IDOT - ICAAP Funding Agreement_JFK-NW Arterial Right Turn Lane Improvement Copyrighted
August 7, 2017
City of Dubuque Consent Items # 21.
ITEM TITLE: Iowa Department of Transportation ICAAP Funding
Agreement for the Northwest Arterial and John F. Kennedy
Road Turn Lane Improvement
SUMMARY: City Manager recommending approval of a Resolution
authorizing the Mayor to execute a Funding Agreement with
the Iowa Department of Transportation for an Iowa Clean
Air Attainment Program (ICAAP) Grant to assist with the
construction of a right turn lane on the north leg of JFK
Road with traffic signal adjustments at the Northwest
Arterial and JFK Road intersection.
RESOLUTION Approving the Iowa Department of
Transportation Agreement for Iowa Clean Air Attainment
Program Grant for the City of Dubuque John F. Kennedy
Road and NW Arterial Right-Turn Lane Improvement
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
IDOT Funding Agreement for JFK and Northwest City Manager Memo
Arterial Turning Lane-MVM Memo
Staff Memo Staff Memo
Resolution Resolutions
IDOT Funding Agreement Supporting Documentation
THE COF Dubuque
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City
Masterpiece on the Mississippi 1 1 1 1"
2009•2012•2013•2019
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Iowa Department of Transportation Funding Agreement to Construct a
Right Turn Lane at JFK Road and the Northwest Arterial
Project No. STP-A-2100(688)-86-31
Iowa DOT Agreement No. 6-17-ICAAP-08
DATE: August 1, 2017
City Engineer Gus Psihoyos recommends City Council approval of a Resolution
authorizing the Mayor to execute a Funding Agreement with the Iowa Department of
Transportation for an Iowa Clean Air Attainment Program (ICAAP) Grant to assist with
the construction of a right turn lane on the north leg of JFK Road with traffic signal
adjustments at the Northwest Arterial and JFK Road intersection.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Gus Psihoyos, City Engineer
Dubuque
THE CITY OF
DUB
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Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager_--
FROM: Gus Psihoyos, City Engineer, %�
DATE: July 31, 2017
RE: Iowa Department of Transportation Funding Agreement to Construct a right
turn lane at JFK Road and the NW Arterial
Project No. STP-A-2100(688)-86-31
Iowa DOT Agreement No. 6-17-ICAAP-08
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute a Funding Agreement with the
Iowa Department of Transportation (Iowa DOT)for an Iowa Clean Air Attainment Program
(ICAAP) Grant to assist with the construction of a right turn lane on the north leg of JFK
Road with traffic signal adjustments at NW Arterial and JFK Road intersection.
BACKGROUND
The north leg approach of the Northwest Arterial and JFK Rd intersection has one through
lane and one through/right turn lane. The through/right turn movement to go south and
west is a very heavy movement. This shared through/right turn lane is favored by many
drivers going south (through) because it leads to job locations, shopping and, schools.
Unfortunately, it only takes one southbound vehicle queued at the light to block all free
right turn movements. Once blocked this lane can rapidly back up to over 400 feet which
results in more vehicle idling.
The Northwest Arterial and JFK Rd corridors have experienced a high growth rate in
housing and commercial development in last decade. The area is also home to a ten-field
soccer complex and the Dubuque Arboretum, which a major attraction in the metro area.
This intersection is also travelled by school traffic as it located just north of Eisenhower
Elementary School (530 students). Signal timings at this intersection are reviewed and
updated throughout the year. The existing combination of a through/right turn lane does
not efficiently handle right turning traffic since a single vehicle going straight blocks all
free right turn movements. ITS improvements have been implemented at this intersection
over the last 10 years to produce the most efficiency from the existing geometrics. This
approach has come to the point when there is no substitute for geometric improvements.
The City of Dubuque pursued an Iowa Clean Air Attainment Program (ICAAP) grant from
the Iowa DOT in the fall of 2015. In the fall of 2016 the City received notice of the grant
award in the amount of $198,202. The grant was programmed into the FY 2017 State
Transportation Plan by the Iowa DOT.
ANTICIPATED SCHEDULE
Both the Federal grant and City funding will be utilized for this project. Due to the federal
aid process and timelines for review required by outside agencies for this project,
construction is expected to occur in spring of 2018 but, Engineering staff is trying to fast
track the project to hopefully bid and construct the project this fall.
