SW Arterial Design IDOT Agree
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MEMORANDUM
April 28, 2004
TO:
The Honorable Mayor and City Council Members
FROM:
Michael C. Van Milligen, City Manager
SUBJECT: Iowa Department of Transportation Supplemental Agreement for the
Preliminary Design of the Southwest Arterial
Iowa DOT Project No. STP-U-2100(634)--70-31
Iowa DOT Agreement No. 6-03-STPU-43
The City of Dubuque in partnership with Dubuque County, the Iowa Department of
Transportation and the Federal Highway Administration secured a Transportation Equity
Act for the 21st Century (TEA-21) Surface Transportation Program (STP) Grant in the
amount of $1 ,987,000 awarded by the FHWA for the Preliminary Design of the
Southwest Arterial
Assistant City Engineer Gus Psihoyos is recommending approval of the Supplemental
Agreement and to begin the process of selecting a consulting engineering firm.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
jffA)j I(., (4}{
Michael C. Van Milligen I
MCVM/jh
Attachment
cc: Barry Lindahl, Corporation Counsel
Cindy Steinhauser, Assistant City Manager
Gus Psihoyos, Assistant City Engineer
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MEMORANDUM
April 27, 2004
FROM:
Michael C. Van Milligen, City Manager n~"
Gus Psihoyos, Assistant City Engineer ~
TO:
SUBJECT: Iowa Department of Transportation Supplemental Agreement for the
Preliminary Design of the Southwest Arterial
Iowa DOT Project No. STP-U-21 00(634)--70-31
Iowa DOT Agreement No. 6-03-STPU-43
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute a Supplemental Agreement with
the Iowa Department of Transportation (Iowa DOT) for the Preliminary Design of Iowa
Highway 32 (hereinafter referred to as the Southwest Arterial).
DISCUSSION
The City of Dubuque (City) in partnership with Dubuque County (County), the Iowa
Department of Transportation and the Federal Highway Administration (FHWA), secured
a Transportation Equity Act for the 21 st Century (TEA-21) Surface Transportation
Program (STP) Grant in the amount of $1,987,000 awarded by the FHWA for the
Preliminary Design of the Southwest Arterial.
Upon approval and execution of the Supplemental Agreement, the City will solicit
Request for Proposals from qualified consulting engineering firms or project teams, to
determine their interest and capabilities in providing major highway design services for
the design of the Southwest Arterial. The full service design contract will be for a
proposed four-lane highway on new alignment between U.S. Hwy 61/151 and U.S. Hwy
20.
BACKGROUND
The City, Dubuque County, the Iowa DOT and the FHWA have previously entered into a
Project Agreement in which the City agreed to take over the administration of the
Addendum to the 1999 Environmental Assessment, which was completed and submitted
to the FHWA in November 2003. The Project Technical Committee anticipates that the
issuance of Environmental Concurrence and the Finding of No Significant Impact will be
received in July of 2004.
In February 2004, the Project Technical Committee and the Dubuque Metropolitan Area
Transportation Study Policy Committee (DMATS) established the locally preferred
location alignment to be the Altemative E - Design Variation 1, which was presented to
the FHWA for concurrence and approval.
ACTION TO BE TAKEN
The City Council is requested to adopt the enclosed resolution and authorize the Mayor
to sign the Supplemental Agreement for the Preliminary Design of Iowa Highway 32
(Southwest Arterial).
Prepared by Robert D. Schiesl, Civil Engineer
cc: Roger R. Walton, P.E., Local Systems Engineer, Iowa DOT
Bill Baum, City of Dubuque
Laura Carstens, City of Dubuque
Kelley Deutmeyer, ECIA
Mark Jobgen, County of Dubuque
Ken TeKippe, City of Dubuque
RESOLUTION NO.
RESOLUTION APPROVING THE IOWA DEPARTMENT OF
TRANSPORTATION SUPPLEMENTAL AGREEMENT FOR THE
PRELIMINARY DESIGN OF IOWA HIGHWAY 32 (SOUTHWEST ARTERIAL)
Whereas, the City of Dubuque (City) will be the lead agency responsible
for the administration of the Preliminary Design Phase for improvement to Iowa
Highway 32 (Southwest Arterial) which will include a proposed four-lane highway
on new alignment between U.S. Hwy 61/151 and U.S. Hwy 20; and
Whereas, the City in partnership with Dubuque County (County), the Iowa
Department of Transportation and the Federal Highway Administration (FHWA),
secured a Transportation Equity Act for the 21st Century (TEA-21) Surface
Transportation Program (STP) Grant (Project No. STP-U-2100 (634)-70-31)
which will finance the Preliminary Design for improvement to Iowa Highway 32
(Southwest Arterial).
