Historic Millwork District Streets TIGER GrantMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Historic Millwork District Complete Streets TIGER Grant
DATE: September 24, 2010
The City of Dubuque received notification that it was awarded a $5.6 million
Transportation Investment Generating Economic Recovery (TIGER) grant in March of
2010.
City Engineer Gus Psihoyos recommends City Council approval of the final TIGER
funding agreement for the Historic Millwork District Complete Streets Project.
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
Mic 14 ,
ael C. Van Milligen
Dubuque
Itrail
All- Amaica CAN
I'll!
2007
Masterpiece on the Mississippi
TO:
FROM:
SUBJECT:
DATE:
INTRODUCTION
BACKGROUND
DISCUSSION
Michael C. Van Milligen, City Man
Gus Psihoyos, City Engineer
Historic Millwork District Complete Streets TIGER Grant
September 22, 2010
2
Dubuque
had
Al-Ameiica City
2007
This memo requests you to execute four (4) copies of the final TIGER (Transportation
Investment Generating Economic Recovery) funding agreement for the Historic Millwork
District Complete Streets Project.
The City of Dubuque received notification that it was awarded a 5.6 million dollar TIGER
grant in March of 2010. Since that time Veenstra & Kimm, Inc. has been working on the
design of the improvements for the following streets:
10th Street (Jackson to Elm) Reconstruction
Washington Street (9 to 11 Reconstruction
Jackson Street (7 to 11 Reconstruction
10 Street (Jackson to Main) Streetscape
Jackson Street (5 to 7 Multi -use Trail
On September 3, 2010 the City received notification from the Federal Highway
Administration (FHWA) that all environmental clearances had been met for the project
and that final design could begin. Since that time, Sarah Berman of FHWA -
Washington has been working with the City to process everything needed for the
funding agreement.
Attached is a copy of the final funding agreement from FHWA. The agreement includes
all of the requirements that the City will need to follow for the funding. The agreement
includes performance measures that the City will need to monitor over a five year
period. The performance measures include:
1) Measure the number of pedestrians on the streets listed above each month. This
is reported quarterly.
2) Measure the number of bicyclists on the streets listed above each month. This is
reported quarterly.
3) Measure the Average Daily Traffic for motor vehicles on the streets listed above.
This is reported quarterly.
4) Measure the amount of property investment the property owners have put into
their properties as a result of the complete street project. This is reported
quarterly.
Below is the anticipated schedule for the Historic Millwork District Complete Streets
Project:
Initiate Public Bidding Process
Publish Notice to Bidders, Advertise for Bids
Publish Public Hearing Notice on Plans, Specs, Assessments
Mail Special Assessment Notice to Property Owners
Publish Notice of Special Assessment: 1st Publication:
2nd Publication:
Pre -Bid Construction Conference
Public Hearing on Plans & Specs, Spec. Assessments
Receipt of Bid Proposals (Bid- Letting)
FHWA Response to Bids
Award Construction Contract
Project Completion Dates:
November 15, 2010
November 18, 2010
November 18, 2010
November 18, 2010
November 18, 2010
November 25, 2010
December 2, 2010
December 6, 2010
December 9, 2010
December 13, 2010
December 20, 2010
November 30, 2012
The City of Dubuque is required to sign 4 copies of the grant agreement and return to
the FHWA Washington office. The City will then receive an email with a copy of
executed agreement. A hard copy of the agreement will be sent separately.
ACTION TO BE TAKEN
On September 22, 2010, you signed the agreement in order to meet the federal fiscal
year deadlines and City Council approval of the document is now being sought.
Prepared by Jon Dienst, P.E.
Cc: Teri Goodmann, Assistant City Manager
Cindy Steinhauser, Assistant City Manager
David Heiar, Economic Development Director
Aaron DeJong, Assistant Economic Development Director
Laura Carstens, Planning Services Manager
Chandra Ravada, ECIA
GRANT AGREEMENT UNDER THE AMERICAN RECOVERY AND REINVESTMENT ACT
OF 2009 TRANSPORTATION INVESTMENTS GENERATING ECONOMIC RECOVERY
(TIGER) DISCRETIONARY GRANT PROGRAM
1. Award No.
DTFH6 I -10-G-00011
4. Awarded To
City of Dubuque
50 West 13 Street
Dubuque, Iowa 52001
DUNS: 093105302
TIN: 42-6004596
6. Period of Performance
Effective date to September 30, 2016
8. Type of Agreement
Grant
10. Procurement Request No.
70 -71 -10046
12. Submit Payment Requests To
See Section 5
15. Description of Project
Historic Millwork District Complete Streets Project
oq)a�lia
Si ature I ate
Name: MttWoEL C. \.1101 Chku4ELI
Title: ea.t.y N1awt0tt
Award No. DTFH61 -10 -G -00011
2. Effective Date
SEP 24 2010
5. Sponsoring Office
Federal Highway Administration
Office of Acquisition Management
HAAM -40, Mail Stop E65 -101
1200 New Jersey Ave, S.E.
Washington, DC 20590
7. Total Amount
Total Government Share:
Total Recipient Share:
Total Value:
9. Authority
Public Law 111 -5
11. Funds Obligated
$5,600,000
13. Payment Office
See Section 5
14. Accounting and Appropriation Data
1510050E50.20I 0.070CTDG500 .7001000000.41050.6100660(1 Add $5,600,000
Total Obligated $5,600,000
DUBUQUE, IOWA FEDERAL HIGHWAY ADMINISTRATION
16. Signature of Person Authorized to Sign 17. Signature of Agreement Officer
3. CFDA No.
20.932
$5,600,000
$ 166,975
$5,766,975
?X
Signature Date
Arlan Finfrock
Agreement Officer
1
CITY OF DUBUQUE, IOWA
HISTORIC MILLWORK DISTRICT COMPLETE STREETS PROJECT
DOT/FHWA TIGER GRANT NO. 16
GRANT AWARD - DTFH61 -10 -G -00011
UNITED STATES OF AMERICA
U.S. DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
WASHINGTON, DC 20590
GRANT AGREEMENT
UNDER THE
AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009
TRANSPORTATION INVESTMENTS GENERATING ECONOMIC RECOVERY (TIGER)
DISCRETIONARY GRANT PROGRAM
Award No. DTFH61 -10 -G -00011
170 :1 lid d3S
140
2
Grant Agreement
TABLE OF CONTENTS
Section 1 Legislative Authority
Section 2 General Terms and Conditions
Section 3 Applicable Federal Laws and Regulations
Section 4 Grantee and Project Conditions
Section 5 Reimbursement of Project Costs
Section 6 Reporting
Section 7 Special Grant Requirements
Section 8 Assurances
Section 9 Termination, Modification and Expiration
Section 10 Award and Execution of Grant Agreement
Attachments
Attachment A
Attachment B
Attachment C
Attachment D
Attachment E
Attachment F
Attachment G
Attachment H
Attachment I
Award No. DTFH61 -10 -G -00011
Statement of Work
Grant Assurances
Recovery Act Requirements and Contract Clauses
Quarterly Project Progress Reports: Format and Content
Project Budget
Project Schedule
Technical Application
Milestone/Deliverable Schedule
Performance Measures
3
GRANT AGREEMENT BETWEEN THE
U.S. DEPARTMENT OF TRANSPORTATION, FEDERAL HIGHWAY ADMINISTRATION,
AND CITY OF DUBUQUE, IOWA UNDER THE AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009,
SUPPLEMENTAL DISCRETIONARY GRANTS FOR A NATIONAL SURFACE
TRANSPORTATION SYSTEM,
HEREINAFTER REFERRED TO AS THE
"TIGER DISCRETIONARY GRANT PROGRAM"
WHEREAS, the City of Dubuque, Iowa hereinafter referred to as "Grantee," or "Recipient," has applied
for a grant entitled, "Historic Millwork District Complete Streets Project," in Dubuque, Iowa (hereinafter
referred to as the "Project "), under the TIGER Discretionary Grant Program authorized by the American
Recovery and Reinvestment Act of 2009, Public Law 111 -5 (hereinafter referred to as the "Recovery Act"
or "ARRA ");
WHEREAS, the U.S. Department of Transportation (DOT) (hereinafter referred to as the "Government "),
acting for the United States, received and reviewed over 1,400 applications for grants under the TIGER
Discretionary Grant Program;
WHEREAS, DOT selected 51 projects to receive TIGER Discretionary Grants because of the benefits
that these projects are expected to provide; and
WHEREAS, the Project was selected to receive a TIGER Discretionary Grant as the Project will
contribute to enhancing mobility and improving safety and the condition of the existing transportation
system.
THEREFORE, DOT awards this grant in the amount of Five Million Six Hundred Thousand Dollars
($5,600,000) to be administered by the Federal Highway Administration ( "FHWA "), to assist in the
Grantee's efforts to construct the Project, in accordance with the terms and conditions of this grant
agreement (hereinafter referred to as the "Grant Agreement ").
SECTION 1. LEGISLATIVE AUTHORITY
Title XII of the Recovery Act provides that "...the Secretary of Transportation shall distribute funds
provided...as discretionary grants to be awarded to State and local governments or transit agencies on a
competitive basis for projects that will have a significant impact on the Nation, a metropolitan area, or a
region." The Recovery Act also provides that "...projects eligible for funding provided under this
heading shall include, but not be limited to, highway or bridge projects eligible under title 23, United
States Code, including interstate rehabilitation, improvements to the rural collector road system, the
reconstruction of overpasses and interchanges, bridge replacements, seismic retrofit projects for bridges,
and road realignments; public transportation projects eligible under chapter 53 of title 49, United States
Code, including investments in projects participating in the New Starts or Small Starts programs that will
expedite the completion of those projects and their entry into revenue service; passenger and freight rail
transportation projects; and port infrastructure investments, including projects that connect ports to other
modes of transportation and improve the efficiency of freight movement."
Further, the Recovery Act provides that the authority to award a grant under the TIGER Discretionary
Grant Program and perform oversight may be transferred from the Secretary of Transportation to the
Award No. DTFH61 -10 -G -00011
4
Administrators of the Federal Highway Administration, the Federal Transit Administration, the Federal
Railroad Administration and the Maritime Administration.
SECTION 2. GENERAL TERMS AND CONDITIONS
a) The maximum obligation of the Government payable under this award, hereinafter referred to as
the "Grant," shall be Five Million and Six Hundred Thousand Dollars ($5,600,000), subject to all
the terms and conditions in this Grant Agreement. The obligation of funds cannot occur until after
the Grantee has fully complied with the certification requirements under section 1511 of the
Recovery Act.
b) Payment of the Grant will be made pursuant to and in accordance with 49 C.F.R. Part 18, and the
provisions of such regulations and procedures as the Government may prescribe. Final
determination of Grant expenditures may be based upon a final review of the total amount of
agreed project costs and settlement will be made for adjustments to the Grant amount in
accordance with applicable government -wide cost principles in 2 C.F.R. 225 (OMB Circular A-
87).
c) The Grantee agrees to carry out and complete the Project without undue delays and in accordance
with the terms hereof, including the Project Schedule attached as Attachment F, and such
regulations and procedures as the Government may prescribe.
d) The Grantee has submitted a request for Federal assistance, hereinafter referred to as the
"Technical Application," attached as Attachment G, and the Government is relying upon the
Grantee's assurances, certifications, and other representations made in the Technical Application,
or any other related documents submitted to the Government; and, in its submissions, the Grantee
has demonstrated justification for the Project, and has demonstrated the financial and technical
feasibility of the Project, including the ability to start construction quickly upon receipt of the
Grant; to expend Grant funds once construction starts; and to receive all necessary environmental,
state and local planning, and legislative approvals necessary for the Project to proceed in
accordance with the Project Schedule.
e) The Government has determined that the Project should receive a Grant based on a review of the
Project's potential to rapidly create jobs and economic activity; to provide lasting, long -term
economic benefits for the transportation system; and to provide other outcomes, as specified in the
June 17, 2009, Federal Register Notice, "Notice of Funding Availability for Supplemental
Discretionary Grants for Capital Investments in Surface Transportation Infrastructure Under the
American Recovery and Reinvestment Act" (Docket No. OST- 2009 - 0115).
f) The Grantee will be monitored periodically by the Government, both programmatically and
financially, to ensure that the Project goals, objectives, performance requirements, timelines,
milestone completion, budgets, and other related program criteria are being met. Monitoring will
be accomplished through a combination of office -based reviews and onsite monitoring visits.
Monitoring will involve the review and analysis of the financial, programmatic, performance and
administrative issues relative to each program and will identify areas where technical assistance
and other support may be needed. The Grantee is responsible for monitoring award activities, to
include sub - awards, to provide reasonable assurance that the Federal award is administered in
compliance with applicable requirements. Responsibilities include the accounting of receipts and
expenditures, cash management, maintaining adequate financial records, and refunding disallowed
expenditures. (For further information, please see Attachment B — Grant Assurances).
Award No. DTFH61 -10 -G -00011
5
g )
The Grantee agrees to take all steps, including initiating litigation, if necessary, to recover Federal
funds if the Government determines, after consultation with the Grantee, that such funds have
been spent fraudulently, wastefully, or in violation of Federal laws, or misused in any manner in
undertaking the Project. For the purposes of this Grant Agreement, the term "Federal funds"
means funds however used or disbursed by the Grantee that were originally paid pursuant to this
Grant Agreement.
h) The Grantee agrees to retain all documents relevant to the Grant award for a period of three years
from completion of the Project and receipt of final reimbursement from the Government. The
Grantee agrees to furnish the Government, upon request, all documents and records pertaining to
the determination of the Grant amount or to any settlement, litigation, negotiation, or other efforts
taken to recover such funds. All settlements or other final positions of the Grantee, in court or
otherwise, involving the recovery of such Grant amount shall be approved in advance by the
Government.
j)
i) The Government is subject to the Freedom of Information Act (FOIA). The Grantee should
therefore be aware that all applications and related materials submitted by the Grantee related to
this Grant Agreement will become agency records and thus are subject to FOIA and to public
release through individual FOIA requests. ARRA also mandates broad public dissemination of
information related to the expenditure of funds through reporting requirements and website
postings that are addressed in other sections of this Grant Agreement. President Obama's March
20, 2009 Memorandum for the Heads of Executive Departments and Agencies on Ensuring
Responsible Spending of Recovery Act Funds mandates the strongest possible efforts to ensure
public transparency and accountability of Recovery Act expenditures.
The Government shall not be responsible or liable for any damage to property or any injury to
persons that may arise from, or be incident to, performance or compliance with this Grant
Agreement.
k) The Grantee agrees to: 1) promote the creation of job opportunities for low - income workers
through the use of best practice hiring programs and utilization of apprenticeship (including pre -
apprenticeship) programs; (2) provide maximum practicable opportunities for small businesses,
including veteran -owned small businesses and service disabled veteran -owned small businesses;
(3) make effective use of community-based organizations in connecting low income or
unemployed workers with economic opportunities; (4) give priority consideration to doing
business under the grant with firms that have a sound track record on labor practices and
compliance with Federal laws ensuring that American workers are safe and treated fairly; and (5)
implement best practices, consistent with our nation's civil rights and equal opportunity laws, for
ensuring that all individuals — regardless of race, gender, age, disability, and national origin —
benefit from the Recovery Act.
An example of a best practice under (5) would be to incorporate key elements of DOT's
disadvantaged business enterprise (DBE) program (see 49 C.F.R. Part 26) in contracts under this
Grant. This practice would involve setting a DBE contract goal on contracts under this Grant that
have subcontracting possibilities. The goal would reflect the amount of DBE participation on the
contract that the Recipient would expect to obtain absent the effects of discrimination and
consistent with the availability of certified DBE firms to perform work under the contract. When
a DBE contract goal has been established by a Recipient, the contract would be awarded only to a
bidder /offeror who has met or made documented, good faith efforts to reach the goal. Good faith
efforts are defined as "efforts to achieve a DBE goal or other requirement of this part which, by
Award No. DTFH61 -10 -G -00011
6
their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill
the program requirement."
Recipients must provide DOT a plan for incorporating the above best practice into its
implementation of the grant within 30 days following execution of this grant agreement. If the
Recipient is not able to substantially incorporate Part 26 elements in accordance with the above -
described best practice, the recipient agrees to provide DOT with a written explanation and an
alternative program for ensuring the nondiscriminatory use of contractors owned and controlled by
socially and economically disadvantaged individuals.
I) In accordance with OMB Recovery Act Guidance, (available at
http: / /www.whitehouse.gov /omb /recovery default/), and in the answers to Frequently Asked
Questions (available at http: / /www.whitehouse.gov /omb /recovery fags), the Grantee may recoup
costs in the amount of up to 0.5% of the grant amount for administering the Grant. Information
about which administrative costs are reimbursable under this program is available in 2 C.F.R. Part
225 (OMB Circular A -87), "Cost Principles for State and Local Governments" (located at
http: / /www.whitehouse.gov/ omb /circulars /a087 /a087- all.html), and in Recovery Act specific
guidance in OMB Memorandum M- 09 -18, Payments to State Grantees for Administrative Costs of
Recovery Act Activities (May 11, 2009). The costs for reporting performance measures required
pursuant to subsection m) below are permitted as part of the up to 0.5% in administrative costs.
m) Subject to the Paperwork Reduction Act, as necessary, the Grantee agrees to:
1) collect the data necessary to track and report on each of the performance
measures identified in the Performance Measurement Table attached here as
Attachment I of this Grant Agreement;
2) report the results of such data collection to the Government; and,
3) Grantee will include the data collected for each measure in each required
report. To satisfy the reporting requirements, Grantee agrees to provide "Before"
and "After" reports. Before reports will include current baseline data for each
performance measure and should be delivered to the Government before project
completion. Before reports will also include a detailed description of data sources,
assumptions, variability and the estimated level of precision for each measure.
Grantee should provide After reports for each performance measure following
project completion at the intervals, and for the time periods, specified in the
Performance Measure Table included as Attachment I. After reports may include a
narrative discussion detailing project successes and /or the influence of external
factors on project expectations. The final After report must include an ex post
examination of project effectiveness in relation to Before baselines.
n) The Government encourages the Grantee to adopt and enforce workplace safety policies to
decrease crashes caused by distracted drivers including policies that bar text messaging while
driving company -owned or — rented vehicles, or government- owned, leased, or rented vehicles or
privately -owned vehicles when on official government business or when performing any work for
or on behalf of the Government. See Executive Order 13513 "Federal Leadership on Reducing
Text Messaging While Driving ", Oct. 1, 2009 (available at http: / /edocket.access.gno.go /2009/E9-
24203.htm) and DOT Order 3902.1 "Text Messaging While Driving ", Dec. 30, 2009 (available at
http: / /dotnet.gov.gov), as implemented by Financial Assistance Policy Letter (No. FAP- 2010 -01,
Feb. 2, 2010). This includes, but is not limited to, the Grantee:
Award No. DTFH61 -10 -G -00011
7
1) considering new rules and programs or re- evaluating existing programs to prohibit text
messaging while driving;
2) conducting education, awareness, and other outreach for employees
about the safety risks associated with texting while driving; and
3) encouraging voluntary compliance with the agency's text messaging
policy while off duty.
The Grantee is encouraged to insert the substance of this clause in all assistance awards.
SECTION 3. APPLICABLE FEDERAL LAWS AND REGULATIONS
In addition to any other Federal requirements that apply, including specific and/or additional Buy
American and Davis Bacon Act Prevailing Wage requirements or other specific requirements that apply
under Titles 23 and 49 of the United States Code, performance under this Grant Agreement shall be
governed by and in compliance with the following requirements as applicable to the type of organization
of the Recipient and any applicable sub - recipients:
a) The "Uniform Administrative Requirements for Grants and Grant Agreements to State and Local
Governments" (49 C.F.R. 18), located at: http: / /www. dot .gov /ost/m60 /grant/49cfr18.htm, and
DOT's procurement standards for grants, to the extent that the Grantee procures property and
services in carrying out the approved grant project.
b) Section 902 of the Recovery Act, requiring that each contract awarded using Recovery Act funds
must include a provision that provides the U.S. Comptroller General and his representatives with
the authority to: 1) examine any records of the contractor or any of its subcontractors, or any State
or local agency administering such contract, that directly pertain to, and involve transactions
relating to, the contract or subcontract; and 2) to interview any office or employee of the
contractor or any of its subcontractors, or of any State or local government agency administering
the contract, regarding such transactions.
c) Section 1515 of the Recovery Act, authorizing the DOT Office of the Inspector General to: 1)
examine any records of the contractor or Grantee, any of its subcontractors or subgrantees, or any
State or local agency administering such contract, that pertain to, and involve transactions relating
to, the contract, subcontract, grant or subgrant; and 2) interview any officer or employee of the
contractor, Grantee, subgrantee, or agency regarding such transactions.
d) Section 1605 of the Recovery Act (Buy American Requirements at 2 C.F.R. Part 176.140) to the
extent that the Grantee uses Grant funds for construction, alteration, maintenance, or repair of a
public building or public work that utilizes iron, steel, and/or manufactured goods that are not
covered under international agreements. See Attachment C, Recovery Act Requirements and
Contract Clauses, for requirements and more information on Section 1605 compliance.
e) Section 1606 of the Recovery Act (Davis -Bacon Act Wage Rate Requirements at 2 C.F.R. Part
176.190) to the extent that the Grantee uses Grant funds for construction, alteration, maintenance,
or repair work. See Attachment C, Recovery Act Requirements and Contract Clauses, for
requirements and more information on Section 1606 compliance.
f) Section 1604 of the Recovery Act, which prohibits the Grantee from expending funds under this
Grant Agreement on any casino, or other gambling establishment, aquarium, zoo, golf course, or
swimming pool.
Award No. DTFH61 -10 -G -00011
8
g )
Sections 1201, 1511, and 1607 of the Recovery Act, requiring certifications (existing certifications
will remain valid unless an update is needed). Note that the Section 1511 certification requirement
pertains to particular infrastructure investments. All Certifications, once executed, should have
been submitted to the Secretary of Transportation, do Joel Szabat, Deputy Assistant Secretary for
Transportation Policy, at TigerTeam.Leads @,dot.gov. Certifications may be submitted via e-mail
as electronic, scanned copies, with original signed versions to follow to be submitted via U.S.
mail. As required by the Recovery Act, certifications under Section 1511 shall be immediately
posted on a website and linked to the website Recovery.gov. No funds may be obligated until
such posting is made.
h) Section 1553 of the Recovery Act, which requires the Grantee to provide Whistleblower
protections. As a non - Federal employer, the Grantee is required to post a notice of the rights and
remedies provided under this section. The whistleblower program requirements and poster are
available at the following web site: http: / /www. recovery .gov / ?q= content/whistleblower-
information.
i) Section 1554 of the Recovery Act, which requires the Grantee to award contracts as fixed -price
contracts to the maximum extent possible through the use of competitive procedures. In the rare
circumstances where the Grantee does not award fixed —price contracts and does not use
competitive procedures, the Grantee shall publicly and electronically post a summary of such
contracts.
J)
The Single Audit Act Amendments of 1996 and the Office of Management and Budget's (OMB)
Circular A -133, "Audits of States, Local Governments, and Non - Profit Organizations" (Single
Audit Information requirements for Recipients of Recovery Act Funds (regulations at 2 C.F.R.
