IDOT Funding Agreement SW Arterial Design Pave 4 Lanes Copyrighted
March 19, 2018
City of Dubuque Consent Items # 15.
ITEM TITLE: IDOT Funding Agreement SW Arterial Design Pave 4-
Lanes
SUMMARY: City Manager recommending approval for the Mayor to
execute a Cooperative Funding Agreement with the lowa
Department of Transportation to assist with partial funding
to complete the final engineering design for the remaining
4-lane construction of the Southwest Arterial Project.
RESOLUTION Approving the Cooperative Funding
Agreement (Agreement No. 2018-16-119) between the
City of Dubuque and lowa Department of Transportation for
the Southwest Arterial - Final Design 4-Lane Project
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
SW Arterial Cooperative Funding Agreement-NNM City Manager Memo
Memo
Staff Memo Staff Memo
Resolution Resolutions
IDOTAgreement Supporting Documentation
THE CTTY OF Dubuque
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TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Southwest Arterial Project
Cooperative Funding Agreement — Final Design 4-Lane
lowa DOT Project No. STP-U-2100 (634)-70-31
lowa DOT Agreement No. 2018-16-119
DATE: March 12, 2018
Assistant City Engineer Bob Schiesl recommends City Council approval for the Mayor to
execute a Cooperative Funding Agreement with the lowa Department of Transportation
to assist with partial funding to complete the final engineering design for the remaining
4-lane construction of the Southwest Arterial Project.
In effort to keep the project development on schedule while preparing to incorporate the
remaining 4-lane construction phases should the additional funding be approved in the
upcoming lowa DOT's 5-Year Transportation Improvement Program; both the City and
the lowa DOT have agreed that AECOM should immediately proceed with completing
the final engineering design for the remaining 2 bridges and the remaining 2-lane
paving.
In continuing the strong collaborative partnership between the lowa Department of
Transportation (lowa DOT), DMATS, Dubuque County and the City of Dubuque, in June
2017, Mayor Buol presented before the lowa DOT Commissioners to provide an update
on the continued development and advancement that is occurring on the Southwest
Arterial project. Specific emphasis was made to encourage commissioners to consider
allocating the additional $16.1 million dollars to complete the remaining 4-lane
construction, the potential cost savings that could be realized now, while seizing the
opportunity and capitalizing on the investment that is currently underway.
With both the City and lowa DOT agreeing to allocate funding now to complete final
engineering design, this will allow the remaining 2 bridges and the remaining 2-lane
paving to be designed over the next 12 months. The lowa DOT has committed Primary
Road Funds ($400,000) to assist with partial funding for final engineering design costs
to complete the 4-lane construction plans. The funding agreement outlines the scope of
services to reflect the remaining anticipated level of effort required to complete the final
engineering design for the 4-lane construction of the Southwest Arterial Project.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
���.1.lL�'t't*'1 �t.v,����,
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
Gus Psihoyos, City Engineer
Robert Schiesl, Assistant City Engineer
2
THE CTTY OF Dubuque
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DUB E 'il��i;'
Masterpiece on the Mississippi Z°°' Z°'Z
2013 2017
TO: Michael C. Van Milligen, City Manager
Gus Psihoyos, City Engineer
FROM: Robert Schiesl, Assistant City Engineer
RE: Southwest Arterial Project
Cooperative Funding Agreement - Final Design 4-Lane
lowa DOT Project No. STP-U-2100 (634)--70-31
lowa DOT Agreement No. 2018-16-119
DATE: March 12, 2018
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute a Cooperative Funding
Agreement with the lowa Department of Transportation (lowa DOT) to assist with partial
funding to complete the final engineering design for the remaining 4-lane construction of
the Southwest Arterial Project.
BACKGROUND
In effort to keep the project development on schedule while preparing to incorporate the
remaining 4-lane construction phases should the additional funding be approved in the
upcoming lowa DOT's 5-Year Transportation Improvement Program; both the City and
the lowa DOT have agreed that AECOM should immediately proceed with completing
the final engineering design for the remaining (2) bridges and the remaining 2-lane
paving.
