US 151/61, US 52, Maquoketa Drive Traffic Signal IDOT FundingMasterpiece on the Mississippi
Dubuque
kiltd
AII- meflca City
2007
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: US 151/61 at US 52 and US 151/61 at Maquoketa Drive Traffic Signal
Project
Iowa DOT Agreement No. 6- 10- STPA -26
Iowa DOT Project No. STP -A -061 -8 (128)- -22 -31
DATE: October 26, 2010
City Engineer Gus Psihoyos recommends the City Council approve the execution of the
Iowa Department of Transportation (Iowa DOT) Agreement for Iowa Clean Air
Attainment Program (ICAAP) funding for the US 151/61 at US 52 and US 151/61 at
Maquoketa Drive Traffic Signal Project.
The portion of the eligible construction costs reimbursed by ICAAP funds is limited to a
maximum of 80% of eligible costs or $400,000, whichever is less. This project is
estimated to cost $1,080,000, and it is the City's intent to work with the Iowa DOT and
apply for additional funding through the Traffic Safety (TSF) Funds and Urban State
Traffic Engineering (U -STEP) Program.
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
Michael C. Van Milligen
Masterpiece on the Mississippi
TO:
FROM: Gus Psihoyos, City Engineer
INTRODUCTION
BACKGROUND
DISCUSSION
Michael C. Van Milligen, City Manager
Dubuque
bitTill
AN- America city
1111 r
2007
SUBJECT: US 151/61 at US 52 and US 151/61 at Maquoketa Drive Traffic Signal Project
Iowa DOT Agreement No. 6- 10- STPA -26
Iowa DOT Project No. STP -A -061 -8 (128)- -22 -31
DATE: October 25, 2010
The enclosed resolution authorizes the Mayor to execute the Iowa Department of
Transportation (Iowa DOT) Agreement for Iowa Clean Air Attainment Program (ICAAP)
funding (Agreement No. 6- 10- STPA -26) for the US 151/61 at US 52 and US 151/61 at
Maquoketa Drive Traffic Signal Project.
In 2004 the Howard R. Green Company completed a Traffic Engineering Assistance
Program (TEAP) study that identified several alternatives to improve the operation and
efficiency of the intersection of US Highway 151/61 and Maquoketa Drive in Dubuque. In
2005 HR Green submitted a large ICAAP grant application on behalf of the City; and
unfortunately, it was not selected for funding. The City has since revised the
improvements and has focused on smaller projects aimed to reduce delay and emissions
at the two existing intersections along this corridor.
The City is proposing the following improvements as part of the US 151/61 at US 52 and
US 151/61 at Maquoketa Drive Traffic Signal Project:
US 151/61 at US 52
• Reconstruct entire signal.
• New control cabinet on the northeast side of intersection (by Hardee's).
• Build signals and roadway geometrics to include dedicated protected -only left,
through, and right -turn movements for the side streets. This would eliminate the
current split phasing.
US 151/61 at Maquoketa Drive
• Reconstruct entire signal.
• New control cabinet on the northeast side.
Lake Eleanor Road
• Southbound right -turn lane geometric addition onto Lake Eleanor Road.
Additional ITS Improvements
• Fiber optic communications between the two signals (approximately 2,500 feet) for
interconnection.
• Traffic sensors midway between signals to monitor movements and to accumulate
traffic counts.
• A PTZ camera at each intersection plus stop bar video for monitoring of signal
operation.
• Connection of the two signals to existing Mediacom fiber so that the City can
remotely monitor and adjust the signals from City Hall.
RECOMMENDATION
I recommend that the City Council adopt the enclosed resolution and authorize the Mayor to
sign the Iowa Department of Transportation Agreement for Iowa Clean Air Attainment
Program (ICAAP) funding (Agreement No. 6- 10- STPA -26) for the US 151/61 at US 52 and
US 151/61 at Maquoketa Drive Traffic Signal Project.
PRELIMINARY COST PROJECTIONS
The preliminary cost projection for the US 151/61 at US 52 and US 151/61 at Maquoketa
Drive Traffic Signal Project is as follows:
Construction Cost
Engineering Design Services
Administration, Construction Engineering & Inspection
Total Project Cost
The anticipated project funding summary is as follows:
Estimate
$ 900,000
80,000
100,000
$1,080,000
CIP No. Fund Description Fund Amount
ICAAP Grant $ 400,000
DMATS STP Funding 254,545
U- STEP/TSF Funding (Application Pending) 100,000
3002028 US 151/61 Corridor Improvements 145,455
2501815 Traffic Consultant Services (FY12) 180,000
Total Project Funding $1,080,000
The portion of the eligible construction costs reimbursed by ICAAP funds shall be limited to a
maximum of 80% of eligible costs or $400,000, whichever is less. The City is currently
working with the Iowa DOT to secure Urban State Traffic Engineering funds (U -STEP) or
Traffic Safety (TSF) funds. If these funds are not secured, the project would be at risk of not
being constructed.
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution and authorize the
Mayor to sign the Iowa Department of Transportation Agreement for Iowa Clean Air
Attainment Program (ICAAP) funding (Agreement No. 6- 10- STPA -26) for the US 151/61 at
US 52 and US 151/61 at Maquoketa Drive Traffic Signal Project.