Part 176.210), which govern the tracking and documentation of all Recovery Act expenditures.
This includes compliance with Federal regulations requiring conduct of a federally- approved audit
of any expenditure of funds of $500,000 or more in a year in Federal awards. See Attachment C,
Recovery Act Requirements and Contract Clauses, for requirements and more information on
Single Audit Information compliance.
k) The "New Restrictions On Lobbying," (49 C.F.R. Part 20) [located at:
http: / /www. dot .gov /ost/m60 /grant/49cfr20.htm].
1) The "Cost Principles for State and Local Governments" 2 C.F.R. Part 225 (OMB Circular A -87),
or other applicable cost principles, depending upon the grantee [located at:
http: / /www.whitehouse. gov /omb /circulars /a087 /a087- all.html].
m) OMB Circular A -102, "Grants and Grant Agreements With State and Local Governments" or
other applicable requirements, depending upon the grantee [located at:
http: / /www.whitehouse .gov /omb /circulars /a102 /a 102.html].
n) Any other applicable Federal regulation or statute including each of the laws, regulations,
executive orders, policies, guidelines, and requirements identified in Attachment B, Grant
Assurances.
Award No. DTFH61 -10 -G -00011
9
SECTION 4. GRANTEE AND PROJECT CONDITIONS
a) Grantee: The City of Dubuque, Iowa, as the Grantee under the TIGER Discretionary Grant
Program, agrees to administer the Grant according to the conditions set forth in this Grant
Agreement.
b) Dun and Bradstreet Data Universal Numbering System (DUNS) No. of the Grantee: 093105302
Taxpayer ID No. (TIN) of Grantee: 42- 6004596
CFDA No. of Project: 20.932
c) Notices:
Notices required by this Agreement should be addressed as follows:
As to the Government:
Arlan Finfrock
Agreement Officer (AO)
Federal Highway Administration
Routing Code HARM -40, Mail Stop E65 -101
1200 New Jersey Ave., S.E.
Washington, D.C. 20590
(202) 366-0125
Arlan.Finfrock@dot.gov
and
Sarah Berman
Agreement Specialist
Federal Highway Administration
Routing Code HAAM -40, Mail Stop E65 -101
1200 New Jersey Ave., S.E.
Washington, D.C. 20590
(202) 366 -4233
Sarah.Berman @dot.gov
and
Tom Parham
Agreement Officer's Technical Representative (AOTR)
Federal Highway Administration
Iowa Division
105 6 Street
Ames, IA 50010
(515) 233-7314
Tom.Parham(cudot.gov
Award No. DTFH61 -10 -G -00011
10
J
and
Ed Strocko
TIGER Discretionary Program Modal Coordinator
Federal Highway Administration
1200 New Jersey Ave. SE, E84 -440
Washington DC 20590
(202) 366- 2997
Ed.Strocko@dot.gov
and
Robert Mariner
United States Department of the Transportation
Office of the Secretary
1200 New Jersey Avenue, SE, W84 -244
Washington, DC 20590
(202) 366-8914
Robert.Mariner@dot.gov
As to the Grantee:
Michael C. Van Milligen
City of Dubuque, Iowa
50 West 13 Street
Dubuque, IA 52001
(563) 589 -4110
ctvmgr@citvofdubuque.org
d) Project Description and Milestones:
Project Description: The Project, as is defined in Attachment A (Statement of Work), is
located within the City of Dubuque's Historic Millwork District and will conduct a Complete
Streets pilot project, which involves the design of streets in a fashion that facilitates use by a
broad range of users, including drivers, public transportation vehicles and riders, pedestrians,
bicyclists, older people, children, and people with disabilities. This project is part of a larger
effort to encourage more people to live and work in or near the city center. Based on the
Complete Streets pilot project, the City of Dubuque, Iowa and its partners will develop and
implement a Complete Streets policy designed to encourage more transportation choices and
stimulate the economy of the entire metropolitan region.
The Project incorporates Complete Street Principles to increase the livability and economic
competitiveness of Dubuque and improve the sustainability of the transportation system. The
Project will improve livability in the Millwork District by reducing commute times and
providing new travel options for walkers, bicyclists, and transit riders. It will improve
connectivity and provide greater access for people that are transit- dependent. For the 60
percent of new residents within the Historic Millwork District who travel downtown, the
project will allow them to walk, bike, or take transit to work safely and more conveniently.
The vibrancy of the Complete Streets neighborhood also will encourage economic
development and business activity in the downtown area. The project will increase the
sustainability of the transportation system by making more fuel efficient travel options
Award No. DTFH61 -10 -G -00011
11
attractive and appealing to area residents. See Attachment A (Statement of Work) to this
Grant Agreement.
1) State and Local Planning:
Planning Program Date: State Transportation Improvement Program/Transportation
Improvement Program (STIP/TIP) —March 1, 2010
2) Environmental Process:
Environmental Approval Type: Categorical Exclusion
Lead Agencies: Federal Highway Administration
Date of Environmental Approval: August 30, 2010.
Title of the Environmental Document: Streetscaping and complete streets of the Historic
Millwork District
3) Project Schedule:
See Attachment H Schedule of Milestones/Deliverables
Planned or Actual Construction Start Date: February 1, 2011
Planned Project Completion Date: November 2012
e) Project Funding (See Project Budget, Attachment E):
1) TIGER Discretionary Grant Program Funding:
The total not -to- exceed amount of Federal funding that is provided under this Grant
Agreement is Five Million and Six Hundred Thousand Dollars ($5,600,000) for the entire
period of performance. The Government's liability to make payments to the Grantee under
this Grant Agreement is limited to those funds obligated under this Grant Agreement, as
indicated above, and any subsequent amendments.
1) Local Financial Commitment:
A. The Grantee hereby commits and certifies that it will provide funds (and ensure the
availability of other sources of funding, such as local/ private funding or in/kind
contributions) in an amount sufficient, together with the Federal contribution
(acknowledging the limitations as set forth in this Grant Agreement), to assure timely
and full payment of the project costs as necessary to complete the Project.
B. The Grantee agrees to notify the Government within 14 calendar days of any change in
circumstances or commitments that adversely affect the Grantee's plan to fund the
project costs necessary to complete the Project as set forth in the Grantee's Technical
Application. In its notification, the Grantee shall advise the Government of what
actions it has taken or plans to take to ensure adequate funding resources and shall
reaffirm its commitment to the Government as set forth in Paragraph (A) of this
Award No. DTFH61 -10 -G -00011
12
Y
J
Section 4(d)(2). The Government is not responsible for any funding shortfalls
regarding the non -TIGER Discretionary Grant amount share. The TIGER
Discretionary Grant Amount will remain unchanged (See Section 9 of this Grant
Agreement regarding termination).
2) Grant Funds and Sources of Project Funds:
TIGER Discretionary Grant Amount: $5,600,000
Federal Other Share (if any): $ 0
State Share (if any): $ 0
Local Share (if any): $ 166,975
Other Share (if any): $ 0
Total Project Cost: $5,766,975
SECTION 5. REIMBURSEMENT OF PROJECT COSTS
Pursuant to 49 C.F.R. 18.21(d), the Grantee may request reimbursement of costs incurred in the
performance hereof as are allowable under the applicable cost provisions (see 49 C.F.R. Part 18) not -to-
exceed the funds currently available as stated in this Grant Agreement. The Grantee shall submit an
electronic copy of SF 270 no more frequently than monthly, in accordance with the instructions below:
a) Reimbursement: The AO is the only individual who can legally commit or obligate the Government
for the expenditure of public funds. When requesting reimbursement of costs incurred, the Recipient
shall submit supporting cost detail with the SF 270 to clearly document costs incurred. Cost detail
includes a detailed breakout of all costs incurred including direct labor, indirect costs, other direct
costs, travel, etc. The Agreement Specialist and the AO reserve the right to withhold processing
requests for reimbursement until sufficient detail is received. In addition, reimbursement will not be
made without AOTR review and approval to ensure that progress on the Agreement is sufficient to
substantiate payment. After AOTR approval, the Agreement Specialist will certify and forward the
request for reimbursement to the payment office. [Note: Standard Forms may be located at
http: / /fhwa.dot.gov /aaa]
Requests for reimbursement and required supporting documents should be sent via e-mail to the
following e-mail address: 9- AMC- AMZ-FHWA- Invoices @faa.gov. Include the request for
reimbursement and supporting documents as an attached PDF document. Include in the e-mail subject
line the following:
Requests for Reimbursement #
Agreement Number
Name of your Company /Organization
Attention: Dan Feldman
[Example: Invoice No. 1 - DTFH61 -10 -G -00011 — City of Dubuque - Attention: Sarah Berman]
Note: If the request for reimbursement and supporting documents exceed 8 MB, as an e-mail
attachment, the recipient must select one of two non - electronic submission options presented
below:
Requests for reimbursement may be submitted via regular U.S. Postal Service to the following P.O.
Box address:
Award No. DTFH61 -10 -G -00011
13
Federal Highway Administration
Markview Processing
P.O. Box 268865
Oklahoma City OK 73126 -8865
Attention: Sarah Berman
All requests for reimbursement must identify Sarah Berman as the point of contact.
Requests for reimbursement submitted via an overnight service must use the following physical
address because delivery services other than the U.S. Postal Service will not deliver to the P.O. Box
address noted above:
MMAC
FHWA /AMZ -150
6500 S. MacArthur Blvd
Oklahoma City, OK 73169
Attention: Sarah Berman
Express Delivery Point of Contact: April Grisham, 405- 954 -8269
NOTE: All three requests for reimbursement submission options described above (e -mail, U.S. Postal
Service or overnight service) result in the delivery of the request for reimbursement to the same
finance office in Oklahoma City, OK.
b) The Grantee shall have entered into obligations for services and goods associated with the Project
prior to seeking reimbursement from the Government.
c) To seek reimbursement from the Government, the Grantee shall submit documentary evidence of all
obligations associated with the Project set forth in Section 4, Paragraph (d) above, and included in the
total Project costs set forth in Section 2, Paragraph (b). The Government will reimburse the Grantee
on a monthly basis for all reasonable, allocable, and allowable costs incurred under the project. All
reimbursement requests to the Government shall include sufficient documentation to justify
reimbursement of the Grantee, including invoices and proof of payment of an invoice.
d) The Grantee shall ensure that the funds provided by the Government are not misappropriated or
misdirected to any other account, need, project, line -item, or the like.
e) Any Federal funds not expended in conjunction with the Project will remain the property of the
Government.
fj Financial Management System: By signing this agreement, the Grantee verifies that it has, or will
implement, a financial management system adequate for monitoring the accumulation of costs and
that it complies with the financial management system requirements of 49 C.F.R. Part 18. The
Grantee's failure to comply with these requirements may result in agreement termination.
g) Allowable Costs: Determination of allowable costs will be made in accordance with the applicable
Federal cost principles, e.g., OMB Circular A -87. Disallowed costs are those charges determined to
not be allowed in accordance with the applicable Federal cost principles or other conditions contained
in this Agreement.
Award No. DTFH61 -10 -G -00011
14
h) Budget Revision/Reallocation of Amounts Under 49 C.F.R. 18.30: The Recipient is required to report
deviations from budget and program plans, and request prior approval for budget and program plan
revisions in accordance with 49 C.F.R. Part 18.30.
Note: The Recipient must obtain prior written approval from the AO to transfer amounts budgeted for
direct cost categories when the cumulative value of such transfers will exceed 10% of the value of
Federal share of this agreement. When requesting such approval, a letter request suffices.
i) Sub - awards: The Recipient shall obtain prior written approval from the AO for the sub - awarding of
any work under this award. This provision applies to subgrants and to contracts except those for the
purchase of supplies, material, equipment, or general support services.
No subawardees are currently approved under the Grant Agreement.
Approval of each sub -award is contingent upon a fair price and reasonableness determination and
approval by the AO for each proposed subcontractor /sub- recipient. Consent to enter into sub - awards
will be issued through a formal amendment to the agreement.
SECTION 6. REPORTING
a) Recovery Act Reporting:
Reporting requirements under Section 1201(c)(2) of the Recovery Act, "General Provision —
Department of Transportation" apply. Project reports, including information as set forth in
subparagraph (2), below, shall therefore be reported to the Government in accordance with the
statutory timeframes. Due to the unique timeframe for TIGER Discretionary Grant awards, the
Grantee should submit the first of such reports on the 20th of the month following the execution
date of this Grant Agreement and on each subsequent due date thereafter. The Grantee shall
submit its data using the Recovery Act Data System (RADS). The RADS guidance, which
includes guidance on Section 1201(c) reporting, is located at:
http: / /www.fhwa. dot. gov/ economicrecovery /guidancelist.htm.
1) Project reports for Section 1201(c) should include the amount of Grant Funds appropriated,
allocated, obligated, and outlayed under the appropriation; the number of projects put out to
bid under the appropriation and the amount of Grant Funds associated with these contracts; the
number contracts awarded under the appropriation and the amount of Grant Funds associated
with these contracts; the number of projects for which work has begun under these contracts
and the associated amount of Grant Funds; the number of projects for which work has been
completed and the associated amount of Grant Funds; and the number of direct, on- project
jobs created or sustained by the Grant Funds for projects under the appropriation and, to the
extent possible, number of direct on- project job hours (DOT calculates the number of indirect
and induced jobs).
2) In accordance with the Recovery Act and OMB Guidance, dated June 22, 2009
(http: / /www.whitehouse.gov /omb /assets /memoranda fv2009 /m09- 21.pdf ), this Grant award
requires the Grantee to complete projects or activities which are funded under the Recovery
Act and to report on use of Recovery Act funds provided through this award to
http: / /www.FederalReporting.gov. Information from these reports will be made available to
the public. Such reporting responsibility may be delegated from the Grantee/Recipient to the
Sub - grantee /Sub- recipient or vendor, in order to ensure that the necessary information is
Award No. DTFH61 -10 -G -00011
15
Projects administered by the FHWA shall comply with the reporting instructions and data
elements in the RADS guidance and any updates to that guidance. The RADS guidance is
available online at: http: / /www.fhwa. dot. gov /economicrecovery /guidancelist.htm.
3) In accordance with Section 1609 of the Recovery Act, the Grantee shall submit quarterly
reports, as necessary, describing the status of the Project with respect to the National
Environmental Policy Act (NEPA) review. A report shall be submitted to RADS by October
5, 2010, and every 90 days thereafter following the execution of this Grant Agreement. Due to
the unique timeframe for TIGER Discretionary Grant awards, the Grantee should submit the
first of such reports on the first due date following the execution date of this Grant Agreement
and on each subsequent due date thereafter.
4) In accordance with the purposes of the Recovery Act, the Grantee may be required to submit
additional information in response to requests from DOT, OMB, the Congressional Budget
Office, the Government Accountability Office, or the Department of Transportation's
Inspector General. The Government will inform the Grantee if and when such additional
reports are required.
b) Project Reports:
provided to the Grantee /Recipient, who is ultimately responsible for reporting the required
elements.
The reports are due no later than ten calendar days after each calendar quarter in which the
recipient receives the assistance award funded in whole or in part by the Recovery Act.
Grantees/Recipients and their Subgrantees /first -tier recipients (to the extent that they have
been delegated direct reporting responsibility) must maintain current registrations in the
Central Contractor Registration (http: / /www.ccr.gov) at all times during which they have
active Federal awards funded with Recovery Act funds. A DUNS Number
(http: / /www.dnb.com) is one of the requirements for registration in the Central Contractor
Registration.
The Grantees/Recipients shall report the information described in section 1512(c) of the
Recovery Act using the reporting instructions and data elements that will be provided online at
http: / /www.FederalReporting.gov and ensure that any information that is pre - filled is
corrected or updated as needed.
1) Consistent with the purposes of the TIGER Discretionary Grant Program, to ensure
accountability and transparency in Government spending, the Grantee shall submit quarterly
progress reports in RADS or other system designated by the Government, as set forth in
Attachment D: Quarterly Project Progress Reports, Format and Content, to the Government on
a quarterly basis, beginning on the 20th of the first month of the calendar year quarter
following the execution of the Grant Agreement, and on the 20th of the first month of each
calendar year quarter thereafter until completion of the Project. The initial report shall include
a detailed description, and, where appropriate, drawings, of the items funded. Addresses for
submittal of reports and documents: The Grantee shall submit all required reports and
documents to the Government electronically, referencing the Grant Agreement number, at the
following addresses: Ed.Strocko @,dot.gov.
Award No. DTFH61 -10 -G -00011
16
2) Annual Budget Review and Program Plan: The Grantee shall submit an Annual Budget
Review and Program Plan to the Government via e-mail 60 days prior to the end of each Grant
Agreement year. The Annual Budget Review and Program Plan shall provide a detailed
schedule of activities, estimate of specific performance objectives, include forecasted
expenditures, and schedule of milestones for the upcoming Grant Agreement year. If there are
no proposed deviations from the Approved Project Budget, attached hereto as Attachment E,
the Annual Budget Review shall contain a statement stating such. The Recipient will meet
with DOT to discuss the Annual Budget Review and Program Plan. If there is an actual or
projected project cost increase, the annual submittal should include a written plan for
providing additional sources of funding to cover the project budget shortfall or supporting
documentation of committed funds to cover the cost increase.
To the extent the annual budget update deviates from the approved project budget by more
than 10 percent, then work proposed under the Annual Budget Review and Program Plan shall
not commence until written approval from the Government is received.
c) Milestones/Deliverables Schedule: Attachment H is incorporated herein.
d) Federal Financial Report: The Recipient shall submit the SF -425, Federal Financial Report, to the AO
on a calendar quarterly basis.
e) Closeout Process: Closeout occurs when all required project work and all administrative procedures
described in 49 C.F.R. Part 18 are completed, and the Government notifies the Grantee and forwards
the final Federal assistance payment, or when the Government acknowledges the Grantee's remittance
of the proper refund. Within 90 days of the Project completion date or termination by the
Government, the Grantee must submit a final Federal Financial Report (SF -425), a certification or
summary of project expenses, and third party audit reports.
SECTION 7. SPECIAL GRANT REQUIREMENTS
The project is subject to full oversight by FHWA. Full oversight includes the following:
• FHWA must approve the solicitation and scope of work for any professional services proposed to
be reimbursed with Grant funds. FHWA must approve the consultant agreement and any
necessary contract modifications.
• The Grantee shall obtain an acceptable Iowa Department of Transportation Encroachment Permit
and all other applicable State approvals.
• The Grantee shall submit an acceptable Right of Way Certification prior to construction.
• FHWA must approve the final construction plans, specifications, and engineer's estimate prior to
advertisement for bids, as well as any addenda issued during the advertisement period.
• FHWA must concur in the award/rejection of any bids received for construction.
• FHWA approval of any change order is required prior to work being performed.
• The Grantee shall provide an acceptable Materials Certification for the completed construction
project.
• FHWA will conduct periodic construction inspections, perform a final inspection, and complete a
final acceptance report for the completed construction project.
Award No. DTFH61 -10 -G -00011
17
SECTION 8. ASSURANCES
The Grantee shall execute the attached assurances and certifications (See Attachment B) in conjunction
with execution of this Grant Agreement and shall comply with those assurances and certifications.
SECTION 9. TERMINATION, MODIFICATION AND EXPIRATION
a) Subject to terms set forth in this Grant Agreement, the Government reserves the right to terminate this
Grant Agreement and all of its obligations under this Grant Agreement, unless otherwise agreed
between the Grantee and the Government, if any of the following occurs:
1) The Grantee fails to obtain or provide any non -TIGER Discretionary Grant contribution or
alternatives approved by the Government as provided in this Grant Agreement and in accordance
with the Project Schedule;
2) The Grantee fails to begin construction before February 1, 2011;
3) The Grantee fails to begin expenditure of Grant funds by June 30, 2011;
4) The Grantee does not meet the conditions and obligations specified under this Grant Agreement
including a material failure to comply with the Project Schedule which is beyond the reasonable
control of the Grantee; or
5) The Government determines that termination is in the public interest.
b) Funds available under this Grant Agreement must be obligated on or before September 30, 2011, but
once obligated, are available for liquidation and adjustment through September 30, 2016, the "Grant
Termination Date." Unless otherwise specified, this Grant Agreement shall terminate on the Grant
Termination Date.
c) Either party (Government or the Grantee) may seek to amend or modify this Grant Agreement prior to
the Grant Termination Date by written notice (formal letter) to the other party and in accordance with
49 C.F.R. parts 18.43 and 18.44. The Grant Agreement will be amended or modified only on mutual
written agreement by both parties.
SECTION 10. AWARD AND EXECUTION OF GRANT AGREEMENT
There are four (4) identical counterparts of this Grant Agreement in typewritten hard copy; each
counterpart is to be fully signed in writing by the parties and each counterpart is deemed to be an original
having identical legal effect. When signed and dated by the authorized official of the Government, this
instrument will constitute an Award. Upon full Execution of this Grant Agreement by the Grantee, the
effective date will be the date the Government awarded funding under this Grant Agreement as set forth
below.
Award No. DTFH61 -10 -G -00011
18
EXECUTION BY Government
The Government executes this Grant Agreement in accordance with Public Law 111 -5, and in accordance
with the above conditions and assurances.
Executed this aa MO day of gEg¢p , 2010.
Signaturerof Government's AuthovCzed Representative
Orel KAMAAER
Title
Award No. DTFH61 -10 -G -00011
19
EXECUTION BY Grantee
The Grantee agrees to accomplish each element of the project in compliance with the terms and
conditions contained herein.
Executed this a�o. day of ¢pirEmBEtt , 2010.
Grantee: City of Dubuque, Iowa
(SEAL)
Signature of Grantee's Designated Official Representative
Title
Award No. DTFH61 -10 -G -00011
20
Award No. DTFH61 -10 -G -00011
ATTACHMENT A: STATEMENT OF WORK
The City of Dubuque, Iowa intends to rebuild/build and create complete streets within the Historic
Millwork District. This will include utility replacements /extensions, sidewalk reconstruction and
enhancements and street reconstructions as well as new street lighting. These efforts will be respectful of
the area's history and focused on the Base Construction Efforts, which includes utility improvements
along 11th Street from Elm to Jackson as well as and including the reconstruction of Jackson Street from
7th to 11th Streets, 10th Street from Jackson to Elm and Washington Street from 9th to 10th. An
enhanced walking/biking trail connection will be made from 5th Street in the Port of Dubuque to 7th
Street in the Millwork District along the Jackson Street right -of -way. Streetscaping improvements along
10th Street from Jackson to Main will incorporate walk improvements, corridor enhancements, new street
lighting and designated bike lanes paralleling the vehicular travel lanes.
Additional to the Base Construction Efforts as described above, the City intends to maximize the grant
award by bidding alternates for streetscape improvements to the following streets: 9th Street from
Washington to Main, Elm Street from 9th to 11th, 11th Street from Elm to White, Jackson Street from
11th to 12th and Washington street from 11th to 12th. Possible reconstruction efforts of the follow
segments may also be included: Washington Street from 10th to 11th, 8th Street from White to Jackson
and 7th Street from White to Washington. The streetscape and reconstruction efforts in the alternate items
as identified would coincide with those identified in the above Base Construction Effort.