RECOMMENDATION
I recommend that the City Council authorize the Mayor to execute a Funding Agreement
with the Iowa DOT for an Iowa Clean Air Attainment Program (ICAAP) Grant to assist
with the construction of the intersection improvements on JFK Road at the NW Arterial.
BUDGET IMPACT
The total cost of this improvement is estimated at $247,752 of which $198,202 would be
funded by the Iowa DOT / Iowa Clean Air Attainment Program Grant, and $49,550 would
be funded by the City as local match (CIP No. 3002675).
ACTION TO BE TAKEN
The City Council is requested to authorize the Mayor to execute a Funding Agreement
(Agreement No. 6-17-ICAAP-08) with the Iowa Department of Transportation for an
ICAAP Grant to assist with the construction of a right turn lane and related signal
improvements on JFK Road at the NW Arterial.
Prepared by: Jon Dienst, P.E.
cc: Kent Ellis, Iowa DOT
Jenny Larson, Budget Director
John Klostermann, Public Works Director
Dave Ness, Civil Engineer II
Attachment
2
RESOLUTION NO. 276-17
RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT FOR IOWA CLEAN AIR ATTAINMENT PROGRAM GRANT FOR THE
CITY OF DUBUQUE JOHN F KENNEDY ROAD AND NW ARTERIAL RIGHT TURN
LANE IMPROVEMENT
Whereas, the increasing growth of traffic volumes, along with operational and air
quality concerns, at the intersection of John F Kennedy Road and NW Arterial in the City
of Dubuque could be improved by adding a southbound right turn lane; and
Whereas, the City of Dubuque has determined that improvements to this intersection,
as recommended by the HDR Study commissioned by Iowa Department of
Transportation, will improve traffic flow; and
Whereas, the City of Dubuque is seeking the necessary funding for project
implementation and commits 20% matching funds required to access Iowa Clean Air
Attainment Funds, and upon completion, in cooperation with the Iowa Department of
Transportation, be responsible for adequately maintaining and operating the project for
public use during the project's useful life.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA, THAT:
Section 1. That said Iowa Clean Air Attainment Funding in the City of Dubuque for the
John F Kennedy Road and NW Arterial right turn lane improvement is hereby approved.
Section 1. That the Mayor be authorized and directed to execute two copies of said
Agreement for the John F Kennedy Road and NW Arterial right turn lane improvement.
Passed, approved and adopted this 7th day of August, 2017.
Attest:
Ken S. Firristalil, CMC, City Clerk
Roy. Buol, Mayor
IVVA T WW
iowadot.gov
SMARTER I SIMPLER I CUSTOMER DRIVEN
District 6 Office I Highway Division
5455 Kirkwood Blvd.SW,Cedar Rapids, IA 52404
Phone:(319)364-0235 1 Fax(319)364-9614 1 Email: kent.ellis@iowadot.us
June 22, 2017 Ret: STP-A-2100(688)--86-31
City of Dubuque
Agreement# 6-17-ICAAP-08
David Ness, P.E.
City of Dubuque Traffic Engineer
Engineering Department
City Hall
50 West 13t` Street
Dubuque, Iowa 52001-4805
SUBJECT: Federal Aid ICAAP Agreement/ 6-17-ICAAP-08
Dear David:
I have enclosed two (2) copies of an ICAAP agreement between City of Dubuque and the
Iowa Department of Transportation for the referenced project. The project involves
Construction of Right Turn Lane on North leg of JFK Road with traffic signal adjustment at
NW Arterial and JFK Road intersection.
Please secure the necessary approvals and signatures of the appropriate city officials and
return both signed copies of the agreement to this office for further processing. After I
receive the signed copies of the agreement, I will sign the agreement, and the fully executed
agreement will be returned to your office.
All those who are involved with the project should carefully review the provisions of the
agreement that pertain to federal funding for this project and the standard provisions for
federal aid projects.
Please contact me if you have any questions concerning this agreement.
Sincerely,
nnKent L. Ellis, P.E.
Local Systems Engineer, District 6
KLE/hmb
Enclosures (2) 6-17-ICAAP-08
DOT
SMARTER 1 SIMPLER 1 CUSTOMER DRIVEN
August 16, 2017
wwwiowadot.gov
District 6 Office 1 Highway Division
5455 Kirkwood Blvd. SW, Cedar Rapids, IA 52404
Phone: (319) 364-0235 1 Fax (319) 364-9614 1 Email: kent.ellis@iowadot.us
David Ness, P.E.
