Southwest Arterial_IDOT Funding AgreementMasterpiece on the Mississippi
Dubuque
bitkil
AIEAlac4
2007
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Southwest Arterial Project
Iowa Department of Transportation - Federal Aid Funding Agreement
Iowa DOT Agreement No. 2009 -E -275
DATE: April 12, 2010
City Engineer Gus Psihoyos recommends City Council approval of the $32.8 million
Iowa Department of Transportation Federal Aid Funding Agreement for the Southwest
Arterial Project.
This agreement provides for the utilization of federal aid funds to advance the
development of the Southwest Arterial Project for eligible project activities such as
construction, engineering design, mitigation, inspection, right -of -way acquisition and
utility relocation.
A portion of the current federal appropriations and local match funding will be used to
complete the final design and development of final construction documents, complete
property acquisition, and to complete the archeological and cultural resource Phase III
mitigation work. Construction on Phase I and Phase II components will start in the
summer of 2010.
Due to project funding constraints, the Project Technical Committee has been preparing
cost scenarios and evaluating construction alternatives for completing components of
the project with currently available federal, state and local funding.
Total Funding Projection Summary
Status
Amount
Total Federal Funds
Committed
$ 32,805,334
Total State Funds
Committed
$ 17,760,000
Total Local Funds
Committed
$ 15,808,967
Total Federal / State / Local Funding:
$ 66,374,301
** Includes Local STP Federal funds programmed for SW Arterial
**
An alternate interim phase under consideration would include the acquisition of all right -
of -way required for the complete four -lane project, complete the archaeological and
cultural resource mitigation phases, complete final engineering design which would
provide for the grading of four -lanes between Highway 151/61 to Highway 20, pave two -
lane highway between Highway 151/61 to Highway 20, partial interchanges at Highway
151/61 and at Highway 20, and a temporary at -grade intersection at North Cascade
Road. The preliminary cost projection for the interim two -lane highway is $98,300,000.
Interim Build, Grade 4 -Lane, Pave 2 -Lane, Highway 20 to 61/151
$ 98,300,000
Total Federal / State / Local Funding:
$ 66,374,301
I Interim Project, 2 -Lane Highway - Funding Gap:
- $ 31,925,699
At current funding levels, there is a $31.9 million funding shortfall for the Southwest
Arterial to complete the interim 2 -lane highway between Highway 20 and Highway
61/151. The City will continue to work with our project partners to identify additional
revenue sources.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Gus Psihoyos, City Engineer
_,,2____
Michael C. Van Milligen
Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager
FROM: Gus Psihoyos, City Engineer
DATE: April 12, 2010
INTRODUCTION
BACKGROUND
Dubuque
AI-AmatcaGNy
11111
2007
SUBJECT: Southwest Arterial Project
Iowa Department of Transportation - Federal Aid Funding Agreement
Iowa DOT Agreement No. 2009 -E -275
The enclosed resolution authorizes the Mayor to execute the Iowa Department of
Transportation (Iowa DOT) Federal Aid Funding Agreement (Agreement No. 2009 -E-
275) for the development of the Southwest Arterial Project.
As a result of hard work from Dubuque's congressional delegation, the City has been
successful in securing federal appropriations in the amount of $32.8 million for the
completion of the Southwest Arterial project which is the No. 1 surface transportation
priority in the Dubuque area.
In partnership with former Congressman Nussle and U.S. Senator Grassley, the
SAFETEA -LU Transportation Bill includes funding for the Southwest Arterial in the
amount of $26.18 million.
The Technical Corrections Bill was passed which authorized $5.5 million in unused
SAFETEA -LU grant funding for the U.S. 20 Bridge to be transferred to the Southwest
Arterial project.
Through the support and partnership of U.S. Senator Harkin, U.S. Senator Grassley and
Congressman Braley, the City was awarded a $950,000 appropriation as part of the
Omnibus Bill.