21
ATTACHMENT B: GRANT ASSURANCES
OFFICE OF THE SECRETARY
DEPARTMENT OF TRANSPORTATION
FEDERAL HIGHWAY ADMINISTRATION
TITLE VI ASSURANCE
(Implementing Title VI of the Civil Rights Act of 1964, as amended)
ASSURANCE CONCERNING NONDISCRIMINATION IN FEDERALLY- ASSISTED
PROGRAMS
AND ACTIVITIES RECEIVING OR BENEFITING FROM
FEDERAL FINANCIAL ASSISTANCE
(Implementing the Rehabilitation Act of 1973, as amended, and the Americans With Disabilities Act, as
amended)
49 C.F.R. Parts 21, 25, 27, 37 and 38
City of Dubuque, Iowa (the Grantee) HEREBY AGREES THAT,
I. As a condition to receiving any Federal financial assistance from the Department of
Transportation, it will comply: with Title VI of the Civil Rights Act of 1964, as
amended, 42 U.S.C. 2000d --42 U.S.C. 2000d -4; all requirements imposed by or
pursuant to: Title 49, Code of Federal Regulations, Part 21, Nondiscrimination in
Federally- Assisted Programs of the Department of Transportation -- Effectuation of
Title VI of the Civil Rights Act of 1964; and other pertinent directives so that no
person in the United States shall, on the grounds of race, color, national origin, be
excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the Grantee receives Federal
financial assistance from the Department of Transportation. This assurance is required
by Title 49, Code of Federal Regulations, Section 21.7(a).
II. As a condition to receiving any Federal financial assistance from the Department of
Transportation, it will comply with: Title IX of the Education Amendments of 1972, as
amended, 20 U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT
regulations, "Nondiscrimination on the Basis of Sex in Education Programs or
Activities Receiving Federal Financial Assistance," 49 C.F.R. part 25, which prohibit
discrimination on the basis of sex.
III. As a condition to receiving any Federal financial assistance from the Department of
Transportation, it will comply with: the Age Discrimination Act of 1975, as amended
(42 U.S.C. 6101 et seq.), the Drug Abuse Office and Treatment Act of 1972, as
amended (21 U.S.C. 1101 et seq.), the Comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment and Rehabilitation Act of 1970, as amended (42 U.S.C. 4541 et
seq.); and any other nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance was made; and the requirements of any other
nondiscrimination statute(s) which may apply to the Grantee.
Award No. DTFH61 -10 -G -00011
22
By:
IV. As a condition to receiving any Federal financial assistance from the Department of
Transportation, it will comply with: section 504 of the Rehabilitation Act of 1973, as
amended, (29 U.S.C. 794); and all requirements imposed by or pursuant to Title 49,
Code of Federal Regulations, Part 27, Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefiting from Federal Financial Assistance;
and Part 37, Transportation Services for Individuals With Disabilities; and Part 38,
Americans With Disabilities Act — Accessibility Specifications for Transportation
Vehicles; and other pertinent directives so that no otherwise qualified person with a
disability, be excluded from participation in, be denied the benefits of, be discriminated
against by reason of such handicap, or otherwise be subjected to discrimination under
any program for which the Grantee receives Federal financial assistance from the
Department of Transportation. This assurance is required by Title 49, Code of Federal
Regulations, Section 27.9.
• The Grantee will promptly take any measures necessary to effectuate this Grant Agreement. The
Grantee further agrees that it shall take reasonable actions to guarantee that it, its contractors and
subcontractors subject to the Department of Transportation regulations cited above, transferees,
and successors in interest will comply with all requirements imposed or pursuant to the statutes
and Department of Transportation regulations cited above, other pertinent directives, and the
above assurances.
• These assurances obligate the Grantee for the period during which Federal financial assistance is
extended. The Grantee agrees that the United States has a right to seek judicial enforcement with
regard to any matter arising under the statutes and Department of Transportation regulations cited
above, other pertinent directives, and the above assurances.
• These assurances are given for the purpose of obtaining Federal grant assistance under the TIGER
Discretionary Grant Program and are binding on the Grantee, contractors, subcontractors,
transferees, successors in interest, and all other participants receiving Federal grant assistance in
the TIGER Discretionary Grant Program. The person or persons whose signatures appear below
are authorized to sign this Grant Agreement on behalf of the Grantee.
• In addition to these assurances, the Grantee agrees to file: a summary of all complaints filed
against it within the past year that allege violation(s) by the Recipient of Title VI of the Civil
Rights Act of 1964, as amended, section 504 of the Rehabilitation Act of 1973, as amended; or a
statement that there have been no complaints filed against it. The summary should include the
date the complaint was filed, the nature of the complaint, the status or outcome of the complaint
(i.e., whether it is still pending or how it was resolved).
tvi dvey4vt,
Legal Name of Grantee
Signature of Authorized Official
VV OAREk. C. VAA qv.)
Name
Award No. DTFH61 -10 -G -00011
23
rrl MANRCEK
Title
Ccty Oc QVguQue A
Affiliation
S EeTth %Elk . 4, 2 01 0
Date
Award No. DTFH61 -10 -G -00011
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection
with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any grant agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or grant agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan, or grant agreement, the undersigned shall complete and submit Standard
Form -LLL (Rev. 7 -97), "Disclosure of Lobbying Activities," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants,
loans and grant agreements) and that all subgrantees shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for
each such failure.
By:
Sign / 72-.'s-
e of Authorized Official
\%et}Att. Z. VAN c1 waea
Name
Cm RRNA6tR.
Title
Qt. Ov QA . uE, - 1041,
Affiliation
VIttngtK "Za, ao 10
Date
Award No. DTFH61 -10 -G -00011
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
OFFICE OF THE SECRETARY
DISCLOSURE OF LOBBYING ACTIVITIES
Certification for Contracts, Grants, Loans,
and Grant Agreements
25
Award No. DTFH61 -10 -G -00011
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
OFFICE OF THE SECRETARY
CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS
IN THE PERFORMANCE OF THE TIGER DISCRETIONARY GRANT PROGRAM
A. The Grantee certifies that it will, or will continue, to provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession or use of a controlled substance is prohibited in the Grantee's workplace, and
specifying the actions that will be taken against employees for violation of such prohibition;
(b) Establishing an ongoing drug -free awareness program to inform employees about- -
(1) The dangers of drug abuse in the workplace;
(2) The Grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
(c) Making it a requirement that each employee to be engaged in the performance of work supported
by the grant award be given a copy of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of
employment supported by the grant award, the employee will- -
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug
statute occurring in the workplace no later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under paragraph
(d)(2) from an employee or otherwise receiving actual notice of conviction. Employers of convicted
employees must provide notice, including position title, to the Department. Notice shall include the
order number of the grant award;
(f) Taking one of the following actions, within 30 days of receiving notice under paragraph (d)(2),
with respect to any employee who is so convicted- -
(1) Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended, or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State or local health, law
enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free workplace through implementation
of paragraphs (a), (b), (c), (d), (e) and (f).
B. The Grantee may, but is not required to, insert in the space provided below the site for the
performance of work done in connection with the specific grant.
Places of Performance (street address, city, county, state, zip code). For the provision of services
pursuant to the grant award, workplaces include outstations, maintenance sites, headquarters office
locations, training sites and any other worksites where work is performed that is supported by the grant
award.
Check [ ] if there are workplaces on file that are not identified here.
26
By:
Signature of Authorized Official
l ' AtCNAEL . \blii f lu,LICEt)
Name
Cj"[■ RfutiPlocktx
Title
Date
Qt-r4 OF Naomi E A
Affiliation
sviscrtittkt aa aolo
Award No. DTFH61 -10 -G -00011
27
TIGER DISCRETIONARY GRANT PROGRAM
GRANT ASSURANCES
Certification. The Grantee hereby assures and certifies, with respect to this grant, that
it will comply with all applicable Federal laws, regulations, executive orders, policies, guidelines, and
requirements as they relate to the application, acceptance, and use of Federal funds for this project
including but not limited to the following:
General Federal Legislation
a. Davis -Bacon Act - 40 U.S.C. 3141, et seq.
b. Federal Fair Labor Standards Act - 29 U.S.C. 201, et seq.
c. Hatch Act - 5 U.S.C. 1501, et seq.
d. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 Title - 42 U.S.C.
4601, et seq.
e. National Historic Preservation Act of 1966 - Section 106 - 16 U.S.C. 470f
f. Archeological and Historic Preservation Act of 1974 - 16 U.S.C. 469a through 469c.
g. Native American Graves Protection and Repatriation Act - 25 U.S.C. 3001, et seq.
h. Clean Air Act, P.L. 90 -148, as amended
i. Section 404 of the Clean Water Act, as amended 33 U.S.C. 1251, et seq.
j. Section 7 of the Endangered Species Act, P.L. 93 -205, as amended.
k. Coastal Zone Management Act, P.L. 92 -583, as amended.
I. Flood Disaster Protection Act of 1973 - Section 102(a) - 42 U.S.C. 4012a
m. Age Discrimination Act of 1975 - 42 U.S.C. 6101, et seq.
n. American Indian Religious Freedom Act, P.L. 95 -341, as amended
o. Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101, et seq.
p. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of
1970, P.L. 91 -616, as amended - 42 U.S.C. 4541, et seq.
q. Sections 523 and 527 of the Public Health Service Act of 1912, as amended, 42U.S.C. 290dd through
290dd -2
r. Architectural Barriers Act of 1968 - 42 U.S.C. 4151, et seq.
s. Power Plant and Industrial Fuel Use Act of 1978, P.L. 100-42 - Section 403 - 42 U.S.C.8373
t. Contract Work Hours and Safety Standards Act - 40 U.S.C. 3701, et seq.
u. Copeland Anti - kickback Act, as amended - 18 U.S.C. 874 and 40 U.S.C. 3145
v. National Environmental Policy Act of 1969 - 42 U.S.C. 4321, et seq.
w. Wild and Scenic Rivers Act, P.L. 90 -542, as amended - 16 U.S.C. 1271, et seq.
x. Federal Water Pollution Control Act, as amended - 33 U.S.C. 1251 -1376
y. Single Audit Act of 1984 - 31 U.S.C. 7501, et seq.
z. Americans with Disabilities Act of 1990 - 42 U.S.C. 12101, et seq.
aa. Title IX of the Education Amendments of 1972, as amended - 20 U.S.C. 1681 through 1683, and 1685
through 1687
bb. Section 504 of the Rehabilitation Act of 1973, as amended - 29 U.S.C. 794
cc. American Recovery and Reinvestment Act of 2009 - P.L. 111 -5
dd. Title VI of the Civil Rights Act of 1964 - 42 U.S.C. 2000d et seq.
ee. Title IX of the Federal Property and Administrative Services Act of 1949 - 40 U.S.C. 541, et seq.
ff. Limitation on Use of Appropriated Funds to Influence Certain Federal Contracting and Financial
Transactions - 31 U.S.C. 1352
gg. Freedom of Information Act - 5 U.S.C. 552, as amended
hh. Magnuson- Stevens Fishery Conservation and Management Act -16 U.S.C. 1855
ii. Farmlands Protection Policy Act of 1981 - 7 U.S.C. 4201
jj. Noise Control Act of 1972 - 42 U.S.C. 4901, et seq.
Award No. DTFH61 -10 -G -00011
28
kk. Fish and Wildlife Coordination Act of 1956 — 16 U.S.C. 661
11. Section 9 of the Rivers and Harbors Act and General Bridge Act of 1946 - 33 U.S.C. 401
mm.Section 4(f) of the Department of Transportation Act of 1966, 49 U.S.C. 303 and 23 U.S.C. 138
nn. Resource Conservation and Recovery Act of 1976 (RCRA), as amended --
42 U.S.C. 6901, et seq.
oo. Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA), as
amended - -42 U.S.C. 9601 -9657
pp. Safe Drinking Water Act -- 42 U.S.C. 300E- 300J -6
qq. Wilderness Act -- 16 U.S.C. 1131 -1136
rr. Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act of 1976 -- 42
U.S.C. 6901, et seq.
ss. Migratory Bird Treaty Act 16 U.S.C. 760c -760g
Executive Orders
a. Executive Order 11246 - Equal Employment Opportunity
b. Executive Order 11990 - Protection of Wetlands
c. Executive Order 11988 — Floodplain Management
d. Executive Order 12372 - Intergovernmental Review of Federal Programs
e. Executive Order 12549 — Debarment and Suspension
f. Executive Order 12898 — Federal Actions to Address Environmental Justice in Minority Populations
and Low- Income Populations
g. Executive Order 13166 — Improving Access to Services for Persons With Limited English Proficiency
General Federal Regulations
a. Interim Final Guidance on Buy American — 74 FR 18449 (April 23, 2009), 2 C.F.R. Part 176
b. Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and other Non - Profit Organizations — 2 C.F.R. Part 215
c. Cost Principles for State and Local Governments — 2 C.F.R. Part 225
d. Non - procurement Suspension and Debarment — 2 C.F.R. Part 1200
e. Investigative and Enforcement Procedures - 14 C.F.R. Part 13
f. Procedures for predetermination of wage rates - 29 C.F.R. Part 1
g. Contractors and subcontractors on public building or public work financed in whole or part by loans
or grants from the United States - 29 C.F.R. Part 3
h. Labor standards provisions applicable to contracts governing federally financed and assisted
construction (also labor standards provisions applicable to non - construction contracts subject to the
Contract Work Hours and Safety Standards Act) - 29 C.F.R. Part 5
i. Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of
Labor (Federal and federally assisted contracting requirements) - 41 C.F.R. Parts 60, et seq.
j. Contractor Qualifications - 48 C.F.R. Part 9
k. Uniform administrative requirements for grants and cooperative agreements to state and local
governments - 49 C.F.R. Part 18
1. New Restrictions on Lobbying — 49 C.F.R. Part 20
m. Nondiscrimination in Federally Assisted Programs of the Department of Transportation — Effectuation
of Title VI of the Civil Rights Act of 1964 — 49 C.F.R. Part 21
n. Uniform relocation assistance and real property acquisition for Federal and Federally assisted
programs - 49 C.F.R. Part 24
o. Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial
Assistance - 49 C.F.R. Part 25
p. Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from
Federal Financial Assistance - 49 C.F.R. Part 27
Award No. DTFH61- I 0-G-0001 1
29
q. Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by
the Department of Transportation — 49 C.F.R. Part 28
r. Denial of public works contracts to suppliers of goods and services of countries that deny procurement
market access to U.S. contractors - 49 C.F.R. Part 30
s. Governmentwide Requirements for Drug -Free Workplace (Financial Assistance) — 49 C.F.R. Part 32
t. DOT's implementing ADA regulations, including the ADA Accessibility Guidelines in Part 37,
Appendix A - 49 C.F.R. Parts 37 and 38
u. Procedures for Transportation Workplace Drug and Alcohol Testing Programs — 49 C.F.R. Part 40
Office of Management and Budget Circulars
a. A -87 — Cost Principles Applicable to Grants and Contracts with State and Local Governments
b. A -102 — Grants and Grant Agreements with State and Local Governments
c. A -133 - Audits of States, Local Governments, and Non - Profit Organizations
d. Any other applicable OMB Circular based upon the specific TIGER Grant Recipient
Highway Federal Legislation
a. Brooks Act (for FHWA projects, this replaces Title IX of the Federal Property and Administrative
Services Act of 1949 (40 U.S.C. 541, et seq).) - 40 U.S.C. 1101 -1104
b. Highway Design and Construction Standards, 23 U.S.C. 109
c. Planning, 23 U.S.C. 134 and 135 (except for projects that are not regionally significant that do not
receive funding under Title 23 or Chapter 53 of Title 49)
d. Tolls, 23 U.S.C. 301 (to the extent the recipient wishes to toll an existing free facility that has received
Title 23 funds in the past)
e. Size, Weight, and Length Limitations - 23 U.S.C. 127, 49 U.S.C. 31101 et seq.
Highway Federal Regulations
a. Planning 23 — C.F.R. Part 450 (except for projects that are not regionally significant that do not
receive funding under Title 23 or Chapter 53 of Title 49)
b. National Highway System Design Standards — 23 C.F.R. Part 625
c. Manual on Uniform Traffic Control Devices — 23 C.F.R. Part 655
d. Environmental Impact and Related Procedures — 23 C.F.R. Part 771
e. Procedures for Abatement of Highway Traffic and Construction Noise -- 23 C.F.R. Part 772
f. Procedures Implementing Section 4(f) of the Department of Transportation Act — 23 C.F.R. Part 774
g. Permitting Requirements under the National Pollutant Discharge Elimination System — 40 C.F.R. Part
122
Specific assurances required to be included in grant agreements by any of the above laws, regulations, or
circulars are hereby incorporated by reference into the Grant Agreement.
Responsibility and Authority of the Grantee.
1. The Grantee has the legal authority to apply for the grant, and to finance and carry out the proposed
project; that a resolution, motion or similar action has been duly adopted or passed as an official act of the
applicant's governing body authorizing the filing of the application, including all understandings and
assurances contained therein, and directing and authorizing the person identified as the official representative
of the applicant to act in connection with the application and to provide such additional information as may be
required.
2. Funds Availability. It has sufficient funds available for that portion of the project costs that are not to be
paid by the United States. It has sufficient funds available to assure operation and maintenance of items
Award No. DTFH61 -10 -G -00011
30
funded under the Grant Agreement that it will own or control.
3. Preserving Rights and Powers. It will not take or permit any action that would operate to deprive it of
any of the rights and powers necessary to perform any or all of the terms, conditions, and assurances in the
Grant Agreement without the written approval of the DOT, and will act promptly to acquire, extinguish, or
modify any outstanding rights or claims of right of others that would interfere with such performance by the
Grantee. The Grantee agrees that this will be done in a manner acceptable to the DOT.
4. Accounting System, Audit, and Record Keeping Requirements.
a. The Grantee agrees to keep all project accounts and records that fully disclose the amount and
disposition by the Grantee of the proceeds of the grant, the total cost of the project in connection with
which the grant is given or used, and the amount or nature of that portion of the cost of the project
supplied by other sources, and such other financial records pertinent to the project. The accounts and
records shall be kept in accordance with an accounting system that will facilitate an effective audit in
accordance with the Single Audit Act of 1984, as amended (31 U.S.C. 7501- 7507).
b. The Grantee agrees to make available to the DOT and the Comptroller General of the United States, or
any of their duly authorized representatives, for the purpose of audit and examination, any books,
documents, papers, and records of the Grantee that are pertinent to the grant. The DOT may require that a
Grantee conduct an appropriate audit. In any case in which an independent audit is made of the accounts
of a Grantee relating to the disposition of the proceeds of a grant or relating to the project in connection
with which the grant was given or used, it shall file a certified copy of such audit with the Comptroller
General of the United States not later than six (6) months following the close of the fiscal year for which
the audit was made.
5. Minimum Wage Rates. It shall include, in all contracts in excess of $2,000 for work on any projects
funded under this Grant Agreement that involve labor, provisions establishing minimum rates of wages, to be
predetermined by the Secretary of Labor, in accordance with the Davis -Bacon Act, as amended (40 U.S.C.
3141, et seq.), which contractors shall pay to skilled and unskilled labor, and such minimum rates shall be
stated in the invitation for bids and shall be included in proposals or bids for the work.
In addition, in order to incorporate the provisions of Section 1606 of the Recovery Act, which applies Davis -
Bacon Act prevailing wage requirements to projects funded directly by or assisted in whole or in part by and
through the Federal Government using laborers and mechanics, the Grantee agrees to insert the clauses found
in 29 C.F.R. 5.5(a) provided in Attachment C of this Grant Agreement in all Grantee contracts and grants
using funds obligated to carry out this Grant Agreement.
6. Engineering and Design Services. It will award each contract or sub - contract for program management,
construction management, planning studies, feasibility studies, architectural services, preliminary
engineering, design, engineering, surveying, mapping, or related services with respect to the project in the
same manner as a contract for architectural and engineering services is negotiated under the Brooks Act (40
U.S.C. 1101 -1104) or an equivalent qualifications -based requirement prescribed for or by the Grantee as
approved by the Secretary.
7. Foreign Market Restrictions. It will not allow funds provided under this grant to be used to fund any
project that uses any product or service of a foreign country during the period in which such foreign country
is listed by the United States Trade Representative as denying fair and equitable market opportunities for
products and suppliers of the United States in procurement and construction.
8. Relocation and Real Property Acquisition. (1) It will be guided in acquiring real property, to the
greatest extent practicable under State law, by the land acquisition policies in Subpart B of 49 C.F.R. Part 24
and will pay or reimburse property owners for necessary expenses as specified in Subpart B. (2) It will
provide a relocation assistance program offering the services described in Subpart C and fair and reasonable
relocation payments and assistance to displaced persons as required in Subpart D and E of 49 C.F.R. Part 24.
Award No. DTFH61 -10 -G -00011
31
(3) It will make available within a reasonable period of time prior to displacement, comparable replacement
dwellings to displaced persons in accordance with Subpart E of 49 C.F.R. Part 24.
By:
Signature of Authorized Official
N ikki. . VAS ilt''$@
Name
Title
Chr N Qv awclvc Zoul a
Affiliation
%Artfn8ec A, ZIO
Date
Award No. DTFH61 -10 -G -00011
32
Award No. DTFH61 -10 -G -00011
OFFICE OF THE SECRETARY OF TRANSPORTATION
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS -- PRIMARY COVERED TRANSACTIONS
2 C.F.R. Part 1200, 49 C.F.R. Part 32
Instructions for Certification
1. By signing and submitting this proposal, the prospective primary participant is providing the
certification set out below.
2. The inability of a person to provide the certification required below will not necessarily result in denial
of participation in this covered transaction. The prospective participant shall submit an explanation of
why it cannot provide the certification set out below. The certification or explanation will be considered
in connection with the department or agency's determination whether to enter into this transaction.
However, failure of the prospective primary participant to furnish a certification or an explanation shall
disqualify such person from participation in this transaction.
3. The certification in this clause is a material representation of fact upon which reliance was placed
when the department or agency determined to enter into this transaction. If it is later determined that the
prospective primary participant knowingly rendered an erroneous certification, in addition to other
remedies available to the Federal Government, the department or agency may terminate this transaction
for cause or default.
4. The prospective primary participant shall provide immediate written notice to the department or
agency to which this proposal is submitted if at any time the prospective primary participant learns that its
certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction,
participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in
this clause, have the meanings set out in the Definitions and Coverage sections of the rules implementing
Executive Order 12549. See Nonprocurement Suspension and Debarment (2 C.F.R. Part 1200) and
Government wide Requirements for Drug -Free Workplace Grants (49 C.F.R. Part 32).
6. The prospective primary participant agrees by submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction
with a person who is proposed for debarment under 48 C.F.R. part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in this covered transaction, unless
authorized by the department or agency entering into this transaction.