Prepared by: Robert Schiesl, Assistant City Engineer
cc: Kent Ellis, Iowa DOT
Jenny Larson, Budget Director
David Ness, Civil Engineer
Chandra Ravada, ECIA
RESOLUTION NO. 426 -10
RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT FOR A IOWA CLEAN AIR ATTAINMENT PROGRAM (ICAAP)
PROJECT (AGREEMENT NO. 6- 10- STPA -26) FOR THE US 151161 AT US 52 AND
US 151/61 AT MAQUOKETA DRIVE TRAFFIC SIGNAL PROJECT
Whereas, the Iowa Department of Transportation (Iowa DOT) has authorized the
use of Iowa Clean Air Attainment Program (ICAAP) funds for the PCC pavement
widening and traffic signals at the intersections of Maquoketa Drive and Twin Valley
Drive.
Whereas, the Iowa DOT ICAAP funds will be eligible to complete said
improvements to the US 151/61 at US 52 and US 151/61 at Maquoketa Drive Traffic
Signal Project, within Dubuque County, Iowa.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That said Iowa DOT Agreement for a Iowa Clean Air Attainment
Program (ICAAP) Project (Agreement 6- 10- STPA -26) between the City of Dubuque and
the Iowa Department of Transportation be approved for the PCC pavement widening
and traffic signals at the intersections of Maquoketa Drive and Twin Valley Drive.
Section 2. That the Mayor be authorized and directed to execute two copies of
Iowa DOT Agreement for a Iowa Clean Air Attainment Program (ICAAP) Project
(Agreement 6- 10- STPA -26) for the US 151/61 at US 52 and US 151/61 at Maquoketa
Drive Traffic Signal Project.
Attest:
Passed, approved and adopted this 1
eanne F. Schneider, CMC, City Clerk
day of November , 2010.
Roy D. Buol, Mayor
(Iowa Department of Transportation
District 6 Office 319 -364 -0235
430 Sixteenth Avenue SW FAX: 319 -364 -9614
Cedar Rapids, IA 52406 -3150 kent.ellis @dot.iowa.gov
October 12, 2010
Robert D. Schiesl, P. E.
City of Dubuque – Engineering Division
50 West 13 Street
Dubuque, Iowa 52001 -4864
SUBJECT: Agreement 6- 10- STPA -26 FINAL (ICAAP PCC Pavement widening and traffic
Signals at the intersections of Maquoketa Drive and Twin Valley Drive).
Dear Mr. Schiesl:
Ref: STP -A- 061 - 8(128) -22 -31
Dubuque County
City of Dubuque
Agreement No. 6 -10- STPA -26
I have enclosed two (2) copies of an agreement between the City of Dubuque and the Iowa
Department of Transportation for the referenced project. The project involves PCC pavement
widening and traffic signals at the intersections of Maquoketa Drive and Twin Valley Drive).
Please secure the necessary approvals and signatures of the appropriate county officials and return
both signed copies of the agreement to this office for further processing. After I receive the signed
copies of the agreement, I will sign the agreement, and the fully executed agreement will be
returned to your office.
All those who are involved with the project should carefully review the provisions of the
agreement that pertain to federal funding for this project and the standard provisions for federal
aid projects.
Please contact me if you have any questions concerning this agreement.
KLE /sjb
Enclosure (2)
Sincerely,
Kent L. Ellis, P.E.
Local Systems Engineer
District 6
Iowa Department of Transportation
Agreement for a
Iowa Clean Air Attainment Program (ICAAP) Project
RECIPIENT:
clA
ue
PROJECT NO: STP -A- 061 - 8(128)- -22 -31
IOWA DOT
AGREEMENT NO.: 6- 10- STPA -26
This is an agreement between the City of Dubuque (hereinafter referred to as Recipient)
and the Iowa Department of Transportation (hereinafter referred to as the DOT). Iowa
Code Sections 306A.7 and 307.44 provide for the Recipient and the DOT to enter into
agreements with each other for the purpose of financing transportation improvement
projects in Iowa with Federal funds. The Recipient proposes an Iowa Clean Air
Attainment Program (ICAAP) project for funding under Sec. 104(b)(2) and Sec. 149 of
Title 23, United States Code.
The Transportation Equity Act of the 21 Century (TEA -21), enacted in 1998,
reestablished the Congestion Mitigation and Air Quality Improvement Program. Federal
regulations provide that the funds for this program are to be administered by the DOT.
The Office of Management and Budget (OMB) Circular A -133 requires the Recipient to
report the Catalog of Federal Domestic Assistance (CFDA) number and title on all
Federal -Aid projects. The Recipient will use CFDA #20.205 and title, "Highway Planning
and Construction" for this project. This information should be reported in "The Schedule
of Expenditures of Federal Awards ".
Pursuant to the terms of this agreement, applicable statutes, administrative rules, and
programming by the DOT and the Dubuque Metropolitan Area Trans. Study (DMATS) ,
the DOT agrees to provide funding to the Recipient for the authorized and approved costs
for eligible items associated with the development of PCC Pavement widening and traffic
signals at the intersections of Maquoketa Dr. and Twin Valley Dr.