As part of the American Recovery and Reinvestment Act (ARRA), the City received a
$2.9 million appropriation and has committed all of the local transportation funding
distribution as part of the ARRA funding for the acquisition of right -of -way property for
the Southwest Arterial project.
DMATS STP Funds
Committed
$ 5,400,000
DMATS Enhancement Funds
Committed
$ 550,000
Through the continued support and partnership of U.S. Senator Harkin, U.S. Senator
Grassley and Congressman Braley, the City was awarded a $389,600 appropriation as
part of the FY2010 THUD Appropriations.
The following table summarizes the appropriated federal funding to -date for the
Southwest Arterial project.
SAFETEA - LU ($26,180,000 Appropriation)
Committed
$ 23,582,825
Technical Corrections Bill - US20 Mississippi Bridge
SAFETEA - LU $5,500,000 transferred to SW Arterial
Committed
$ 4,973,375
FY2009 Omnibus Appropriations Act
Committed
$ 950,000
American Recovery & Reinvestment Act (ARRA)
Committed
$ 2,909,534
FY2010 THUD Appropriations
Committed
$ 389,600
Total Federal Funding:
$ 38,755,334
* After SAFETEA -LU obligation limitations applied
** Local STP Federal funds programmed for SW Arterial
DISCUSSION
*
*
**
**
Local federal funding for the Southwest Arterial project is programmed through the
Dubuque Metropolitan Area Transportation Study (DMATS) Transportation
Improvement Program (TIP) in the amount of $5.4 million in Surface Transportation
Program (STP) funds and dedicated local Enhancement funds of approximately
$550,000 through 2013.
This agreement between the Iowa DOT and the City of Dubuque (City) provides for the
utilization of federal aid funds to advance the development of the Southwest Arterial
Project for eligible project activities such as; construction, engineering design,
mitigation, inspection, right -of -way acquisition and utility relocation.
A portion of the current federal appropriations and local match funding will be used to
complete the final design and development of final construction documents, complete
property acquisition, and to complete the archaeological & cultural resource phase III
mitigation work. Construction on Phase I and Phase II components will start in the
summer of 2010.
RECOMMENDATION
I recommend that the City Council adopt the enclosed resolution and authorize the
Mayor to sign the Federal Aid Funding Agreement (Agreement No. 2009 -E -275) for the
Southwest Arterial Project.
FUNDING SUMMARY
Due to project funding constraints, the Project Technical Committee has been preparing
cost scenarios and evaluating construction alternatives for completing components of
the project with currently available federal, state and local funding.
Total Funding Projection Summary
Status
Amount
Total Federal Funds
Committed
$ 32,805,334
Total State Funds
Committed
$ 17,760,000
Total Local Funds
Committed
$ 15,808,967
I Total Federal / State / Local Funding:
$ 66,374,301 I
** Includes Local STP Federal funds programmed for SW Arterial
An alternate interim phase under consideration would include the acquisition of all right -
of -way required for the complete four -lane project, complete the archaeological and
cultural resource mitigation phases, complete final engineering design which would
provide for the grading of four -lanes between Highway 151/61 to Highway 20, pave two -
lane highway between Highway 151/61 to Highway 20, partial interchanges at Highway
151/61 and at Highway 20, and a temporary at -grade intersection at North Cascade
Road. The preliminary cost projection for the interim two -lane highway is $98,300,000.
Interim Build, Grade 4 -Lane, Pave 2 -Lane, Highway 20 to 61/151
$ 98,300,000
Total Federal / State / Local Funding:
$ 66, 374, 301
I Interim Project, 2 -Lane Highway - Funding Gap:
- $ 31,925,699 I
**
At current funding levels, there is a $31.9 million funding shortfall for the Southwest
Arterial to complete the interim 2 -lane highway between Highway 20 and Highway
61/151.
The interim two -lane highway would function until future additional funding is available
to complete the remaining two -lanes and construct full interchanges which would fully
complete the four -lane divided freeway and should provide a reasonable level of traffic
service through the year 2015. The preliminary cost projection for the complete four -
lane freeway project is $125,000,000.