7. The prospective primary participant further agrees by submitting this proposal that it will include the
clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --
Lower Tier Covered Transaction," provided by the department or agency entering into this covered
transaction, without modification, in all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
8. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not proposed for debarment under 48 C.F.R. part 9, subpart 9.4,
debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that
the certification is erroneous. A participant may decide the method and frequency by which it determines
the eligibility of its principals. Each participant may, but is not required to, check the List of Parties
Excluded from Federal Procurement and Non - procurement Programs.
9. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and information of
33
a participant is not required to exceed that which is normally possessed by a prudent person in the
ordinary course of business dealings.
10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed
for debarment under 48 C.F.R. part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded
from participation in this transaction, in addition to other remedies available to the Federal Government,
the department or agency may terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other Responsibility Matters -- Primary
Covered Transactions
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its
principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded by any Federal department or agency;
(b) Have not within a three -year period preceding this proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public
transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this
certification; and
(d) Have not within a three -year period preceding this application /proposal had one or more public
transactions (Federal, State or local) terminated for cause or default.
(2) Where the pros ective primary participant is unable to certify to any of the statements in this
certification, suirospective participant shall attach an explanation to this proposal.
By:
Title
Signature of Authorized Official
�o n C . V Aa 111l.4 C�oJ
Name
0 \II 1\1\04E0.
Affiliation
1 F - trIC ABen 2.A. 2046
Date
Award No. DTFH61 -10 -G -00011
34
Award No. DTFH61 -10 -G -00011
OFFICE OF THE SECRETARY OF TRANSPORTATION
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND
VOLUNTARY EXCLUSION -- LOWER TIER COVERED TRANSACTIONS
Instructions for Certification
1. By signing and submitting this proposal, the prospective lower tier participant is providing the
certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective lower tier participant
knowingly rendered an erroneous certification, in addition to other remedies available to the Federal
Government the department or agency with which this transaction originated may pursue available
remedies, including suspension and /or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to whom
this proposal is submitted if at any time the prospective lower tier participant learns that its certification
was erroneous when submitted or had become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction,
participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in
this clause, have the meaning set out in the Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in
obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction
with a person who is proposed for debarment under 48 C.F.R. part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in this covered transaction, unless
authorized by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include this
clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion --
Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not proposed for debarment under 48 C.F.R. part 9, subpart 9.4,
debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knows that
the certification is erroneous. A participant may decide the method and frequency by which it determines
the eligibility of its principals. Each participant may, but is not required to, check the List of Parties
Excluded from Federal Procurement and Non - procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and information of
a participant is not required to exceed that which is normally possessed by a prudent person in the
ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is proposed for
debarment under 48 C.F.R. part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded
from participation in this transaction, in addition to other remedies available to the Federal Government,
35
the departmentdr agency with which this transaction originated may pursue available remedies, including
suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility an Voluntary Exclusion -- Lower Tier
Covered Transactions
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its
principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
By:
Signature of Authorized Official
CiA11E1 Q. Vaa ntwoQEA)
Name
Title
Qt-o OF ou.4.9e,
Affiliation
Date
2010
Award No. DTFH61 -10 -G -00011
36
ATTACHMENT C
RECOVERY ACT REQUIREMENTS AND CONTRACT CLAUSES
DAVIS -BACON WAGE RATE REQUIREMENTS AND CONTRACT CLAUSES
a) Section 1606 of the Recovery Act requires that all laborers and mechanics employed by
contractors and subcontractors on projects funded directly by or assisted in whole or in part by
and through the Federal Government pursuant to the Recovery Act shall be paid wages at rates
not less than those prevailing on projects of a character similar in the locality as determined by
the Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United
States Code.
b) Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the
Department of Labor has issued regulations at 29 C.F.R. parts 1, 3, and 5 to implement the
Davis -Bacon and related Acts. Regulations in 29 C.F.R. 5.5 instruct agencies concerning
application of the standard Davis -Bacon contract clauses set forth in that section. Federal
agencies providing grants, cooperative agreements, and loans under the Recovery Act shall
ensure that the standard Davis -Bacon contract clauses found in 29 C.F.R. 5.5(a) are
incorporated in any resultant covered contracts that are in excess of $2,000 for construction,
alteration or repair (including painting and decorating).
c) Federal agencies providing grants, grant agreements, and loans under the Recovery Act shall
ensure that the standard Davis -Bacon contract clauses found in 29 C.F.R. 5.5(a) are
incorporated in any resultant covered contracts that are in excess of $2,000 for construction,
alteration or repair (including painting and decorating).
d) For additional guidance on the wage rate requirements of section 1606, contact your awarding
agency. Recipients of grants, grant agreements and loans should direct their initial inquiries
concerning the application of Davis -Bacon requirements to a particular federally assisted
project to the Federal agency funding the project. The Secretary of Labor retains final
coverage authority under Reorganization Plan Number 14.
BUY AMERICAN REQUIREMENTS AND CONTRACT CLAUSES
a) Definitions. As used in this award term and condition —
(1) Manufactured good means a good brought to the construction site for incorporation into the building or
work that has been —
(i) Processed into a specific form and shape; or
(ii) Combined with other raw material to create a material that has different properties than the properties of
the individual raw materials.
(2) Public building and public work means a public building of, and a public work of, a governmental entity
(the United States; the District of Columbia; commonwealths, territories, and minor outlying islands of the
United States; State and local governments; and multi - State, regional, or interstate entities which have
governmental functions). These buildings and works may include, without limitation, bridges, dams, plants,
highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy
generators, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters,
levees, and canals, and the construction, alteration, maintenance, or repair of such buildings and works.
(3) Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may
include other elements.
(b) Domestic preference.
(1) This award term and condition implements Section 1605 of the American Recovery and Reinvestment Act
Award No. DTFH61 -10 -G -00011
37
of 2009 (Recovery Act) (Pub. L. 111-5), by requiring that all iron, steel, and manufactured goods used in the
project are produced in the United States except as provided in paragraph (b)(3) and (b)(4) of this section and
condition.
(2) This requirement does not apply to the material listed by the Federal Government as follows:
None
(3) The award official may add other iron, steel, and /or manufactured goods to the list in paragraph (b)(2) of
this section and condition if the Federal Government determines that —
(i) The cost of the domestic iron, steel, and /or manufactured goods would be unreasonable. The cost of
domestic iron, steel, or manufactured goods used in the project is unreasonable when the cumulative cost of
such material will increase the cost of the overall project by more than 25 percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United States in
sufficient and reasonably available quantities and of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent with the
public interest.
(c) Request for determination of inapplicability of Section 1605 of the Recovery Act.
(l)(i) Any recipient request to use foreign iron, steel, and /or manufactured goods in accordance with
paragraph (b)(3) of this section shall include adequate information for Federal Government evaluation of the
request, including —
(A) A description of the foreign and domestic iron, steel, and /or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and /or manufactured goods cited in
accordance with paragraph (b)(3) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a completed
cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, and/or manufactured goods material shall include all delivery costs to the
construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been obligated for a
project for construction, alteration, maintenance, or repair shall explain why the recipient could not
reasonably foresee the need for such determination and could not have requested the determination before the
funds were obligated. If the recipient does not submit a satisfactory explanation, the award official need not
make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for construction,
alteration, maintenance, or repair that an exception to section 1605 of the Recovery Act applies, the award
official will amend the award to allow use of the foreign iron, steel, and/or relevant manufactured goods.
When the basis for the exception is nonavailability or public interest, the amended award shall reflect
adjustment of the award amount, redistribution of budgeted funds, and/or other actions taken to cover costs
associated with acquiring or using the foreign iron, steel, and/or relevant manufactured goods. When the basis
Award No. DTFH61 -10 -G -00011
38
for the exception is the unreasonable cost of the domestic iron, steel, or manufactured goods, the award
official shall adjust the award amount or redistribute budgeted funds by at least the differential established in
2 C.F.R. 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act applies,
use of foreign iron, steel, and/or manufactured goods is noncompliant with section 1605 of the American
Recovery and Reinvestment Act.
(d) Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost, the
Recipient shall include the following information and any applicable supporting data based on the survey of
suppliers:
Award No. DTFH61 -10 -G -00011
Foreign and Domestic Items Cost Comparison
[List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.]
[Include other applicable supporting information.]
[* Include all delivery costs to the construction site.]
SINGLE AUDIT INFORMATION FOR RECIPIENTS OF RECOVERY ACT FUNDS
REQUIREMENTS
(a) To maximize the transparency and accountability of funds authorized under the American Recovery and
Reinvestment Act of 2009 (Pub. L. 111 -5) (Recovery Act) as required by Congress and in accordance with 2
C.F.R. 215.21 "Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and other Non - Profit Organizations" and OMB Circular A -102 "Grants and
Cooperative Agreements with State and Local Governments." Common Rules provisions, recipients agree to
maintain records that identify adequately the source and application of Recovery Act funds. OMB Circular
A -102 is available at http: / /www.whitehouse.gov /omb /circulars /a102 /a102.html.
(b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular A -133, "Audits
of States, Local Governments, and Non - Profit Organizations," recipients agree to separately identify the
expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures of Federal Awards
(SEFA) and the Data Collection Form (SF —SAC) required by OMB Circular A-133. OMB Circular A -133 is
available at http: / /www.whitehouse.gov/ omb /circulars /a133 /a133.html. This shall be accomplished by
identifying expenditures for Federal awards made under the Recovery Act separately on the SEFA, and as
separate rows under Item 9 of Part III on the SF —SAC by CFDA number, and inclusion of the prefix "ARRA-
" in identifying the name of the Federal program on the SEFA and as the first characters in Item 9d of Part III
39
Description
Unit of measure
Quantity
Cost
(dollars)*
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
Item 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
for the exception is the unreasonable cost of the domestic iron, steel, or manufactured goods, the award
official shall adjust the award amount or redistribute budgeted funds by at least the differential established in
2 C.F.R. 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act applies,
use of foreign iron, steel, and/or manufactured goods is noncompliant with section 1605 of the American
Recovery and Reinvestment Act.
(d) Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost, the
Recipient shall include the following information and any applicable supporting data based on the survey of
suppliers:
Award No. DTFH61 -10 -G -00011
Foreign and Domestic Items Cost Comparison
[List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.]
[Include other applicable supporting information.]
[* Include all delivery costs to the construction site.]
SINGLE AUDIT INFORMATION FOR RECIPIENTS OF RECOVERY ACT FUNDS
REQUIREMENTS
(a) To maximize the transparency and accountability of funds authorized under the American Recovery and
Reinvestment Act of 2009 (Pub. L. 111 -5) (Recovery Act) as required by Congress and in accordance with 2
C.F.R. 215.21 "Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and other Non - Profit Organizations" and OMB Circular A -102 "Grants and
Cooperative Agreements with State and Local Governments." Common Rules provisions, recipients agree to
maintain records that identify adequately the source and application of Recovery Act funds. OMB Circular
A -102 is available at http: / /www.whitehouse.gov /omb /circulars /a102 /a102.html.
(b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular A -133, "Audits
of States, Local Governments, and Non - Profit Organizations," recipients agree to separately identify the
expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures of Federal Awards
(SEFA) and the Data Collection Form (SF —SAC) required by OMB Circular A-133. OMB Circular A -133 is
available at http: / /www.whitehouse.gov/ omb /circulars /a133 /a133.html. This shall be accomplished by
identifying expenditures for Federal awards made under the Recovery Act separately on the SEFA, and as
separate rows under Item 9 of Part III on the SF —SAC by CFDA number, and inclusion of the prefix "ARRA-
" in identifying the name of the Federal program on the SEFA and as the first characters in Item 9d of Part III
39
on the SF —SAC.
(c) Recipients agree to separately identify to each subrecipient, and document at the time of subaward and at
the time of disbursement of funds, the Federal award number, CFDA number, and amount of Recovery Act
funds. When a recipient awards Recovery Act funds for an existing program, the information furnished to
subrecipients shall distinguish the subawards of incremental Recovery Act funds from regular subawards
under the existing program.
(d) Recipients agree to require their subrecipients to include on their SEFA information to specifically
identify Recovery Act funding similar to the requirements for the recipient SEFA described above. This
information is needed to allow the recipient to properly monitor subrecipient expenditure of ARRA funds as
well as oversight b the Federal awarding agencies, Offices of Inspector General and the Government
Accountability Q ce.
By:
Title
Signatdre of Authorized Official
S egA[l e. %,1 NL D,)
Name
\.0 t't i 1ANF1 GEtt
C t - i O'c �uBv,�uE,
Affiliation
3Ep ava mod, 20to
Date
Award No. DTFH61 -10 -G -00011
40
ATTACHMENT D
QUARTERLY PROGRESS REPORTS
FORMAT AND CONTENT
The Paperwork Reduction Act approval is still pending. At this time, Attachment D is included for
informational purposes. Grantees are requested to retain data for potential future reporting to
ensure that DOT records are complete (assuming clearance is granted).
The purpose of the calendar quarterly progress reports is to ensure that the project budget and schedule
will be maintained to the maximum extent possible, that the project will be completed with the highest
degree of quality, and that compliance with Federal regulations will be met.
The Grantee should develop a project reporting and tracking system to collect, assess and maintain project
status information and data that is timely, independent, and accurate. This system should provide current
information on project prosecution, progress, changes, and issues. This information should be used to
identify trends and forecast project performance and to identify and proactively address challenges to
eliminate major project surprises.
The need to continuously and accurately report cost increases; schedule changes; deficient quality items;
and the causes, impacts, and proposed measures to mitigate these issues is paramount to effectively
managing, administering, and protecting the public investment in the project. Any apparent reporting
deficiencies or questionable data should be completely resolved. Ultimately, the Grantee and the
Government must be fully aware of the complete status of the project, and therefore be in a position to
take appropriate action if necessary.
A quarterly cost, schedule, and status report will be produced by the Grantee, and a quarterly status
meeting will be held with the Grantee, the Government and other applicable agencies in attendance. The
quarterly status meetings should discuss the project costs, schedules, quality issues, compliance with
Federal requirements, and other status items in sufficient enough detail to allow all involved parties to be
fully aware of the significant status issues and actions planned to mitigate any adverse impacts. In
addition, significant issues occurring between status meetings must be communicated immediately
without waiting for the next regularly scheduled meeting, with any highly significant or sensitive issues
elevated immediately to the executive leadership.
The following is the required format for the quarterly status reports. At the discretion of the Government,
modifications or additions can be made in order to produce a quarterly reporting format that will most
effectively serve both the Grantee and the Government. It is recognized that some projects will have a
more extensive quarterly status than others. In the case of smaller projects, the content of the quarterly
reports will be streamlined and project status meetings will be held on a less- frequent basis.
Please note that the initial quarterly progress report should include a detailed description, and where
appropriate, drawings, of the items funded.
1. Executive Summary. The executive summary should be a clear and concise summary of the current
status of the project, including any major issues that have an impact on the project's scope, budget,
schedule, quality, or safety. It may be done in a bulleted format. The following summary information is
an example of items that should be covered in the executive summary section:
Award No. DTFH61 -10 -G -00011
41
• Current total project cost (forecast) vs. latest budget vs. baseline budget. Include an explanation of
the reasons for any deviations from the approved budget.
• Current overall project completion percentage vs. latest plan percentage.
• Any delays or exposures to milestone and final completion dates. Include an explanation of the
reasons for the delays and exposures.
• A summary of the projected and actual dates for notices to proceed for significant contracts, start
of construction, start of expenditure of TIGER Discretionary Grant funds, and project completion
date. Include an explanation of the reasons for any discrepancies from the corresponding project
milestone dates included in the Grant Agreement.
• Any Federal obligations and /or TIFIA disbursements occurring during the month versus planned
obligations or disbursements.
• Any significant contracts advertised, awarded, or completed.
• Any significant scope of work changes.
• Any significant items identified as having deficient quality.
• Any significant safety issues.
• Any significant Federal issues such as environmental compliance, Buy American, Davis Bacon
Act Prevailing Wage requirements, etc.
2. Project Activities and Deliverables. The purpose of this section is to: (1) highlight the project
activities and deliverables occurring during the previous quarter (reporting period), and (2) define the
activities and deliverables planned for the next two reporting periods. Activities and deliverables to be
reported on should include meetings, audits and other reviews, design packages submitted,
'advertisements, awards, construction submittals, construction completion milestones, submittals related to
Recovery Act requirements, media or Congressional inquiries, value engineering/constructability reviews,
and other items of significance. The reporting period "look ahead schedule" will enable the Government
to accommodate any activities requiring input or assistance.
3. Action Items /Outstanding Issues. This section should draw attention to, and track the progress of,
highly significant or sensitive issues requiring action and direction in order to resolve. In general, issues
and administrative requirements that could have a significant or adverse impact to the project's scope,
budget, schedule, quality, safety, and/or compliance with Federal requirements should be included.
Status, responsible person(s), and due dates should be included for each action item/outstanding issue.
Action items requiring action or direction should be included in the quarterly status meeting agenda. The
action items /outstanding issues may be dropped from this section upon full implementation of the
remedial action, and upon no further monitoring anticipated.
4. Project Schedule. An updated master program schedule reflecting the current status of the program
activities should be included in this section. A Gantt (bar) type chart is probably the most appropriate for
quarterly reporting purposes, with the ultimate format to be agreed upon between the Grantee and the
Government. It is imperative that the master program schedule be integrated, i.e., the individual contract
Award No. DTFH61 -10 -G -00011
42
milestones tied to each other, such that any delays occurring in one activity will be reflected throughout
the entire program schedule, with a realistic completion date being reported.
Narratives, tables, and/or graphs should accompany the updated master program schedule, basically
detailing the current schedule status, delays and potential exposures, and recovery efforts. The following
information should also be included:
• Current overall project completion percentage vs. latest plan percentage.
• Completion percentages vs. latest plan percentages for major activities such as right -of -way, major
or critical design contracts, major or critical construction contracts, and significant force accounts
or task orders. A schedule status description should also be included for each of these major or
critical elements.
• Any delays or potential exposures to milestone and final completion dates. The delays and
exposures should be quantified, and overall schedule impacts assessed. The reasons for the delays
and exposures should be explained, and initiatives being analyzed or implemented in order to
recover the schedule should be detailed.
5. Project Cost. An updated cost spreadsheet reflecting the current forecasted cost vs. the latest approved
budget vs. the baseline budget should be included in this section. One way to track project cost is to
show: (1) Baseline Budget, (2) Latest Approved Budget, (3) Current Forecasted Cost Estimate, (4)
Expenditures or Commitments To Date, and (5) Variance between Current Forecasted Cost and Latest
Approved Budget. Line items should include all significant cost centers, such as prior costs, right -of -way,
preliminary engineering, environmental mitigation, general engineering consultant, section design
contracts, construction administration, utilities, construction packages, force accounts /task orders, wrap -
up insurance, construction contingencies, management contingencies, and other contingencies. The line
items can be broken -up in enough detail such that specific areas of cost change can be sufficiently tracked
and future improvements made to the overall cost estimating methodology. A Program Total line should
be included at the bottom of the spreadsheet.
Narratives, tables, and/or graphs should accompany the updated cost spreadsheet, basically detailing the
current cost status, reasons for cost deviations, impacts of cost overruns, and efforts to mitigate cost
overruns. The following information should be provided:
• Reasons for each line item deviation from the approved budget, impacts resulting from the
deviations, and initiatives being analyzed or implemented in order to recover any cost overruns.
• Transfer of costs to and from contingency line items, and reasons supporting the transfers.
• Speculative cost changes that potentially may develop in the future, a quantified dollar range for
each potential cost change, and the current status of the speculative change. Also, a comparison
analysis to the available contingency amounts should be included, showing that reasonable and
sufficient amounts of contingency remain to keep the project within the latest approved budget.
• Detailed cost breakdown of the general engineering consultant (GEC) services (if applicable),
including such line items as contract amounts, task orders issued (amounts), balance remaining for
tasks, and accrued (billable) costs.
Award No. DTFH61-10-G-0001 1
43
• Federal obligations and/or TIFIA disbursements for the project, compared to planned obligations
and disbursements.
6. Project Funding Status. The purpose of this section is to provide a status report on the non -TIGER
Discretionary Grant funds necessary to complete the project. This report section should include a status
update of any legislative approvals or other actions necessary to provide the non -TIGER Discretionary
Grant funds to the project. Such approvals might include legislative authority to charge user fees or set
toll rates, or the commitment of local funding revenues to the project. In the event that there is an
anticipated or actual project cost increase, the project funding status section should include a report on the
anticipated or actual source of funds to cover the cost increase and any significant issues identified with
obtaining additional funding.
7. Project Quality. The purpose of this section is to: (1) summarize the Quality Assurance /Quality
Control activities during the previous quarter (reporting period), and (2) highlight any significant items
identified as being deficient in quality. Deficient items noted should be accompanied by reasons and
specifics concerning the deficiencies, and corrective actions taken or planned. In addition, the agency or
firm responsible for the corrective action should be documented. Planned corrective actions should then
be included as Action Items /Outstanding Issues.
8. Other Status Reports. The Grantee and the Government may agree that other reports may be
beneficial in ensuring that project status issues are fully and openly communicated. Such reports may
include the public relations plan, value engineering and constructability review plan, environmental
compliance report, and/or compliance with the Buy American requirements.
Award No. DTFH61 -10 -G -00011
44
The Project Budget is as follows:
Award No. DTFH61 -10 -G -00011
ATTACHMENT E
PROJECT BUDGET
Construction Engineering and Inspection
TOTAL ESTIMATED PROJECT COST
$5,766,975
$5,766,975
The City of Dubuque shall pay all costs in excess of the $5,600,000 TIGER Grant Award.