On December 18, 2017, the City Council approved (Res. 402-17) and authorized the
Consultant Professional Services - Supplemental Agreement No. 19 with AECOM to
perform final engineering design to complete the 4-lane construction of the Southwest
Arterial Project.
On December 22, 2017, AECOM was issued a notice to proceed with completing the
final engineering design for the remaining (2) bridges and the remaining 2-lane paving.
DISCUSSION
In continuing the strong collaborative partnership between the lowa Department of
Transportation (lowa DOT), DMATS, Dubuque County and the City of Dubuque, in June
2017, Mayor Buol presented before the lowa DOT Commissioners to provide an update
on the continued development and advancement that is occurring on the Southwest
Arterial project. Specific emphasis was made to encourage commissioners to consider
allocating the additional $16.1 million dollars to complete the remaining 4-lane
construction, the potential cost savings that could be realized now, while seizing the
opportunity and capitalizing on the investment that is currently underway.
Remaining Construction Estimated Cost Funding Anticipated
Year Bid Lettin
Bridge at Middle Interchange $ 2.1 Million FY 19 Sept / Oct 2018
EB Bridge over Catfish Creek $ 4.9 Million FY 19 Sept / Oct 2018
Pave Remaining EB 2-Lanes $ 9.1 Million FY 19 December 2018
Total Estimated Cost: $ 16.1 Million
The lowa DOT already has $28.1 million programmed for 7 bridge projects that will be
under construction in 2018. With allocating an additional $7 million dollars in FY19 to
construct the remaining 2 bridges, contractor efficiencies will be realized with seven (7)
other bridges under construction within the corridor, thus correlating to very competitive
bids and potential cost savings. The lowa DOT already has $29.7 million dollars
programmed in FY19 to begin highway paving. With allocating an additional $9.1 million
dollars in FY19 to construct the remaining east bound 2-lane highway paving, contractor
efficiencies will be realized with combining all 4-Lane paving projects together, thus
correlating to very competitive bids and potential cost savings.
FUNDING AGREEMENT
With both the City and lowa DOT agreeing to allocate funding now to complete final
engineering design, this will allow the remaining 2 bridges and the remaining 2-lane
paving to be designed over the next 12 months. The lowa DOT has committed Primary
Road Funds ($400,000) to assist with partial funding for final engineering design costs
to complete the 4-lane construction plans. The funding agreement outlines the scope of
services to reflect the remaining anticipated level of effort required to complete the final
engineering design for the 4-lane construction of the Southwest Arterial Project, which is
summarized as follows;
• Design middle interchange between North Cascade Road and English Mill
Road.
• Design bridge over the Southwest Arterial for the North Cascade Road and
English Mill Road interchange.
• Prepare grading plans for the middle interchange North Cascade Road
connector.
• Prepare grading plans for the middle interchange English Mill Road
connector.
• Design Eastbound bridge over Catfish Creek
• Four-lane median barrier and drainage system between Catfish Creek and
U.S. 151/61 .
• Modify Southwest Arterial paving project from U.S. 20 Interchange to
Catfish Creek to include adding the eastbound lanes which will result in a
complete four-lane project.
• Modify Southwest Arterial paving project from Catfish Creek to Olde
Davenport Road to include adding the eastbound lanes which will result in a
complete four-lane project.
RECOMMENDATION
I recommend that the City Council authorize the Mayor to execute the Cooperative
Funding Agreement with the lowa DOT to assist with partial funding to complete the
final engineering design for the 4-lane construction of the Southwest Arterial Project.
BUDGETIMPACT
The estimated professional services fee for AECOM to complete the final engineering
design for the remaining (2) bridges and the remaining 2-lane paving is as follows:
Description Amount
AECOM (SA No. 19) Remaining 4-Lane Engineering Design Costs $ 1 ,177,580
Additional Project Cost 1.177.580
The project funding summary is as follows:
CIP Fundinq Source Amount
3001287 City - DMATS STBG Funds $ 777,580
3001287 lowa DOT - Primary Road Funds 400,000
Project Funding 1.177.580
The City has allocated DMATS Federal STBG Funds and the lowa DOT has committed
Primary Road Funds towards the final engineering design costs to complete the 4-lane
construction plans. The state Primary Road Funds will also provide the required federal
match thus eliminating the need for a City or Dubuque County local match.