City of Dubuque Traffic Engineer
Engineering Department
City Hall
50 West 13th Street
Dubuque, Iowa 52001-4805
Ref: STP -A-2100(688)--86-31
City of Dubuque
Agreement # 6-17-ICAAP-08
SUBJECT: Federal Aid ICAAP Agreement - FULLY EXECUTED / 6-17-ICAAP-08
Dear David:
Enclosed is a copy of the fully executed Iowa Department of Transportation Federal -Aid
Surface Transportation Program Projects agreement for the referenced project.
This agreement is not the needed authorization to proceed, nor the authorization of the funding
for this project. The special provisions in this agreement must be followed in order to ensure
reimbursement of federal funds. If you are using or will be using a consultant for this project,
please provide your consultant with a copy of this agreement.
Please contact me if you have any questions regarding the development and design
requirements for this project.
Sincerely,
Kent L. Ellis, P.E.
Local Systems Engineer, District 6
KLE/hmb
Enclosure: 6-17-ICAAP-08
cc: Daryl Hart
Deanne Popp
Patrica Jacobs
April 2016
IOWA DEPARTMENT OF TRANSPORTATION
Federal -Aid Agreement for a
Iowa's Clean Air Attainment Program (ICAAP) Project
Recipient: City of Dubuque
Project Number(s): STP -A-2100(688)--86-31
Iowa DOT Agreement Number: 6-17-ICAAP-08
CFDA No. and Title: 20.205 Highway Planning and Construction
This is an agreement between City of Dubuque (hereinafter referred to as Recipient) and the Iowa
Department of Transportation (hereinafter referred to as the Department). Iowa Code Sections 306A.7
and 307.44 provide for the Recipient and the Department to enter into agreements with each other for
the purpose of financing transportation improvement projects in Iowa with Federal funds. Federal
regulations require Federal funds to be administered by the Department.
The Recipient has received Federal funding through the Iowa's Clean Air Attainment Program (ICAAP),
which is funded by the Congestion Mitigation and Air Quality (CMAQ) Program which was continued by
the Moving Ahead for Progress in the 21St Century (MAP -21), Public Law 112-141, and codified at Section
149 of Title 23, United States Code (U.S.C.); which are hereinafter referred to as ICAAP funds.
Pursuant to the terms of this agreement and applicable statutes, the Department agrees to provide the
funding named above to the Recipient for the authorized and approved costs for eligible items
associated with the project.
Under this agreement, the parties further agree as follows:
1. The Recipient shall be responsible for carrying out the provisions of this agreement.
2. All notices required under this agreement shall be made in writing to the appropriate contact
person. The Department's contact person shall be the District 6 Local Systems Engineer, 5455
Kirkwood Blvd. SW Cedar Rapids, Iowa 52404, 319-364-0235. The Recipient's contact person shall be
the City Engineer or their designated representative.
3. The Recipient shall be responsible for the development and completion of the following described
project:
Construct Right Turn Lane on North leg of JFK Road with traffic signal adjustment at NW Arterial and
JFK Road intersection.
4. The Recipient shall receive reimbursement for costs of authorized and approved eligible project
activities from ICAAP funds. The portion of the project costs reimbursed with ICAAP funds shall be
limited to a maximum of either 80 percent of eligible costs (other than those reimbursed with other
Federal funds) or the amount listed ($198,202) in the East Central Intergovernmental Association
Current Transportation Improvement Program (TIP) and approved in the current Statewide
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April 2016
Transportation Improvement Program (STIP), whichever is less. Eligible project activities will be as
described in Section 149 of Title 23, United States Code (U.S.C.) and determined by the Department
to be eligible.
5. The Recipient must have let the contract or have construction started within two years of October 1,
2016. If the Recipient does not do this, they will be in default for which the Department 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.
6. If the project described in 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 project's 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 project's purposes shall be subject to any
future plans for reconstruction, improvement, maintenance, 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. This agreement may be declared to be in
default by the Department if the Department determines that the Recipient's application for
funding contained inaccuracies, omissions, errors or misrepresentations; or if the
Department determines that the project is not developed as described in the application.
7. If the Recipient fails to perform any obligation under this agreement, the Department 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. lithe Recipient cures the default, the
Recipient shall notify Department no later than five (5) days after cure or before the end of said
thirty (30) day period given to cure the default. The Department may thereafter determine whether
the default has, in fact, been cured, or whether the Recipient remains in default.
