documented;
AND,
WHEREAS, the intersection of Warrior Lane, Ashworth Drive and Northview Drive (the “Project”)
has been identified as a location where vehicular safety and traffic flow could be improved and funded
by Traffic Safety Improvement Program; AND,
WHEREAS, on August 5, 2019, the Waukee City Council approved an application for Traffic Safety
Program funding for the Project (Resolution #19-295); AND,
WHEREAS, the City of Waukee was awarded $500,000 in funding toward the Project through the
Traffic Safety Program; AND,
WHEREAS, the Iowa Department of Transportation has submitted an Agreement for Traffic Safety
Improvement Program Funding (Site-Specific Improvement) related to the Project.
NOW THEREFORE BE IT RESOLVED by the City of Waukee City Council in session this 18th
day of May, 2020, that it hereby approves the Iowa Department of Transportation Agreement for
Traffic Safety Improvement Program Funding (Site-Specific Improvement), Agreement No. 2021-TS-
011 [Five-Way Intersection Improvements].
____________________________
Courtney Clarke, Mayor
Attest:
___________________________________
Rebecca D. Schuett, City Clerk
RESULTS OF VOTE: AYE NAY ABSENT ABSTAIN
Anna Bergman
R. Charles Bottenberg
Chris Crone
Larry R. Lyon
Ben Sinclair
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2021-TS-011_Waukee.docx 1
IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT FOR TRAFFIC SAFETY IMPROVEMENT PROGRAM FUNDING
(Site-Specific Improvement)
County Dallas
Recipient Waukee
Project No. CS-TSF-8177(625)--85-25
Iowa DOT
Agreement No. 2021-TS-011
This agreement is entered into by and between the Iowa Department of Transportation, hereinafter
designated the “DOT”, and Waukee, Iowa, hereinafter designated the “Recipient”. The Recipient
submitted an application to the DOT for funding through the Traffic Safety Improvement Program (TSIP)
under Iowa Code Section 312.2(11), and the application was approved by Transportation Commission
Order No. H-2020-32 on December 10, 2019.
Pursuant to the terms of this agreement, and applicable statutes and administrative rules, the DOT
agrees to provide funding to the Recipient to aid in the development of a certain traffic safety
improvement project.
In consideration of the foregoing and the mutual promises contained in this agreement, the parties agree
as follows:
1. Project Information
a. The Recipient shall be the lead local governmental agency for carrying out the provisions of this
agreement.
b. 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 the Local Systems Project Development Engineer
and Central Region Local Systems Field Engineer. The Recipient's contact person shall be Rudy
Koester, Public Works Director.
c. The Recipient shall be responsible for the development and completion of the following described
project located in the city of Waukee:
Construction of a roundabout at the intersection of Ashworth Drive and Warrior Lane in Waukee.
Project also includes construction of a relocated access to Northview Drive. See Exhibit A-1 for
the location of the project and Exhibit A-2 for the estimated project cost.
d. Project-specific funding stipulations in order for the project to be considered eligible to receive TSIP
funds include:
None.
2. Project Costs
a. Eligible project costs for the project described in Section 1 of this agreement which are incurred after
the effective date of commission approval shall be paid from TSIP funds and other funds as listed
below, subject to the execution of a signed agreement:
TSIP funds: $500,000
b. The portion of the total project costs paid by TSIP shall not exceed the amount stated above or the
actual cost of the TSIP eligible items, whichever is the lesser amount.
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2021-TS-011_Waukee.docx 2
c. If a letting is required, the project shall be let to contract before July 1, 2022. If neither condition is
met, the Recipient may be in default, for which the Department may revoke funding commitments.