In consideration of the foregoing and the mutual promises contained in this agreement, the
parties agree as follows:
1. The Recipient shall be the lead organization for carrying out the provisions of this
agreement.
2. All notices required under this agreement shall be made in writing to the DOT's
and /or the Recipient's contact person. The DOT's contact person shall be
Kent L. Ellis, District 6 Office, 430 16 Avenue SW, Cedar Rapids, Iowa 52404,
319 - 364 -0235.
The Recipient's contact person shall be the
City Engineer, or a designated representative .
3. The Recipient shall be responsible for the development and completion of the
following described project:
PCC Pavement widening and traffic signals at the intersections of Maquoketa Dr.
and Twin Valley Dr
4. Eligible project costs for the project described in Section 3 of this agreement, listed
above, which are incurred after the date of Federal Highway Administration
authorization shall be paid as follows:
ICAAP Funds (Grant):
ICAAP Funds (Loan):
Local Contribution:
Project Total:
$400,000
N/A
$100,000 (20% Match)
$500,000
5. The local contribution stated above may include cash or non -cash contributions to
the project. The Recipient shall certify to the DOT the value of any non -cash
contribution to the project prior to it being incurred. For right of way contributions,
the recipient shall submit an appraisal from a qualified independent appraiser. The
DOT reserves the right to review the Recipient's certificate of value and has sole
authority to determine the value of the Recipient's non -cash contribution for the
purposes of this agreement. If, as a result of the DOT's determination, the
Recipient's total cash and non -cash contribution is below that stated in the terms of
this agreement, the Recipient shall increase its cash contribution in order to
complete the Recipient's local contribution, or the grant and /or loan amount
associated with this project shall be reduced accordingly.
6. The portion of total project costs paid by Grant
shall not exceed the amount stated above, $400,000, or 80 percent of the total cost
of the eligible items, whichever is the smaller amount. Any cost overruns shall be
paid solely by the applicant.
7. Project activities or costs eligible for funding include only those items set out in
Exhibit A which is attached hereto and by this reference incorporated into this
agreement, and which are necessary to complete the project as described in Section
3.
8. Activities or costs ineligible for funding include but are not limited to those items
set out in Exhibit B which is attached hereto and by this reference incorporated into
this agreement.
9. Notwithstanding any other provisions of this contract, if funds anticipated for the
continued fulfillment of this contract are at any time not forthcoming or
insufficient, either through the failure of the State of Iowa to appropriate funds or
discontinuance or material alteration of the program for which funds were
provided, the DOT shall have the right to terminate this contract without penalty by
giving not less than ninety (90) days written notice.
10. The DOT reserves the right to delay reimbursement of funds to the Recipient if
necessary to maintain a positive cash flow. If such a delay is necessary and lasts
more than five working days, the DOT shall so notify the Recipient in writing and
shall give the Recipient an estimate of when reimbursement might be expected.
The DOT shall establish a system to equitably make reimbursements to all
Recipients so affected.
11. The Recipient shall submit to the DOT, no later than 30 days subsequent to the
Recipient's signature date on this agreement, a timetable outlining the project
schedule. Failure to do so by the Recipient may be considered a default under this
agreement.
12. The Recipient must have let the contract or construction started within three years
of the date this project is approved by DOT. If the Recipient does not do this, they
will be in default for which the DOT can revoke funding commitments. This
agreement may be extended for periods up to six months upon receipt of a written
request from the Recipient at least sixty (60) days prior to the deadline.
13. This agreement will become null and void if the project described in Section 3
drops out of the Dubuque Metropolitan Area Trans. Study (DMATS) current
Transportation Improvement Program (TIP) or the approved current DOT
Statewide Transportation Improvement Program (STIP) prior to authorization of
Federal funds.
14. If any part of this agreement is found to be void and unenforceable, the remaining
provisions of this agreement shall remain in effect.
15. It is the intent of both parties that no third party beneficiaries be created by this
agreement.
16. This agreement shall be executed and delivered in two or more copies, each of
which so executed and delivered shall be deemed to be an original and shall
constitute but one and the same instrument.
17. This agreement is not assignable without the prior written consent of the DOT.
18. If the project described in Section 3 of this agreement crosses a DOT primary road,
then:
A. The Recipient shall convey title to the State of Iowa, by quit claim deed, to
any right of way necessary for the primary road crossing, all at no cost to
the DOT. However, the DOT shall prepare detailed legal descriptions and
plats. The general configuration of the right of way to be conveyed shall be
agreed to by the Recipient and the DOT prior to the survey.
B. The Recipient shall submit six copies of plans for all primary road system
crossings to the DOT contact person for review and approval by the District
Offices for necessary permits, Offices of Road Design and Maintenance
with regard to crossing design and location, signing, fencing, safety,
maintenance, compliance with access control policy, etc. Said approval
shall be obtained before the Recipient proceeds with the construction of any
primary road system crossing.
C. The use of primary highway right of way for this projects' purpose shall be
subject to any rights enjoyed by any existing utility lines presently within
the right of way. If excavation of a utility line over which this project has
been placed is necessary for any reason, the utility shall be responsible for
proper backfilling of said excavation to ground level. The Recipient shall
be responsible for any necessary resurfacing or restoration.