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April 2016
8. This agreement may be declared to be in default by the Department if the Department determines
that the Recipient's application for funding contained inaccuracies, omissions, errors or
misrepresentations; or if the Department determines that the project is not developed as described
in the application.
9. In the event a default is not cured the Department may revoke funding commitments 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 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 Transportation
Commission.
10. The Recipient shall comply with Exhibit 1, General Agreement Provisions for use of Federal Highway
Funds on Non -primary Highways, which is attached hereto and by this reference is incorporated into
this agreement.
11. This agreement is not assignable without the prior written consent of the Department.
12. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this
agreement shall remain in effect.
13. It is the intent of both parties that no third party beneficiaries be created by this agreement.
14. 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
agreement.
15. This agreement and the attached exhibit constitute the entire agreement between the Department
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 shall be made in the
form of an addendum to this agreement. The addendum shall become effective only upon written
approval of the Department and the Recipient.
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April 2016
IN WITNESS WHEREOF, each of the parties hereto has executed this agreement as of the date shown
opposite its signature below.
RECIPIENT: City of Dubuque
By:
f
Title: Mayor
CERTIFICATION:
17 /id
Date
— /
,41,M % //I , certify that I am the Clerk of the city, and that
(Name of City Clerk)
(Name of Mayor/Signer Above)
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 i1Jay of
City Clerk of Dubuque, Iowa.
IOWA DEPARTMENT OF TRANSPORTATION
Highway Division- District 6 Office
5455 Kirkwood Blvd. SW
By: Lre( ffet.; Date Auclusl– , 20/7
Dent L. Ellis
District 6 Local Systems Engineer
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April 2016
EXHIBIT 1
General Agreement Provisions for use of Federal Highway Funds on Non -primary Projects
Unless otherwise specified in this agreement, the Recipient shall be responsible for the following:
1. General Requirements.
a. The Recipient shall take the necessary actions to comply with applicable State and Federal laws
and regulations. To assist the Recipient, the Department has provided guidance in the Federal -
aid Project Development Guide (Guide) and the Instructional Memorandums to Local Public
Agencies (I.M.$) that are referenced by the Guide. Both are available on-line at:
http://www.iowadot.gov/local_systems/publications/im/Ipa_ims.htm. The Recipient shall follow
the applicable procedures and guidelines contained in the Guide and I.M.s in effect at the time
project activities are conducted.
b. In accordance with Title VI of the Civil Rights Act of 1964 and associated subsequent
nondiscrimination laws, regulations, and executive orders, the Recipient shall not discriminate
against any person on the basis of race, color, national origin, sex, age, or disability. 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. The Recipient agrees to comply with the requirements outlined
in I.M. 1.070, Title VI and Nondiscrimination Requirements which includes the requirement to
provide a copy of the Recipient's Title VI Plan or Agreement and Standard DOT Title VI
Assurances to the Department.
c. The Recipient shall comply with the requirements of Title 11 of the Americans with Disabilities Act
of 1990 (ADA), Section 504 of the Rehabilitation Act of 1973 (Section 504), the associated Code
of Federal Regulations (CFR) that implement these laws, and the guidance provided in I.M. 1.080,
ADA Requirements. When pedestrian facilities are constructed, reconstructed, or altered, the
Recipient shall make such facilities compliant with the ADA and Section 504.
d. To the extent allowable by law, the Recipient agrees to indemnify, defend, and hold the
Department harmless from any claim, 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 Department's
application review and approval process, plan and construction reviews, and funding
participation.
e. As required by 2 CFR 200.501 "Audit Requirements", a non -Federal entity expending $750,000 or
more in Federal awards in a year shall have a single or program -specific audit conducted for that
year in accordance with the provision of that part. Auditee responsibilities are addressed in
Subpart F of 2 CFR 200. The Federal funds provided by this agreement shall be reported on the
appropriate Schedule of Expenditures of Federal Awards (SEFA) using the Catalog of Federal
Domestic Assistance (CFDA) number and title as shown on the first page of this agreement. If the
Recipient will pay initial project costs and request reimbursement from the Department, the
Recipient shall report this project on its SEFA. If the Department will pay initial project costs and
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then credit those accounts from which initial costs were paid, the Department will report this
project on its SEFA. In this case, the Recipient shall not report this project on its SEFA.
f. The Recipient shall supply the Department with all information required by the Federal Funding
Accountability and Transparency Act of 2006 and 2 CFR Part 170.
g. The Recipient shall comply with the following Disadvantaged Business Enterprise (DBE)
requirements:
i. The Recipient shall not discriminate on the basis of race, color, national origin, or sex in the
award and performance of any Department -assisted contract or in the administration of its
DBE program or the requirements of 49 CFR Part 26. The Recipient shall take all necessary
and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and
administration of Department -assisted contracts.
ii. The Recipient shall comply with the requirements of I.M. 3.710, DBE Guidelines.
iii. The Department's DBE program, as required by 49 CFR Part 26 and as approved by the
Federal Highway Administration (FHWA), is incorporated by reference in this agreement.