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
CITY OF DUBUQUE, IOWA:
Section 1. That said Supplemental Agreement (Agreement No. 6-03-
STPU-43) for Transportation Equity Act for the 21st Century (TEA-21) Surface
Transportation Program (STP) Grant {Project No. STP-U-2100 (634)--70-31),
between the City of Dubuque and the Iowa Department of Transportation be
approved.
Section 2. That the Mayor be authorized and directed to execute two
copies of said Supplemental Agreement (Agreement No. 6-03-STPU-43) for
Transportation Equity Act for the 21st Century (TEA-21) Surface Transportation
Program (STP) Grant (Project No. STP-U-2100 (634)-70-31), between the City
of Dubuque and the Iowa Department of Transportation.
Passed, adopted and approved this - day of
,2004.
Terrance M. Duggan, Mayor
Attest:
Jeanne F. Schneider, CMC, City Clerk
~~ I~:'~ Department of Transport:~~
~ 430 Sixteenth Avenue sW FAX: 319-364-9614
P.O. Box 3150, Cedar Rapids, IA 52406-3150 roger.walton@dot.state.ia.us
July 29, 2003
Ret. STP-U-2100(634)--70-31
Dubuque County
City of Dubuque
Agreement 6-03-STPU-43
Mike Koch, P.E.
City Engineer
50 West 13th Street
Dubuque, IA 52001
SUBJECT: STP Project
Dear Mike:
I have attached two (2) copies of an agreement between city of Dubuque and the Iowa Department of
Transportation for the above referenced project. The project involves grading and paving the
southwest arterial.
Please secure the necessary approvals and signatures of your city council 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 I will have the fully executed agreement returned to your
office.
You and/or any engineer involved with the project should carefully review both the exhibit sections
that pertain to project right of way acquisition and the agreement paragraph pertaining to the amount
of federal funds.
If you have any questions concerning this agreement, please contact me at the above listed phone
number.
Very truly yours,
~{(. 9r~
Roger R. Walton, P.E.
Local Systems Engineer
RRW:keh
Attachment
AUG Ó; 2003
. -
September 2002
IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT FOR FEDERAL-AID
SURFACE TRANSPORTATION PROGRAM (STP) PROJECT
(Section 330 Project)
RECIPIENT: City of Dubuque
PROJECT NO.: STP-U-2100(634)-70-31
IOWA DOT
AGREEMENT NO.: 6-03-STPU-43
This is an agreement between the City of Dubuque (hereinafter referred to as the
RECIPIENT) and the Iowa Department of Transportation (hereinafter referred to as the
DEPARTMENT). Iowa Code Sections 306A and 307.44 provide for the RECIPIENT and the
DEPARTMENT to enter into agreements with each other for the purpose of financing
transportation improvement projects on streets and highways in Iowa with Federal funds. The
RECIPIENT proposes a Surface Transportation Program (STP) project for funding under
Section 330 of the FY 2003 Omnibus Appropriations Act, pI 108-7.
The Transportation Equity Act for the 21" Century (TEA-21), enacted in 1998, reestablished
the Surface Transportation Program (STP). Federal regulations provide that the STP funds
are to be administered by the DEPARTMENT.
The OMB (Office of Management and Budget) Circular A-B3 requires the RECIPIENT to
report the CFDA (Catalog of Federal Domestic Assistance) 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 Department and the East Central Intergovernmental Association, the
DEPARTMENT agrees to provide STP funding to the RECIPIENT fur the authorized and
approved costs for eligible items associated with said improvements.
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 local governmental agency for carrying out the
provisions of this agreement.
2.
All notices required under this agreement shall be made in writing to the
DEPARTMENT and the RECIPIENT's contact person. The DEPARTMENT's
contact person shall be the District 6 Local Systems Engineer. The RECIPIENT's
contact person shall be the Public Works Director, Mike Koch.
STP Project Agreement
Page 2
3.
The RECIPIENT shall be responsible for the development and completion of the
following described STP (Section 330) project:
Grade and Pave the Southwest Arterial.
4.