ACTION TO BE TAKEN
The City Council is requested to authorize the Mayor to execute the Cooperative
Funding Agreement (lowa DOT Agreement No. 2018-16-119) with the lowa Department
of Transportation to assist with partial funding to complete the final engineering design
for the remaining 4-lane construction of the Southwest Arterial Project through adoption
of the enclosed resolution.
cc: Jenny Larson, Alexis Steger, Budget Office
Jim Schnoebelen, Ken Yanna, Kent Ellis, lowa DOT
F:\PROJECTS\SOUTHWEST ARTERIAL\CONTRACT-AECOM FE\FUNDING AGREEMENT—FINAL DESIGN 4-Lane
RESOLUTION NO. 63-18
RESOLUTION APPROVING THE COOPERATIVE FUNDING AGREEMENT
(AGREEMENT NO. 2018-16-119) BETWEEN THE CITY OF DUBUQUE AND IOWA
DEPARTMENT OF TRANSPORTATION FOR THE SOUTHWEST ARTERIAL - FINAL
DESIGN 4 -LANE PROJECT
WHEREAS, the Dubuque City Council, the Dubuque County Board of
Supervisors, the Dubuque Metropolitan Area Transportation Study (DMATS), the
Dubuque Area Chamber of Commerce and the Greater Dubuque Development
Corporation have all identified the completion of the Southwest Arterial Project as the
No. 1 surface transportation priority in the Dubuque area; and
WHEREAS, the City of Dubuque (City) and Iowa Department of Transportation
(Iowa DOT) desire to maintain and increase transportation infrastructure while
improving safety for the motorist within the City of Dubuque and Dubuque County and
acknowledge the mutual benefit to partner on the Southwest Arterial Project; and
WHEREAS, the City and the Iowa DOT executed a Memorandum of
Understanding (MOU) and a Transfer of Roadway Jurisdiction (TOJ) for the completion
of the Southwest Arterial project; and
WHEREAS, in effort to keep the project development on schedule while
preparing to incorporate the remaining 4 -lane construction phases should the additional
funding be approved in the upcoming Iowa DOT's 5 -Year Transportation Improvement
Program; both the City and the Iowa DOT have agreed that AECOM should immediately
proceed with completing the final engineering design for the remaining (2) bridges and
the remaining 2 -lane paving; and
WHEREAS, on'December 18, 2017, the City Council approved (Resolution 402-
17) and authorized the Consultant Professional Services - Supplemental Agreement No.
19 with AECOM to perform final engineering design to complete the 4 -lane construction
of the Southwest Arterial Project; and
WHEREAS, on December 22, 2017, AECOM was issued a notice to proceed
with completing the final engineering design for the remaining (2) bridges and the
remaining 2 -lane paving; and
WHEREAS, with both the City and Iowa DOT agreeing to allocate funding now to
complete final engineering design, this will allow the remaining 2 bridges and the
remaining 2 -lane paving to be designed over the next 12 months; and
WHEREAS, the Iowa DOT has committed Primary Road Funds ($400,000) to
assist with partial funding for final engineering design costs to complete the 4 -lane
construction plans; and
WHEREAS, the anticipated funding for the project summary is as follows:
ACIP No
Fund Source Descnption
mount��
3001287
City - DMATS STBG Funds
$ 777,580
3001287
Iowa DOT - Primary Roads Funds
400,000
Total Project Funding
$ 1,177,580
NOW, THEREFORE, IT IS AGREED BY AND BETWEEN THE PARTIES AS
FOLLOWS:
SECTION 1. City of Dubuque and the Iowa Department of Transportation hereby
agree to partner on completing the final engineering design for the remaining 4 -lane
construction of the Southwest Arterial Project.
SECTION 2. Whereas, the City of Dubuque hereby agrees to allocate DMATS STBG
Funds for completing the 4 -lane final engineering design.