Implementation of this program is a legal obligation and failure to carry out its terms shall be
treated as a violation of this agreement. Upon notification to the Recipient of its failure to
carry out its approved program, the Department may impose sanctions as provided for under
Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001
and the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.).
h. Termination of funds. Notwithstanding anything in this agreement to the contrary, and subject to
the limitations set forth below, the Department shall have the right to terminate this agreement
without penalty and without any advance notice as a result of any of the following: 1) The
Federal government, legislature or governor fail in the sole opinion of the Department to
appropriate funds sufficient to allow the Department to either meet its obligations under this
agreement or to operate as required and to fulfill its obligations under this agreement; or 2) If
funds are de -appropriated, reduced, not allocated, or receipt of funds is delayed, or if any funds
or revenues needed by the Department to make any payment hereunder are insufficient or
unavailable for any other reason as determined by the Department in its sole discretion; or 3) If
the Department's authorization to conduct its business or engage in activities or operations
related to the subject matter of this agreement is withdrawn or materially altered or modified.
The Department shall provide the Recipient with written notice of termination pursuant to this
section.
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2. Programming and Federal Authorization.
a. The Recipient shall be responsible for including the project in the appropriate Regional Planning
Affiliation (RPA) or Metropolitan Planning Organization (MPO) Transportation Improvement
Program (TIP). The Recipient shall also ensure that the appropriate RPA or MPO, through their
TIP submittal to the Department, includes the project in the Statewide Transportation
Improvement Program (STIP). If the project is not included in the appropriate fiscal year of the
STIP, Federal funds cannot be authorized.
b. Before beginning any work for which Federal funding reimbursement will be requested, the
Recipient shall contact the Department to obtain the procedures necessary to secure FHWA
authorization. The Recipient shall submit a written request for FHWA authorization to the
Department. After reviewing the Recipient's request, the Department will forward the request to
the FHWA for authorization and obligation of Federal funds. The Department will notify the
Recipient when FHWA authorization is obtained. The cost of work performed prior to FHWA
authorization will not be reimbursed with Federal funds.
3. Federal Participation in Work Performed by Recipient Employees.
a. If Federal reimbursement will be requested for engineering, construction inspection, right-of-way
acquisition or other services provided by employees of the Recipient, the Recipient shall follow
the procedures in I.M. 3.310, Federal -aid Participation in In -House Services.
b. If Federal reimbursement will be requested for construction performed by employees of the
Recipient, the Recipient shall follow the procedures in I.M. 3.810, Federal -aid Construction by
Local Agency Forces.
c. If the Recipient desires to claim indirect costs associated with work performed by its employees,
the Recipient shall prepare and submit to the Department an indirect cost rate proposal and
related documentation in accordance with the requirements of 2 CFR 200. Before incurring any
indirect costs, such indirect cost proposal shall be certified by the FHWA or the Federal agency
providing the largest amount of Federal funds to the Recipient. If approved, the approved
indirect cost rate shall be incorporated by means of an amendment to this agreement.
4. Design and Consultant Services
a. The Recipient shall be responsible for the design of the project, including all necessary plans,
specifications, and estimates (PS&E). The project shall be designed in accordance with the design
guidelines provided or referenced by the Department in the Guide and applicable I.M.s.
b. If the Recipient requests Federal funds for consultant services, the Recipient and the Consultant
shall prepare a contract for consultant services in accordance with 23 CFR Part 172. These
regulations require a qualifications -based selection process. The Recipient shall follow the
procedures for selecting and using consultants outlined in I.M. 3.305, Federal -aid Participation in
Consultant Costs.
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c. If Preliminary Engineering (PE) work is federally funded, and if right-of-way acquisition or actual
construction of the project is not started by the close of the tenth fiscal year following the fiscal
year in which the Federal funds were authorized, the Recipient shall repay to the Department the
amount of Federal funds reimbursed to the Recipient for such PE work. PE includes work that is
part of the development of the PS&E for a construction project. This includes environmental
studies and documents, preliminary design, and final design up through and including the
preparation of bidding documents. PE does not include planning or other activities that are not
intended to lead to a construction project. Examples include planning, conceptual, or feasibility
studies.