The RECIPIENT shall receive reimbursement of Federal STP funds for authorized
and approved project costs of eligible items. The portion of the eligible project costs
paid by Federal STP funds shall be limited to a maximum of either 100 percent of
eligible costs or the amount stipulated in the
East Central Intergovernmental Association current Transportation Improvement
Program (TIP) and approved in the current Statewide Transportation Improvement
Program (STIP), whichever is less.
5.
This agreement will become null and void if the project described in Section 3. drops
out of the East Central Intergovernmental Association current TIP or the approved
current STIP prior to obligation of Federal fimds.
6.
If any part of this agreement is found to be void and unenforceable, the remaining
provisions of this agreement shall remain in effect.
7.
It is the intent of both parties that no third party beneficiaries be created by this
agreement.
8.
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.
9.
This agreement, as set forth in items 1 through 9 and EXIllBIT 1 paragraphs 1
through 30 herein, constitutes the entire agreement between the DEPARTMENT and
the RECIPIENT concerning this project. Representations made before the signing of
this agreement are not binding, and neither party has relied upon conflicting
representations in entering into this agreement. Any change or alteration to the tenns
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 DEPARTMENT
and the RECIPIENT.
STP Project Agreement
Page 3
IN WITNESS WHEREOF, each of the parties hereto has executed this Agreement Number
6-03-STPU-43 as ofthe date shown opposite its signature below.
RECIPIENT: City of Dubuque
City Signature Block (City Projects Only)
By
Date
Title
I, ' certifY that I am the City Clerk of Dubuque, and
that , who signed said Agreement for and on behalf of
the City of Dubuque was duly authorized to execute the same by virtue of a formal
Resolution duly passed and adopted by the City on the - day of
Signed
Date
City Clerk of Dubuque, Iowa
County Signature Block (County Projects Only)
This agreement was approved by official action of the
County Board of Supervisors in official session on the _day of
County Auditor
Chair, Board of Supervisors
IOWA DEPARTMENT OF TRANSPORTATION
Highway Division
By
Date
RogerR. Walton, P.E.
Local Systems Engineer
District 6
January 2003
EXHIBIT 1
Standard Provisions for Federal-Aid
Project Agreement
L
Since this project is to be financed 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, subrecipients, and
contractors, no person in the United States shall be excluded ITom
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. The DEPARTMENT will determine a Disadvantage
Business Enterprise (DBE) Commitment on all Federal-aid projects.
2.
The RECIPIENT must receive notice of FHW A authorization from the
DEPARTMENT before beginning any work for whim federal-aid
Reimbursement will be requested. The cost of work, occurring prior to securing
FHW A authorization, wiD not be reimbursed with federal-aid funds. The
RECIPIENT must contact the District Local Systems Engineer to obtain the
procedures necessary to secure FHW A authorization.
3.
The RECIPIENT shall take the appropriate actions and prepare the necessary
documents to fulfill the FHWA requirements for project environmental studies
including historicallcultural reviews and location/design approval. 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 obtain agreements, as needed, ITom railroad and utility
companies and shall obtain project permits and approvals, when necessary, ITom 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 DEPARTMENT, etc.
5.
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 DEPARTMENT for review and authorization to let the project.
EXHIBIT 1
Page 2
6.
7.
8.
9.
If Federal-aid is requested for in-house engineering services, the RECIPIENT will
follow the procedure outlined by the DEPARTMENT. The RECIPIENT, desiring to
claim indirect costs under Federal awards, must prepare an indirect cost rate proposal
and related docwnentation 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.
IfFederal"aid is requested for prelinrinary and/or construction engineering costs, the
RECIPIENT will select a consultant(s) in accordance with the DEPARTMENT's
consultant selection process.
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.
After the contents of the consultant contract have been mutually approved, the
RECIPIENT shall execute the contract and forward 1he same to 1he DEPARTMENT
for authorization only iffederal funds are used for engineering services.
10.
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 1he road is not
started by the close of 1he tenth fiscal year following the fiscal year in which the
Federal-Aid Project agreement is executed, the RECIPIENT will repay to the
DEPARTMENT an amount equal to the amount of Federal funds made available for
such engineering.
11.
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 DEPARTMENT's Right of Way
Manual. The RECIPIENT shall contact the DEPARTMENT for assistance, as
necessary, to ensure compliance with the required procedures, even if no federal
funds in Right of Way purchase are involved. The RECIPIENT will need to get
environmental concurrence before acquiring any needed right-of-way. With prior
approval, hardsbip 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's (FHWA)
authorization before purchasing any needed right-of-way.