45
00044)7eallb. 034144
BUDGET INFORMATION • Conofri:Boo Programs
11017E Cerfbheieataeruexemireaaniwa** aeapemaar ante r te MeafreaarpviealmeaafpaMa aoloaeber umaewow a4lMsmart
COS Or CtASSWICATOe
L Taal met
b. to Not Al ada
kwPaldot t
a Tdr Moth Ooot;
(C,am*atl
t Adeiserraim and legetoptima
4
AO
$
.00
$
0X
2. Land. eaaetaas, irjaadgart appneids. ata
S
A0
1
.00
$
on
a Relageonepe ea)d paymede
$
A
8
.00
$
Oa
4 Aadeiledurof anQ a kas
$
A0
$
.00
$
0.00
S, Oderudicteeef sad agineanpba
S
.00
S
.00
$
0.00
0. Pbjut amnion We
S
AC
3
.00
$
0 AO
T. Ska wet
S
A0
$
.00
i
0.00
& Denton srd irearat
0
.00
3
.00
$
0.00
a Carrtudme
$
&T66,97$ A0
$
.00
3
6,766475.00
10. Equfpant
S
A0
$
AO
s
0.00
11. tiseeisneaa
S
60
S
.0C
$
0.00
12. SUBTOTAL (suns olive 141)
$
5,768,975 06
3
0.00
3
5.766,915.00
13. Cartrga+da
S
00
3
.00E
040
14. SWOT&
S
6,76075 00
S
0.CC
3
5,76005.00
15. PiajrarproParOioarn
3
00
S
X
8
0.00
16. TOTAL PROJECT CMS (subtieVt5 4)
S
5,7%975 ,06
$
OX
3
5.766,075.00
FEDERAL Rk :03
17. Faded anima aginated. Wallis as I loea:
(Ccosel Federal nevi 1a Fadfntl oawaa)
&ierie Ftdird Ow
re
oasis tom iv fbc
Wt1pyX aria %
S
6,600,000.00
!mime WM lleet4
Award No. DTFH61 -10 -G -00011
Au6attbifor Lode Rfprodaetlat
taaraat Fara 08 Otn.101
8.... ,Vlgo her t4
46
September 2010 Grant Agreement Executed
October 1, 2010 Advertise for Construction Bids
October 19, 2010 Award Construction Contract
February 1, 2010 Issue Notice -to- Proceed
November 2012 Construction Work Complete
Award No. DTFH61 -10 -G -00011
ATTACHMENT F
PROJECT SCHEDULE
47
SUMMARY
1) Project Title:
2) Type of Project:
3) Applicant
Prime Applicant:
CCR Number:
DUNS Number:
Contact Person:
Project Partners:
4) Funding Requested
TIGER Federal Funding Requested:
Committed Funding/Local Match:
Total Project Cost:
Award No. DTFH61-10-G-0001 I
ATTACHMENT G
TECHNICAL APPLICATION
Dubuque Regional Sustainable Transportation Initiative
Integrated transportation project combining highway, transit and
sustainability concepts
City of Dubuque, Iowa
1P8H2
093105302
Teri Goodmann, Assistant City Manager
City of Dubuque
City Hall, 50 W. 13 Street
Dubuque, Iowa 52001
Telephone: 563 - 589 -4110 (work), 563- 580 -0690 (cell)
E -mail: tgoodman @cityofdubuque.org
Dubuque County, Iowa
Dubuque Metropolitan Transportation Study (DMATS)
Iowa Department of Transportation (Iowa DOT)
Region 8 Regional Transit Authority (RTA)
East Central Intergovernmental Association (ECIA)
Greater Dubuque Development Corporation
Dubuque Area Chamber of Commerce
Dubuque Main Street (DMS)
IBM
Project Location: The project is located in this small urban metro area in Northeast Iowa impacting both
urban and rural areas in Iowa. The City of Dubuque is the county seat in Dubuque County in eastern Iowa
bounded by the Mississippi River which lies at the junction of three states — Iowa, Illinois and Wisconsin.
Dubuque County has an approximate population of 92,714 people (2008 estimate, U.S. Census Bureau)
and covers 620 square miles. The overall population density is approximately 151 persons per square
mile. The City of Dubuque's population is estimated at 57,313 (2007 estimate). The Dubuque
metropolitan area serves as the main educational, medical, industrial, tourism and cultural center for the
region. The area is also the center of the Greater Dubuque Laborshed area, with an entire population of
296,744 in 2008 (Greater Dubuque Development Corporation). Other cities in the communities in the
Dubuque metropolitan area include Dyersville, Asbury, Farley, Peosta, Epworth and Cascade. In addition
to the metropolitan area of the region, the area served includes rural Jackson (which has previously been
designated as an economically distressed area by the U.S. Department of Agriculture and EDA), Jones,
Clinton, and Delaware counties in Iowa, as well as Jo Daviess County in Illinois and Grant County in
Wisconsin. The project is located in Iowa's 1 Congressional District.
$ 49,799,979
$ 87,308,233
$1 37,108,212
48
5) Project Period: January 2010 - February 2012
PROJECT DESCRIPTION
Dubuque, Iowa, like so many cities in the United States, faces a disconnect involving citizen choice, the
built environment and local policies based upon old data that drive the design of the built environment.
With a lack of accurate data on consumer decisions, cities continue to build an environment that works for
an unsustainable past instead of a green future. While so many cities have roadway systems that are
designed for vehicles only, consumers have begun to demand systems designed for multiple purposes to
increase consumer choice, change behavior and preserve the environment. These elements ultimately
create better live - work -play connections that restore communities.
The City of Dubuque, Iowa and its partners are pleased to submit this proposal requesting federal U.S.
Department of Transportation (DOT) TIGER funds to implement a comprehensive, integrated regional
sustainable transportation strategy, which will serve as a model for communities with populations under
200,000. This strategy will: implement a radically innovative Smarter City intelligent transport solution
for automated data collection using pervasive cell - phones and sophisticated analytical and decision
support tools that will advise traffic and transit policy design, implementation, and measurement;
aggressive public education, outreach and implementation of specific transportation projects; improve
regional mobility; create living wage jobs; reduce vehicle miles traveled (VMT) and associated energy
consumption and air pollutants; enhance transportation options that serve the diverse needs of area
workers and residents with special focus on at risk neighborhoods; and continue to build the metropolitan
Dubuque region as a vibrant, livable community providing prosperity and a high quality of life for all its
residents.
The Dubuque Regional Sustainable Transportation Initiative (DRSI) is an innovative approach to
addressing the disconnect between citizens' choices, the restrictions of the built environment and local
policies based upon available data that have driven design of the built environment which in turn drives
consumer behavior. Three key components are included in the initiative:
1. Implementation of a radically innovative Smarter City Intelligent Transport Solution (Smarter
City ITS) to be developed in partnership with world technology leader IBM, that will advise the
design, implementation and measurement of all traffic, transportation and transit policies and projects,
including relevant incentive design and infrastructure maintenance. This solution will collect and
analyze real -time transportation behavior data using pervasive cell -phone devices for more than ten
thousand residents over a two year period.
a) This will redesign the region's public transit system to dramatically improve ridership, efficiency,
reliability and convenience to workers, students and residents
b) This will drive the implementation of the existing ITS plan that focuses on improving safety and
efficiency of traffic flow
2. Construction of a Complete Streets pilot project to be designed based on the Smarter City ITS. This
will help revitalize a critical area of downtown Dubuque with walkable and transit - friendly streets,
leading to the development of a regional Complete Streets strategy and policy.
3. Construction of a smarter Southwest Arterial, which will complete the regional road network and
serve as a model for how communities can build needed new roadways in a way that promotes smart
growth and limits sprawling development.
The Problem
The Dubuque region's transportation network faces serious challenges. Motorists cannot easily travel
between two major regional highways, U.S. 61/151 and U.S. 20, without entering the City of Dubuque's
local street system. The local street system was not designed to meet the commuting and goods movement
demands of the 21 Century, The resulting gridlock and congestion reduces travel time efficiencies,
Award No. DTFH6I -10 -G -00011
49
increases fuel consumption, increases greenhouse gas emissions, and effectively prevents the
implementation of a Complete Streets pilot in the city's urban core. As local modeling demonstrates, the
demands upon Dubuque's transportation network are expected to increase with expected residential
growth and commercial and industrial expansion. Furthermore, travelerss in the greater Dubuque area
face few sustainable transportation choices, leading to dependency on their automobiles. Many of the
region's local streets were not designed with walking and biking in mind. High fuel prices and changing
demographics are creating an increasing demand on public and community transportation. Service
providers are increasingly struggling to help clients deal with basic transportation needs as well as
alternatives for a livable and equitable lifestyle of choices. The local public transit system also suffers
from poor ridership because buses do not go where people want to go, when they want to go. This
results in a nearly $1 million annual subsidy.
The process of planning and operating the area's transportation network, transit and choices for walking
and biking is challenging because there are no tools for policy and operational decision making that can
be based upon robust, reliable real -time data gathering and analytics that can inform planners with
accurate baselines, accurate estimates of origin and destination statistics of journeys and models of
behavior of motorists and transit users to allow the authorities to incent behavior towards sustainable
choices.
Dubuque can serve as a model for cities under 200,000 where over 40% of the US population resides. In
medium sized cities like Dubuque, individual travelers that are not captive to public transit have no
incentive to use it due to its inconvenience and inflexibility. Even if these problems were to be solved
such travelers still need to be informed and incented about their choices. There are no tools that allow
travelers to have accurate baselines of their carbon footprints due to VMT and the modes of transportation
they use and no decision support systems that allow them to compare and contrast alternatives to driving
their cars.
Project Components
The City of Dubuque and its partners seek TIGER funds to launch a comprehensive, integrated and
innovative strategy aimed at understanding movement of people and vehicles in real time, improving
movement across the region to manage existing assets more effectively, creating transportation options
that serve the diverse needs of citizens in an economically and environmentally sustainable fashion and
designing walking and biking trails optimally. This strategy also includes the critical component of
engaging the public by keeping them better informed of their carbon footprint, the choices they face and
the impacts of the choices they make, thus enabling them to become active partners in building a smarter
sustainable regional transportation and transit system.
Figure 1 below describes this innovation - driven integrated and sustainable approach towards smarter
sustainable transportation and transit. All the strategic components build upon each other's success, and
will position Dubuque to be a sustainable transportation model for communities under 200,000 in
population. Each of the project components are described in greater detail below.
Award No. DTFH61 -10 -G -00011
50
Dubuque Regional
Sustainable
Transportation
Initiative
Award No. DTFH61 -10 -G -00011
Fig. I
1. Smarter City Intelligent Transport Solution (ITS)
Dubuque plans to work with world information technology leader IBM to design and implement a
radically innovative Smarter City Smarter City ITS to provide a comprehensive, real -time data- driven
capability for design and implementation of policies and strategies for traffic, transit and urban
planning. The goal of the technology is to provide a sophisticated system for collecting and analyzing
real -time transportation data in order to improve system efficiency, provide insight for generating a new
mix of services that cater to the requirements of the citizenry, and develop a more sustainable
transportation system that integrates land use, economic development and transportation planning and is
less dependent on cars. A critical aspect of this ITS system is its focus on individuals and their
empowerment through information and incentives.
The Smarter City ITS will use pervasive sensors such as cell phones to determine the origins and
destinations of 10,000 individuals traveling across the region and track multimodal transportation choices
over a period of two years to build rich data representations. This will include current transit users as well
as current motorists. This rich real -time data will be analyzed by sophisticated data mining algorithms and
correlated with weather, environment and economic data, and traffic data including turn volumes and loop
counts, to build models of transportation and transit, as well as community-wide behavior. In addition,
this data will help generate accurate real -time baselines for the city -wide carbon and VMT footprint.
These models in turn will be coupled with modeling and simulation of "What -If' scenarios to provide
data driven and facts based - decision support for planning authorities as well as individuals. This will help
transportation and transit managers and city planners across the spectrum in planning, implementation,
measurement and optimization. Some specific examplesare described below.
Traffic:
The Smarter City ITS will provide the continuous collection of traffic volume data, intersection reports,
failure /malfunction notifications, video monitoring, overall control for signal retiming and ability to
redirect traffic thus enabling optimal signaling, improved progression, reduced carbon emissions and
optimal special event traffic management. The detailed city plan for traffic improvements can be found at
www.cityofdubuque.org/DRSTI. To summarize, this will help implement the regions existing Intelligent
Transportation System (ITS) plan in nine priority transportation corridors including those on U.S. 20, U.S.
61, U.S. 151, U.S. 52, IA 32 and the proposed Southwest Arterial through the following improvements.
51
Traffic Signals:
This will link conventional traffic management technology with the Smarter City ITS.
a) Monitor traffic and adjust signals and the interconnect system between signals and remote
locations.
b) Replacing old wire interconnects with fiber- optics to establish a fiber -optic loop
c) New signals and dynamic message boards to notify motorist of construction detours and delays
with all major road projects and bridge crossings in the region
Transit:
At the core of a complete overhaul of the regional transit system will be:
a) Redesigned transit routes and the overall system so they meet the demands of area residents in terms
of reliability and convenience. The City aims to increase transit ridership to five percent of the
population as a result of the transit improvements.
b) Design incentives to increase transit ridership and measure impact in a closed loop
Complete Streets:
Insights about people movement will guide retrofitting existing streets as Complete Streets
a) Optimally design the Complete Streets pilot project so that it maximizes convenience and accessibility
for bicyclists, pedestrians and transit riders.
b) Implement land use and transportation planning that prevents sprawl and encourages sustainable
economic development.
Individual Citizen Empowerment:
Personalized decision support for optimal informed choices — citizens manage what they can measure!
a) Provide individuals with electronic "dashboards" that allow them to monitor their personal carbon
footprints in real time based on their vehicle miles traveled and modes of transport used.
b) Enable individuals to measure the impact of their actions and provides decision support for comparing
available choices with respect to their metrics of interest
The ability of this innovative Smarter City ITS to measure and monitor the impact of policy changes and
decisions will allow the City of Dubuque to continually optimize its sustainable transportation system
fostering economic development without jeopardizing the environment, and serve as a national model.
2. Construction of the Southwest Arterial: A smarter, more sustainable roadway
The critical component of Dubuque's transportation strategy is the construction of a vital missing link in
the existing regional transportation network, a Southwest (SW) Arterial that connects U.S. 61/151 and
U.S. 20. Dubuque plans to construct a 6.1 mile four -lane, hard - surfaced SW Arterial on a new alignment
between U.S. 61/151 and U.S. 20. The SW Arterial roadway will have priority 1- access control, providing
an alternate, direct and efficient route for traffic through southwestern Dubuque and Dubuque County.
The SW Arterial will provide the missing connector to the major U.S. highways in the region and will
provide for improved regional traffic flow and reduced travel times. The SW Arterial will reduce traffic
congestion on U.S. 61/151 and U.S. 20 (currently service level D and F facilities), as well as the local
street system, including Central Avenue (U.S. 52/3) through the downtown and Kelly Lane, which
intersects a residential neighborhood. The SW Arterial is expected to reduce travel time for those
traveling from Delaware County, Clayton County, and western Dubuque County by 22.95 percent.
Based on the analysis of travel patterns from the DMATS transportation planning models, there are 3,600
regional trips per day (as of 2000) from the junction of U.S. 61 and U.S. 151 to the northwest part of
Dubuque. These regional trips are forecast to increase to 6,700 per day in the year 2025. U.S. 20 carries
28,000 vehicles per day through Dubuque with 6 percent to 10 percent being truck traffic, which, when
Award No. DTFH61 -10 -G -00011
52
combined with hilly terrain and numerous traffic signals, cause operational issues which extend to all
motorists. U.S. 20 is projected to carry 35,800 vehicles per day by 2020 and 42,000 vehicles per day by
2030. After construction of the SW Arterial, the DMATS model estimates that five percent of the heavy
vehicles trips per day will be diverted from all major corridors to the SW Arterial. The SW Arterial will
also connect two industrial parks on the west side of the City (Dubuque Industrial Center and Dubuque
Industrial Center West) with the Dubuque Technology Center on the south side of Dubuque, providing
access to U.S. 61/151 and on to Interstate 80. (see maps on Attachment 1). Since 1996, the Dubuque City
Council, Dubuque County Board of Supervisors, DMATS Policy Committee, Dubuque Area Chamber of
Commerce, and the Greater Dubuque Development Corporation have all identified the completion of the
SW Arterial project as their number one surface transportation project. (See Attachment 2 for letters of
support).
Based on IOWA DOT's Road Segment Benefit/Cost Safety Analysis spreadsheet, from 2001 to 2006, the
present value of avoided crash benefits would equal $118,510,998 over the life of the project. The safety
benefit -cost ratio is 2.49 to 1 based on a $49,799,979 TIGER grant. Overall, the Dubuque Regional
Sustainable Transportation Initiative will reduce traffic crashes by 35 percent on the road network.
Cost/safety analysis related to this project can be found at www.cityofdubuque.org /DRSTI .
Working with Iowa DOT and its consultants, the City of Dubuque has developed an enhanced design for
the SW Arterial Oigure 2). We reviewed the top six
resources, guides or rating systems for sustainable design:
Dubuque 's Sustainable Initiatives, based 3 sustainable
principles, the foundation of this project's sustainable
efforts; Eco- Logical, a regional ecosystem based guide to
create integrated transportation and green infrastructure
planning projects; Greenroads, a rating system developed
to distinguish roadways that are more sustainable than a
typical roadway; LEED 3.0 2009 for New Construction, a
national standard used by architects, landscape architects,
engineers and designers to measure the level of
sustainability, primarily on buildings; Sustainable Sites
Initiative, a rating system designed to measure the long
term sustainability of the developed landscape; and Iowa
Green Streets, a rating system aimed at providing Iowa
communities a roadmap for making their communities
more sustainable. When combined, these guides and
rating systems will establish a baseline to `score'
sustainability within the SW Arterial project. The
development of sustainability criteria for highway and
arterial design and construction of the SW Arterial will
provide a national model for street projects.
Award No. DTFH61 -10 -G -00011
(figure 2)
The sustainable design focus of the SW Arterial includes four principal categories and five focus areas.
The principal categories are: planning, design, construction and post - construction. The five focus areas
are: ecological components, health components, materials selection, construction methodologies &
procedures, and operations & maintenance. Integration with the Smarter City Intelligent Transportation
Solution will accomplish the following goals and objectives for a smarter, more sustainable SW
Arterial:
• Use the provision of transportation to support economic growth and preservation for urban and rural
life.
• Integrate existing and future land use and transportation planning.
53
• Provide a safe and secure transportation route.
• Provide affordable mobility for all.
• Minimize the negative environmental effects of transportation.
• Provide a multi -modal transportation system including provisions for safe pedestrian, bicycle, public
transit, farm equipment and wildlife movement.
• Enhance and maintain existing infrastructure.
• Coordinate land use and transportation development.
• Increase accessibility and mobility options.
• Protect the natural and rural environment.
• Promote energy conservation and the development of renewable energy resources.
• Use existing and proven rating systems as a way to measure the level of achieved sustainability.
3. Complete Streets Pilot Project
Insights from the Smarter City ITS about people's movement, location and route preferences for walking
and biking in relationship to businesses and attractions, will drive optimal design of the third component
of the Dubuque TIGER proposal — implementation of a Complete Streets plan. The City of Dubuque and
its partners plan to conduct a Complete Streets pilot project in the Historic Millwork District in
downtown Dubuque, home to over 6,000 employees. The Complete Streets concept involves the design
of streets in a fashion that facilitates use by the broad range of users, including drivers, public
transportation vehicles and riders, pedestrians, bicyclists, older people, children, and people with
disabilities.
Dubuque's Historic Millwork District Master Plan, adopted by the City Council in February 2009, is a
critical component of the region's sustainable economic development strategy, which encourages more
people to live and work in or near the center city. The plan calls for the redevelopment of 1 million square
feet of historic warehouse space into a mixed use development of 700 housing units and 300,000 square
feet of retail /commercial space. An estimated 1,000 residents will live in the Historic Millwork District at
full build -out. The Millwork District revitalization plan will create 900 new jobs and enhance the local
tax base by $77 million dollars ( www. cityofdubuque .org /millworkdistrict ).
A study conducted in January 2009 by Economics Research Associates (ERA) identified a shortage of
downtown living units. This shortage has only increased since the announcement that IBM will be
creating 1,300 new information technology jobs downtown and bring the total number to over 8,300
people working in downtown everyday.
A key component of the Millwork District revitalization plan is to redevelop the area street network using
the Complete Streets model. The Complete Streets model will produce a more livable environment by
creating an area that is easy to use for pedestrians, bicyclists, transit riders, older people and families. It is
estimated that 60 percent of the new residents within the Historic Millwork District will work downtown.
Redesigning streets for alternative modes of transportation will allow residents to take advantage of their
proximity to work and choose walking, biking or mass transit as options. Reducing automobile
dependence in the area will decrease vehicle miles traveled and the associated energy use and air
emissions. The Complete Streets design will also create a more vibrant area encouraging more businesses
to locate in the downtown area.
TIGER funds will be used to design and reconstruct the street network in the Millwork District and the
street connections to the central business district, Port of Dubuque, and the Washington Neighborhood.
More specifically, funds will be used to reconstruct the following streets using the Complete Street
model: Washington Street, Jackson Street, Elm Street, 8 Street, 9 Street, and 10 Street.
Award No. DTFH61 -10 -G -00011
54
Construction of the SW Arterial will also complement Dubuque's Complete Streets efforts. The Historic
Millwork District is currently separated from the traditional downtown by U.S. 52. Non -auto
transportation between the Historic Millwork District and downtown is difficult and dangerous due to
significant automobile and truck traffic on U.S. 52. Construction of the SW Arterial will redirect
significant regional heavy industrial traffic away from downtown streets and eliminate a major barrier to
the implementation of Complete Streets connections between the Millwork District and downtown.
The City will work with IBM to use the new Smarter City ITS tools to evaluate the effectiveness of the
Complete Streets approach in encouraging alternative modes of transportation, reducing vehicle miles
traveled, decreasing air emissions, and encouraging new mixed use economic development in and around
the center city area. Specifically, IBM and the City will collect real -time data on transportation behavior
in the Historic Millwork District and surrounding areas and analyze the results of the data.
Based on the results of this Complete Streets pilot project, the City and its partners will develop and
implement a Complete Streets policy designed to encourage more transportation choices and create more
economic for the entire metropolitan region, and to serve as a nationalmodel for other cities facing the
challenge of retrofitting existing streets as Complete Streets.
Affected Communities
The proposed project supports both urban and rural populations, as well as communities suffering from
economic distress. The project will benefit the greater Dubuque area, which includes communities in the
states of Iowa, Illinois and Wisconsin. Construction will take place in the city of Dubuque, and rural
Dubuque County (see map on Attachment 3).
Overall Benefit
The DRSTI helps to solve the region's transportation problems by:
• Creating an innovative Smarter City ITS that advises, and improves every aspect of transportation
and transit based on real -time data and facts and enables optimal design of new services;
• Providing transportation planners with instrumentation infrastructure that enables rich real -time
data gathering and accurate carbon and VMT baselines for aggregate city-wide traffic along with
decision support to enable the design and implementation of smarter choices
• Providing a more efficient link between U.S. 61/151 and U.S. 20;
• Improving regional access from U.S. 61 to the northwest Dubuque region;
• Improving traffic flow and safety conditions on U.S. 61/151, U.S. 52, and U.S. 20;
• Relieving existing and future congestion on the local collector streets;
• Improving traffic flow and safety conditions on local roadways;
• Providing an improved route for expanding and existing companies in the region that have poor
access to the south end of the region for delivery of products to Interstate 80;
• Supporting local and regional land use planning;
• Incenting and providing for more walkable, livable urban core;
• Providing individuals in Dubuque their accurate carbon and VMT baselines along with decision
support to enable informed personal choices; and
• Encouraging the use of alternative modes of transportation and optimal incentives, thereby
reducing traffic demands and carbon emissions.
Benefit -cost analysis of the Dubuque Regional Sustainable Transportation Initiative demonstrates that a
DOT TIGER investment of $49,799,979 will generate an immediate return on investment of
$2,833,434,606 or 56.90 to 1.
Award No. DTFH61 -10 -G -00011
55
Award No. DTFH61 -10 -G -00011
Benefit : Cost = $2,833,434,606 :
$49,800.000
56.90 : 1
PROJECT PARTNERS
City of Dubuque, Iowa — The City of Dubuque will serve as the lead agency on the revitalization of the
Dubuque metropolitan area's transportation system. Dubuque will work collaboratively with its regional
partners to develop a sustainable transportation model for communities under 200,000 in population.
