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MEMORANDUM
June 29, 2006
TO:
The Honorable Mayor and City Council Members
FROM:
Michael C, Van Milligen, City Manager
SUBJECT: Iowa Department of Transportation Agreement for Iowa Clean Air
Attainment Program (ICAAP) Project
City Engineer Gus Psihoyos is recommending execution of the agreement with the Iowa
Department of Transportation for the Iowa Clean Air Attainment Program Project for the
US 20 Capacity Improvements,
I concur with the recommendation and respectfully request Mayor and City Council
approval.
J1J~
Michael C, Van Milligen
MCVM/ksf
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Gus Psi hoyos, City Engineer
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MEMORANDUM
June 27, 2006
FROM:
Michael C. Van Milligen, City M:9}:)nag
Gus Psihoyos, City Engineer _
-
Iowa Department of Transportation Agreement for a Iowa Clean
Air Attainment Program (ICAAP) Project
Iowa DOT Project No. STP-A-20-9(186)-22-31
Iowa DOT Agreement No. 6-06-STPA-19
TO:
SUBJECT:
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute the Iowa Department
of Transportation Agreement for the Iowa Clean Air Attainment Program
(ICAAP) Project of the US 20 (Devon Drive to Menards) Capacity
Improvements - Priority 1, Traffic Signal and Intelligent Transportation System
Improvements.
BACKGROUND
On March 8, 2005, the Iowa Transportation Commission approved the City's
ICAAP application for the US 20 Capacity Improvements - Priority 1 (US 20 -
Devon Drive to Menards).Priority 1. focuses on the continuing traffic
monitoring/management of US 20 Corridor operations; i.e., collection of traffic
volume data, intersection reports, video monitoring, and the overall control of
the Corridor from a remote location.
DISCUSSION
This agreement between the Iowa Department of Transportation (Iowa DOT)
and the City of Dubuque (City) provides the funding of the US 20 Capacity
Improvements Project - Priority 1. The Iowa Clean Air Attainment Program
(ICAAP) funds provides for the: 1) Installation of cameras, video detectors,
and traffic control boxes at five intersections (Devon Drive, John F. Kennedy
Road/Cedar Cross Road, Wacker Drive, the Northwest Arterial, and Menards)
along the US 20 Corridor; and 2) Installation of fiber optic cable in the US 20
Corridor from Devon Drive to Hill Street. This effort also provides for new
conduit, fiber, handholes, communications equipment and a traffic signal
workstation at 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 the
Iowa Clean Air Attainment Program (ICAAP) Project of the US 20 Capacity
Improvements - Priority 1 (US 20 - Devon Drive to Menards).
BUDGET IMPACT
The summary of the project costs is as follows:
CIP
3001266
ICAAP Funds
(80% Maximum of Total Eligible Items)
New Conduit Run from Devon Drive to City Hall
$260,370
183,697
$444,067
Total Project Funding
This agreement will become null and void if the project drops out of the East
Central Intergovernmental Association (ECIA) current Transportation
Improvement Program (TIP) or the approved current Iowa DOT Statewide
Transportation Improvement Program (STIP) prior to authorization of federal
funds.
ACTION TO BE TAKEN
The City Council is requested to adopt the enclosed resolution and to
authorize the Mayor to sign the Iowa Department of Transportation Agreement
for the Iowa Clean Air Attainment Program (ICAAP) Project of the US 20
Capacity Improvements - Priority 1 (US 20 - Devon Drive to Menards).
cc: Roger R. Walton, PE - Iowa Department of Transportation
Chris Kohlmann, Information Services Manager
David Ness, PE
RESOLUTION NO.
RESOLUTION APPROVING THE IOWA DEPARTMENT OF
TRANSPORTATION AGREEMENT FOR THE IOWA CLEAN AIR
ATTAINMENT PROGRAM (ICAAP) PROJECT OF THE US 20 (DEVON DRIVE
TO MENARDS) CAPACITY IMPROVEMENTS - PRIORITY 1, TRAFFIC
SIGNAL AND INTELLIGENT TRANSPORTATION SYSTEM IMPROVEMENTS
Whereas, the Iowa Department of Transportation (Iowa DOT) has made
funds available for the US 20 (Devon Drive to Menards) Capacity Improvements
_ Priority 1, Traffic Signal and Intelligent Transportation System Improvements;
and
Whereas, City of Dubuque Traffic Signal Improvements Priority 1 (US 20 -
Devon Drive to Menards) has been developed to continuing traffic
monitoring/management of the US 20 Corridor operations; i.e., collection of traffic
volume data, intersection reports, video monitoring, and the overall control of the
Corridor from a remote location; and
Whereas, the Iowa Clean Air Attainment Program (ICAAP) Funds will be
required to complete said traffic monitoring/management of the US 20 Corridor
operations for City of Dubuque Traffic Signal Improvements Priority 1.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
CITY OF DUBUQUE, IOWA:
Section 1. That said Iowa Department of Transportation Agreement for
US 20 (Devon Drive to Menards) Capacity Improvements - Priority 1, Traffic
Signal and Intelligent Transportation System Improvements 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 Iowa Department of Transportation Agreement for US 20 (Devon
Drive to Menards) Capacity Improvements - Priority 1, Traffic Signal and
Intelligent Transportation System Improvements between the City of Dubuque
and the Iowa Department of Transportation.
Passed, adopted and approved this
day of
,2006.
Roy D. Buol, Mayor
Attest:
Jeanne F. Schneider, CMC, City Clerk
~~ 1~~:,oepartmentofTranSpo~~~~,
~ 430 Sixteenth Avenue SW FAX: 319-365-9987
P.O. Box 3150, Cedar Rapids, IA 52406-3150 roger.walton@dot.state.ia.us
May 26, 2006
Ref: STP-A-20-9(186)--22-31
Dubuque County
City of Dubuque
Mr. Gus Psihoyos, P.E.