SECTION 3. Whereas, the Iowa Department of Transportation hereby agrees to
allocate State Primary Roads Funds for completing the 4 -lane final engineering design.
SECTION 4. The Mayor is hereby authorized to execute the Cooperative Funding
Agreement (Agreement No. 2018-16-119), between the City of Dubuque and the Iowa
Department of Transportation to assist with partial funding to complete the 'final
engineering design for the remaining 4 -lane construction of the Southwest Arterial
Project.
Passed, approved and adopted this 19th day of March, 2018.
Attest:
Kevi�S. Firnsta hl, CM; City Clerk
Roy D. Buol, Mayor
F:\PROJECTSISOUTHWEST ARTERIAL\CONTRACT - AECOM FE\FUNDING AGREEMENT - FINAL DESIGN 4 -LANE
DOT
SMARTER 1 SIMPLER I CUSTOMER DRIVEN
March 23, 2018
www.iowadot.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: jim.schnoebelen@iowadot.us
Attn: Kevin Firnstahl, Clerk of Court
Roy D. Buol, Mayor of Dubuque
City Hall - 50 West 13th St.
Dubuque, IA 52001
REF: NHSX-032-1(10)--3H-31 (PE)
STP -U-2100(634)--70-31
City of Dubuque
Dubuque County
Agreement 2018-16-119
Staff Action No. S-201-0599
SUBJECT: Agreement 2018-16-119 FULLY EXECUTED (Southwest Arterial from US
61/US 151 to US 20 in Dubuque, pave four lanes)
Dear Mayor Buol:
Attached is your original of the fully executed Agreement 2018-16-119 between the city of
Dubuque and the Iowa Department of Transportation for the above referenced project. The
project involves: Southwest Arterial from US 61/US 151 to US 20 in Dubuque, pave four
lanes.
Thank you for your cooperation in the processing of this agreement.
Sincerely,
Rid2,4a,
James. R. Schnoebelen, P. E.
District 6 Engineer
JRS/hmb
Enclosure: Agreement 2018-16-119
February 2017
IOWA DEPARTMENT OF TRANSPORTATION
Cooperative Agreement
For Primary Road Project
County
City
Project No.
Iowa DOT
Agreement No.
Staff Action No.
Dubuque
Dubuque
NHSX-032-1(10)--3H-31 (PE)
STP -U-2100(634)--70-31
2018-16-119
S-201-0599
This Agreement, is entered into by and between the Iowa Department of Transportation, hereinafter
designated the "DOT", and the city of Dubuque, Iowa, a Local Public Agency, hereafter designated the
"LPA" in accordance with Iowa Code Chapters 28E, 306, 306A and 313.4 as applicable;
The LPA proposes to establish or make improvements to Iowa 32/Southwest Arterial within Dubuque
County, Iowa; and
The LPA and the DOT are willing to jointly participate in said project, in the manner hereinafter provided;
and
The LPA and the DOT previously entered into the following agreement(s) for the above referenced project:
• Agreement No. 2013-16-262 for relocation of U.S. 52 and transfer of jurisdiction of a portion of
existing U.S. 52 was executed by the DOT and LPA on August 9, 2013 and August 9, 2013
respectively;
• Agreement No. 2009-E-275 for funding for the Southwest Arterial from U.S. 20 to U.S. 61/U.S. 151
was executed by the DOT and LPA on Apr1122, 2010 and April 19, 2010 respectively;
• Agreement 6-03-STPU-43 for Surface Transportation Program funding was executed by the DOT
and LPA on July 8, 2004 and July 6, 2004, respectively; and
The LPA has received Federal funding through the Surface Transportation Block Grant Program (STBG).