D. The use of primary highway right of way for this projects' purposes shall be
subject to any future plans for reconstruction, improvement, maintenance,
and /or relocation of the highway by the DOT. Any relocation of this
project necessary because of said plans shall be at the expense of the
Recipient, all at no cost to the DOT.
19. The Recipient shall acquire the project right of way, whether by lease, easement or
fee title and shall provide relocation assistance benefits and payments in
accordance with the procedures set forth in the DOT's Right of Way manual. The
Recipient shall contact the DOT for assistance, as necessary, to ensure compliance
with the required procedures, even if no federal funds in the right of way purchase
are involved. The Recipient will need to get environmental concurrence before
acquiring any needed right of way. With prior approval, hardship and protective
buying is possible. If the Recipient requests Federal -aid participation for right of
way acquisition, the Recipient will need to get environmental concurrence and
Federal Highway Administration (FHWA) authorization before purchasing any
needed right of way.
20. The Recipient shall comply with the Policy for Accommodating Utilities on City
and County Federal -aid Highways Right of Way and the Policy for
Accommodating Utilities on Primary Road system when on the DOT's right of
way. Certain utility relocation, alteration, adjustment, or removal costs to the
Recipient for the project may be eligible for Federal -aid reimbursement in
accordance with the FHWA rules applicable to the type of utility involved and
Iowa Code Chapter 306A.
21. The Recipient shall be responsible for obtaining any permits, such as the Right to
Occupy and /or Perform Work Within the Right of Way, Permit of Access, Utility
Accommodation, Right to Install and Maintain Traffic Control Devices, and /or
other construction permits required for the project prior to the start of construction.
In addition, the Recipient shall certify to the DOT's contact person that all known
required environmental permits have been received and that all environmental
regulations have been complied with before funds are reimbursed or credited.
Neither the approval of the project application for funding nor the signing of this
agreement shall be construed as approval of any required permit from DOT.
22. Traffic control devices, signing, or pavement markings installed within the limits of
this project shall conform to the "Manual on Uniform Traffic Control Devices for
Streets and Highways" per 761 Iowa Administrative Code Chapter (IAC) 130. The
safety of the general public shall be assured through the use of proper protective
measures and devices such as fences, barricades, signs, flood lighting, and warning
lights as necessary.
23. In the event that right of way is required for the project, said right of way will be
acquired in accordance with 7.61 IAC Chapter 111, Real Property Acquisition and
Relocation Assistance, and the Federal Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended.
24. The project plans, specifications and cost estimate shall be prepared and certified
by a professional engineer, architect and or landscape architect (whichever applies),
licensed to practice in the State of Iowa. The Recipient shall submit the plans,
specifications and other agreement documents to the DOT for review. This
submittal may be in divisions and in the order of preference as determined by the
Recipient. However, the plans, specifications and other agreement documents for
each division must be submitted at least thirty (30) days prior to the project letting
of each division. The DOT shall review said submittal(s) recognizing the
Recipient's development schedule and shall, after satisfactory review, authorize in
writing the Recipient to proceed with implementation of the project. The work on
this project shall be in accordance with the survey, plans, and specifications on file.
Any modification of these plans and specifications must be approved by the DOT
prior to the modification being put into effect.
25. The recipient shall be responsible for the daily inspection of the project. For
projects let to contract, the Recipient shall compile a daily log of materials and
quantities. For projects constructed with local forces, the Recipient shall compile a
daily log of materials, equipment and labor on the project. The DOT reserves the
right to inspect project activities and to audit claims for funding reimbursement.
The purpose of the inspection or audit is to determine substantial compliance with
the terms of this agreement.
26. The Recipient shall maintain all books, documents, papers, accounting records,
reports and other evidence pertaining to costs incurred for the project. The
Recipient shall also make such materials available at all reasonable times during the
construction period and for three years from the date of final reimbursement, for
inspection by the DOT, FHWA, or any authorized representatives of the Federal
government. Copies of said materials shall be furnished by the Recipient if
requested.
27. The Recipient may submit to the DOT periodic itemized claims for reimbursement
for eligible project costs. Reimbursement claims shall include certification that all
eligible project costs, for which reimbursement is requested, have been completed
in substantial compliance with the terms of this agreement.
28. The DOT shall reimburse the Recipient for properly documented and certified
claims for eligible project activity costs less a retainage of not more than ten
percent, either by state warrant, or by crediting other accounts from which payment
may have been made initially. If, upon audits of contracts, the DOT determines the
Recipient is overpaid, the Recipient shall reimburse the overpaid amount to the
DOT.
29. Upon completion of the project described in this agreement, a professional
engineer, architect and or landscape architect (whichever applies), licensed to
practice in the State of Iowa, shall certify in writing to the DOT that the project
activities were completed in substantial compliance with the plans and
specifications set out in this agreement.
In addition, prior to final reimbursement for the project the Recipient shall furnish
three sets of "as- built" plans of the project to the DOT.
Final reimbursement of funds, including retainage, shall be made only after the
DOT accepts the project as complete.