Complete Project, 4 -Lane Freeway, Highway 20 to 61/151
$ 125,000,000
Total Federal / State / Local Funding:
$ 66, 374, 301
I Complete Project, 4 -Lane Freeway - Funding Gap:
- $ 58,625,699 I
At current funding levels, there is a $58.6 million funding shortfall for the Southwest
Arterial to complete the full build four -lane freeway project between Hwy 20 and Hwy
61/151. This project continues to be a top priority; therefore, other strategies are being
evaluated to insure that this project moves forward.
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution and authorize
the Mayor to sign the Iowa Department of Transportation Federal Aid Funding
Agreement (Agreement No. 2009 -E -275) for the Southwest Arterial Project.
Prepared by: Robert Schiesl, Assistant City Engineer
cc: Jenny Larson, Budget Director
Kent Ellis, Iowa DOT, Local Systems Engineer
Chandra Ravada, ECIA
Attest:
RESOLUTION NO. 122 -10
RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION
FEDERAL AID FUNDING AGREEMENT (AGREEMENT NO. 2009 -E -275) FOR THE
DEVELOPMENT OF THE SOUTHWEST ARTERIAL PROJECT
Whereas, the Iowa Department of Transportation (Iowa DOT) has authorized the use of
SAFETEA -LU Transportation Bill funds; Omnibus Bill funds; American Recovery and
Reinvestment Act (ARRA) funds; Transportation, Housing and Urban Development
(THUD) funds; and Dubuque Metropolitan Area Transportation Study (DMATS) Surface
Transportation Program (STP) funds for the development of the Southwest Arterial
Project in Dubuque.
Whereas, the federal aid appropriated funds will be utilized to advance the
development of the Southwest Arterial Project for eligible project activities such as;
construction, engineering design, mitigation, inspection, right -of -way acquisition and
utility relocation.
Whereas, the federal aid appropriated funds will be eligible as per the terms of
said funding agreement to complete said highway improvements for the Southwest
Arterial Project, within Dubuque County, Iowa.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That said Iowa DOT Federal Aid Funding Agreement (Agreement
No. 2009 -E -275) between the City of Dubuque and the Iowa Department of
Transportation be approved for the development of the Southwest Arterial Project in
Dubuque.
Section 2. That the Mayor be authorized and directed to execute two copies of
Iowa DOT Federal Aid Funding Agreement (Agreement No. 2009 -E -275) for the
development of the Southwest Arterial Project in Dubuque.
Passed, approved and adopted this 19th day of Apri
eanne F. Schneider, CMC, City Clerk
, 2010.
Roy D. Buol, Mayor
March 2009
IOWA DEPARTMENT OF TRANSPORTATION
Federal -aid Agreement for a Non -Primary Highway Project
Recipient: Dubuque
Project Number(s): HDP- 2100(643)- -71 -31
HDP- 2100(649)- -71 -31
HDP- 2100(650)- -71 -31
HDP- 2100(658)- -71 -31
ESL - 2100(646)- -7S -31
Iowa DOT Agreement Number: 2009 -E -275
This is an agreement between the city of Dubuque, Iowa (hereinafter referred to as the 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 on streets and highways in Iowa with Federal funds. Federal
regulations require Federal funds to be administered by the Department.
The United States Congress has provided Federal funding for the project described below from the High Priority
Projects (HPP) program, which was continued under Sections 1701 through 1703 of the Safe, Accountable,
Flexible, and Efficient Transportation Equity Act: A Legacy for Users (SAFETEA -LU), Public Law 109 -59. These
funds are hereinafter referred to as HPP funds.
The United States Congress has provided Federal funding for the project described below from the Transportation
Improvements (TI) program, which was established under Section 1934 of the Safe, Accountable, Flexible, and
Efficient Transportation Equity Act: A Legacy for Users (SAFETEA -LU), Public Law 109 -59. These funds are
hereinafter referred to as TI funds.