12.
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 State's right of way. Certain titility
relocation, alteration, adjustment, or removal costs to the RECIPIENT for the project
may be eligible for Federal-aid reimbursement in accordance with the FHW A rules
applicable to the type of utility involved and Iowa Code Chapter 306A.
. .
EXHIBITl
Page 3
13.
14.
15.
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 (lAC) Chapter 130. The
safety of the general public shall be assured through the use of proper protective
measures and devices such as fences, barricades, signs, flood lighting, and warning
lights as necessary.
The RECIPIENT shall forward a Federal-aid Project Development Certification and
final PS&E to the DEP AR1MENT. As a condition for the Department to let project,
the RECIPIENT agrees that the RECIPIENT has the financial resources to proceed
with the project ifbids 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.
If the project is to be accomplished via a contract awarded by competitive bidding,
the project will be let by the DEP AR1MENT in accordance with its normal letting
procedures. After bids are received and reviewed, the DEPARTMENT will furnish
the RECIPIENT with a tabulation of respousive bids received.
16.
When let by the DEPARTMENT, the DEPARTMENT will prepare an Iowa DOT
Staff Action for concurrence to award the contract. The DEPARTMENT will mail
three (3) originals of the unexecuted contract(s) to the RECIPIENT.
17.
The RECIPIENT shall take action to award the contract or reject all bids. Following
award of contract and signature by the lowest responsive bidder, the RECIPIENT
shall forward to the DEPAR1MENT two (2) copies of the fully executed contract,
two (2) copies of the performance bond, and two (2) copies of the certificate of
insurance.
18.
If Federal-aid is requested for force account construction, the RECIPIENT will
follow the procedure outlined by the DEP AR1MENT.
19.
The DEPARTMENT will prepare the Federal-aid Project Agreement and submit it
for Federal Highway Administration (FHW A) approval and obligation of Federal-aid
funds.
20.
The RECIPIENT shall comply with the procedures and responsibilities for materials
testing and construction inspection according to Department's Instructional
Memorandums (LM's). The DEPARTMENT will bill the RECIPIENT for testing
services according to its normal policy.
21.
The project shall be constructed under the DEPARTMENTs 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 DEPARTMENT.
.
. ,
~
EXHIBITl
Page 4
22.
23.
24.
25.
26.
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 fullowing 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 DEPARTMENT.
The RECIPIENT may submit to the DEPARTMENT periodic it¡)mized 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.
The DEPARTMENT shall reimburse the RECIPIENT for properly documented and
certified claims for eligible project costs, either by state warrant, or by crediting other
accounts JÌ"om which payment may have been initially made. If, upon audits of
contracts, the DEPARTMENT determines the RECIPIENT is overpaid, the
RECIPIENT shall reimburse the overpaid amount to the DEPARTMENT.
Upon completion of the project described in this agreement, a professional engineer
licensed to practice in the State of Iowa shall certify in writing to the
DEPARTMENT that the project was completed in substantial compliance with the
plans and specifications set out in this agreement Final reimbursement of Federal
funds shall be made only after the DEPARTMENT accepts the project as complete.
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
1he construction period and for three years from 1he date of final Federal
reimbursement, for inspection by the DEPARTMENT, FHWA, or any authorized
representatives of 1he Federal Government. Copies of said materials shall be
furnished by the RECIPIENT if requested.
27.
The RECIPIENT agrees to indemnify, defend and hold the DEPARTMENT harmless
from any action or liability arising out of the design, construction, maintenance,
placement of traffic control devices, inspection or use of this project. This agreement
to indemnify, defend and hold harmless applies to all aspects of the
DEPARTMENTs application review and approval process, plan and construction
reviews, and funding participation.
28.
The RECIPIENT shall maintain, or cause to be maintained, the completed
improvement in a manner acceptable to the DEPARTMENT and the FHW A
29.
Implementation of Clean Air Act and Federal Water Pollution Control Act
(Applicable to Contracts and Subcontracts which exceed $100,000):
a.
The RECIPIENT stipulates that any facility to be utilized in
performance under or to benefit from this agreement is not listed on
the Environmental Protection Agency (EP A) List of Violating
Facilities or is under consideration to be listed. This is issued
pursuant to the requirements of the Clean Air Act, as amended, and
1he Federal Water Pollution Control Act, as amended.
t o'
".