30. If, in the opinion of the Recipient, the specific provisions of this agreement
requiring the services of a professional engineer, architect and or landscape
architect (whichever applies), licensed to practice in the State of Iowa, prove to be
burdensome to the Recipient or otherwise not in the public interest, and if the
Recipient decides that the provisions of this agreement can be otherwise complied
with without endangering public safety, the Recipient may request that said
provisions be waived on all or specific parts of the project identified by the
Recipient. Such request shall be made in writing to the DOT's contact person who
shall, after consultation with other DOT staff, as necessary, make the final
determination concerning said waiver. If said waiver is granted, all provisions of
this agreement requiring the services of a professional engineer, architect and or
landscape architect (whichever applies), licensed to practice in the State of Iowa,
shall be performed by the Recipient's contact person or designee.
31. The Recipient agrees to indemnify, defend and hold the DOT harmless from any
action or liability arising out of the design, construction, maintenance, placement of
traffic control devices, inspection or use of this project. This agreement to
indemnify, defend and hold harmless applies to all aspects of the DOT's application
review and approval process, plan and construction reviews and funding
participation.
32. This agreement may be declared to be in default by the DOT if the DOT determines
that the Recipient's application for funding contained inaccuracies, omissions,
errors or misrepresentations; or if the DOT determines that the project is not
developed as described in the application.
33. If the Recipient fails to perform any obligation under this agreement, the DOT shall
have the right, after first giving thirty (30) days written notice to the Recipient by
certified mail return receipt requested, to declare any part or all of this agreement in
default. The Recipient shall have thirty (30) days from date of mailing of the
notice to cure the default. If the Recipient cures the default, the Recipient shall
notify DOT no later than five (5) days after cure or before the end of said thirty
(30) day period given to cure the default. Within ten (10) working days of receipt
of Recipient's notice of cure, the DOT shall issue either a notice of acceptance of
cure or a notice of continued default.
34. In the event a default is not cured the DOT may revoke funding commitments
and /or seek repayment of funds loaned or granted by this agreement. By signing
this agreement the Recipient agrees to repay said funding if they are found to be in
default. Repayment methods must be approved by the DOT Commission and may
include cash repayment, installment repayments with negotiable interest rates,
charges against the Recipient's share of road use tax funds, or other methods as
approved by the Commission.
35. In case of dispute concerning the terms of this agreement, the parties shall submit
the matter to arbitration pursuant to IAC 679A (2003). Either party has the right to
submit the matter to arbitration after ten (10) days notice to the other party of their
intent to seek arbitration. The written notice must include a precise statement of
the disputed question. DOT and the Recipient agree to be bound by the decision of
the appointed arbitrator. Neither party may seek any remedy with the state or
federal courts absent exhaustion of the provisions of this section for arbitration.
36. The Recipient shall maintain, or cause to be maintained for the intended public use,
the improvement for twenty (20) years from the completion date in a manner
acceptable to the DOT. Failure to comply with this provision may be considered a
default of this agreement.
37. The Recipient shall comply with all provisions of the equal employment
opportunity requirements prohibiting discrimination and requiring affiiniative
action to assure equal employment opportunity as required by the IAC 216 (2003).
No person shall, on the grounds of age, race, creed, sex, color, national origin,
religion, or disability, be excluded from participation in, be denied the benefits of,
or be otherwise subjected to discrimination under any program or activity for which
the Recipient receives state funds from the DOT.
38. The Recipient shall conduct the project development and implementation in
compliance with applicable laws, ordinances and administrative rules. For portions
of the project let to bid, the Recipient shall advertise for bidders, make a good faith
effort to get at least three bidders and hold a public letting for the project work.
Prior to awarding the contract, the Recipient shall provide the DOT file copies of
project letting documents within five (5) working days after the letting. The
Recipient must wait for DOT concurrence before making the final award.
Additionally, for projects where Federal highway funds or Federal non - highway
funds are used to match the project, the Recipient shall also follow all
administrative and contracting procedures which would normally be used when
such funds are used. The Recipient shall comply with all requirements for use of
said funds as outlined in Exhibit C.
39. If the Recipient lets the project locally then it must be completed exempt from tax
as provided by Iowa Code Sections 422.42(16), 422.42(17) & 422.47(5). The
recipient shall comply with these requirements.
40. This agreement as set forth in sections 1 through 40 herein, including referenced
exhibits, constitutes the entire agreement between the DOT and the Recipient
concerning this project. Representations made before the signing of this agreement
are not binding, and neither party has relied upon conflicting representations in
entering into this agreement. Any change or alteration to the terms of this
agreement must be made in the form of an addendum to this agreement. Said
addendum shall become effective only upon written approval of the DOT and
Recipient.
IN WITNESS WHEREOF, each of the parties hereto has executed Agreement No.
6- 10- STPA -26 as of the date shown opposite its signature below.
RECIPIENT:
By: Date: ,20
Title:
I ,
signed said Agreement for and
authorized to execute the same
by
Signed:
Address:
IOWA DEPARTMENT OF TRANSPORTATION
District 6 Office
430 16 Avenue SW
Cedar Rapids, Iowa 52404
By:
Kent L. Ellis, P.E.