The United States Congress has provided Federal funding for the project described below from Division I, Title I,
Section 125 of the Omnibus Appropriations Act, 2009, Public Law 111 -08, which are referred to hereinafter as
Section 125 funds.
Whereas, the Recipient has received Federal funding for this project under Division A, Title I, Surface
Transportation Priorities Projects of the Consolidated Appropriations Act, 2010, Public Law 111 -117, which are
referred to hereinafter as STPP funds.
Title XII of Division A of the American Recovery and Reinvestment Act of 2009 (Recovery Act) provided Federal
funds for a Highway Infrastructure Investment program, referred to hereinafter as "Federal Recovery funds."
These funds may be used for any projects as specified by Section 133(b) of Title 23, United States Code (U.S.C.).
This includes highway construction, reconstruction, rehabilitation, resurfacing, and restoration projects. It also
includes transportation enhancements, operational or safety improvement projects on highways, bridges on any
public road, and any other projects or activities as specified in 23 U.S.C. 133(b). Projects may not be located on
roads classified as local or rural minor collector on the Federal Functional Classification system, except for
transportation enhancement activities or as otherwise provided for in 23 U.S.C. 133(c).
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 the lead local governmental agency 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. The Recipient's contact person
shall be the City's Civil Engineer.
3. The Recipient shall be responsible for the development and completion of the following described project:
Southwest arterial from U.S. 20 at Seippel Road south 6.2 miles to U.S. 61/151 (Olde Davenport Road).
Federal -aid Agreement for a Non -Primary Highway Project
Page 2
4. The Recipient and the Department have previously entered into the following agreements for the above
referenced project: Memorandum of Understanding dated April 6, 1993 for Urban Primary Road; Agreement
2002 -16 -144 dated May 6, 2002 for completion of the addendum to the 1999 Southwest Arterial
Environmental Assessment; Agreement 6- 03- STPU -43 dated July 6, 2004 for Federal -aid Surface
Transportation Project (STP); and Agreement 2009 -1 -020 dated February 4, 2009 for right of way acquisition
for the Southwest Arterial. All previously executed agreements shall remain in effect except as amended
herein.
5. SAFTEA -LU set a total upper limit of $15,200,000 in HPP funds for this project (HDP- 2100(643)-- 71 -31)
(Demo I.D. IA 082, HP 1145). Beginning with Federal Fiscal Year (FFY) 2005, and continuing through FFY
2009, 20% of this total will be allocated each year. However, after each year's allocation is distributed, the
actual amount of HPP funds available for obligation (and consequently, reimbursement) will be limited by the
amount of obligation authority made available each year by Congress, or the total amount of obligation
authority accumulated to date. Therefore, the portion of the project costs reimbursed with HPP funds shall be
limited to a maximum of either 80% of eligible costs (other than those costs reimbursed with other Federal
funds) or the total amount of obligation authority, whichever is Tess.
6. SAFTEA -LU set a total upper limit of $4,180,000 in TI funds for this project (HDP- 2100(649)-- 71 -31) (Demo
I.D. IA 184, TI 114). Of this total, 10% will be allocated in Federal Fiscal Year 2005, 20% in 2006, 25% in
2007 and 2008, and 20% in 2009. However, after each year's allocation is distributed, the actual amount of
TI funds available for obligation (and consequently, reimbursement) will be limited by the amount of obligation
authority made available each year by Congress, or the total amount of obligation authority accumulated to
date. Therefore, the portion of the project costs reimbursed with TI funds shall be limited to a maximum of
either 80% of eligible costs (other than those costs reimbursed with other Federal funds) or the total amount
of obligation authority, whichever is less.