This agreement may be extended for a period of 12 months upon receipt of a written request from the
Recipient at least 30 days prior to the deadline.
d. Project activities or costs considered eligible for TSIP funds are those required by, or integral to, the
safety aspects of the project. Eligible activities include the following: (a) road modernization,
upgrading or reconstruction; (b) intersection improvements; (c) right-of-way purchases; (d) drainage
and erosion control measures; (e) traffic control devices; (f) traffic barriers and other roadside safety
devices; and (g) removal of trees and other fixed objects.
e. Project activities or costs considered ineligible for TSIP funds include, but are not limited to, the
following: (a) any and all costs incurred prior to commission approval of funding; (b) routine
maintenance of a road, street, bridge, culvert or traffic control device; (c) contract administration
costs; (d) design and construction engineering and inspection; (e) utility construction, reconstruction,
or adjustment, except as an integral part of a project; (f) sidewalks, shared-use paths or railroad-
highway crossings, except as an integral part of a project; (g) maintenance or energy costs for traffic
control devices or lighting; (h) aesthetic items such as colored/stamped concrete, brick pavers, or
decorative lighting/signal poles; and (i) expenditures for items not related to the roadway.
f. If Federal highway funds, Farm-to-Market funds, or other Federal funds are used in combination with
TSIP Funds, the Recipient shall also follow all administrative and contracting procedures which would
normally be used when such funds are used on a non-TSIP project. The Recipient shall comply with
all requirements for the use of said funds.
3. Right of Way and Permits
a. In the event that right-of-way is required for the project, said right-of-way shall be acquired in
accordance with 761 Iowa Administrative Code Chapter 111, Real Property Acquisition and
Relocation Assistance. If the project impacts the Primary Road System, the Recipient shall submit
preliminary right-of-way plans to the DOT's Right of Way Bureau for review and approval prior to the
commencement of any acquisition. Additionally, if said right-of-way is for an improvement to the
Primary Road System, it shall be acquired in the name of the State of Iowa.
b. The Recipient shall be responsible for obtaining any permits, such as the Work Within the Right-of-
Way Permit, Access Connection/Entrance Permit, Utility Accommodation Permit, Application for
Approval of a Traffic Control Device, and/or other construction permits required for the project prior to
the start of construction. Neither the approval of the TSIP application for funding nor the signing of
this agreement shall be construed as approval of any required permit from the DOT.
c. The Recipient shall be responsible for obtaining any environmental permits and approvals, when
necessary, to comply with all environmental regulations.
4. Project Design
a. The Recipient shall develop all project improvements using good engineering judgment. The
Recipient shall use the DOT “Design Manual” on projects involving the Primary Road System and/or
routes located on the National Highway System. Projects not on the Primary Road system shall use
“A Policy on Geometric Design of Highways and Streets", (latest edition), by the American
Association of State Highway and Transportation Officials. In all cases the "The Manual on Uniform
Traffic Control Devices for Streets and Highways" (MUTCD), as adopted pursuant to 761 Iowa
Administrative Code, Chapter 130 shall apply.
5. Bid Letting
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2021-TS-011_Waukee.docx 3
a. If the project must be let for bids, then project plans, specifications and engineer's cost estimate for
site specific improvements and/or traffic control devices shall be prepared and certified by a
professional engineer licensed to practice in the State of Iowa. The Recipient shall submit the plans,
specifications and other contract documents to the DOT for review. This submittal may be in divisions
and in the order of preference as determined by the Recipient.
i. If the Recipient lets the project, the plans, specifications and other contract documents for each
division must be submitted at least ten weeks (traffic control devices) or fourteen weeks (site
specific project) prior to the project letting of each division.
ii. If the project will be let through the Iowa DOT, project development submittals shall follow Local
Systems I.M. 3.010. The DOT shall review said submittal(s) recognizing the Recipient's
development schedule and shall, after satisfactory review, authorize in writing the Recipient to
proceed with implementation of the project. The work on this project shall be in accordance with
the survey, plans, and specifications on file. Any substantial modification of these plans and
specifications must be approved by the DOT prior to the modification being put into effect.
b. If the Recipient lets the project, as described herein, 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.
c. If the Recipient lets the project, then 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 B
which is attached hereto and by this reference incorporated into this agreement.
d. If the Recipient lets the project, then for portions of the project let to bid, the Recipient shall advertise
for bidders, make a good faith effort to get at least three (3) bidders, hold a public letting and award
contracts for the project work. DOT concurrence in the award must be obtained prior to the award.
The Recipient shall provide the DOT file copies of project letting documents within five (5) days after
letting.
e. The Recipient shall be the contracting authority for the project.