District Local Systems Engineer
District 6 Office
, certify that I am
, and that , who
on behalf of was duly
by virtue of a formal Resolution duly passed and adopted
, on the day of
, 20
Date:
Date
, 20
, 20
Exhibit A
Project activities or costs eligible for ICAAP funding include only the following:
a. Construction, reconstruction, rehabilitation, resurfacing, restoration, and
operational improvements on (a) Federal -aid highways (b) any bridges.
b. Use of sodium acetate /formate, or other environmentally acceptable, minimally
corrosive anti -icing and de -icing compositions.
c. Modifications of existing public sidewalks (regardless of whether the sidewalk is
on a federal -aid highway right -of -way), to comply with the requirements of the
Americans with Disabilities Act.
d. Capital costs for new or expanded transit service projects eligible for assistance
under the Federal Transit Act, publicly owned intracity or intercity bus terminals
and facilities and privately owned vehicles and facilities that are used to provide
intercity passenger service by bus.
e. Transit operating assistance only for the first three years.
f. Carpool projects, fringe and corridor parking facilities and programs, and bicycle
transportation and pedestrian walkways on any public roads in accordance with 23
U.S.C. 217.
g. Programs to reduce extreme low- temperature cold starts.
h. Highway and transit safety improvements and programs, hazard eliminations,
projects to mitigate hazards caused by wildlife, and railway - highway grade
crossings. Safety improvements are eligible on public roads of all functional
classifications.
i. Highway and transit research and development and technology transfer programs.
j. Capital and operating costs for traffic monitoring, management, and control
facilities and programs.
k. Surface transportation planning programs.
1. Transportation enhancement activities.
m. Transportation control measures listed in section 108 (f)(1)(A) (other than clauses
xii & xvi) of the Clean Air Act (e.g., restriction of certain roads or lanes to or
construction of such roads or lanes for use by passenger buses or high occupancy
vehicles, employer -based transportation management plans including incentives,
trip- reduction ordinances, traffic flow improvement programs that achieve emission
reductions).
n. Wetlands mitigation efforts related to Title 23 projects.
o. Environmental restoration and pollution abatement projects, including retrofit or
construction of stormwater treatment facilities (limited to 20% of total cost of 3R-
type transportation projects).
P.
9-
Natural habitat mitigation, but specifies that if wetland or natural habitat mitigation
is within the service area of a mitigation bank, preference will be given to use the
bank.
Development and establishment of management systems under 23 U.S.0 303.
r. Infrastructure based intelligent transportation system capital improvements (e.g.,
regional multi -modal traveler information systems, traffic signal control systems,
freeway management systems, transit management systems, incident management
systems, electronic fare payment systems, electronic toll collection systems).
s. Magnetic levitation transportation technology deployment projects.
t. Freight projects and diesel engine retrofit programs that provide emission
reductions and meet provisions for public - private partnerships for privately owned
and operated freight services.
Exhibit B
Activities or costs ineligible for ICAAP funding include but are not limited to the
following:
a. Activities that are legislatively prohibited, including scrappage programs and
highway capacity expansion projects.
b. Routine highway and transit projects (ie. replacement -in -kind of track or other
equipment, reconstruction of bridges, stations and other facilities, and paving or
repairing roads).
c. Construction projects that add new capacity for single occupant vehicles (SOV)
unless the facility is for high- occupancy vehicles and is only available to SOV's in
the off -peak travel times or the facility provides emission reduction from
congestion relief or reduced vehicle miles of travel.
d. Public - private partnerships involving the implementation of statutorily mandated
measures (e.g., phase -in of alternatively fueled fleets).
e. Projects not meeting the specific eligibility requirements under titles 23 or 49 of the
United States Code.
Exhibit C
Standard Provisions for use of Federal -Aid
1. Since this project is to be financed in part with local and Federal funds, the
Recipient shall take the necessary actions to comply with applicable State and
Federal laws and regulations.
In all programs and activities of Federal -aid recipients, sub - recipients and
contractors, no person in the United States shall be excluded from
participation in, be denied the benefits of or be otherwise subjected to
discrimination on the grounds of race, color, national origin, sex, age, or
handicap /disability. While no specific commitment or numeric goal has
been established for this project, the Recipient is encouraged in accordance
with Title 49, Code of Federal Regulations — Part 26 (49 CFR 26), to make
a good faith effort to ensure that disadvantaged business enterprises have
the maximum opportunity to compete for and perform contracts.
2. The Recipient must receive notice of FHWA authorization from the DOT
before beginning any work for which federal -aid reimbursement will be
requested. The cost of work, occurring prior to securing FHWA
authorization, will not be reimbursed with federal -aid funds. The Recipient
must contact the DOT to obtain the procedures necessary to secure FHWA
authorization.
3. The Recipient shall take the appropriate actions and prepare the necessary
documents to fulfill the FHWA requirements for project environmental studies
including historical /cultural reviews and location/design approval. The Recipient
shall complete any mitigation agreed upon in the FHWA approval document. If
farmland is to be acquired, whether for use as project right of way or permanent
easement, the Recipient shall submit the U.S. Department of Agriculture Farmland
Conversion Impact Rating form, when required, to the U.S. Natural Resources
Conservation Service (NRCS).
4. The Recipient shall certify to the DOT's contact person that all known required
environmental permits have been received and that all environmental regulations
have been complied with before funds are reimbursed or credited.