East Central Intergovernmental Association (ECIA) — ECIA is a membership supported organization
of local governmental bodies in Cedar, Clinton, Delaware, Dubuque and Jackson Counties in Iowa. ECIA
will provide transportation planning and technical assistance.
Dubuque County, Iowa — Dubuque County has been a partner on the SW Arterial project for more than
30 years. Dubuque County designated the SW Arterial as their number one surface transportation project
over 10 years ago. In that time span, Dubuque County has partnered with the City of Dubuque to keep the
project moving forward locally and regionally.
Dubuque Metropolitan Transportation Study (DMATS) — DMATS is the metropolitan planning organization (MPO) for
the Dubuque urbanized area. DMATS organizes and oversees the long range planning and development of the multimodal
transportation system.
Iowa Department of Transportation (IOWA DOT) — IOWA DOT has been a long -time funding
partner on numerous surface transportation projects in the city of Dubuque and Dubuque County, from
roads and bridges, to ITS and safety improvements, to trails and safe routes to schools. IOWA DOT has
also partnered with Dubuque to do the property acquisition for the SW Arterial. The IOWA DOT is an
active planning partner in the creation of Complete Streets in the Historic Millwork District.
Dubuque Area Chamber of Commerce — The Dubuque Area Chamber of Commerce represents more
than 2,000 area businesses that have expressed support for the SW Arterial project and have made
redevelopment of the Historic Millwork District a workforce top priority.
The Greater Dubuque Development Corporation (GDDC) — The GDDC is the economic development
entity for the greater Dubuque area. The GDDC has used the Historic Millwork District and the SW
Arterial as a marketing tool for new and expanding businesses in the region.
Dubuque Main Street (DMS) — DMS is the downtown development entity for the city of Dubuque.
DMS coordinates economic activities for a 90- square central business district with more than 250
business and 8,000+ employees. DMS provides the staff for the development of the Historic Millwork
district.
Region 8 Regional Transit Authority (RTA) — RTA, in partnership with the city of Dubuque, provides
transportation services for all citizens so they have access to critical services such as work, education,
healthcare, training, nutrition and socialization. The completed SW Arterial will connect the west side of
56
Energy Savings
$106,727,231
Safety Savings
Funding requested
$49,800,000
$1,672,495,056
Transit revenue
$43,198,695
CarbonReduction/Emissions
$12,318,450
Travel Time Savings
$880,184,187
Total
$2,833,434,606
Total
$49,800,000
Award No. DTFH61 -10 -G -00011
Benefit : Cost = $2,833,434,606 :
$49,800.000
56.90 : 1
PROJECT PARTNERS
City of Dubuque, Iowa — The City of Dubuque will serve as the lead agency on the revitalization of the
Dubuque metropolitan area's transportation system. Dubuque will work collaboratively with its regional
partners to develop a sustainable transportation model for communities under 200,000 in population.
East Central Intergovernmental Association (ECIA) — ECIA is a membership supported organization
of local governmental bodies in Cedar, Clinton, Delaware, Dubuque and Jackson Counties in Iowa. ECIA
will provide transportation planning and technical assistance.
Dubuque County, Iowa — Dubuque County has been a partner on the SW Arterial project for more than
30 years. Dubuque County designated the SW Arterial as their number one surface transportation project
over 10 years ago. In that time span, Dubuque County has partnered with the City of Dubuque to keep the
project moving forward locally and regionally.
Dubuque Metropolitan Transportation Study (DMATS) — DMATS is the metropolitan planning organization (MPO) for
the Dubuque urbanized area. DMATS organizes and oversees the long range planning and development of the multimodal
transportation system.
Iowa Department of Transportation (IOWA DOT) — IOWA DOT has been a long -time funding
partner on numerous surface transportation projects in the city of Dubuque and Dubuque County, from
roads and bridges, to ITS and safety improvements, to trails and safe routes to schools. IOWA DOT has
also partnered with Dubuque to do the property acquisition for the SW Arterial. The IOWA DOT is an
active planning partner in the creation of Complete Streets in the Historic Millwork District.
Dubuque Area Chamber of Commerce — The Dubuque Area Chamber of Commerce represents more
than 2,000 area businesses that have expressed support for the SW Arterial project and have made
redevelopment of the Historic Millwork District a workforce top priority.
The Greater Dubuque Development Corporation (GDDC) — The GDDC is the economic development
entity for the greater Dubuque area. The GDDC has used the Historic Millwork District and the SW
Arterial as a marketing tool for new and expanding businesses in the region.
Dubuque Main Street (DMS) — DMS is the downtown development entity for the city of Dubuque.
DMS coordinates economic activities for a 90- square central business district with more than 250
business and 8,000+ employees. DMS provides the staff for the development of the Historic Millwork
district.
Region 8 Regional Transit Authority (RTA) — RTA, in partnership with the city of Dubuque, provides
transportation services for all citizens so they have access to critical services such as work, education,
healthcare, training, nutrition and socialization. The completed SW Arterial will connect the west side of
56
Energy Savings
$106,727,231
Safety Savings
$118,510,988
Economic Development
$1,672,495,056
Transit revenue
$43,198,695
CarbonReduction/Emissions
$12,318,450
Travel Time Savings
$880,184,187
Total
$2,833,434,606
Award No. DTFH61 -10 -G -00011
Benefit : Cost = $2,833,434,606 :
$49,800.000
56.90 : 1
PROJECT PARTNERS
City of Dubuque, Iowa — The City of Dubuque will serve as the lead agency on the revitalization of the
Dubuque metropolitan area's transportation system. Dubuque will work collaboratively with its regional
partners to develop a sustainable transportation model for communities under 200,000 in population.
East Central Intergovernmental Association (ECIA) — ECIA is a membership supported organization
of local governmental bodies in Cedar, Clinton, Delaware, Dubuque and Jackson Counties in Iowa. ECIA
will provide transportation planning and technical assistance.
Dubuque County, Iowa — Dubuque County has been a partner on the SW Arterial project for more than
30 years. Dubuque County designated the SW Arterial as their number one surface transportation project
over 10 years ago. In that time span, Dubuque County has partnered with the City of Dubuque to keep the
project moving forward locally and regionally.
Dubuque Metropolitan Transportation Study (DMATS) — DMATS is the metropolitan planning organization (MPO) for
the Dubuque urbanized area. DMATS organizes and oversees the long range planning and development of the multimodal
transportation system.
Iowa Department of Transportation (IOWA DOT) — IOWA DOT has been a long -time funding
partner on numerous surface transportation projects in the city of Dubuque and Dubuque County, from
roads and bridges, to ITS and safety improvements, to trails and safe routes to schools. IOWA DOT has
also partnered with Dubuque to do the property acquisition for the SW Arterial. The IOWA DOT is an
active planning partner in the creation of Complete Streets in the Historic Millwork District.
Dubuque Area Chamber of Commerce — The Dubuque Area Chamber of Commerce represents more
than 2,000 area businesses that have expressed support for the SW Arterial project and have made
redevelopment of the Historic Millwork District a workforce top priority.
The Greater Dubuque Development Corporation (GDDC) — The GDDC is the economic development
entity for the greater Dubuque area. The GDDC has used the Historic Millwork District and the SW
Arterial as a marketing tool for new and expanding businesses in the region.
Dubuque Main Street (DMS) — DMS is the downtown development entity for the city of Dubuque.
DMS coordinates economic activities for a 90- square central business district with more than 250
business and 8,000+ employees. DMS provides the staff for the development of the Historic Millwork
district.
Region 8 Regional Transit Authority (RTA) — RTA, in partnership with the city of Dubuque, provides
transportation services for all citizens so they have access to critical services such as work, education,
healthcare, training, nutrition and socialization. The completed SW Arterial will connect the west side of
56
2010
Qu.eterl
Community Engagement
$650,000
si
$650,000
Millwork Complete Streets (Design)
$360,000
$187,300
$547,300
Smarter City iTS (Community Engagment,
$3,792,897
$271,991
$3,726,699
$7,791,587
SW Arterial (Final Engineering & ROW)
Sub Total
$11,473,663
$1,070,221 $4,280,885 $16,824,769
.
zoo
Quarter!'
Millwork Complete Streets (Construction)
$254,254
$21,429
$528,788
$804,470
Smarter City ITS (Realt me data gathering,
Ingesting data & ITS systems)
$4,451,991
$3,022,946
$7,474,937
SW Arterial (Final Engineering, Environmental
SubTotal
- y
. `. .,. a.......
°rte
$2,097,204
� , `"
$8,388,819
-
�
d. ". � . ➢.
q d fo
= C, 1' v #R
$10,486,023
k, r
,.k K m' .
into
Quarter to
Millwork Complete Streets (Construction)
$254,254 $21,429 $528,788
$804,470
Smarter City ITS ( Ingesting data & ITS
$271,991 $1,989,414
$2,261,405
SW Arterial (Construction)
SubTotal
4 '
Y n i. .:..W ";Wt •:�
$3,557,143 $14,228,571
�„�S�T'.r: ms'i':.-
$17,785,714
Ste' [
2010
Quarter IV
Millwork Complete Streets (Construction)
$254,254 $21,429 $528,788
$804,470
Smarter City ITS ( Ingesting data & ITS
$1,271,991 $871,885
$2,143,876
SW Arterial (Construction)
SubTotal
$1,898,320 $1,643,280 $5,950,000 $6,770,305
$16,261,905
Dubuque to the south end of Dubuque, reducing miles driven by the RTA, gas consumed and greenhouse
gases emitted.
IBM — IBM is working with Dubuque to create an intelligent system that optimize resources at the macro
(traffic, transit, energy), operational and tactical levels, providing actionable, time - relevant data to gain
insights and inform forward- looking decisions.
GRANT FUNDS AND SOURCES AND USES OF PROJECT FUNDS
The City of Dubuque and its project partners request $49,799,979 in TIGER funding for the Dubuque
Regional Sustainable Transportation Initiative. The total project cost is $137,108,212. Committed federal
funds comprise 20.82% of the project, and the State of Iowa has pledged 13.06% to complete the
initiative. Dubuque and its local partners have committed to provide a 29.80% match for the project. DOT
TIGER resources would fill the remaining project funding gap of 36.32 %.
Award No. DTFH61 -10 -G -00011
57
Iriveintm Wens Ns
Sate Funds
$49 3632%
PRIMARY SELECTION CRITERIA
A. Long -Term Outcomes
% of TIGER
��� 0 1 M9% Secured and Committed
":taa►rn -.v Secured and Comndted
$17,910,000 13.06% Secured and Committed
Secured and Comntted
Secured and Committed
ted
i. State of Good Repair - This project is part of, and consistent with, relevant state, local,
and regional efforts to maintain transportation facilities and systems in a state of good
repair. There is a sustainable source of revenue for long -term operations and maintenance
for the project.
The Dubuque Regional Sustainable Transportation Initiative will significantly improve the
condition of the area's existing transportation network. Currently, Dubuque's main connector
highways and local street systems are at capacity and forecast to be over capacity by 2012.
Dubuque's TIGER project will improve transportation efficiency, reduce traffic congestion and
encourage transit use.
The primary regional transportation plans relevant to this project include: Transportation 2031
Long -Range Transportation Plan (LRTP), Transportation Improvement Program (TIP),
Transportation Planning Work Program (TPWP), Transportation Enhancements Program, Public
Involvement Plan (PIP), Regional Intelligent Transportation System (ITS) Architecture, and Tri-
State Area Integrated Walking, Bicycling & Hiking Network Plan. Taken together, these
documents provide a blueprint for the development of the region's transportation system and
direct the expenditure of federal funds for highways, transit, bikeways and other modes of
transportation.
Award No. DTFH61 -10 -G -00011 58
do x t
', .v�1 S
T9T!-
ir 1l' ! p
2011
Quarter
Milwork Complete Streets (Construction)
$254,254
S21,429
$528,788
$804,470
Smarter Cry ITS (Data Miring _Analysis & ITS system)
$271991
$871,885
$1,143.876
SW Arterial (Construction)
Sob Total
50
S9,928,571
59 928.571
2011
Quarter If
Ntilwork Complete Streets (Construction)
$254,254
$21,429
$528,788
$804,470
Strutter City ITS (Data Mang ,Analysis & ITS systems)
5826,991
$871,885
$1,698,876
SW Arterial Construction)
SabTetal
r°
'° =�x3.
�xka
■
"' �` k�, f!,:<.. es
$14,303,571
�, �� ��„
$14,303,571
2011
Quarter 111"
MIlwork Complete Streets (Construction)
$254,254 $254,254
$21,429
$528,788
$804,470
$¢renter Cry ITS (Montorag,Inceraive Design & ITS systems)
$401,216
$871,885
$1,273,101
SW Artetul(Corntrmtnn)
SobTolai
513,510,000
51,997,533
$15,507,533
2011
Quarter IV
Millwork Complete Streets (Construction)
$254,254
$21,429
S528,788
5804,470
Strutter City ITS (Incentive Design Implementation &
$271,991
$871,885
51,143,876
•
SW Arterial (Constructor)
Sa bTotal
$4,250,000
$4 ,250,000
Iriveintm Wens Ns
Sate Funds
$49 3632%
PRIMARY SELECTION CRITERIA
A. Long -Term Outcomes
% of TIGER
��� 0 1 M9% Secured and Committed
":taa►rn -.v Secured and Comndted
$17,910,000 13.06% Secured and Committed
Secured and Comntted
Secured and Committed
ted
i. State of Good Repair - This project is part of, and consistent with, relevant state, local,
and regional efforts to maintain transportation facilities and systems in a state of good
repair. There is a sustainable source of revenue for long -term operations and maintenance
for the project.
The Dubuque Regional Sustainable Transportation Initiative will significantly improve the
condition of the area's existing transportation network. Currently, Dubuque's main connector
highways and local street systems are at capacity and forecast to be over capacity by 2012.
Dubuque's TIGER project will improve transportation efficiency, reduce traffic congestion and
encourage transit use.
The primary regional transportation plans relevant to this project include: Transportation 2031
Long -Range Transportation Plan (LRTP), Transportation Improvement Program (TIP),
Transportation Planning Work Program (TPWP), Transportation Enhancements Program, Public
Involvement Plan (PIP), Regional Intelligent Transportation System (ITS) Architecture, and Tri-
State Area Integrated Walking, Bicycling & Hiking Network Plan. Taken together, these
documents provide a blueprint for the development of the region's transportation system and
direct the expenditure of federal funds for highways, transit, bikeways and other modes of
transportation.
Award No. DTFH61 -10 -G -00011 58
The first critical component of the initiative is the construction of the SW Arterial, a vital
missing link in the existing regional transportation network. The SW Arterial will connect and
improve traffic flow between two regional highways, U.S. 61/151 and U.S. 20 (currently service
level D and F facilities). Truck traffic will be diverted away from the heavily congested local
street system, including Central Avenue, South Grandview Avenue and Kelly Lane.
Based on the analysis of travel patterns from the DMATS transportation planning models, there
are 3,600 regional trips per day (as of 2000) from the junction of U.S. 61 and U.S. 151 to the
northwest part of Dubuque. These regional trips are forecast to increase to 6,700 per day in the
year 2030. U.S. 20 carries 24,000 vehicles per day through Dubuque in stop -and -go type traffic
movements. U.S. 20 is projected to carry 35,800 vehicles per day by 2020 and 41,000 vehicles
per day by 2030.
Current truck traffic creates significant maintenance costs on the regional highways and local
streets and roadways. Reducing the truck traffic through local streets and on U.S. 20, U.S. 52/3
and U.S. 61/151 will minimize life cycle costs on the entire transportation network.
Integration of the proposed state -of -the -art ITS improvements will ensure that the transportation
system is utilized most efficiently. The development of decision support systems fed with real -
time data will allow optimal management of the transportation network. Synchronized traffic
signals, demand -based transit routes and information that enable motorists to alter their travel
patterns will reduce road system friction, and thereby minimize the life cycle costs of existing
transportation facilities in the region.
Dubuque's Complete Streets pilot will significantly improve the conditions and utility of streets
in the historic Millwork District and in connecting neighborhoods and downtown by making
them for accessible and user friendly for pedestrians, bicyclists, older people and families with
children. Dubuque's proposed improvements to its transit system will ensure that the system is
utilized and maintained for area residents.
Dubuque's Complete Streets and transit components will also relieve congestion in the region.
Dubuque expects to increase transit ridership from a typical daily 750 passengers currently to
5,060 weekday passengers by 2030. This increase will create a net annual reduction of more than
9 million vehicle miles traveled by 2030. Assuming 877 pedestrian and transit trips per day in
the Complete Street pilot area by 2030, an additional 160,053 vehicle miles traveled can be
reduced annually. Shifting vehicle trips to other modes of transportation, including transit and
bicycle /pedestrian trails, will further reduce life costs of the existing transportation network.
The Dubuque Regional Sustainable Transportation Initiative is also critical to future economic
growth in the area. More than $1.6 billion in new economic development would be threatened
without the development of the SW Arterial, implementation of the Complete Streets program,
and better management of the transportation network. Approximately $575 million in housing
development is anticipated by the year 2030 as the result of this project, or approximately
$28,750,000 annually in estimated housing development. Additionally, the 2030 DMATS model
estimates that more than 2,600 jobs will be created following project completion.
Award No. DTFH61 -10 -G -00011 59
:... �
e
2020
_ y
2030
Housing
$139,095
2,806
$390,300,570
1,692
$235,348,740
Retail
employment
$28,371
620
$17,590,020
362
$10,270,302
Non - retail
employment
$31,658
623
$19,722,934
223
$7,059,734
Service
employment
$19,469
489
$9,520,243
289
$5,626,483
Total revenue generated in 30 years
$1,672,495,056
JOB GROWTH
The project is appropriately capitalized up front and uses asset management approaches to
optimize its long term cost structure. Asset management approaches have been a key component
in completing the final design of the initiative. The project is being designed with a maximum
effort toward sustainable design.
The City of Dubuque maintains quantifiable metrics of the street, street lights, and sidewalk
systems, traffic signals and related traffic management technology for both current
conditions and performance. These include a five -year Capital Improvement Program budget
and performance measures for maintenance of the street, street lights, and sidewalk systems,
traffic signals and related traffic management technology, participation in the IOWA DOT's
pavement management system as well as a Street Condition Report maintained by the City's
Public Works and Engineering Departments. This Street Condition report is a database of annual
visual inspections of public streets by City staff. The database logs by street, the street surface,
its annual condition rating (0 -100) over past 5 years, future maintenance needs, section repair,
mill /overlay, resurface, reconstruct), maintenance history, and curb type (limestone, straight,
curb and gutter) and condition rating (0 -100). The City also uses the IOWA DOT's Level of
Service (LOS) ratings for identifying needed improvements in the street system. LOS ratings are
based on traffic counts and delays, on a scale of A (best) through F (worst). Attachment 8
projects the level of service by 2030 for major roadway segments should this project not proceed
due to gap in funding.
The Dubuque Regional Sustainable Transportation Initiative will improve the street
system's condition, performance and long term cost structure. The City will use the existing
metrics from the IOWA DOT's pavement management system and the City's Street Condition
Ratings data base, and the expects analytical results for the Smarter City ITS, to develop
enhanced metrics for the projected condition and performance of the street system in general,
and the ITS, Complete Streets and SW Arterial in particular. The Smarter City ITS will provide
real -time data correlated with weather, environment and economic data, and traffic data that can
be used to improve the condition and performance of the system in general and specific
components as needed. In addition, this data will be coupled with modeling and simulation of
"What -If scenarios to provide data driven and facts based- decision support for public works
Award No. DTFH61 -10 -G -00011 60
officials, transportation planners and traffic engineers to measure and manage short-term and
long -term operational and maintenance costs.
Maintenance of ITS, Complete Streets and SW Arterial -
Long-term maintenance and operating costs will be assumed by the City of Dubuque and the
transit authority. The City of Dubuque/IOWA DOT Highway Maintenance Agreement estimates
the cost to maintain the SW Arterial at $1,050 per lane mile, or $30,240 annually for the 28.8
miles in total lane mile length. Dubuque will support SW Arterial maintenance through its
annual road maintenance budget. Operating costs for the transit routes optimized by the ITS tools
will be assumed by RTA.
Evaluating Success — Dubuque will use the DMATS travel demand forecast model to measure
and track "State of Good Repair" benefits. The model will calculate vehicle miles traveled and
vehicle hours traveled and monitor the implications of the ITS improvements on life cycle costs.
Dubuque will document the maintenance changes occurring over the years and quantify the
impacts of this project on the metropolitan area.
ii. Economic Competitiveness - This project will measurably contribute over the long -term
to growth in employment, production, and other high value economic activities.
The Greater Dubuque Laborshed had a population of 296,744 in 2008. Dubuque is the regional
economic center for the Iowa, Illinois and Wisconsin tri -state area. Three major industrial parks
are located in the region, and many international companies have established a significant
presence in Dubuque, including IBM, John Deere Dubuque Works, Nordstrom Distribution
Center, Hormel Food Corporation, McGraw -Hill Publishing Company, A.Y. McDonald
Manufacturing, Swiss Valley Farms, Kirchoff Distributing, Flexsteel Industries, and
Kendall/Hunt Publishing Company.
The Dubuque Regional Sustainable Transportation Initiative is expected to create new
employment opportunities in the information services, technology and manufacturing sectors.
Transportation network improvements are critical to job retention and creation; statewide,
national and global distribution of local commerce; and the continued growth and sustainability
of the regional economy.
The SW Arterial will provide a direct connection between the Dubuque Technology Park on U.S.
61 /151 with the Dubuque Industrial Center and the existing Dubuque Industrial Center West near
U.S. 20. In recent years, 16 companies have made expansion decisions at the Dubuque Industrial
Center West based upon assurances that the proposed SW Arterial would soon be complete. The
largest of these companies, McGraw -Hill Publishing Company, decided to locate a 330,000
square foot distribution center in the Dubuque Industrial Center West based upon the City's
commitment to complete the SW Arterial. Hormel Foods also factored the SW Arterial into its
decision- making when it announced in late 2008 that it would construct a 327,000 square foot
production facility and employ 180 people at the Dubuque Industrial Center West.
This project will improve long -term efficiency, reliability, and cost competitiveness in the
movement of workers and goods. The SW Arterial is vital to other recent expansion
Award No. DTFH61 -10 -G -00011 61
announcements, including: Alliant Energy, Adams Company, Art's Way Manufacturing,
American Tank & Fabrication, Giese Manufacturing, Tri -State Industries, Kendall/Hunt
Publishing, Oral Arts Laboratories, Dubuque Screw Products, Theisen's Supply, Medline
Industries, Vanguard Countertops, ITC Holding Corporation, and the Regional Transit Authority.
These companies have invested more than $50 million in new facilities in the Dubuque industrial
parks and created over 1,000 new jobs. Retaining these companies and jobs is important to the
economic future of the region. As the letter of support from Portzen Construction indicates, one
company alone can save over $350,000 in employee travel time costs by the construction of the
SW Arterial.