5. Environmental Requirements and other Agreements or Permits.
a. The Recipient shall take the appropriate actions and prepare the necessary documents to fulfill
the FHWA requirements for project environmental studies including historical/cultural reviews
and location approval. The Recipient shall complete any mitigation agreed upon in the FHWA
approval document. These procedures are set forth in I.M. 3.105, Concept Statement
Instructions; 3.110, Environmental Data Sheet Instructions; 3.112, FHWA Environmental
Concurrence Process; and 3.114, Cultural Resource Regulations.
b. If farmland is to be acquired, whether for use as project right-of-way or permanent easement,
the Recipient shall follow the procedures in I.M. 3.120, Farmland Protection Policy Act
Guidelines.
c. The Recipient shall obtain project permits and approvals, when necessary, from the Iowa
Department of Cultural Affairs (State Historical Society of Iowa; State Historic Preservation
Officer), Iowa Department of Natural Resources, U.S. Coast Guard, U.S. Army Corps of Engineers,
the Department, or other agencies as required. The Recipient shall follow the procedures in I.M.
3.130, 404 Permit Process; 3.140, Storm Water Permits; 3.150, Highway Improvements in the
Vicinity of Airports or Heliports; and 3.160, Asbestos Inspection, Removal and Notification
Requirements.
d. In all contracts entered into by the Recipient, and all subcontracts, in connection with this project
that exceed $100,000, the Recipient shall comply with the requirements of Section 114 of the
Clean Air Act and Section 308 of the Federal Water Pollution Control Act, and all their regulations
and guidelines. In such contracts, the Recipient shall stipulate that any facility to be utilized in
performance of or to benefit from this agreement is not listed on the Environmental Protection
Agency (EPA) List of Violating Facilities or is under consideration to be listed.
6. Right -of -Way, Railroads and Utilities.
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 I.M. 3.605, Right -of -Way Acquisition, and the Department's Office of Right of Way Local
Public Agency Manual. The Recipient shall contact the Department for assistance, as necessary,
to ensure compliance with the required procedures, even if no Federal funds are used for right-
of-way activities. The Recipient shall obtain environmental concurrence before acquiring any
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needed right-of-way. With prior approval, hardship and protective buying is possible. If the
Recipient requests Federal funding for right-of-way acquisition, the Recipient shall also obtain
FHWA authorization before purchasing any needed right-of-way.
b. If the project right-of-way is federally funded and if the actual construction is not undertaken by
the dose of the twentieth fiscal year following the fiscal year in which the Federal funds were
authorized, the Recipient shall repay the amount of Federal funds reimbursed for right-of-way
costs to the Department.
c. If a railroad crossing or railroad tracks are within or adjacent to the project limits, the Recipient
shall obtain agreements, easements, or permits as needed from the railroad. The Recipient shall
follow the procedures in I.M. 3.670, Work on Railroad Right -of -Way, and I.M. 3.680, Federal -aid
Projects Involving Railroads.
d. The Recipient shall comply with the Policy for Accommodating Utilities on City and County
Federal -aid Highway Right of Way for projects on non -primary Federal -aid highways. For projects
connecting to or involving some work inside the right-of-way for a primary highway, the
Recipient shall follow the Department's Policy for Accommodating Utilities on Primary Road
System. Certain utility relocation, alteration, adjustment, or removal costs to the Recipient for
the project may be eligible for Federal funding reimbursement. The Recipient should also use the
procedures outlined in I.M. 3.640, Utility Accommodation and Coordination, as a guide to
coordinating with utilities.
e. If the Recipient desires Federal reimbursement for utility costs, it shall submit a request for
FHWA authorization prior to beginning any utility relocation work, in accordance with the
procedures outlined in I.M. 3.650, Federal -aid Participation in Utility Relocations.
7. Contract Procurement.
The following provisions apply only to projects involving physical construction or improvements to
transportation facilities:
a. The project plans, specifications, and cost estimate (PS&E) shall be prepared and certified by a
professional engineer or architect, as applicable, licensed in the State of Iowa.
b. For projects let through the Department, the Recipient shall be responsible for the following:
i. Prepare and submit the PS&E and other contract documents to the Department for review
and approval in accordance with I.M. 3.505, Check and Final Plans and I.M. 3.510, Check and
Final Bridge or Culvert Plans, as applicable.
ii. The contract documents shall use the Department's Standard Specifications for Highway and
Bridge Construction. Prior to their use in the PS&E, specifications developed by the Recipient
for individual construction items shall be approved by the Department.