7. SAFTEA -LU set a total upper limit of $5,500,000 in TI funds for this project (HDP- 2100(658)-- 71 -31) (Demo
I.D. IA 192, TI 122). Of this total, 10% will be allocated in Federal Fiscal Year 2005, 20% in 2006, 25% in
2007 and 2008, and 20% in 2009. However, after each year's allocation is distributed, the actual amount of
TI funds available for obligation (and consequently, reimbursement) will be limited by the amount of obligation
authority made available each year by Congress, or the total amount of obligation authority accumulated to
date. Therefore, the portion of the project costs reimbursed with TI funds shall be limited to a maximum of
either 80% of eligible costs (other than those costs reimbursed with other Federal funds) or the total amount
of obligation authority, whichever is less.
8. SAFTEA -LU set a total upper limit of $6,800,000 in TI funds for this project (HDP- 2100(650)-- 71 -31) (Demo
I.D. IA 203, TI 133). Of this total, 10% will be allocated in Federal Fiscal Year 2005, 20% in 2006, 25% in
2007 and 2008, and 20% in 2009. However, after each year's allocation is distributed, the actual amount of
TI funds available for obligation (and consequently, reimbursement) will be limited by the amount of obligation
authority made available each year by Congress, or the total amount of obligation authority accumulated to
date. Therefore, the portion of the project costs reimbursed with TI funds shall be limited to a maximum of
either 80% of eligible costs (other than those costs reimbursed with other Federal funds) or the total amount
of obligation authority, whichever is less. The Recipient shall receive reimbursement for costs of authorized
and approved eligible project activities from Federal Recovery funds. The portion of the project costs
reimbursed by Federal Recovery funds shall be limited to a maximum of either 100 percent of eligible costs or
the amount stipulated in the approved Statewide Transportation Improvement Program (STIP), whichever is
less.
9. The Recipient shall receive reimbursement for costs of authorized and approved eligible project activities from
Section 125 funds. The portion of the project costs reimbursed with Section 125 funds shall be limited to a
maximum of either 100 percent of eligible costs (other than those reimbursed with other Federal funds) or
$950,000, whichever is Tess. 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.
10. The Recipient shall receive reimbursement for costs of authorized and approved eligible project activities from
STPP funds (Demo I.D. IA 243). The portion of the project costs reimbursed with STPP funds shall be limited
to a maximum of either 100 percent of eligible costs (other than those reimbursed with other Federal funds) or
$389,533, 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.
Federal -aid Agreement for a Non -Primary Highway Project
Page 3
11. The Recipient shall receive reimbursement for costs of authorized and approved eligible project activities from
Federal stimulus funds. The portion of the project costs reimbursed by Federal stimulus funds shall be limited
to a maximum of either 100 percent of eligible costs or the amount stipulated in the approved Statewide
Transportation Improvement Program (STIP), whichever is less.
12. 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.
13. Due to the size, scope, and special purposes of the Recovery Act, several special requirements will apply to
this project, in addition to those required by Title 23 United States Code and its implementing regulations, as
outlined in Exhibit 1. These special requirements include, but may not be limited to, the following:
a. All construction contracts shall be let through the Department's competitive bidding process.
b. Once obligated, the Federal Recovery funds for this project will remain available for reimbursement of
eligible project expenditures until September 30, 2015. After this date any remaining balance of obligated
funds will be withdrawn and no additional reimbursements will be made from Federal Recovery funds.
c. The Department will prepare and submit reports to the Federal Highway Administration (FHWA) for all
projects that receive Federal Recovery funding. The Recipient shall provide data as required to the
Department in order to meet these reporting requirements.
d. The mayor, chairperson of the Board of Supervisors, or other chief executive of the Recipient shall sign
the certificati n attached as Exhibit 2.
14. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this
agreement shall remain in effect.
15. It is the intent of both parties that no third party beneficiaries be created by this agreement.
16. 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.
17. This agreement; as well as the unaffected provisions of any previous agreement(s), addendum(s), and /or
amendment(s); and the attached exhibits 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.
Federal -aid Agreement for a Non - Primary Highway Project
Page 4
IN WITNESS WHEREOF, each of the parties hereto has executed this Agreement as of the date shown opposite
its signature below.