The long -term economic benefits for the quality of the jobs supported, the number of jobs,
and the expected employment in Economically Distressed Areas are described below. As a
regional connector, the SW Arterial will also connect an economically distressed county to the
south on U.S. 61, Jackson County, to the northern part of the region. Jackson County has two
major international companies: Family Dollar, with a 907,000 square foot distribution center in
Maquoketa, Iowa, and Waukesha, Wisconsin -based HUSCO International, which in the past year
announced their intent to expand their operations in Maquoketa, Iowa. The reliability and the
flow of the regional transportation network will have a positive economic impact on businesses
in Jackson County and other distressed communities across the region.
Optimization of the entire transportation network through the implementation of the Smarter City
ITS will ensure that the movement of goods and people through the Dubuque region is more
efficient and cost - effective, and makes better use of all existing transportation infrastructure The
Complete Streets and transit improvement components will also expand economic opportunities
and draw business expansion to downtown Dubuque.
Using the performance calculator for job creation established for the American Recovery and
Reinvestment Act of 2009, Dubuque estimates that 1,366 jobs will be created as a result of the
project. The DMATS transportation model conservatively estimates that 2,606 new permanent
jobs and nearly 4,500 single family housing units developed will be created by 2030. More than
1,366 new jobs will be created during construction of this project. These jobs and the new
housing opportunities will contribute to the long -term viability and growth of the region,
improve hiring conditions, and increase productions, especially economically distressed areas
such as Jackson County.
Evaluating Success — The success of the economic competitiveness component of our project
will be evaluated using several indicators. The City will monitor the number of building permits
issued by the cities and counties in the region; the valuations for both commercial and residential
properties in the region; increase in tax base in the region; and with the assistance of Iowa
Workforce Development, the Greater Dubuque Development Corporation, and Prosperity
Eastern Iowa, the City will track employment numbers for the region on a monthly basis over the
period of the grant. Currently, Iowa Workforce Development and the GDDC track all of these
indicators for the Dubuque metropolitan area and Prosperity Eastern Iowa tracks these numbers
for the region. Building permits will be monitored on a quarterly basis. Valuations and taxes will
be evaluated annually and employment numbers will be monitored monthly. For over 20 years,
DMS has maintained a comprehensive database of downtown development statistics. They
Award No. DTFH61 -10 -G -0001 l 62
compile statistics on building rehabilitation expenditures, new construction expenditures, real
estate sales, public infrastructure expenditures, and net new jobs created.
Citizens and businesses in Dubuque have recognized the importance of a vibrant downtown and
have chosen to relocate to and invest in it. Since 2000, property values have increased by 78
percent representing an increase of $365 million. Companies also have chosen to create 2,893
new jobs as well as the City investing nearly $40 million in new public infrastructure since 2000.
iii. Livability - This project is designed and planned to have a positive impact on
qualitative measures of community life.
The project will integrate multiple transportation modes, augmenting the capacities of connecting
modes and facilities. The Dubuque Regional Sustainable Transportation Initiative will improve
the quality of life for area residents by reducing congestion, providing additional transportation
choices, enhancing accessibility, and improving public health. The completion of the SW
Arterial, the Complete Streets in the Historic Millwork District, and optimization of the entire
transportation network with Smarter City ITS solution will create fuel energy savings, reduce
vehicle emissions in the region, and improve the air quality for the citizens in the region. There
will be fewer miles traveled in the region, less idle time for traffic waiting at local traffic signals,
increased use of transit and other modes of transportation, therefore improving air quality and
livability in the region. This project will develop jobs, attract new businesses, increase income
and create more opportunities for the region, also increasing the livability for the citizens in the
region.
The project enhances livability, benefitting potential users in the affected communities
Completion of the SW Arterial and optimization of the entire transportation network with
Smarter City ITS solution will generate significant savings in travel time across the region. By
2030, DMATS transportation models indicate a 22.95 percent improvement in travel time for
Dubuque motorists traveling across the region.
The Smarter City ITS solution will also help the Regional Transit Authority develop bus routes
that better meet the needs of users. The RTA provides transportation services to residents in
Dubuque, Delaware, and Jackson Counties. More than 60 percent of the population that it serves
are senior citizens, economically disadvantaged, or disabled. Using real -time data generated by
the Smarter City ITS solution, Dubuque will be able to design a bus system that locates routes
where users need them, and determine time schedules that will ensure maximum ridership. By
2030, Dubuque's optimized transit system is expected to carry more than 5,000 riders and reduce
VMT by approximately 10.7 million miles. Please refer to www.cityofdubuque.org/DRSTI for
the analysis of VMT.
The Complete Streets pilot project will also improve traveler mobility. An estimated 1,000
residents will live within the Historic Millwork District upon full build -out. It is estimated that
60% of the new residents within the Historic Millwork District will work downtown. A key
component of the Millwork District revitalization plan is to redevelop the area street network
using the Complete Streets model. The Complete Streets model will produce a more livable
environment by making accessibility transport services easy to use for pedestrians, bicyclists,
Award No. DTFH6I -10 -G -00011 63
transit riders, persons with disabilities, senior citizens, non - drivers, economically disadvantaged
populations, and families. Redesigning streets for alternative modes of transportation will allow
residents to take advantage of their proximity to work and choose walking, biking or mass transit
as options. By 2030, DMATS transportation modeling suggests that 877 people in the Historic
Millwork District will choose options besides driving to employment and recreation locations,
thereby reducing VMT by 160,053 miles annually. The Complete Streets redesign of the Historic
Millwork District will also create a more vibrant downtown, encouraging more businesses to
locate in the area, and making goods, commodities and services more readily available. This
project will bring more jobs, increase incomes, create additional economic opportunities, and
therefore increase the livability for the citizens in the region.
Reducing congestion and VMT on the regional highways and downtown streets will also
produce important public health benefits for Dubuque citizens. DMATS transportation models
indicate that completion of the SW Arterial and optimization of the entire transportation network
with Smarter City ITS solution, as well as improved transit use and VMT reductions in the
Complete Streets pilot area, will reduce air pollution, thereby improving the quality of life for
residents with respiratory problems. In addition, by creating a model for more walkable and
bicycle friendly neighborhoods, the Complete Streets pilot project will improve public health by
creating new opportunities for increased exercise for area residents. Please refer to Air Pollutants
chart on page 18 or for additional analysis on Public Health Benefits please go to
www.cityofdubuque.org/DRSTl.
This project contributes significantly to the mobility of travelers between residential and
commercial areas in the region and connects modes of transportation. The SW Arterial connects
two significant industrial parks and a technology park in Dubuque, providing for improved travel
across the area. The project encourages intermodal connectivity between private and public
transportation and enhances travel time based on traveler demand.
The Dubuque Regional Sustainable Transportation Initiative has enjoyed broad public support as
part of the DMATS continuous, comprehensive and coordinated transportation planning process.
Throughout the entire planning and environmental assessment process, the project has involved a
series of public input meetings and discussions with property owners and the general public.
Over 15 public informational and input meetings have been held to date for the SW Arterial
phase of the project.
Evaluating success —
Congestion and air quality will be evaluated through Smarter City ITS component by using the
data created annually and analyzing the data using algorithms developed through the process.
The congestion will also be monitored by random traffic counts done on the road system and
compare with the capacity of the road system. The DMATS Travel Demand Forecast Model will
also be used in the analysis of the data. The Transit systems counts its daily transit ridership and
reports this information to the Federal Transit Administration (FTA). The data submitted to the
FTA will be used to monitor transit ridership in the study area.
Award No. DTFH61 -10 -G -00011 64
iv. Sustainability
The Dubuque Area Regional Sustainable Transportation Initiative will provide a model for how
communities with populations under 200,000 can create transportation systems that reduce
petroleum consumption, decrease greenhouse gas emissions and other air pollutants, reduce
stormwater run -off from local streets, and manage growth and development in a way that
discourages sprawling development. Each of the project's components will contribute
significantly to sustainability in the region. Overall the DRSTI will maintain, protect and
enhance the environment by avoiding adverse impacts and providing environmental benefits.
Construction of the SW Arterial and implementation of the community -wide Smarter City ITS
will improve traffic flow, thereby reducing travel and idle time. The City estimates that travel
time will be reduced by 19 percent by 2020 and by 23 percent by 2030. This, in turn, will reduce
the amount of oil consumed and decrease the associated emissions of carbon and other air
pollutants. Implementation of the Smarter City ITS public transit improvements will
significantly increase transit ridership over the next 30 years. As a result, this initiative will
reduce VMT, thereby saving energy and reducing carbon and other air emissions.
Implementation of the Complete Streets pilot project will also reduce vehicle miles traveled, save
energy, and reduce air emissions.
As the table on energy savings below shows, the project will save 1.4 million gallons of gasoline
a year and 42 million gallons over 30 years. It will save $3.6 million in gasoline costs a year and
$107 million over 30 years.
As the table on carbon emissions below indicates, the project will reduce 12,500 metric tons of
greenhouse gas emissions a year and 373,000 metric tons over 30 years. This will provide an
economic benefit of about $411,000 a year and $12 million over 30 years.
The project will also reduce conventional pollutants. As the table on conventional air emission
reductions below shows, each year the project will reduce volatile organic compounds by 40,000
kilograms, carbon monoxide by 309,000 kilograms, and nitrogen oxides by 43,000 kilograms.
Ener2V Savin¢s (bv 2040
Award No. DTFH61 -10 -G -00011
65
3 0,
Transportation
Network with Smarter
City ITS Traffic
Improvements
868,828
26,064,827
$2,206,822
$66,204,660
Smarter City ITS
Transit Improvements
513,877
15,416,303
$1,305,247
$39,157,411
Complete Streets
Pilot
17,915
537,465
$45,505
$1,365,160
iv. Sustainability
The Dubuque Area Regional Sustainable Transportation Initiative will provide a model for how
communities with populations under 200,000 can create transportation systems that reduce
petroleum consumption, decrease greenhouse gas emissions and other air pollutants, reduce
stormwater run -off from local streets, and manage growth and development in a way that
discourages sprawling development. Each of the project's components will contribute
significantly to sustainability in the region. Overall the DRSTI will maintain, protect and
enhance the environment by avoiding adverse impacts and providing environmental benefits.
Construction of the SW Arterial and implementation of the community -wide Smarter City ITS
will improve traffic flow, thereby reducing travel and idle time. The City estimates that travel
time will be reduced by 19 percent by 2020 and by 23 percent by 2030. This, in turn, will reduce
the amount of oil consumed and decrease the associated emissions of carbon and other air
pollutants. Implementation of the Smarter City ITS public transit improvements will
significantly increase transit ridership over the next 30 years. As a result, this initiative will
reduce VMT, thereby saving energy and reducing carbon and other air emissions.
Implementation of the Complete Streets pilot project will also reduce vehicle miles traveled, save
energy, and reduce air emissions.
As the table on energy savings below shows, the project will save 1.4 million gallons of gasoline
a year and 42 million gallons over 30 years. It will save $3.6 million in gasoline costs a year and
$107 million over 30 years.
As the table on carbon emissions below indicates, the project will reduce 12,500 metric tons of
greenhouse gas emissions a year and 373,000 metric tons over 30 years. This will provide an
economic benefit of about $411,000 a year and $12 million over 30 years.
The project will also reduce conventional pollutants. As the table on conventional air emission
reductions below shows, each year the project will reduce volatile organic compounds by 40,000
kilograms, carbon monoxide by 309,000 kilograms, and nitrogen oxides by 43,000 kilograms.
Ener2V Savin¢s (bv 2040
Award No. DTFH61 -10 -G -00011
65
Pro t C ant
Are { 2
^a.
Amity (mac
tom
' verage
Years (
A
(
^� 4 . 2
I if
<11 g
Av .
Yam (kg)
Transportation
Network with
Smarter City ITS
Traffic
Improvements
23,567
707,017
179,979
5,339,378
24,752
742,575
Smarter City ITS
Transit
Improvements
16,654
499,624
127,185
3,815,549
17,492
524,751
Complete Streets
Pilot
274
8,220
2,090
62,700
287
8,610
TOTAL
40,495
1,214,861
309,254
9,217,627
42,531
1,275,936
1
Are { 2
^a.
Amity (mac
tom
.vw COa
30 ' s
(metric
A Cosy
/metric
t .
elm.
etr c tangy
Transportation
Network with
Smarter City ITS
Traffic
Improvements
7,762
232,857
$256,142
$7,684,272
Smarter City ITS
Transit
Improvements
4,591
137,725
$151,498
$4,544,940
Complete Streets
Pilot
90
2,704
$2,975
$89,239
TOTAL
12,443
373,286
$410,615
$12,318,451
(TOTAL
1,400,620
I 42,018,595
$3,557,574 I $106,727,231
n in Carbon Emissions (bv 2040
nventional Air Pollutants (bv 2040
Reduction in Vehicle Miles Traveled Sby 2040
Award No. DTFH61 -10 -G -00011
See www.cityofdubuque.org/DRSTI for complete analysis
See www.cityofdubuque.org/DRSTI for complete analysis
See www.cityofdubuque.org/DRSTI for comp ete analysis
66
:..... - . : . : : T1 V Data ,.
Estimated
hnprovemcnts
Annual
M�aintenan c e
Projected Traffic
Crash Reduction
Length in fvfiles
Daily traffic
Volume
(annually)
Total Projected Vehicle Miles Over
30 Years
37
65,000
4%
49,232,760,481
1411:0) vements - .
Estimated
hnprovemcnts
Annual
M�aintenan c e
Estimated Life of
the Project
Crash Reduction
Present Value
wit All Cates
$49,800,000
$130,240
30 years
35%
$49,232,760,481
Smarter City ITS Transit
9,739,259
292,177,755
Improvements
Complete Streets Pilot
160,053
4,801,590
TOTAL
9,899,312
296,979,345
v. Safety
See www.citvofdubuque.org/DRSTI for complete analysis
Evaluating success —
DMATS staff updates the Travel Demand Forecast model annually with economic development
and socio- economic data changes in the region. This data will be used in calculating the VMT
on the system and evaluate the changes. Staff will use the calculated VMT and algorithms
designed through Smart City ITS to calculation green house gases, energy and air pollutant
emissions in the region.
The Dubuque Regional Sustainable Transportation Initiative will dramatically improve traffic
safety in the region. Construction of the Southwest Arterial and implementation of the ITS
system will reduce congestion on city streets and improve the overall management of traffic in
the area, resulting in fuel and travel time savings Implementation of the Smart City ITS public
transit improvements will reduce congestion by increasing ridership and reducing the number of
cars on the road — especially during commuting hours and other times where there is high traffic.
Implementation of the Complete Streets pilot project in the Historic Millwork District will also
reduce congestion by encouraging more people to use alternative modes of transportation,
including walking, bicycling, and public transit. In addition, the Complete Streets pilot will
create streets that are safer and healthier for pedestrians and bicyclists.
According to the Benefit Cost analysis prepared for this initiative using the Iowa DOT Office of
Traffic and Safety Benefit/Cost Safety Analysis spreadsheet, accidents will be reduced by 35%
over the 30 year life of the project. Based on data from this spreadsheet, $118,518,988 is the
present value of avoided crash benefits from the SW Arterial based on statistics from 2001 to
2006.
2001 = 2007
Fatal
9
783
Property Damage
1822
in One Year
$70,429,400
savingsin 30
Years.
$118,510,988
Award No. DTFH61-10-G-0001 1
67
Benefit : Cost = $118,510,988: $52,052,114 = 2.28: I
See www.cityofdubuque.org/DRST1 for complete analysis
Evaluating Success —
The Dubuque Police Department and Dubuque County Sherriff departments monitor crashes and
report them to Iowa Traffic Safety Bureau. Staff will use this data to monitor reduction in
crashes and fatalities in the region. Staff will do random traffic counts on the network to monitor
changes in traffic volumes. The Iowa Department of Transportation also does traffic counts in
the region and tracks crashes. Their data will also be used to track safety in the region.
Analysis of the Expected Project Benefits in the five long -term outcomes can be found by going
to www.cityofdubuque.org /DRSTI .
B. Job Creation and Economic Stimulus
The Dubuque Regional Sustainable Transportation Initiative is all planned and ready -to -go and
will quickly create and preserve jobs. Within the first year of the project, Dubuque will create
795 construction jobs. A total of 1,366 construction jobs will be created over the length of the
two year project.
In addition, the project is expected to create employment opportunities in the information
services, technology and manufacturing sectors. The DMATS transportation model estimates
that more than 2,600 jobs will be created following project completion.
Dubuque will work closely with ECIA and Iowa Workforce Development to place workers into
construction jobs as well as provide short-term training needed for those positions. The Region 1
Employment and Training Programs administer the Adult and Dislocated Worker Program,
Youth Program, and the Promise Job Program. The Youth and Promise Job Programs are based
on household income and provide training and job seeking assistance to disadvantaged people in
the region. The Region 1 Employment and Training Program will be very involved in offering
their services to connect disadvantaged workers with economic opportunities created by this
project. Through the regional one -stop center partnerships have been established with Veterans
Employment, Disability Navigator, Vocational Rehabilitation, and the ARRP Senior
Employment. (Refer to Attachment 2 for the letter of support). Also, Dubuque will provide
opportunities for small businesses and disadvantaged business enterprises to participate in this
project.
The Dubuque Regional Sustainable Transportation Initiative will link with existing efforts with
community -based organizations to create economic opportunities in the region. Dubuque
currently works with a local grassroots community -based effort known as Project HOPE, which
is staffed by the Community Foundation of Greater Dubuque. Project HOPE's mission is to
connect disadvantaged populations to services, programming and economic opportunities. The
City is also involved with DubuqueWorks, another community-based workforce group that
Award No. DTFH61-10 -G -0001 1 68
focuses on recruiting and retaining a qualified workforce in the region, including economically
distressed areas like Jackson County
The Dubuque Regional Sustainable Transportation Initiative will implement best practices
consistent with civil rights and equal opportunity laws and will ensure all individuals regardless
of race, gender, age, disability, national origin benefit from the project. The City of Dubuque and
its project partners have a sound track record on labor practices and compliance with Federal
Labor laws.
Dubuque is a partner in the Prosperity Eastern Iowa Buyer Supplier Connection program where
buying and selling locally and regionally to grow our regional economy is encouraged. The City
will encourage the use of local and regional companies for this project through its procurements
efforts and will encourage those companies to utilize local suppliers and subcontractors, creating
follow -up jobs and economic stimulus for manufacturers, suppliers and the construction industry.
i. Project Schedule
Total Job Creation
ii. Environmental Approvals
The IOWA DOT has completed a Supplemental Environmental Assessment and Project
Location Study for the SW Arterial. The City of Dubuque has an approved Final Section 4 (f)
Statement dated August, 2004 for the SW Arterial. In February 2005, the City of Dubuque
Award No. DTFH61 -10 -G -00011
69
2010- Quarter 3E +�, ' ' EMI= E:1 1 .,'.. .
Jan I Feb I Mar ApnllMayl Jun I Jul I Aug I Sep I Oct I Nov 1 Dec I Jan I Feb I MarlAprill May] Jon 1 Jul I Aug I Sep I Oct I Nov I Dec
Cowmen y Engagement
SW Arterial - Design/Property
Acquisition/Mitigation
Final Engineering Desgn
Phase III Mitigation
I-IIII■ _
Iowa DOT Property Acgtisiion
Right-of-Way Propetty
Acquisition
SW Arterial - Construction
Grade Only, 4 -Lam, Hyw 20 to
61/151
Bridges / Strucnres
Paving, 2- Laces, Hyw 20 to
61/151
Smarter City ITS
Volunteer identification
Rea►ine data gather*
4
balm* data
�"s
Data Muting & Analyse
M
t =t'
:.
{ ., tt.
- .
4 ``r
's"
: "
Monioritg and Incentive Design
Incentive Design hoplermaation
& Report
_
_
Millwork Complete Sheets
Commotion
MIMI
Fiwaotrtetaal Approvals
Job Creation
—_ ■■.■.■■�-.■�■■■.�
Y 1111 ®
1
focuses on recruiting and retaining a qualified workforce in the region, including economically
distressed areas like Jackson County
The Dubuque Regional Sustainable Transportation Initiative will implement best practices
consistent with civil rights and equal opportunity laws and will ensure all individuals regardless
of race, gender, age, disability, national origin benefit from the project. The City of Dubuque and
its project partners have a sound track record on labor practices and compliance with Federal
Labor laws.
Dubuque is a partner in the Prosperity Eastern Iowa Buyer Supplier Connection program where
buying and selling locally and regionally to grow our regional economy is encouraged. The City
will encourage the use of local and regional companies for this project through its procurements
efforts and will encourage those companies to utilize local suppliers and subcontractors, creating
follow -up jobs and economic stimulus for manufacturers, suppliers and the construction industry.
i. Project Schedule
Total Job Creation
ii. Environmental Approvals
The IOWA DOT has completed a Supplemental Environmental Assessment and Project
Location Study for the SW Arterial. The City of Dubuque has an approved Final Section 4 (f)
Statement dated August, 2004 for the SW Arterial. In February 2005, the City of Dubuque
Award No. DTFH61 -10 -G -00011
69
received issuance of Environmental Concurrence and the Finding of No Significant Impact
(FONSI) from the regulatory agencies which complete the Environmental Assessment and
NEPA compliance phases of the project. Environmental studies related to this project can be
found at www.citvofdubuque.org/DRSTI .
The City of Dubuque has engaged an architectural historian to conduct the required Section 106
reviews of potential impacts to cultural resources in the Historic Millwork District with
implementation of the Complete Streets pilot project. The Smarter City ITS and Transit
component are categorically excluded from Environmental Review.
iii. Legislative Approvals
The Smart Sustainable Transportation project is widely supported by state and local officials,
including the Governor of Iowa. (See Attachment 2 for letters of support).
iv. State and Local Planning
6) The Dubuque City Council adopted the Historic Millwork District Master Plan in February
2009, and implementation is underway. The City has completed a district energy system
study, and designing the streets, infrastructure, utilities, and streetscapes improvements that
will form the framework for the Complete Streets pilot project. The SW Arterial project is nn
the DMATS Transportation Improvement Program and also in the Long Range
Transportation Plan. The project is also part of the State of Iowa DOT Five Year Plan.
Documents can be found at www.cityofdubuque.org/DRSTI . Attachment 4 identifies action
taken since 2004 on components of the Dubuque Regional Sustainable Transportation
Initiative. A letter from DMATS certifying it is part of the planning documents can be found
in Attachment 5.
w. Technical Feasibility
The preliminary engineering work for the SW Arterial was completed in March, 2008. Final
engineering began in February, 2009 and will be completed by February, 2010. Right -of -way
acquisition for the project began in the last several months and will be completed by the spring
of 2010. The Iowa DOT has signed an agreement with the City of Dubuque to assist in the right -
of -way acquisition of the project to save on project costs and to expedite the process. Copies of
the preliminary engineering report and maps of the project can be found at
www.citvofdubuque.org/DRSTI.
Preliminary engineering work is underway for the Historic Millwork District, in preparation for
the Complete Streets pilot project.
vi. Financial Feasibility
Provide evidence of the viability and completeness of the project's financing package
including evidence of stable and reliable financial commitments and contingency reserves,
as appropriate, and evidence of the grant recipients' ability to manage the grant.