STBG funds are available for construction, reconstruction, rehabilitation, resurfacing, restoration and
operational or safety improvement projects on Federal -aid highways, bridges on any public road, and
several other types of projects, as specified in 23 U.S.C. 133(b). This Agreement reflects the current
concept of this project which is subject to modification by mutual agreement between the LPA and the DOT;
and
Therefore, it is agreed as follows:
1. Project Information
a. The LPA shall be the lead local governmental agency for carrying out the provisions of this
agreement.
b. Ali notices required under this agreement shall be made in writing to the DOT's and/or the LPA's
contact person. The DOTs contact person shall be the Kenneth A. Yanna, P.E., Assistant District
Engineer. The LPA's contact person shall be Robert Schiesl, P.E., Assistant City Engineer.
c. The LPA shall be responsible for the final design of the following described primary highway project:
Southwest Arterial from U.S. 61/U.S. 151 to U.S, 20 in Dubuque, pave four lanes.
2018-16-118 Dubuque 1
February 2017
The major elements of the "pave four lanes" project include:
o New diamond interchange ramps west of N Cascade Road
o Removal of temporary at -grade connection grading west of N Cascade Road
o and replacement with new road to overpass the SW Arterial
o New bridge over the SW Arterial for the N Cascade Road/English Mill Road Interchange
o Eastbound bridge over Catfish Creek
o Median barrier and drainage system between Catfish Creek and U.S. 61/151
o Removal of grading transitions designed at both ends of the project and replacement with
four -lane connections
o Paving of eastbound lanes between U.S. 20 and U.S. 61/151
d. The LPA shall provide delivery of the pave four lanes project to meet the programming objective for
letting the two-lane paving project in the December 2018 construction bid letting. The structures
components of the pave four lanes project are to be delivered to meet a construction bid letting by
October 2018.
e. The LPA shall comply with the Federal -aid provisions contained in Exhibit A which is attached hereto
and by this reference is incorporated into this agreement. The LPA is referred to as the Recipient on
Exhibit A.
2. Project Costs
a. The LPA shall receive reimbursement for costs of authorized and approved eligible project activities
from STBG funds. The portion of the project costs reimbursed with STBG 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 stipulated in the Dubuque Metropolitan Area Transportation Study (DMATS) current
Transportation Improvement Program (TIP) and approved in the current Statewide Transportation
Improvement Program (STIP), whichever is less. Eligible project activities will be limited to the
following: construction, engineering, inspection, and right-of-way acquisition. Under certain
circumstances, eligible activities may also include utility relocation or railroad work that is required for
construction of the project.
b. The LPA shall spend down Federal Aid funds authorized for Preliminary Engineering through
Supplemental Agreement No. 19 as a first priority toward eligible incurred costs for preliminary
engineering.
c. The DOT will provide the LPA up to $400,000 of Primary Road funds (Outside Services) to be used
toward costs for the LPA administered consultant design of the four lane paving concept of the
Southwest Arterial. The DOT funding contribution is a maximum amount and is reimbursable based
as a last (gap) priority funding level for eligible incurred design costs in Supplemental Agreement No.
19. The Primary Road funds will be reimbursed at a 100% ratio of eligible costs. The LPA is
responsible for all other project costs which are not reimbursable with or paid for by the Primary Road
funds specified above.
d. The LPA will bear all costs except those allocated to the DOT under other terms of this Agreement.
3. Environmental, Right -of -Way, Permits and Other Requirements
a. The LPA shall be responsible for obtaining any necessary permits from the DOT, 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, or other construction permits required for the
project prior to the start of construction. Neither the approval of funding nor the signing of this
2018-16-119...Dubuque 2
February 2017
Agreement shall be construed as approval of any required permit from the DOT.
b. The LPA shall obtain all project permits and / or 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, or other
State or Federal agencies as may be required.
c. If tight -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. The LPA shall submit preliminary right-of-way plans to the DOT's Office of
Right-of-way for review and approval prior to the commencement of any acquisition.
d. Additionally, the portions right-of-way acquired for improvements to the Primary Road System shall
be acquired in the name of the State of Iowa. The LPA will properly close the sale of each parcel and
shall furnish the DOT copies of all completed contracts, deeds, conveyances and condemnation
documents (for state right of way).
e. if there is a railroad crossing within or near the project work area, the LPA shall obtain the necessary
approvals or agreements from the railroad to allow the proposed work to be completed on or around
the railroad crossing and / or right-of-way.