6. Construction and Maintenance
a. The Recipient shall conduct the project development and implementation in compliance with
applicable laws, ordinances and administrative rules.
b. The Recipient shall be responsible for the daily inspection of the project, and the compilation of a
daily log of materials, equipment and labor on the project.
c. The Recipient shall maintain records, documents, and other evidence in support of work performed
under the terms of this contract. All accounting practices applied and all records maintained will be in
accordance with generally accepted accounting principles and procedures. Documentation shall be
made available for inspection and audit by authorized representatives of the DOT or its designee at
all reasonable times during the period of the contract and for three (3) years after the date of final
payment. Reimbursement shall be based on eligible actual and indirect costs associated with
performance of contract service work. The Recipient shall provide copies of said records and
documents to the DOT upon request.
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2021-TS-011_Waukee.docx 4
d. The Recipient shall notify the DOT’s contact person of the date that construction begins and the date
that the project is substantially complete (i.e., when the road is re-opened to traffic).
e. The Recipient shall require its contractors to permit the DOT authorized representative to inspect all
work materials, records, and any other data with regard to agreement related costs, revenues and
operating sources.
f. Upon project completion and prior to final reimbursement for the project, the Recipient shall furnish
three sets of "as-built" plans for any portion of the project which is on or intersects any primary road
or primary road extension to the DOT's contact person for future maintenance and road design
purposes.
g. If this project requires the installation of or modification to a traffic control signal system, the Recipient
shall be responsible for all future ownership, maintenance, operation and energy costs of said
installation or modification.
h. The Recipient hereby certifies that, for a period of ten (10) years following completion of project and
receipt of final payment from the DOT, there shall be no modifications in the geometric features, the
construction features, or the access management features (including driveway design and location) of
the project, nor shall there be any fixed objects or obstructions placed in any clear zone established in
conjunction with this project without the prior written approval of the Traffic and Safety Bureau. Failure
to comply shall be considered a default under the terms of this agreement.
7. Payments and Reimbursements
a. The Recipient may submit to the DOT periodic itemized claims for reimbursement for eligible project
activities. Eligible and ineligible costs are outlined in Iowa Administrative Code (IAC) 761 Chapter
164, Traffic Safety Improvement Program (see IAC 761-164.6(312) and IAC 761-164.7(312)).
Reimbursement claims shall include certification by a professional engineer licensed to practice in the
State of Iowa that all eligible project activities for which reimbursement is requested have been
completed in substantial compliance with the terms of this agreement.
b. The Department will reimburse the Recipient for properly documented and certified claims for eligible
project costs. The Department may withhold up to 5% of the construction costs or 5% of the TSIP
funds available for the project, whichever is less. Reimbursement will be made either by State warrant
or by crediting other accounts from which payment was initially made. If, upon final audit or review,
the Department determines the Recipient has been overpaid, the Recipient shall reimburse the
overpaid amount to the Department. After the final audit or review is complete and after the Recipient
has provided all required paperwork, the Department will release the funds withheld, if any.
c. Upon completion of the project described in this agreement, a professional engineer 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 terms of this agreement. Final reimbursement of TSIP
Funds shall be made only after the DOT accepts the project as complete.
d. The Recipient shall request reimbursement and final payment from the DOT within one year of field
completion of the work. If this condition is not met, the Recipient may be in default, for which the
Department may revoke funding commitments.
e. 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 Recipient by certified mail return receipt requested, to
declare this agreement in default. The Recipient shall have thirty (30) days from date of mailing of
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 to cure 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 notice of continued default.
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2021-TS-011_Waukee.docx 5
f. In the event a default is not cured the DOT may revoke funding commitments and/or seek repayment
of TSIP Funds granted by this agreement through charges against the Recipient's road use tax funds.