City of Dubuque
Engineering Division
50 West 13th Street
Dubuque, IA 52001-4864
SUBJECT: Iowa DOT Agreement No. 6-06-STPA-19
Dear Gus:
I have attached two (2) copies of an agreement between the City of Dubuque and the Iowa
Department of Transportation for the above referenced project. The project involves the installation
of cameras and fiber communications with the cameras, video detectors, and traffic control boxes in
the US 20 corridor from the Menards entrance to Devon Drive. This project also includes the
installation of fiber optic cable in the US 20 corridor from Devon Drive to Hill Street.
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
offederal funds.
If you have any questions concerning this agreement, please contact me at the above listed phone
number.
Very truly yours,
-L Il. 91"~
lo~er R. Walton, P.E.
RRW:wb
Attachment
Iowa Department of Transportation
Agreement for a
Iowa Clean Air Attainment Program (ICAAP) Project
RECIPIENT: City of Dubuque
PROJECT NO: STP-A-20-9(186)--22-31
IOWA DOT
AGREEMENT NO.: 6-06-STP A-19
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 21st 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 A wards".
Pursuant to the terms of this agreement, applicable statutes, administrative rules, and
programming by the DOT and the Dubuque Metropolitan Area Transportation System
(DMA TS), the DOT agrees to provide funding to the Recipient for the authorized and
approved costs for eligible items associated with the development of the installation of
cameras and fiber communications with the cameras, video detectors, and traffic control
boxes in the US 20 corridor from the Menards entrance to Devon Drive. This project
also includes the installation of fiber optic cable in the US 20 corridor from Devon Drive
to Hill Street.
In consideration of the foregoing and the mutual promises contained in this agreement,
the parties agree as follows:
I. 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
Kenneth A. Yanna, District 6 Office, 430 16th Avenue SW, P.O. Box 3150, Cedar
Rapids, Iowa 52406-3150, 319-364-0235. The Recipient's contact person shall be
Gus Psihoyos, City of Dubuque - Engineering Division, 50 West 13th Street,
Dubuque, IA 52001, 563-589-4270.
3. The Recipient shall be responsible for the development and completion of the
following described project:
The installation of cameras and fiber communications with the cameras, video
detectors, and traffic control boxes in the US 20 corridor from the Menards
entrance to Devon Drive. This project also includes the installation of fiber optic
cable in the US 20 corridor from Devon Drive to Hill Street.
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:
lCAAP Funds (Grant):
$454,084
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, $454,084, 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 ofIowa 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.
II. 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.
\3. This agreement will become null and void if the project described in Section 3
drops out of the Dubuque Metropolitan Area Transportation System 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 ofIowa, 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 project's purposes shall
be subject to any future plans for reconstruction, improvement,
maintenance, and/or relocation of the highway by the DOT. Any
relocation ofthis 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 (FHW A)
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 FHW A 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 (lAC) 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 761 lAC 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 oflowa. 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 ofthe 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, FHW A, 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 ofIowa,
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 proj ect. 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 lAC 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 affirmative
action to assure equal employment opportunity as required by the lAC 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 I 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 ofan 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.
6-06-STP A-19 as of the date shown opposite its signature below.
RECIPIENT: City of Dubuque
By:
Title:
Date:
_,20_
I,
, certify that I am
, and that , who
signed said Agreement for and on behalf of was duly
authorized to execute the same by virtue of a formal Resolution duly passed and adopted
by , on the day of
,20_.
Signed:
Date:
_,20_
Address:
------------------------------------------------------------------------------------------------------------
lOW A DEPARTMENT OF TRANSPORTATION
District 6 Office
430 16th Avenue SW, P.O. Box 3150, Cedar Rapids, Iowa 52406-3150
By:
Date
_,20_
Roger R. Walton, P.E.
Staff Engineer
District 6 Office
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.
I. 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 storm water treatment facilities (limited to 20% of total cost of 3 R-
type transportation projects).
p. 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.
q. Development and establishment of management systems under 23 U.S.C 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 (SOY)
unless the facility is for high-occupancy vehicles and is only available to SOY'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 ofaltematively 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
I. 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 FHW A authorization from the DOT
before beginning any work for which federal-aid reimbursement will be
requested. The cost of work, occurring prior to securing FHW A
authorization, will not be reimbursed with federal-aid funds. The Recipient
must contact the DOT 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 FHW A requirements for project environmental studies
including historical/cultural reviews and location/design approval. The Recipient
shall complete any mitigation agreed upon in the FHW A 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 II) 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.
IS. The Recipient shall forward a Federal-aid Project Development Certification and
final PS&E to the DOT. Following FHW A'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 theaward of a
contract is infeasible under small purchase procedures, sealed bids, or
competitive proposals and one ofthe 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 ofthe 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 ofIowa, 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 ofIowa.
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 ofthe 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 D.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 D.S.C. 276a to 276a-7) as supplemented by Department of Labor
regulations (29 CFR part 5).
g. 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 D.S.C. 327-330) as supplemented by
Department of Labor Regulations (29 CFR part 5).
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.
1. Construction contracts in excess of $1 0,000 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. 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 D.S.C.
I 857(h)), section 508 of the Clean Water Act (33 D.S.C. 1368), Executive
Order 11738, and Environmental Protection Agency regulations (40 CFR
part IS).
24. The DOT will prepare the Federal-aid Project Agreement and submit it for
FHW A 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 ofreceipt of
public funds; or
B. Repay the State ofIowa 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 ofIowa 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 FHW A in the
amount of refunds received from the Recipient.