f. If the project requires utility relocations, subject to the approval of and without expense to the DOT,
the LPA agrees to perform or cause to be performed all relocations, alterations, adjustments or
removals of existing utility facilities, including but not limited to power, telephone lines, fiber optics
lines, natural gas pipelines, water mains and hydrants, curb boxes, utility accesses, storm water
intakes, sanitary sewers, and related poles, installations and appurtenances, whether privately or
publicly owned, and all parking meters, traffic signals and other facilities or obstructions which are
located within the limits of an established street or alley and which will interfere with construction of
the project and the clear zone. All utility relocations shall be accomplished in accordance with the
DOT's Utility Accommodation Policy, as set forth in 761 Iowa Administrative Code, Chapter 115.
g.
If the LPA has completed a Flood Insurance Study (FIS) for an area which is affected by the
proposed Primary Highway project and the FIS is modified, amended or revised in an area affected
by the project after the date of this Agreement, the LPA shall promptly provide notice of the
modification, amendment or revision to the DOT. If the LPA does not have a detailed Flood Insurance
Study (FIS) for an area which is affected by the proposed Primary Highway project and the LPA does
adopt an FIS in an area affected by the project after the date of this Agreement, the LPA shall
promptly provide notice of the FIS to the DOT.
4. Project Design
a. The LPA or its consultant shall be responsible for the design of all proposed improvements.
b. The project plans, specifications and engineer's cost estimate shall be prepared and certified by a
Professional Engineer licensed to practice in the State of Iowa.
c. All proposed highway or street improvements shall be designed using good engineering judgment
and the American Association of State Highway and Transportation Officials (AASHTO) "Policy on
Geometric Design of Highways and Streets", (latest edition).
d. The project design shall comply with the "Manual on Uniform Traffic Control Devices for Streets and
Highways", by the Federal Highway Administration, as adopted by DOT, as per 761 Iowa
Administrative Code, Chapter 130.
2018-16-119_Dubuque 3
February 2017
5. Payments and Reimbursements
a. The LPA shall be responsible for making initial payments to the consultants) and contractor(s) for all
project costs incurred in the development of the project. After payments have been made, the LPA
may submit to the DOT periodic itemized claims for reimbursement for eligible project activities.
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
paid in full and completed in substantial compliance with the terms of this agreement.
b. The DOT shall reimburse the LPA for properly documented and certified claims for eligible project
activity costs. The DOT may withhold up to 5% of the Federal and / or State share of costs, either by
state warrant or by crediting other accounts from which payment may have been initially made. If
upon final audit, the DOT determines the LPA has been overpaid, the LPA shall reimburse the
overpaid amount to the DOT. After the final audit or review is complete and after the LPA has
provided all required paperwork, the DOT will release the Federal or State funds withheld.
c. Upon completion of the project, 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 plans and specifications set out in this agreement. Final reimbursement of State and / or Federal
funds shall be made only after the DOT accepts the project as complete.
6. General Provisions
a. The LPA shall maintain records, documents, and other evidence in support of the work performed
under the terms of this agreement. 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 and / or the Federal
Highway Administration (FHWA), or their designees at all reasonable times. The LPA shall provide
copies of said records and documents to the DOT upon request. The LPA shall also require its
contractors to permit authorized representatives of the DOT and / or the FHWA to inspect all work
materials, records, and any other data with regard to agreement related costs, revenues and
operating sources. Such documents shall be retained for at least 3 years from the date of FHWA
approval of the final amendment / modification to the project in the FHWA's Fiscal Management
Information System (FMIS). Upon receipt of such approval by FHWA, the DOT will notify the LPA of
the record retention date.
b. In accordance with Title VI of the Civil Rights Acts of 1964 and Iowa Code Chapter 216 and
associated subsequent nondiscrimination laws, regulations and executive orders, the LPA 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.
c. The LPA 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.
d. If any part of this agreement is found to be void and unenforceable then the remaining provisions of
this agreement shall remain in effect.
e. This agreement is not assignable without the prior written consent of the DOT.