8. General Provisions
a. This agreement shall be considered to be in default if the DOT determines that the Recipient's
application for funding contained inaccuracies, omissions, errors or misrepresentations.
b. To the extent allowed by law, the Recipient agrees to indemnify, defend and hold the DOT harmless
from any action or liability arising out of the design, construction, maintenance, placement of traffic
control devices, or inspection of this project. To the extent allowed by law, 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.
c. 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.
d. The Recipient shall comply with the requirements of Title II of the Americans with Disabilities Act of
1990 (ADA), Section 504 of the Rehabilitation Act of 1973 (Section 504), and the associated Federal
regulations that implement these laws.
e. If any part of this agreement is found to be void and unenforceable then the remaining provisions of
this agreement shall remain in effect.
f. This agreement is not assignable without the prior written consent of the DOT.
g. It is the intent of both parties that no third-party beneficiaries be created by this agreement.
h. 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 paragraph for arbitration.
i. 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.
j. This agreement, 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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2021-TS-011_Waukee.docx 6
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No. 2021-TS-011 as of the
date shown opposite its signature below.
City of Waukee, Iowa:
By: _______________________________ Date _________________________, 20_____.
Title: ____________________________
I, _________________________, certify that I am the Clerk of the City, and that
__________________________, who signed said Agreement for and on behalf of 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 ________________________, 20_____.
Signed _____________________________ Date _________________________, 20_____.
City Clerk of Waukee, Iowa
Iowa Department of Transportation:
By:_________________________________ Date ________________________, 20______.
Steve J. Gent
Director,
Traffic and Safety Bureau
E.Project Location
City of Waukee
PROJECT LOCATION
PROJECT LOCATION
EXHIBIT A-1
2021-TS-011_Waukee
C. COST OPINION
ITEM NO.ITEM UNIT QUANTITY UNIT PRICE TOTAL COST
1 MOBILIZATION LS 1.0 50,000.00$ 50,000.00$
2 CONSTRUCTION STAKING LS 1.0 15,000.00$ 15,000.00$
3 CONCRETE WASHOUT LS 1.0 3,000.00$ 3,000.00$
SUBTOTAL 68,000.00$
4 TOPSOIL STRIP, SALVAGE, & RE-SPREAD CY 2400.0 12.00$ 28,800.00$
5 EXCAVATION, CLASS 10 CY 12000.0 8.00$ 96,000.00$
6 EXCAVATION, CLASS 10, WASTE CY 9000.0 15.00$ 135,000.00$
7 SUBGRADE PREPARATION, 12 IN.SY 7575.0 5.00$ 37,875.00$
8 MODIFIED SUBBASE, 6 IN CY 1525.0 40.00$ 61,000.00$
9 REMOVAL OF STORM SEWER LF 900.0 35.00$ 31,500.00$
10 REMOVAL OF STORM SEWER STRUCTURE EA 4.0 500.00$ 2,000.00$
11 PCC PAVING REMOVAL AND DISPOSAL SY 4375.0 10.00$ 43,750.00$
12 PCC SIDEWALK REMOVAL AND DISPOSAL SY 1150.0 10.00$ 11,500.00$
13 PCC DRIVEWAY REMOVAL AND DISPOSAL SY 300.0 10.00$ 3,000.00$
SUBTOTAL 450,425.00$
14 SEWER, STORM, 15" DIA. RCP, CLASS III LF 125.0 80.00$ 10,000.00$
15 SEWER, STORM, 18" DIA. RCP, CLASS III LF 1300.0 90.00$ 117,000.00$
16 SEWER, STORM, 24" DIA. RCP, CLASS III LF 175.0 100.00$ 17,500.00$
17 SEWER, STORM, 30" DIA. RCP, CLASS III LF 225.0 120.00$ 27,000.00$
