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SW Arterial Design IDOT Agree DU~-@uE ~ck~ 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 a r::;; w D~ ~ck~ 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.