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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.