9
April 2016
iii. Follow the procedures in I.M. 3.730, Iowa DOT Letting Process, to analyze the bids received,
make a decision to either award a contract to the lowest responsive bidder or reject all bids,
and if a contract is awarded, execute the contract documents and return to the Department.
c. For projects that are let locally by the Recipient, the Recipient shall follow the procedures in I.M.
3.720, Local Letting Process, Federal -aid.
d. The Recipient shall forward a completed Project Development Certification (Form 730002) to the
Department in accordance with I.M. 3.750, Project Development Certification Instructions. The
project shall not receive FHWA Authorization for construction or be advertised for bids until after
the Department has reviewed and approved the Project Development Certification.
e. If the Recipient is a city, the Recipient shall comply with the public hearing requirements of the
Iowa Code Section 26.12.
f. The Recipient shall not provide the contractor with notice to proceed until after receiving written
notice the Department has concurred in the contract award.
8. Construction.
a. A full-time employee of the Recipient shall serve as the person in responsible charge of the
construction project. For cities that do not have any full time employees, the mayor or city clerk
will serve as the person in responsible charge, with assistance from the Department.
b. 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 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.
c. For projects let through the Department, the project shall be constructed under the
Department's Standard Specifications for Highway and Bridge Construction and the Recipient
shall comply with the procedures and responsibilities for materials testing according to the
Department's Materials I.M.s. Available on-line at:
http://www.iowadot.govierlicurrentilM/navigation/nay.htm.
d. For projects let locally, the Recipient shall provide materials testing and certifications as required
by the approved specifications.
e. If the Department provides any materials testing services to the Recipient, the Department will
bill the Recipient for such testing services according to its normal policy as per Materials I.M. 103,
Inspection Services Provided to Counties, Cities, and Other State Agencies.
f. The Recipient shall follow the procedures in I.M. 3.805, Construction Inspection, and the
Department's Construction Manual, as applicable, for conducting construction inspection
activities.
10
April 2016
9. Reimbursements.
a. After costs have been incurred, the Recipient shall submit to the Department periodic itemized
claims for reimbursement for eligible project costs. Requests for reimbursement shall be made at
least annually but not more than bi-weekly.
b. To ensure proper accounting of costs, reimbursement requests for costs incurred prior to June 30
shall be submitted to the Department by August 1 if possible, but no later than August 15.
c. Reimbursement claims shall include a certification that all eligible project costs, for which
reimbursement is requested, have been reviewed by an official or governing board of the
Recipient, are reasonable and proper, have been paid in full, and were completed in substantial
compliance with the terms of this agreement.
d. 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 Federal share of
construction costs or 5% of the total Federal 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 Federal funds withheld.
e. The total funds collected by the Recipient for this project shall not exceed the total project costs.
The total funds collected shall include any Federal or State funds received, any special
assessments made by the Recipient (exclusive of any associated interest or penalties) pursuant to
Iowa Code Chapter 384 (cities) or Chapter 311 (counties), proceeds from the sale of excess right-
of-way, and any other revenues generated by the project. The total project costs shall include all
costs that can be directly attributed to the project. In the event that the total funds collected by
the Recipient do exceed the total project costs, the Recipient shall either:
i. in the case of special assessments, refund to the assessed property owners the excess special
assessments collected (including interest and penalties associated with the amount of the
excess), or
ii. Refund to the Department all funds collected in excess of the total project costs (including
interest and penalties associated with the amount of the excess) within 60 days of the receipt
of any excess funds. In return, the Department will either credit reimbursement billings to
the FHWA or credit the appropriate State fund account in the amount of refunds received
from the Recipient.
10. Project Close-out.
a. Within 30 days of completion of construction or other activities authorized by this agreement,
the Recipient shall provide written notification to the Department and request a final audit, in
11
April 2016
accordance with the procedures in I.M. 3.910, Final Review, Audit, and Close-out Procedures for
Federal -aid Projects.
b. For construction projects, the Recipient shall provide a certification by a professional engineer,
architect, or landscape architect as applicable, licensed in the State of Iowa, indicating the
construction was completed in substantial compliance with the project plans and specifications.
c. Final reimbursement of Federal funds shall be made only after the Department accepts the
project as complete.
d. 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 these
materials available at all reasonable times for inspection by the Department, FHWA, or any
authorized representatives of the Federal Government. Copies of these materials shall be
furnished by the Recipient if requested. Such documents shall be retained for at least 3 years
from the date of FHWA approval of the final closure document. Upon receipt of FHWA approval
of the final closure document, the Department will notify the Recipient of the record retention
date.
e. The Recipient shall maintain, or cause to be maintained, the completed improvement in a
manner acceptable to the Department and the FHWA.