EXIDBITI
Page 5
b.
The RECIPIENT agrees to comply with all of the requirements of
Section 114 of the Clean Air Act and Section 308 of the Federal
Water Pollution Control Act, and all regulations and guidelines issued
thereunder.
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 DEPARTMENT
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 ofIowa Code Chapter 384. 384 (Cities) and Iowa Code
Chapter 311 (Counties). The RECIPIENT agrees that at such time as its collections
(exclusive of interest and penalties which shall be retained by the RECIPIEN1) from
special assessments levied for this project exceed the local sh3re of total projects
costs, the RECIPIENT shall refund to the DEPARTMENT all funds collected in
excess of the total project costs (including interest and penalties associated with the
amount of the excess) within sixty (60) days of the receipt of any special assessment
payments. The RECIPIENT shall notify the DEPARTMENT when any lands
specially assessed no longer qualify for an agricultural deferment of the special
assessment have been satisfied The DEPARTMENT shall credit reimbursement
billings to the FHW A in the amount of refunds received from the RECIPIENT.
30.
September 2002
IOWA DEPARTMENT OF TRANSPORTATION
AGREEMENT FORFEDERAL-AlD
SURFACE TRANSPORTATION PROGRAM (STP) PROJECT
(Section 330 Project)
RECIPIENT: City of Dubuque
PROJECT NO.: STP-U-2100(634)--70-31
IOWA DOT
AGREEMENT NO.: 6-03-STPU-43
This is an agreement between the City of Dubuque (hereinafter retèrred to as the
RECIPIENT) and the Iowa Department of Transportation (hereinafter referred to as the
DEPARTMENT). Iowa Code Sections 306A and 307.44 provide for the RECIPIENT and the
DEPARTMENT to enter into agreements with each other for the purpose of financing
transportation improvement projects on streets and highways in Iowa with Federal funds. The
RECIPIENT proposes a Surface Transportation Program (STP) project for funding under
Section 330 of the FY 2003 Omnibus Appropriations Act, pI 108-7.
The Transportation Equity Act for the 21" Century (TEA-21), enacted in 1998, reestablished
the Surface Transportation Program (STP). Federal regulations provide that the STP funds
are to be administered by the DEPARTMENT.
The OMB (Office of Management and Budget) Circular A-133 requires the RECIPIENT to
report the CFDA (Catalog of Federal Domestic Assistance) 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 Department and the East Central Intergovernmental Association, the
DEPARTMENT agrees to provide STP funding to the RECIPIENT for the authorized and
approved costs for eligible items associated with said improvements.
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 local governmental agency for carrying out the
provisions of this agreement.
2.
All notices required under this agreement shall be made in writing to the
DEPARTMENT and the RECIPIENT's contact person. The DEPARTMENT's
contact person shall be the District 6 Local Systems Engineer. The RECIPIENT's
contact person shall be the Public Works Director, Mike Koch.
STP PrQject Agreement
Page 2
3.
The RECIPIENT shall be responsible for the development and completion of the
following described STP (Section 330) project:
Grade and Pave the Southwest Arterial.
4.
The RECIPIENT shall receive reimbursement of Federal STP funds for authorized
and approved project costs of eligible items. The portion of the eligible project costs
paid by Federal STP funds shall be limited to a maximum of either 100 percent of
eligible costs or the amount stipulated in the
East Central Intergovernmental Association current Transportation Improvement
Program (TIP) and approved in the current Statewide Transportation Improvement
Program (STIP), whichever is less.
5.
This agreement will become null and void if the project described in Section 3. drops
out of the East Central Intergovernmental Association current TIP or the approved
current STIP prior to obligation of Federal funds.
6.
If any part of this agreement is found to be void and unenforceable, the remaining
provisions of this agreement shall remain in effect.
7.
It is the intent of both parties that no third party beneficiaries be created by this
agreement.
8.
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.
9.
This agreement, as set forth in items 1 through 9 and EXHIBIT 1 paragraphs 1
through 30 herein, constitutes the entire agreement between the DEPARTMENT and
the RECIPIENT concerning this project. Representations made before the signing of
this agreement are not binding, and neither party has relied upon conflicting
representations in entering into this agreement. Any change or alteration to the terms
of this agreement must De made in the form of an addendum to this agreement. Said
addendum shall become effective only upon written approval of the DEPARTMENT
and the RECIPIENT.