City of Dubuque:
By Date
Title
, certify that I am the City Clerk of Dubuque, and
that who signed said Agreement for and on behalf of the City was duly
authorized to execute the same by virtue of a formal Resolution duly passed and adopted by the city on the
day of
Signed Date
City Clerk of Dubuque, Iowa
Iowa Department of Transportation:
Highway Division
By Date
Kent Ellis, P.E.
District 6 Local Systems Engineer
November 2008
EXHIBIT 1
General Agreement Provisions for use of Federal Highway Funds on Non -primary Highways
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.govllocal_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.
c. The Recipient shall comply with the requirements of Title II of the Americans with Disabilities Act of 1990
(ADA), Section 504 of the Rehabilitation Act of 1973 (Section 504), and the associated Federal
regulations that implement these laws. When pedestrian facilities are constructed, reconstructed, or
altered, the Recipient shall make such facilities compliant with the ADA and Section 504. Pedestrian
facilities include facilities that are designed for pedestrian use, such as pedestrian signals and push
buttons, sidewalks, multi -use trails, curb ramps, and the street surface in the pedestrian crossing area.
Alterations are changes to the structure, grade, function, or use of the pedestrian facility, and include
such activities as: full depth pavement replacement, widening, resurfacing, signal installation, pedestrian
signal installation, and other projects of similar scale and effect. In addition, by signing this agreement, if
the Recipient has 50 or more employees, it certifies one of the following: it has provided ADA compliant
curb ramps at all intersections of sidewalks with public streets under its jurisdiction; it has a transition plan
that meets the requirements of 28 CFR 35.150(d), including provisions for installation of curb ramps at all
intersections of sidewalks with public streets under its jurisdiction; or it is working to develop such a
transition plan. If the Recipient does not have a transition plan or its transition plan does not include curb
ramps, the Recipient shall prepare or modify its transition plan to include curb ramps in accordance with
I.M. 1.080, ADA Requirements.
d. 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.
e. 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 10 days notice to the other party of their intent to seek arbitration. The written notice shall
include a precise statement of the dispute. The Department and the Recipient agree to be bound by the
decision of the appointed arbitrator. Neither party may seek any remedy with the State or Federal courts
absent exhaustion of the provisions of this paragraph
f. The Office of Management and Budget (OMB) Circular A -133 requires the Department to inform the
Recipient of the appropriate Catalog of Federal Domestic Assistance (CFDA) number and title to be used
on the Schedule of Expenditures of Federal Awards (SEFA) that is required by OMB Circular A -133.
CFDA #20.205 and title, "Highway Planning and Construction" shall be used for the Federal funds
awarded for this project. 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.
2. 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
Exhibit 1
Page 2
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. In - House Services.
a. If Federal funding is requested for in -house services, the Recipient shall follow the procedure outlined in
I.M. 3.310, Federal -aid Participation in In -House Services. 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 225. 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.
4. Consultant Services
a. If the Recipient requests Federal funds for consultant services, the Recipient and the Consultant shall
prepare a contract for consultant services in accordance with Title 23, Code of Federal Regulations, Part
172 - Administration of Negotiated Contracts (23 CFR 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.
b. If preliminary engineering is Federally funded, and if the "do nothing" alternate is not selected, 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.
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.
b. If farmland is to be acquired, whether for use as project right -of -way or permanent easement, the
Recipient shall submit the U.S. Department of Agriculture Farmland Conversion Impact Rating form, when
required, to the U.S. Natural Resources Conservation Service (NRCS).
c. The Recipient shall obtain agreements, as needed, from railroad and utility companies; and 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, etc.
d. The Recipient shall comply with the Policy for Accommodating Utilities on City and County Federal -aid
Highway Right of Way, and the Policy for Accommodating Utilities on Primary Road System when on
State's right of way. Certain utility relocation, alteration, adjustment, or removal costs to the Recipient for
the project may be eligible for Federal funding reimbursement. If the Recipient desires Federal
reimbursement of these 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
e. 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.