5. The Recipient shall obtain agreements, as needed, from railroad and utility
companies and shall obtain project permits and approvals, when necessary, from
the Iowa Department of Cultural Affairs (State Historical Society of Iowa; State
Historic Preservation Officer), Iowa Department of Natural Resources, U.S. Coast
Guard, U.S. Army Corps of Engineers and the DOT, etc.
6. General requirements and covenants (Division 11) of the DOT's standard
specifications shall apply to all projects let at the DOT.
7. The project plans, specifications and project cost estimate (PS &E) shall be
prepared and certified by a professional engineer licensed to practice in the State of
Iowa. The Recipient shall submit the plans, specifications and other contract
documents to the DOT for review and authorization to let the project.
8. The project shall be constructed under the DOT's Standard Specifications and
applicable special provisions. Prior to their use in the PS &E, specifications
developed by the Recipient for individual construction items shall be approved by
the DOT.
9. The Recipient shall comply with the procedures and responsibilities for materials
testing and construction inspection according to the DOT's Instructional
Memorandums (I.M.'s). The DOT will bill the Recipient for testing services
according to its normal policy.
10. If Federal -aid is requested for in -house engineering services, the Recipient will
follow the procedure outlined by the DOT. The Recipient, desiring to claim
indirect costs under Federal awards, must prepare an indirect cost rate proposal and
related documentation in accordance with the requirements of Office of
Management and Budget (OMB) Circular A -87 — Cost Principles for State, Local,
and Indian Tribal Governments. Reimbursement eligibility requires an indirect
cost rate proposal to be certified by the governmental unit designated cognizant
agency or the Federal agency providing the largest amount of Federal funds to the
governmental unit.
11. If Federal -aid is requested for preliminary and /or construction engineering costs,
the Recipient will select a consultant(s) in accordance with the DOT's consultant
selection process.
12. The Recipient and the Consultant shall prepare a consultant contract for
engineering services in accordance with Title 23, Code of Federal Regulations, Part
172 — Administration of Negotiated Contracts (23 CFR 172). This is required only
if the Recipient uses federal funds for engineering services.
13. After the contents of the consultant contract have been mutually approved, the
Recipient shall execute the contract and forward the same to the DOT for
authorization only if federal funds are used for engineering services.
14. If preliminary engineering is federally funded, if the "do nothing" alternate is not
selected, and if right of way acquisition for or actual construction of the road is not
started by the close of the tenth fiscal year following the fiscal year in which the
Federal -aid Project Agreement is executed, the Recipient will repay to the DOT an
amount equal to the amount of Federal funds made available for such engineering.
15. The Recipient shall forward a Federal -aid Project Development Certification and
final PS &E to the DOT. Following FHWA's authorization, the DOT will advertise
the project for letting and furnish the Recipient with a sample letting package. As a
condition for the DOT to let the project, the Recipient agrees that the Recipient has
the financial resources to proceed with the project if bids submitted are 110% of the
project cost estimate or less. If the Recipient is a city, the Recipient shall comply
with the public hearing requirements of the Iowa Code section 384.102.
16. Procurement procedures shall be as follows unless some other method is considered
to be cost effective (such as the use of Recipient local forces), is proposed by the
Recipient, and is approved by the DOT.
A. Procurement by small purchase procedures. Small purchase procedures
are those relatively simple and informal procurement methods for securing
services, supplies, or other property that do not cost more (in aggregate)
than $25,000 for cities and $50,000 for counties. If small purchase
procedures are used, price or rate quotations will be obtained from an
adequate number of qualified sources.
B. Procurement by sealed bids (formal advertising). Bids are publicly
solicited and a firm fixed -price (lump sum or unit price) is awarded to the
responsible bidder whose bid, conforming with all the material terms and
conditions of the invitation for bids, is the lowest in price.
C. Procurement by competitive proposals. The technique of competitive
proposals is normally conducted with more than one source submitting an
offer, and either a fixed -price or cost - reimbursement type contract is
awarded. It is generally used when conditions are not appropriate for the
use of sealed bids.
D. Procurement by non - competitive proposals is procurement through
solicitation of a proposal from only one source, or after solicitation of a
number of sources, competition is determined inadequate. Procurement by
non - competitive proposals may be used only when the award of a contract
is infeasible under small purchase procedures, sealed bids, or competitive
proposals and one of the circumstances noted in Title 49 Code of Federal
Regulations — Part 18.36 Procurement.
The Recipient shall notify the DOT of the procurement method it intends to use. If
procurement method "C" or "D" above is selected, the Recipient shall include
justification for its selection and obtain approval from the DOT.
17. For contracts let to sealed bid, the letting shall be conducted by the DOT's Office of
Contracts unless specifically requested and approved otherwise by the parties
hereto.
18. If portions of the project are let to sealed bid by the Recipient, the Recipient shall
advertise for bidders ten working days before the letting, make a good faith effort
to get at least three (3) bidders, hold a public letting and award contracts for the
project work. DOT concurrence in the award must be obtained prior to the award.
The Recipient shall provide the DOT file copies of project letting documents within
five (5) days after the letting. If the Recipient is not a political subdivision of the
State of Iowa, the Recipient shall comply with the applicable laws, administrative
rules and procedures for public purchasing and contracting as applicable to political
subdivisions of the State of Iowa.