2018-16-119_Oubuque 4
February 2017
f. It is the intent of both (all) parties that no third party beneficiaries be created by this Agreement.
g. 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. The DOT and the LPA 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.
h. This Agreement may be executed in (two) counterparts, each of which so executed will be deemed to
be an original.
i. This Agreement, as well as the unaffected provisions of any previous agreement(s), addendum(s),
and/or amendment(s); represents the entire Agreement between the LPA and DOT regarding this
project. All previously executed agreements will remain in effect except as amended herein. Any
subsequent change or modification to the terms of this Agreement will be in the form of a duly
executed amendment to this document.
2018-16-119_Dubuque 5
February 2017
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No. 2018-16-119 as of the
date shown opposite its signature below.
Date March 19 ,2018.
I, Kvin S. Firnstahlcertifythat I am the Clerk of the City, and that Roy D. Buol
who signed said Agreement for and on behalf of the City was duly authorized to execute the same on the
day of March 2018
Signed:
City Jerk of Dubuque, Iowa.
IOWA DEPARTMENT OF TRANSPORTATION:
By:
James R. Schnoebelen
District Engineer
District 6
Date 3/23 ,
2018-16-119...Dubuque 6
February 2017
EXHIBIT A
General Agreement Provisions for use of Federal Highway Funds on Primary Highways
As a condition of receiving Federal Highway funds, the Recipient shall comply with the following
additional provisions:
1. 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.
2. 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. 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
(LM.$) 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.
4. 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 LM. 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.
5. The Recipient shall comply with the requirements of Title 0 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, and the guidance provided in LM. 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.
6. To the extent allowable by law, the Recipient agrees to indemnify, defend, and hold the Department
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 Department's application review and approval process,
plan and construction reviews, and funding participation.
2018-16-119...Dubuque 7
February 2017
7. 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 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
8. The Recipient shall supply the Department with all information by the Federal Funding Accountability
and Transparency act of 2006 and 2 CFR Part 170.
9. The Recipient shall comply with the following Disadvantaged Business Enterprise (DBE)
requirements:
1) 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.
2) The Recipient shall comply with the requirements of I.M. 3.710, DBE Guidelines.
3) 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.).
10. 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.
11. 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.
2018-16-119_Dubuque 8
February 2017
12. 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.
13. 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.
14. If the Recipient desires to claim indirect costs under Federal awards, the Recipient shall prepare an
indirect cost rate proposal and related documentation in accordance with the requirements of 2 CFR
200. Before incurring costs for in-house services, such an indirect cost rate 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.
15. 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 LM. 3.305, Federal -aid Participation in Consultant Costs.
16. if Preliminary Engineering (PE) work is Federally funded, and if right-of-way acquisition for or actual
construction of the road 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 an amount
equal to the amount of Federal funds made available for such engineering. 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.
17. 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 LM. 3.105, Concept Statement Instructions; 3.110,
Environmental Data Sheet Instructions; 3.112, FHWA Environmental Concurrence Process; and
3.114, Cultural Resource Regulations.
18. If farmland is to be acquired, whether for use as project right-of-way or permanent easement, the
Recipient shall follow the procedures in LM. 3.120, Farmland Protection Policy Act Guidelines.
19. 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.
20. 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.
2018-16-119_Dubuque 9
February 2017
21 If the Recipient is responsible for acquisition of the project right-of-way, it shall acquire the project
right-of-way, whether 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 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.
22. If the project right-of-way is Federally funded and if the actual construction is not undertaken by the
close 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.
23. If Federal funding is requested for construction performed by employees of the Recipient, the
Recipient will follow the procedures outlined in LM. 3.810, Federal -aid Construction by Local Agency
Forces.
24. The non -Federal share of the project costs may include cash or third party non-cash contributions to
the project. If the Recipient desires to use a third party non-cash contribution as credit toward the
non -Federal share, the Recipient shall submit a request to the Department for review in accordance
with I.M. 3.050, In -Kind Contributions. The Department will have sole authority to determine the value
of the Recipient's non-cash contribution for the purposes of this agreement.
25. The Recipient shall maintain all books, documents, papers, accounting records, reports, and other
evidence pertaining to costs incurred for the project. The Recipient shall also make these materials
available at alt 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.