Award No. DTFH61 -10 -G -00011 70
A comprehensive budget was detailed in section entitled Grant Funds and Sources and Uses of
Project Funds, including Local, State and Federal Funding. In the Annual Comprehensive
Annual Financial Report (CAFR) for the City of Dubuque, the auditors note that the city has
complied with federal grant management requirements. A link to the 2008 CAFR can be found at
www.cityofdubuque.org /DRSTI .
The following is a summary of the secured and committed sources of funds:
Local Sources of funding: DMATS STP funding and enhancement funding, City of Dubuque
Capital Improvement Funds, City and County TIME -21 funds and City I -Jobs funding.
State Sources of funding: 5 -year Highway Transportation Improvement Program funding.
Federal Sources of funding: SAFETEA -LU, SAFETEA-LU Technical Corrections Bill, FY 2009
Omnibus Appropriations and AARA funding.
II. Secondary Selection Criteria
A. Innovation
IBM and the City of Dubuque will create a radically innovative approach to transportation and
transit planning and operations for cities up to 200,000 in population. This Smarter City
Intelligent Transport Solution (Smarter City ITS) will provide transportation and transit planners
comprehensive real -time data - driven capability for design and implementation of policies and
strategies for traffic, transit and urban planning. It also provides individual travelers the
information about their carbon footprint due to their VMT and mode of transportation and the
decision support based on the available choices and their metrics of interest to help them make
informed judgments that ultimately help improve the overall efficiency of the region's
transportation systems and reduce the city's carbon footprint.
This will be accomplished by focusing on the transit and transportation patterns of individuals
rather than limiting the ITS systems to the use of existing traffic sensors such as traffic cameras,
and loop counters. By focusing on the individual and creating an instrumentation infrastructure
that leverages cell -phone device data for location gathering, this ensures a scalable system with
extremely rich data gathering potential.
At the heart of the individual instrumentation infrastructure in the Smarter City ITS are the
ubiquitous mobile phones and GPS devices. By using these devices, we are able to acquire real -
time location information for 10,000 users of the transportation systems including those who use
public transit and those who do not. Additionally since the devices almost always accompany the
users, we are able to track behavior across modes of transportation that is otherwise impossible
without tedious, static and expensive manual surveys. We are able to thus monitor the "pulse" of
the city through the data gathering infrastructure that leverages the mobile devices as the
instrumentation or sensors. With total commitment to privacy through collecting data
anonymously and a large number of volunteering individuals in this project, we will be able to
collect extremely rich data of people movement across multiple modes of transportation. Current
estimates of the cost of collecting equivalent data manually over the same time period put the
cost in the tens of millions of dollars.
Award No. DTFH61- l 0 -G -00011 71
This information will then be used by sophisticated data analysis and mining algorithms that
have the ability to handle massive data feeds in near real -time. This will also enable the
development of sophisticated behavior models in a much richer format that account for factors
such as choice of transportation modes, multimodality, weather and traffic information, and
metrics and incentives of interest to the individuals such as time, cost, carbon footprint and
health and wellness indicators. By combining all this information through real time information
sensing and integration and sophisticated data analytics, this project will create a decision
support mechanism for individuals as well as the city management team. This decision support
will allow for "What -If' scenario evaluation. The resulting insights will have tremendous impact
on the design, planning, operations and use of all transportation activities in the region.
The benefits of this innovation to city management nationwide are tremendous. The Smarter City
ITS will allow managers to plan, design, implement and operate optimally based on:
1. Extremely rich data models to understand transit, origin and destination, true demand,
bottlenecks, and hotspots;
2. Accurate baseline generation and measurement of the carbon footprint of the city's
transportation systems;
3. Real -time data and insights based on facts to make informed policy decisions and operate the
systems with significantly greater efficiency and enhanced safety; and the
4. Ability to address the unique situation in the Midwest where the travel patterns of citizens
vary a great deal due to the seasonal weather
Benefits to this Smarter City ITS to Dubuque Traffic Managers
This will provide the continuous collection of traffic volume data, intersection reports, failure /malfunction
notifications, video monitoring, overall control for signal retiming and ability to redirect traffic thus enabling
optimal signaling, improved progression, reduced carbon emissions and optimal special event traffic management.
The detailed city plan for traffic improvements can be found at www.cityofdubuque.org /DRSTI. To summarize the
Smarter City ITS will:
1. Optimally implement the city's existing ITS plan in nine priority transportation corridors
including those on US 20, US 61, US 151, US 52, IA 32 and the proposed Southwest
Arterial;
2. Monitor traffic and adjust signals and the interconnect system between signals and remote
locations; and
3. Help disseminate information on new signals and dynamic message boards to notify motorist
of construction detours and delays with all major road projects and bridge crossings.
Benefits to this Smarter City ITS to Dubuque Region Transit Managers
1. Decision support to plan and design new services or changes to existing services and then
measure the impact of the changes to ensure net gains
2. Information will be used to completely overhaul the public transit system in the region to
change frequencies, schedules, routes based on demand as well as adding new services such
as demand response shuttles for the Dubuque downtown
3. Information will be used to design optimal services targeting the 18,000 students in the
region that are not served by the current transit system
4. Incentive design for individuals based on rich behavioral models that reduce dependence on
cars and encourage the use of more sustainable transportation alternatives
Award No. DTFH61 -10 -G -00011 72
5. Continuous monitoring of the impact of new services and changes based on facts supported
by data
Benefits of insights from this Smarter City ITS to Dubuque Urban Planners
I. Optimal design of the Complete Streets initiative in the City of Dubuque, which aims at
returning the downtown and other areas of the city to its residents with trails for bicycles and
pedestrians.
2. Decisions about encouraging different kinds of businesses to be located in strategic sites to
increase pedestrian traffic, business and the livability in the city.
3. Ability to develop land use and transportation planning based on accurate data, which
discourages sprawl and promotes long term sustainable economic development.
Benefits of this Smarter City ITS to Individuals travelling in the Dubuque region
1. Accurate estimates of real -time carbon footprints based on their modes of transportation and
VMT.
2. Real -time information of choices of transportation and transit
3. Decision support for choosing the optimal transportation routes and transit modes based on
estimates of impact of these choices on individual metrics of interest such as journey time,
journey cost, and carbon footprint, factors such as weather, health and wellness and
incentives offered by the transportation and transit authorities.
The pervasive nature of the proposed sensing and instrumentation infrastructure and the scalable
nature of the data analytics, mining and decision support systems will allow this model to be
replicated in other cities with population up to 200,000 in size. Dubuque and its partners are
committed to sharing the lessons learned through the use of the Smarter City ITS with
communities throughout the country.
B. Partnership
i. Jurisdictional and Stakeholder Collaboration
The City of Dubuque believes that partnerships are an integral part of success. Partnerships have
been instrumental in the success Dubuque has experienced in the past 15 years, Dubuque
Regional Sustainable Transportation Initiative is another example of a successful partnership.
Strong partnerships between the public, non - profit, and private sectors are the cornerstone for
implementation of the Initiative. The project provides the framework for a comprehensive
network of new and existing partnerships and resources for creating a model for transportation
sustainability. There are several partners that are helping make the project possible, including:
City of Dubuque, ECIA, Dubuque County, DMATS, Iowa DOT, Dubuque Chamber of
Commerce, GDDC, RTA, and IBM. The Iowa DOT has been a strong supporter of the
completing the vital connector piece for the region, the Southwest Arterial, and in February
2009, a joint partnership agreement was executed between the City of Dubuque and the Iowa
DOT's office of Right -of -Way to perform property acquisition services, saving the project
thousands of dollars in consultant fees. Right -of -way acquisition has begun and will be
completed in the next several months. The Iowa DOT has also committed $17.5 million to the
Southwest Arterial project by funding the construction of the interchange at the west end of the
Award No. DTFH61 -10 -G -00011 73
project at U.S. 20 and Seippel Road. Dubuque County and the DMATS are fully committed
stakeholders in the Southwest Arterial project. The County has committed $398,000 to the
project. DMATS has committed $6.7 million. Congressman Braley, Senator Harkin, and Senator
Grassley have also played an integral role in this project and have secured $38 million in
federally directed funding for this project throughout the past 15 years. (Refer to Attachment 6
for funding secured). All available Local, State and Federal funds have been explored, TIGER
funds are critical for the project to proceed.
ii. Disciplinary Integration
The DRSTI is supported financially and otherwise, by non - transportation public agencies and
public housing agencies, as evidenced by the enclosed letters of support, as well as the City of
Dubuque and Dubuque County. The City of Dubuque is a leader in Iowa and the nation in the
sustainability movement.
No -Build Alternative
The No -Build Alternative would continue the roadway system as it currently exists, with no
physical changes to develop a more efficient system connection between U.S. 61/151 and U.S.
20. The No -Build Alternative would not provide the improvements needed by the regional
highway system. This would cause a less efficient and less safe roadway system. More
specifically, the No -Build Alternative would not provide improvements to accommodate existing
and future traffic volumes, leading to further traffic congestion, higher crash rates, and increased
travel costs to the public. Therefore, the No -Build Alternative is not a feasible and prudent
alternative.
FEDERAL WAGE RATE REQUIREMENT
See Attachment 7 for the signed certification stating that Dubuque will comply with the
requirements of subchapter IV, of Chapter 31 of title 40, United States Code (Federal wage
rate requirements).
NATIONAL ENVIRONMETAL POLICY ACT REQUIREMENT
The Dubuque Regional Sustainable Transportation Initiative has an approved Final Section 4(f)
Statement dated August 2004 for the SW Arterial. Numerous historic /architectural and
archaeological studies have been completed for the project since 1996. The studies identified
sites for which Section 4(f) is applicable, and the potential for impacts on those sites has been
evaluated. It is not possible to find a feasible and prudent alternative that would avoid all impacts
on properties protected by Section 4(f) in the area of the project. Additional studies have been
completed that have provided more intensive investigations and focused on the
historic /architectural and archaeological properties in the southern portion of the study area of
the project.
In February 2005, the City of Dubuque received issuance of Environmental Concurrence and the
Finding of No Significant Impact (FONSI) from the regulatory agencies which complete the
Environmental Assessment and NEPA compliance phases of the project. Environmental studies
and NEPA compliance can be found at www.cityofdubuque.org/DRSTI.
Award No. DTFH61 -10 -G -00011 74
ENVIRONMENTALLY RELATED FEDERAL, STATE & LOCAL ACTIONS
Extensive coordination with all interested parties has occurred during the preparation of the Final
Section 4(f) Statement. Iowa's State Historic Preservation Office (SHPO) received copies of the
Phase I and Phase II reports for the entire area studied. The final Section 4(f) Statement was
forwarded to the U.S. Department of Interior and other resource and regulatory agencies
involved in review of the document. A Finding of No Significant Impact has been received for
the project. The project is in compliance with all federal, state and local regulations. Reference
materials and permits from federal, state and local agencies can be found at
www.cityofdubuque.org/DRSTI .
Award No. DTFH61 -10 -G -00011 75
NOTE: The following is a revised technical application. The revised technical application
reflects a refinement of the scope of work originally proposed in the City of Dubuque's initial
application.
Masterpiece on the Mississippi
To:
REVISED TECHNICAL APPLICATION
Ms. Sarah Berman
Agreement/Contracting Officer
Office of Acquisition Management
Federal Highway Administration
DATE: August 13, 2010
SUBJECT: Technical Proposal for ESL - 2100(660) -7s -31
Ms. Berman,
The purpose of this letter is to outline the proposed project scope, budget and schedule for the
Historic Millwork District Complete Streets project in Dubuque, Iowa. As you are aware, for the
Millwork District has been identified to receive a $5,600,000 TIGER (Transportation Investment
Generating Economic Recovery) grant to provide for complete streets.
Project Location
The project is located in this small urban metro area in Northeast Iowa impacting both urban and
rural areas in Iowa. The City of Dubuque is the county seat in Dubuque County in eastern Iowa
bounded by the Mississippi River which lies at the junction of three states – Iowa, Illinois and
Wisconsin. Dubuque County has an approximate population of 92,714 people (2008 estimate,
U.S. Census Bureau) and covers 620 square miles. The overall population density is
approximately 151 persons per square mile. The City of Dubuque's population is estimated at
57,313 (2007 estimate). The Dubuque metropolitan area serves as the main educational, medical,
industrial, tourism and cultural center for the region. The area is also the center of the Greater
Dubuque Laborshed area, with an entire population of 296,744 in 2008 (Greater Dubuque
Development Corporation). Other cities in the communities in the Dubuque metropolitan area
include Dyersville, Asbury, Farley, Peosta, Epworth and Cascade. In addition to the metropolitan
area of the region, the area served includes rural Jackson (which has previously been designated
as an economically distressed area by the U.S. Department of Agriculture and EDA), Jones,
Award No. DTFH61 -10 -G -00011 76
•
Clinton, and Delaware counties in Iowa, as well as Jo Daviess County in Illinois and Grant
County in Wisconsin. The project is located in Iowa's I st Congressional District.
Project Description
The City of Dubuque and its partners plan to conduct a Complete Streets pilot project in the
Historic Millwork District in downtown Dubuque, home to over 6,000 employees. The Complete
Streets concept involves the design of streets in a fashion that facilitates use by the broad range
of users, including drivers, public
transportation vehicles and riders, pedestrians, bicyclists, older people, children, and people with
disabilities.
Dubuque's Historic Millwork District Master Plan, adopted by the City Council in February
2009, is a critical component of the region's sustainable economic development strategy, which
encourages more people to live and work in or near the center city. The plan calls for the
redevelopment of 1 million square feet of historic warehouse space into a mixed use
development of 700 housing units and 300,000 square feet of retail /commercial space. An
estimated 1,000 residents will live in the Historic Millwork District at full build -out. The
Millwork District revitalization plan will create 900 new jobs and enhance the local
tax base by $77 million dollars (www.cityofdubuque .org/millworkdistrict ).
A study conducted in January 2009 by Economics Research Associates (ERA) identified a
shortage of downtown living units. This shortage has only increased since the announcement that
IBM will be creating 1,300 new information technology jobs downtown and bring the total
number to over 8,300
people working in downtown everyday.
A key component of the Millwork District revitalization plan is to redevelop the area street
network using the Complete Streets model. The Complete Streets model will produce a more
livable environment by creating an area that is easy to use for pedestrians, bicyclists, transit
riders, older people and families. It is estimated that 60 percent of the new residents within the
Historic Millwork District will work downtown. Redesigning streets for alternative modes of
transportation will allow residents to take advantage of their proximity to work and choose
walking, biking or mass transit as options. Reducing automobile dependence in the area will
decrease vehicle miles traveled and the associated energy use and air emissions. The Complete
Streets design will also create a more vibrant area encouraging more businesses to locate in the
downtown area.
TIGER funds will be used to design and reconstruct the street network in the Millwork District
and the street connections to the central business district, Port of Dubuque, and the Washington
Neighborhood.
Based on the results of this Complete Streets pilot project, the City and its partners will develop
and implement a Complete Streets policy designed to encourage more transportation choices and
create more economic for the entire metropolitan region, and to serve as a national model for
other cities facing the challenge of retrofitting existing streets as Complete Streets.
Award No. DTFH61 -10 -G -00011 77
Project Partners
City of Dubuque, Iowa — The City of Dubuque will serve as the lead agency on the
development of the Complete Streets model for communities under 200,000 in population.
East Central Intergovernmental Association (ECIA) — ECIA is a membership supported
organization of local governmental bodies in Cedar, Clinton, Delaware, Dubuque and Jackson
Counties in Iowa. ECIA will provide transportation planning and technical assistance.
Dubuque Metropolitan Transportation Study (DMATS) — DMATS is the metropolitan
planning organization (MPO) for the Dubuque urbanized area. DMATS organizes and oversees
the long range planning and development of the multimodal transportation system.
Iowa Department of Transportation (IOWA DOT) — IOWA DOT has been a long -time
funding partner on numerous surface transportation projects in the city of Dubuque and Dubuque
County, from roads and bridges, to ITS and safety improvements, to trails and safe routes to
schools. The IOWA DOT is an active planning partner in the creation of Complete Streets in the
Historic Millwork District.
Dubuque Area Chamber of Commerce — The Dubuque Area Chamber of Commerce
represents more than 2,000 area businesses that have expressed support for the SW Arterial
project and have made redevelopment of the Historic Millwork District a workforce top priority.
The Greater Dubuque Development Corporation (GDDC) — The GDDC is the economic
development entity for the greater Dubuque area. The GDDC has used the Historic Millwork
District and the SW Arterial as a marketing tool for new and expanding businesses in the region.
Dubuque Main Street (DMS) — DMS is the downtown development entity for the city of
Dubuque. DMS coordinates economic activities for a 90- square central business district with
more than 250 business and 8,000+ employees. DMS provides the staff for the development of
the Historic Millwork district.
Region 8 Regional Transit Authority (RTA) — RTA, in partnership with the city of Dubuque,
provides transportation services for all citizens so they have access to critical services such as
work, education, healthcare, training, nutrition and socialization.
Dubuque's Complete Streets pilot will significantly improve the conditions and utility of streets
in the historic Millwork District and in connecting neighborhoods and downtown by making
them for accessible and user friendly for pedestrians, bicyclists, older people and families with
children. Dubuque's proposed improvements to its transit system will ensure that the system is
utilized and maintained for area residents.
Project Scope of Work
General Project Description - The City of Dubuque, Iowa intends to rebuild/build and create
complete streets within the Historic Millwork District. This will include utility
replacements /extensions, sidewalk reconstruction and enhancements and street reconstructions as
well as new street lighting. These efforts will be respectful of the area's history and focused on
the Base Construction Efforts, which includes utility improvements along 11th Street from Elm
to Jackson as well as and including the reconstruction of Jackson Street from 7th to 1 1th Streets,
10th Street from Jackson to Elm and Washington Street from 9th to 10th. An enhanced
walking/biking trail connection will be made from 5th Street in the Port of Dubuque to 7th Street
in the Millwork District along the Jackson Street right -of -way. Streetscaping improvements
Award No. DTFH61 -10 -G -00011 78
e
along 10th Street from Jackson to Main will incorporate walk improvements, corridor
enhancements, new street lighting and designated bike lanes paralleling the vehicular travel
lanes.
Approved Tiger Project Scope of Work- Additional to the Base Construction Efforts as described
above, the City intends to maximize the grant award by bidding alternates for streetscape
improvements to the following streets: 9th Street from Washington to Main, Elm Street from 9th
to 11th, 11th Street from Elm to White, Jackson Street from 11th to 12th and Washington street
from 11th to 12th. Possible reconstruction efforts of the follow segments may also be included:
Washington Street from 10th to 11th, 8th Street from White to Jackson and 7th Street from
White to Washington. The streetscape and reconstruction efforts in the alternate items as
identified would coincide with those identified in the above Base Construction Effort.
Project Budget
a. TIGER Grant Amount- $5,600,000.00
b. Total Project Amount and Funding Sources -
Total Project Amount (Estimated) - $5,600,000
Funding Sources —
TIGER Grant - $5,600,000
The City's intent is to maximize the construction from the grant award and possibly add City
funding beyond the grant to build selected options from the alternates. The alternates are not
prioritized to the extent that reconstructions or streetscaping efforts could both occur. The
amount of the additional funding from the City has yet to be determined. A copy of the detailed
budget is attached.
Project Schedule
a. Project Permits, Licenses and Approvals (Including NEPA Approvals, Planning
Approvals, etc.)
Planning- included on STIP/TIP March 1, 2010
NEPA- NEPA expected to be complete August 20, 2010
b. Milestone /Deliverable Schedule (Assuming a Build Alternative is Selected)
Engineering- Design Complete September 24, 2010
Construction Advertisement October 1, 2010
Construction Award December 1, 2010
Construction NTP February 1, 2011
Construction Complete November 2012
Award No. DTFH61 -10 -G -00011 79
Performance Measures
These performance measures were identified by local and FHWA staff as being applicable and
meaningful for this project. It is anticipated that the base line measurements will be taken at the
beginning of the project and evaluated over a period of time terminating on September 30, 2016.
The performance measurements are as follows:
1) Before and after monthly bike users.
2) Before and after monthly pedestrian users.
3) Before and after property owner investment in their properties in the Millwork District
during this time frame.
If you should have any questions regarding this technical proposal, please call me at (563) -589-
4104 or email me at jdienstna,citvofdubuque.org.
Sincerely,
Jon Dienst, P.E.
Civil Engineer II
City of Dubuque
'":.__--e.'
Award No. DTFH61 -10 -G -00011 80
ATTACHMENT H
MILESTONE — DELIVERABLE SCHEDULE
September 2010 Grant Agreement Executed
October 1, 2010 Advertise for Construction Bids
October 19, 2010 Award Construction Contract
February 1, 2010 Issue Notice -to- Proceed
November 2012 Construction Work Complete
Award No. DTFH61 -10 -G -00011 81
Study Area: Historic Millwork District
Performance Measures: Before /After Monthly Bike Users, Before /After Monthly Pedestrian
Users, and Before /After Property Owner Investment in Property in the Millwork District
Reporting: Annual reports will measure and report data as described in Table 1 below for the
first full year of operation and annually for the duration of the Measurement Period defined in
Table 1 below. Quarterly reports will measure and report data in the first full quarter of operation
and continue for the duration of the Measurement Period defined in Table 1. Grantee need not
include any analysis in addition to the described data. Quarterly report due dates are as follows:
Reporting Period
January, February, March
April, May, June
July, August, September
October, November, December
Table 1: Performance Measure Table
Description of !'ledsure
'\leasurenumt Period
Before /after
monthly bike
users
Before /after
monthly
pedestrian
users
The City of Dubuque will measure
the before and after monthly bike
users on 10th Street (Main to Elm),
Washington Street (9th to 11th)
and Jackson Street (7th to 11th).
The City of Dubuque will measure
the before and after
monthly pedestrian users on 10th
Street (Main to Elm), Washington
Street (9th to 1 lth) and Jackson
Street (7th to 11th).
Before (Baseline) Measurement:
Prior to start of construction
After (Performance) Measurement:
Quarterly for 5 years after the project opens for
operation under normal conditions.
Before (Baseline) Measurement:
Prior to start of construction
After (Performance) Measurement:
Quarterly for a period of 5 years after the project
opens for operation under normal conditions
Award No. DTFH61 -10 -G -00011
ATTACHMENT I — PERFORMANCE MEASURES
Due
May 1st
August 1st
November 1st
February 1st
82
Before /after
Before (Baseline) Measurement:
property
The City of Dubuque will measure
owner
the property investment that goes
Prior to start of construction
investment in
into the adjoining properties in the
properties in
Millwork District as a result of the
After (Performance) Measurement:
the Millwork
Historic Millwork District
Complete Streets Project.
Quarterly for a period of 5 years after the project
District
opens for operation under normal conditions
Before /after
Average
Before (Baseline) Measurement:
Daily Traffic
The City of Dubuque will measure
Prior to start of construction
(ADT) for
the before and after ADT for motor
motor
vehicles on 10 Street (Main to
Vehicles in
Elm), Washington Street (9 to
`
After (Performance) Measurement:
the Millwork
11 and Jackson Street (7 to 1 1`�)
Quarterly for a period of 5 years after the project
District
opens for operation under normal conditions
Award No. DTFH61 -10 -G -00011
83