12
Masterpiece on the Mississippi
June 20, 2017
Jorge Zamora
Iowa Department of Transportation
Office of Location and Environment
Dubuque
*****
All -America City
1
2007 • 2012 • 2013
Engineering Department
City Hall
50 W. 13th Street
Dubuque, Iowa 52001
563.589.4270
563.589.4205 (fax)
www.cityofdubuque.org
RE: Official with Jurisdiction of Section 4(f) Property's Agreement with Clarification Concerning
Northwest Arterial and JFK Road Intersection Improvements
STP -A-2100(688)--86-31
Dear Jorge Zamora:
The City of Dubuque has been contacted by the Iowa DOT Office of Location and Environment regarding the
Northwest Arterial and JFK Road Intersection Improvements in Dubuque, Iowa. The City of Dubuque
understands that there is a need for this improvement and that the proposed intersection improvement project
will have'a temporary effect on the Section 4(f) Properties.
The City of Dubuque has been notified that as part of the project, a portion of the trail at the project location will
require to be temporary closed. It is also understood that the Iowa DOT wants some questions regarding the
affected property answered:
1. Does the City of Dubuque have jurisdiction over the property? The property is along the NW Arterial
(IA 32) in ROW and is under the jurisdiction of the Iowa DOT. The Hike/Bike trail is under the
jurisdiction of the City of Dubuque.
2. What is the official designation or classification for the property? Road right of way.
3. What is the primary function or use of the property? ROW for IA 32.
4. Are there any secondary functions of the property? NW Arterial Hike/Bike trail is located along the
north side of ROW of IA 32.
5. Is the property open to the public? Yes.
6. Is the property considered significant or important for it's use? Yes. It is road ROW and the trail is
actively used.
This letter documents the agreement of the appropriate local officials having jurisdiction over the resources
regarding the above conditions.
If you wish to contact me concerning this letter, please email me at rdbuol aC�citvofdubuaue.ora or 563-564-5455.
Sincerely,
0.
Mayor Roy D. Buol
City of Dubuque
THE CITY OF
D
Masterpiece on the Mississippi
June 20, 2017
Jorge Zamora
Iowa Department of Transportation
Office of Location and Environment
2007 • 2012 • 2013
Engineering Department
City Hall
50 W. 13th Street
Dubuque, Iowa 52001
563.589.4270
563.589.4205 (fax)
www.cityofdubuque.org
RE: Official with Jurisdiction of Section 4(f) Property's Agreement with Decision
Northwest Arterial and JFK Road Intersection Improvements
STP -A-2100(688)--86-31
Dear Jorge Zamora:
The City of Dubuque has been contacted by the Iowa DOT Office of Location and Environment regarding the
Northwest Arterial and JFK Road Intersection Improvements in Dubuque, Iowa. The City of Dubuque
understands that there is a need for this improvement and that the proposed intersection improvement project
will have a temporary effect on the Section 4(f) Properties.
The City of Dubuque has been notified that as part of the project, a portion of the trail at the project location will
require to be temporary closed. After our discussions, it is further understood that the temporary trail closure will
meet the following criteria:
1. Duration (of the occupancy) is to be temporary, i.e., less than the time needed for construction of the
project, and there will be no change in ownership of the land;
2. Scope of the work is minor, i.e., both the nature and the magnitude of the changes to the 4(f) resource
are minimal;
3. There are no anticipated permanent adverse physical impacts, nor will there be interference with the
activities or purpose of the resource, on either a temporary or permanent basis;
4. The land being used will be fully restored, i.e., the resource must be returned to a condition which is at
least as good as that which existed prior to the project.
This letter documents the agreement of the appropriate local officials having jurisdiction over the resources
regarding the above conditions.
If you wish to contact me concerning this letter, please email me at rdbuol a(7.citvofdubuaue.ora or 563-564-5455.
Sincerely,
7 --
Mayor Roy D. Buol
City of Dubuque
D.