26. 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, and 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). 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:
1) 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
2) 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.
2018-16-119_Dubuque 10
RESOLUTION NO. 63-18
RESOLUTION APPROVING THE COOPERATIVE FUNDING AGREEMENT
(AGREEMENT NO. 2018-16-119) BETWEEN THE CITY OF DUBUQUE AND IOWA
DEPARTMENT OF TRANSPORTATION FOR THE SOUTHWEST ARTERIAL - FINAL
DESIGN 4 -LANE PROJECT
WHEREAS, the Dubuque City Council, the Dubuque County Board of
Supervisors, the Dubuque Metropolitan Area Transportation Study (DMATS), the
Dubuque Area Chamber of Commerce and the Greater Dubuque Development
Corporation have all identified the completion of the Southwest Arterial Project as the
No. 1 surface transportation priority in the Dubuque area; and
WHEREAS, the City of Dubuque (City) and Iowa Department of Transportation
(Iowa DOT) desire to maintain and increase transportation infrastructure while
improving safety for the motorist within the City of Dubuque and Dubuque County and
acknowledge the mutual benefit to partner on the Southwest Arterial Project; and
WHEREAS, the City and the Iowa DOT executed a Memorandum of
Understanding (MOU) and a Transfer of Roadway Jurisdiction (TOJ) for the completion
of the Southwest Arterial project; and
WHEREAS, in effort to keep the project development on schedule while
preparing to incorporate the remaining 4 -lane construction phases should the additional
funding be approved in the upcoming Iowa DOT's 5 -Year Transportation Improvement
Program; both the City and the Iowa DOT have agreed that AECOM should immediately
proceed with completing the final engineering design for the remaining (2) bridges and
the remaining 2 -lane paving; and
WHEREAS, on December 18, 2017, the City Council approved (Resolution 402-
17) and authorized the Consultant Professional Services - Supplemental Agreement No.
19 with AECOM to perform final engineering design to complete the 4 -lane construction
of the Southwest Arterial Project; and
WHEREAS, on December 22, 2017, AECOM was issued a notice to proceed
with completing the final engineering design for the remaining (2) bridges and the
remaining 2 -lane paving; and
WHEREAS, with both the City and Iowa DOT agreeing to allocate funding now to
complete final engineering design, this will allow the remaining 2 bridges and the
remaining 2 -lane paving to be designed over the next 12 months; and
WHEREAS, the Iowa DOT has committed Primary Road Funds ($400,000) to
assist with partial funding for final engineering design costs to complete the 4 -lane
construction plans; and
WHEREAS, the anticipated funding for the project summary is as follows:
un
ource'
escr
moun
3001287
City - DMATS STBG Funds
$ . 777,580
3001287
Iowa DOT - Primary Roads Funds
400,000
Total Project Funding
$ 1,177,580
NOW, THEREFORE, IT IS AGREED BY AND BETWEEN THE PARTIES AS
FOLLOWS:
SECTION 1. City of Dubuque and the Iowa Department of Transportation hereby
agree to partner on completing the final engineering design for the remaining 4 -lane
construction of the Southwest Arterial Project.
SECTION 2. Whereas, the City of Dubuque hereby agrees to allocate DMATS STBG
Funds for completing the 4 -lane final engineering design.
SECTION 3. Whereas, the Iowa Department of Transportation hereby agrees to
allocate State Primary Roads Funds for completing the 4 -lane final engineering design.
SECTION 4. The Mayor is hereby authorized to execute the Cooperative Funding
Agreement (Agreement No. 2018-16-119), between the City of Dubuque and the Iowa
Department of Transportation to assist with partial funding to complete the final
engineering design for the remaining 4 -lane construction of the Southwest Arterial
Project.
Passed, approved and adopted this 19th day of March, 2018.
Attest:
Kevi LS. Firnstahl, CMCity Clerk
Roy D. Buol, Mayor
F:\PROJECTS\SOUTHWEST ARTERIAL\CONTRACT - AECOM FE\FUNDING AGREEMENT - FINAL DESIGN 4 -LANE