19. When let by the DOT, the DOT will prepare an Iowa DOT Staff Action for
concurrence to award the contract. The DOT will mail three (3) originals of the
unexecuted contract(s) to the Recipient.
20. The Recipient shall take action to award the contract or reject all bids. Following
award of the contract and signature by the lowest responsive bidder, the Recipient
shall forward to the DOT two (2) copies of the fully executed contract, two (2)
copies of the performance bond and two (2) copies of the certificate of insurance.
21. If Federal -aid is requested for force account construction, the Recipient will follow
the procedure outlined by the DOT.
22. The Recipient shall assure compliance with Section 165 of the Surface
Transportation Assistance Act of 1982, 49 U.S.C. 1601, section 337 of the Surface
Transportation and Uniform Relocation Assistance Act of 1987, and Title 49 Code
of Federal Regulations — Parts 660 and 661 regarding "Buy America" provisions on
the procurement of foreign products and materials.
23. The Recipient shall assure that all contracts entered in furtherance of this project
shall contain the following provisions:
a. Contain notice of awarding agency requirements and regulations pertaining
to reporting.
b. Contain a provision allowing access by the DOT, the Federal Highway
Administration, the Comptroller General of the United States, or any of
their duly authorized representatives to any records of the contractor which
are directly pertinent to that specific contract for the purpose of making
audit, examination, excerpts and transcriptions.
c. Contain a provision requiring retention of all required records for three
years after the contracting agency makes final payments and all other
pending matters are closed.
d. Contain mandatory standards and policies relating to energy efficiency
which are contained in the state energy conservation plan issued in
compliance with the Energy Policy and Conservation Act (Pub. L. 94 -163,
89 Stat. 871).
e. All contracts for construction or repair shall require compliance with the
Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in
Department of Labor regulations (29 CFR part 3).
f. If the project is within a Federal -aid highway right of way and is in excess
of $2,000, the contract shall require compliance with the Davis -Bacon Act
(40 U.S.C. 276a to 276a -7) as supplemented by Department of Labor
regulations (29 CFR part 5).
g.
h. If the contract is for more that $10,000, it shall provide for termination for
cause and for convenience by the contracting agency, including the manner
by which it will be effected and the basis for settlement.
Construction contracts in excess of $10,000 shall require compliance with
Executive Order 11246 of September 24, 1965, entitled "Equal Employment
Opportunity" as amended by Executive order 11375 of October 13, 1967,
and as supplemented in Department of Labor regulations (41 CFR chapter
60).
J•
Construction contracts in excess of $2,000 and other contracts in excess of
$2,500 which involve the employment of mechanics or laborers, shall
require compliance with Sections 103 and 107 of the Contract Work Hours
and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by
Department of Labor Regulations (29 CFR part 5).
If the contract is for more than $100,000, it shall contain administrative,
contractual or legal remedies in instances where contractors violate or
breach contract terms, and provide for such sanctions and penalties as may
be appropriate.
It also requires compliance with all applicable standards, orders, or
requirements issued under section 306 of the Clean Air Act (42 U.S.C.
1857(h)), section 508 of the Clean Water Act (33 U.S.C. 1368), Executive
Order 11738, and Environmental Protection Agency regulations (40 CFR
part 15).
24. The DOT will prepare the Federal -aid Project Agreement and submit it for FHWA
approval and obligation of Federal -aid funds.
25. If the project right of way is federally funded and if the actual construction is not
undertaken by the close of the twentieth fiscal year following the fiscal year in
which the Federal -aid project agreement is executed, the Recipient will repay the
sum or sums of Federal funds in the right of way to the DOT.
26. If this agreement is to fund the Historical Preservation of a structure, the Recipient
shall preserve the architectural, historical and cultural integrity of the structure by
maintaining and repairing the property in compliance with "The Secretary of the
Interior's Standards for Rehabilitating Historical Buildings ". No alterations shall be
made to the existing structure without first obtaining the written consent of the
State Historical Society of Iowa (State Historic Preservation Officer).
27. If the Recipient, within the next twenty (20) years after project completion, decides
to sell the structure to a private party, or it is now under private ownership, the
Recipient shall:
A. Execute a recordable document for preserving the historical and
architectural integrity for twenty (20) years from the date of receipt of
public funds; or
B. Repay the State of Iowa all the funds received by the Recipient.
28. If the Recipient elects to levy special assessments as a means of raising the local
share of the total project costs, the Recipient shall reimburse the DOT in the
amount that payments of Federal -aid and collections of special assessments,
excluding interest and penalties, exceed the total cost of the public improvement as
established by the provisions of Iowa Code Chapter 384. The Recipient agrees that
at such time as its collections (exclusive of interest and penalties which shall be
retained by the Recipient) from special assessments levied for this project exceed
the local share of the total project costs, the Recipient shall refund to the DOT all
funds collected in excess of the total project costs (including interest and penalties
associated with the amount of excess) within sixty (60) days of the receipt of any
special assessment payments. The Recipient shall notify the DOT when any lands
specially assessed no longer qualify for an agricultural deferment of the special
assessment, and notify the DOT when all special assessments have been satisfied.
The DOT shall credit reimbursement billings to the FHWA in the amount of
refunds received from the Recipient.