STP PrQject Agreement
Page 3
IN WITNESS WHEREOF, each of the parties hereto has executed this Agreement Number
6-03-STPU-43 as of the date shown opposite its signature below.
RECIPIENT: City of Dubuque
City Signature Block (City Projects Only)
By
Date
Title
I, ' certify that I am the City Clerk of Dubuque, and
that , who signed said Agreement for and on behalf of
the City of Dubuque was duly authorized to execute the same by virtue of a formal
Resolution duly passed and adopted by the City on the ~ day of
Signed
Date
City Clerk of Dubuque, Iowa
County Signature Block (County Projects Only)
This agreement was approved by official action of the
County Board of Supervisors in official session on the _day of
County Auditor
Chair, Board of Supervisors
IOWA DEPARTMENT OF TRANSPORTATION
Highway Division
By
Date
RogerR. Walton, P.E.
Local Systems Engineer
District 6
Jan:runy 2003
EXHIBIT 1
Standard Provisions for Federal-Aid
Project Agreement
1.
Since this project is to be financed 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, subrecipients, and
contractors, no person in the United States shall be excluded from
participation in, be denied the benefits oJ: or be otherwise subjected to
discrimination on the grounds of race, color, national origin, sex, age or
handicap/disability. The DEPARTMENT will determine a Disadvantage
Business Enterprise (DBE) Commitment on all Federal-aid projects.
2.
The RECIPIENT must receive notice of FBW A authorization from the
DEPARTMENT before beginning any work for wbiclt federal-aid
Reimbnrsement will be reqnested. The cost of work, occnrring prior to securing
FBW A anthorization, will not be reimbursed with federal-aid funds.. The
RECIPIENT must contact the District Local Systems Engineer to obtain the
procedures necessary to secure FBW A anthorization.
3.
The RECIPIENT shall take the appropriate actions and prepare the necessary
docùments to fulfill the FHW A requirements for project environmental studies
including historical/cultural reviews and location/design approval If farrnland is to
be acquired, whether for use as project right-of-way or permanent easement, the
RECIPIENT shall submit the US. Department of Agriculture Famùand Conversion
Impact Rating form, when required, to the U.S. Natural Resources Conservation
Service (NRCS).
4.
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, US. Coast Guard,
US. Army Corps of Engineers and the DEPARTMENT, etc.
5.
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 ofIowa. The
RECIPIENT shall submit the plans, specifications and other contract documents to
the DEPARTMENT for review and authorization to let the project.
EXIDBIT 1
Page 2
6.
7.
8.
9.
If Federal-aid is requested for in-house engineering services, the RECIPIENT will
follow the procedure outlined by the DEPARTMENT. 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
If Federal-aid is requested for preliminary and/or construction engineering costs, the
RECIPIENT will select a consultant(s) in accordance with the DEPARTMENT's
consultant selection process.
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.
After the contents of the consultant contract have been mutually approved, the
RECIPIENT shall execute the contract and forward the same to the DEPARTMENT
for authorization only iffederal funds are used for engineering services.
10.
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
DEPARTMENT an amount equal to the amount of Federal funds made available for
such engineering.
11.
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 DEPARTMENTs Right of Way
Manual. The RECIPIENT shall contact the DEPARTMENT for assistance, as
necessary, to ensure compliance with the required procedures, even if no federal
funds in 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's (FHW A)
authorization before purchasing any needed right-of-way.
12.
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 State'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
EXHIBITl
Page 3
13.
14.
15.
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 (lAC) Chapter 130. The
safety of the general public shall be assured through the use of proper protective
measures and devices such as fences, barricades, signs, flood lighting, and warning
lights as necessary.
The RECIPIENT shall forward a Federal-aid Project Development Certification and
final PS&E to the DEPARTMENT. As a condition for the Department to let project.
the RECIPIENT agrees that the RECIPIENT has the financial resources to proceed
with the project ifbids 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.
If the project is to be accomplished via a contract awarded by competitive bidding,
the project will be let by the DEPARTMENT in accordance with its normal letting
procedures. After bids are received and reviewed, the DEPARTMENT will furnish
the RECIPIENT with a tabulation of responsive bids received.
16.