Exhibit 1
Page 3
6. Right -of -Way.
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 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 close
of the twentieth fiscal year following the fiscal year in which the Federal funds were authorized, the
Recipient shall repay the sum or sums of Federal funds in the right -of -way to the Department.
7. Letting the Project.
a. The project plans, specifications, and project cost estimate (PS &E) shall be prepared and certified as
appropriate by a Professional Engineer, Architect, or Landscape Architect licensed in the State of Iowa.
The Recipient shall submit the plans, specifications, and other contract documents to the Department for
review and approval to let the project.
b. The project shall be constructed under 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.
c. The Recipient shall forward a completed Project Development Certification (Form 730002) and final
PS &E to the Department. As a condition for the Department to let the project, the Recipient agrees that
the Recipient has the financial resources to proceed with the project if bids submitted are 110% of the
project cost estimate or less. If the Recipient is a city, the Recipient shall comply with the public hearing
requirements of the Iowa Code section 26.12.
d. If the project is to be accomplished via a contract awarded by competitive bidding, the project will be let
by the Department in accordance with its normal letting procedures. After bids are received and
reviewed, the Department will furnish the Recipient with a tabulation of responsive bids.
e. When let by the Department, the Department will prepare an Iowa DOT Staff Action identifying the lowest
responsive bidder. The Department will mail three originals of the unexecuted contract to the Recipient.
f. The Recipient shall take action to award a contract to the lowest responsive bidder or reject all bids.
Following award of a contract, the Recipient shall forward to the Department two copies of the fully
executed contract, two copies of the performance bond, and two copies of the certificate of insurance.
8. Construction.
a. 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 IAC
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.
b. If Federal funding is requested for construction performed by local agency forces, the Recipient will follow
the procedures outlined in I.M. 3.810, Federal -aid Construction by Local Agency Forces.
c. The Recipient shall comply with the procedures and responsibilities for materials testing according to the
Department's Material I.M.s. The Department will bill the Recipient for testing services according to its
normal policy. The Recipient should use the Department's Construction Manual as a guide for
conducting other construction inspection activities.
Exhibit 1
Page 4
9. Payments.
a. After costs have been incurred, the Recipient may submit to the Department periodic itemized claims for
reimbursement for eligible project costs. Reimbursement claims shall include certification that all eligible
project costs, for which reimbursement is requested, have been paid in full and completed in substantial
compliance with the terms of this agreement.
b. The Department will reimburse the Recipient for properly documented and certified claims for eligible
project costs, less a withholding of 5% of the Federal and / or State share of construction costs.
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 or State funds withheld.
c. 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 does exceed the total
project costs, the Recipient shall either:
1) 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.
10. Project Close -out.
a. Upon completion of the project, as appropriate, a Professional Engineer, Architect, or Landscape
Architect, licensed in the State of Iowa shall certify in writing to the Department that the project was
completed in substantial compliance with the plans and specifications set out in this agreement. Final
reimbursement of Federal funds shall be made only after the Department accepts the project as
complete.
b. 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 amendment / modification to the project in the FHWA's Fiscal Management Information System
(FMIS). Upon receipt of such approval by FHWA, the Department will notify the Recipient of the record
retention date.
c. The Recipient shall maintain, or cause to be maintained, the completed improvement in a manner
acceptable to the Department and the FHWA.
EXHIBIT 2
Recipient's Certification for Use of American Recovery and Reinvestment Act Funds
Agency Name: Dubuque, Iowa
Project Number: ESL - 2100(646)- -7S -31
Project Description: Southwest arterial from U.S. 20 at Seippel road south 6.2 miles to U.S. 61/151 (Olde
Davenport Road).
Estimated Total Cost: $ 29,089,534
Federal Recovery funds: $ 2,909,534
In accordance with the requirements of Section 1511 of Title XV of Division A of the American Recovery and
Reinvestment Act of 2009, on behalf of the agency named above I hereby certify that the project described above
has received the full review and vetting required by law and I accept responsibility that this investment is an
appropriate use of taxpayer dollars.
Signature Date
Printed name Title of county or city official