18 PIPE APRON, 18"EA 5.0 3,500.00$ 17,500.00$
19 SUBDRAIN & FITTINGS, 6' DIA. PVC (TYPE I)LF 2800.0 15.00$ 42,000.00$
20 SUBDRAIN, CONNECTION TO INTAKES OR STORM SEWER EA 24.0 250.00$ 6,000.00$
21 SUBDRAIN, RISER & CLEANOUT ASSEMBLY (TYPE I)EA 6.0 1,000.00$ 6,000.00$
SUBTOTAL 243,000.00$
22 MANHOLE ADJUSTMENT, MAJOR EA 1.0 3,500.00$ 3,500.00$
23 MANHOLE, STORM SEWER, SW-401 48 IN.EA 3.0 5,000.00$ 15,000.00$
24 INTAKE, SW-505 EA 3.0 5,000.00$ 15,000.00$
25 INTAKE, SW-506 EA 9.0 7,000.00$ 63,000.00$
SUBTOTAL 96,500.00$
26 9" PCC PAVEMENT SY 5350.0 65.00$ 347,750.00$
27 9" PCC PAVEMENT, TRUCK APRON SY 600.0 70.00$ 42,000.00$
28 6" PCC RECREATIONAL TRAIL, 10'SY 1200.0 45.00$ 54,000.00$
29 5" PCC SIDEWALK, 5'SY 225.0 50.00$ 11,250.00$
30 SPECIAL SUBGRADE PREPARATION FOR SHARED USE PATH SY 1525.0 4.00$ 6,100.00$
31 DETECTABLE WARNINGS SF 320.0 45.00$ 14,400.00$
SUBTOTAL 475,500.00$
32 TRAFFIC CONTROL LS 1.0 30,000.00$ 30,000.00$
33 PERMANENT SIGNING LS 1.0 9,000.00$ 9,000.00$
34 PERMANENT PAVEMENT MARKINGS, PAINT LS 1.0 9,000.00$ 9,000.00$
35 PERMANENT PAVEMENT MARKINGS, SYMBOLS EA 2.0 400.00$ 800.00$
SUBTOTAL 48,800.00$
Warrior Lane / Ashworth Drive Roundabout
City of Waukee
Order of Magnitude Opinion of Probable Project Costs
July 23, 2019
GENERAL CONDITIONS
STRUCTURES FOR SANITARY & STORM SEWER
TRAFFIC CONTROL, SIGNALS & LIGHTING
EARTHWORK & DEMOLITION
SEWERS & DRAINS
STREETS & RELATED WORK
EXHIBIT A2
2021-TS-011_Waukee
36 SEED, PERMANENT AC 3.0 4,000.00$ 12,000.00$
37 SEED, TEMPORARY AC 6.0 2,500.00$ 15,000.00$
38 EROSION CONTROL LS 1.0 30,000.00$ 30,000.00$
SUBTOTAL 57,000.00$
1,439,225.00$
$287,845
TOTAL CONSTRUCTION COSTS (2019):$1,727,070.00
**TOTAL PROJECT COSTS AND CONSTRUCTION COSTS PROVIDED HEREIN ARE MADE ON THE BASIS OF ENGINEER'S EXPERIENCE AND QUALIFICATIONS AND
REPRESENT THE ENGINEER'S BEST JUDGMENT. HOWEVER, THE ENGINEER CANNOT AND DOES NOT GUARANTEE THAT BIDS OR ACTUAL TOTAL PROJECT OR
CONSTRUCTION COSTS WILL NOT VARY FROM THE ESTIMATE OF PROBABLE CONSTRUCTION COST. THIS ESTIMATE IS INTENDED TO ASSIST IN BUDGETARY
ASSESSMENT AND DOES NOT GUARANTEE THAT ACTUAL PROJECT COSTS WILL NOT EXCEED OR BE LOWER THAN THE AMOUNTS STATED IN THIS ESTIMATE.
CONSTRUCTION SUBTOTAL
UNDEVELOPED DESIGN CONTINGENCY (20%)
SITE WORK & LANDSCAPING
EXHIBIT A2
2021-TS-011_Waukee
2021-TS-011_Waukee.docx 9
EXHIBIT B
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-
348-6159) 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 on-line at:
https://www.iowadot.gov/local_systems/publications/tsb_contract_provision.pdf
b) Ensuring that the awarded contractor has and shall follow the contract provisions.
6. For consultant contracts:
a) Identifying the TSB goal in the Request for Proposal (RFP), if one has been set.
b) Ensuring that the selected consultant made a positive effort to meet the established TSB
goal, if any. This should include obtaining documentation from the consultant that includes a
list of TSB firms contacted; a list of TSB firms that responded with a subcontract proposal;
and, if the consultant does not propose to use a TSB firm that submitted a subcontract
proposal, an explanation why such a TSB firm will not be used.
2021-TS-011_Waukee.docx 10
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 Bureau, 800 Lincoln
Way, Ames, IA 50010.
2021-TS-011_Waukee.docx 11
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 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