When let by the DEPARTMENT, the DEPARTMENT will prepare an Iowa DOT
Staff Action for concurrence to award the contract. The DEPARTMENT will mail
three (3) originals of the unexecuted contract(s) to the RECIPIENT.
17.
The RECIPIENT shall take action to award the contract or reject all bids. Following
award of contract and signature by the lowest responsive bidder, the RECIPIENT
shall forward to the DEPARTMENT two (2) copies of the fully executed contract,
two (2) copies of the performance bond, and two (2) copies of the certificate of
insurance.
18.
If Federal-aid is requested for force account construction, the RECIPIENT will
follow the procedure outlined by the DEPARTMENT.
19.
The DEPARTMENT will prepare the Federal-aid Project Agreement and submit it
for Federal Highway Administration (FHW A) approval and obligation of Federal-aid
funds.
20.
The RECIPIENT shall comply with the procedures and responsibilities for materials
testing and construction inspection according to Department's Instructional
Memorandums (1M's). The DEPARTMENT will bill the RECIPIENT for testing
services according to its normal policy.
21.
The project shall be constructed under the DEPARTMENT'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 DEPARTMENT. .
EXHIBITl
Page 4
22.
23.
24.
25.
26.
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 DEPARTMENT.
The RECIPIENT may submit to the DEPARTMENT periodic itemized claims for
reimbursement for eligible project costs. Reimbursement claims shall include
certification that all eligible project costs, for which reimbursement is requested, have
been completed in substantial compliance with the terms of this agreement.
The DEPARTMENT shall reimburse the RECIPIENT for properly documented and
certified claims for eligible project costs, either by state warrant, or by crediting other
accounts ITom which payment may have been initially made. n: upon audits of
contracts, the DEPARTMENT determines the RECIPIENT is overpaid" the
RECIPIENT shall reimburse the overpaid amount to the DEPARTMENT.
Upon completion of the project described in this agreement, a professional engineer
licensed to practice in the State of Iowa sbal1 certify in writing to the
DEPARTMENT that the project was completed in substantial compliance with the
plans and specifications set out in this agreement. Final reimbursement of Federal
funds sha1l be made onJy after the DEPARTMENT accepts the project as complete.
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 ITom the date of final Federal
reimbursement, for inspection by the DEPARTMENT, FHWA, or any authorized
representatives of the Federal Government. Copies of said materials sbal1 be
furnished by the RECIPIENT if requested
27.
The RECIPIENT agrees to indemnify, defend and hold the DEPARTMENT harmless
ITom any action or liability arising out of the design, construction, maintenance,
placement of traffic control devices, inspection or use of this project. This agreement
to indemnify, defend and hold harmless applies to all aspects of the
DEPARTMENT's application review and approval process, plan and construction
reviews, and funding participation.
28.
The RECIPIENT sbal1 maintain, or cause to be maintained, the completed
improvement in a manner acceptable to the DEPARTMENT and the FHW A.
29.
Implementation of Clean Air Act and Federal Water Pollution Control Act
(Applicable to Contracts and Subcontracts which exceed $100,000):
a.
The RECIPIENT stipulates that any facility to be utilized in
performance under or to benefit ITom this agreement is not listed on
the Environmental Protection Agency (EP A) List of Violating
Facilities or is Wlder consideration to be listed This is issued
pursuant to the requirements of the Clean Air Act, as amei1ded, and
the Federal Water Pollution Control Act, as amended
EXHIBIT 1
Page 5
30.
b.
The RECIPIENT agrees to comply with all of the requirements of
Section 114 of the Clean Air Act and Section 308 of the Federal
Water Pollution Control Act, and all regulations and guidelines issued
thereunder.
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 DEPARTMENT
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 ofIowa Code Chapter 384. 384 (Cities) and Iowa Code
Chapter 311 (Counties). The RECIPIENT agrees that at such time as its collections
(exclusive of interest and penalties which shall be retained by the RECIPIENT) ftom
special assessments levied for this project exceed the local share of total projects
costs, the RECIPIENT shall refund to the DEPARTMENT all funds collected in
excess of the total project costs (including interest and penalties associated with the
amount of the excess) within sixty (60) days of the receipt of any special assessment
payments. The RECIPIENT shall notify the DEPARTMENT when any lands
specially assessed no longer qualify for an agricultural deferment of the special
assessment have been satisfied. The DEPARTMENT shall credit reimbursement
billings to the FHW A in the amount of refunds received ftom the RECIPIENT.