HomeMy WebLinkAboutIowa Department ofg Transportation-03.23.2009 March 2009 40' A00��
IOWA DEPARTMENT OF TRANSPORTATION
Agreement for a Federal Highway Stimulus Program Project
Recipient: City of Waterloo
Project No.: ESL-8155(708)--7S-07
Iowa DOT Agreement No.: 02-09-ESP-020
This is an agreement between the City of Waterloo, Iowa (hereinafter referred to as the Recipient) and the Iowa
Department of Transportation (hereinafter referred to as the Department). Iowa Code Sections 306A.7 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. Federal regulations require
Federal funds to be administered by the Department.
Title XII of Division A of the American Recovery and Reinvestment Act (ARRA) of 2009 provided Federal funds for a
Highway Infrastructure Investment program, referred to hereinafter as"Federal stimulus funds." These funds may be
used for any projects as specified by Section 133(b) of Title 23, United States Code (U.S.C.). This includes highway
construction, reconstruction, rehabilitation, -esurfacing, and restoration projects. It also includes transportation
enhancements, operational or safety improvement projects on highways, bridges on any public road, and any other
projects or activities as specified in 23 U.S.C. 133(b). Projects may not be located on roads classified as local or rural
minor collector on the Federal Functional Classification system, except for transportation enhancement activities or as
otherwise provided for in 23 U.S.C. 133(c).
Pursuant to the terms of this agreement, applicable statutes, and administrative rules, the Department agrees to
provide Federal stimulus funding to the Recipient for the authorized and approved costs for eligible items associated
with the project.
Under this agreement, the parties further 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 appropriate contact person. The
Department's contact person will be the District 2 Local Systems Engineer. The Recipient's contact person
shall be the City Engineer.
3. The Recipient shall be responsible or the development and completion of the following project:
HMA Resurfacing on various locations( Broadway St. from Burton Avenue to Donald Street, Broadway Street
from Park Avenue to Utica Street, La Porte Road from Plymouth Avenue to Grimm Street and San Marnan
Drive from Hammond Avenue to Penny's Street.)
4. The Recipient shall receive reimbursement for costs of authorized and approved eligible project activities from
Federal stimulus funds. The portion of the project costs reimbursed by Federal stimulus funds shall be limited
to a maximum of either 100 percent of eligible costs or the amount stipulated in the approved Statewide
Transportation Improvement Program (STIP), whichever is less.
5. Due to the size, scope, and special purposes of the ARRA legislation, several special requirements will apply
to this project, in addition to those required by Title 23 United States Code and its implementing regulations,
as outlined in Exhibit 1. These special requirements include, but may not be limited to, the following:
a. All construction contracts shall be let through the Department's competitive bidding process.
b. The project construction must be let for bids no later than January 20, 2010.
c. Once obligated, the Federal stimulus funds for this project will remain available for reimbursement of
eligible project expenditures until September 30, 2015. After this date any remaining balance of obligated
funds will be withdrawn and no additional reimbursements will be made from Federal stimulus funds.
Federal Highway Stimulus Project Agreement
Page 2
d. The Department will prepare and submit reports to the Federal Highway Administration (FHWA) for all
projects that receive Federal stimulus funding. The Recipient shall provide data as required to the
Department in order to meet these reporting requirements.
e. The mayor, chairperson of the Board of Supervisors, or other chief executive of the Recipient shall sign
the certification attached as Exhibit 2.
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 agreement.
9. This agreement and the attached Exhibits constitute 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 shall be made in the form of an addendum to this
agreement. The addendum shall become effective only upon written approval of the Department and the
Recipient.
IN WITNESS WHEREOF, each of the parties hereto has executed this agreement as of the date shown opposite its
signature below.
For City Recipients O ly
By Date ilictrch 3 , 20 0 cl
r'h a or
Title of city offic. I
I, d�JG ncy L clle ffi , certify that I am the City Clerk of Waterloo, Iowa, and
that --riYh ititAK l y , who signed said Agreement for and on behalf of the city was duly
authorized to execute the same by virtue of a formal resolution duly passed and adopted by the city on the 3 re,
day of March 20 d
Signe 6444 Date plot r G 1, 33 , 20 6
City Clerk of Waterlo , Iowa
For County Recipients Only
This agreement was approved by official action of the (County Name) County Board of Supervisors in official session
on the day of 20
County Auditor Chair, County Board of Supervisors
For the Iowa Department of Transportation
Highway Division
By Date 20
Robert A. Welper, P.E.
Local Systems Engineer
District 2
March 2009
EXHIBIT 1
General Agreement Provisions for use of Federal Highway Funds on Non-primary Highways
1. General Requirements.
a. The Recipient shall take the necessary actions to comply with applicable State and Federal laws and
regulations. To assist the Recipient, the Department has provided guidance in the Federal-aid Project
Development Guide (Guide) and the Instructional Memorandums to Local Public Agencies (I.M.$) that are
referenced by the Guide. Both are available on-line at: http://www.iowadot.gov/local_systems/
publications/im/Ipa_ims.htm. The Recipient shall follow the applicable procedures and guidelines contained in
the Guide and I.M.s in effect at the time project activities are conducted.
b. In accordance with Title VI of the Civil Rights Act of 1964 and associated subsequent nondiscrimination laws,
regulations, and executive orders, the Recipient shall not discriminate against any person on the basis of
race, color, national origin, sex, age, or disability. In accordance with Iowa Code Chapter 216, the Recipient
shall not discriminate against any person on the basis of race, color, creed, age, sex, sexual orientation,
gender identity, national origin, religion, pregnancy, or disability.
c. The Recipient shall comply with the requirements of Title II of the Americans with Disabilities Act of 1990
(ADA), Section 504 of the Rehabilitation Act of 1973 (Section 504), and the associated Federal regulations
that implement these laws. When pedestrian facilities are constructed, reconstructed, or altered, the
Recipient shall make such facilities compliant with the ADA and Section 504. Pedestrian facilities include
facilities that are designed for pedestrian use, such as pedestrian signals and push buttons, sidewalks, multi-
use trails, curb ramps, and the street surface in the pedestrian crossing area. Alterations are changes to the
structure, grade, function, or use of the pedestrian facility, and include such activities as: full depth pavement
replacement, widening, resurfacing, signal installation, pedestrian signal installation, and other projects of
similar scale and effect. In addition, by signing this agreement, if the Recipient has 50 or more employees, it
certifies one of the following: it has provided ADA compliant curb ramps at all intersections of sidewalks with
public streets under its jurisdiction; it has a transition plan that meets the requirements of 28 CFR 35.150(d),
including provisions for installation of curb ramps at all intersections of sidewalks with public streets under its
jurisdiction; or it is working to develop such a transition plan. If the Recipient does not have a transition plan
or its transition plan does not include curb ramps, the Recipient shall prepare or modify its transition plan to
include curb ramps in accordance with I.M. 1.080, ADA Requirements.
d. 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
Department's application review and approval process, plan and construction reviews, and funding
participation.
e. In case of dispute concerning the terms of this agreement, the parties shall submit the matter to arbitration
pursuant to Iowa Code Chapter 679A. Either party has the right to submit the matter to arbitration after 10
days notice to the other party of their intent to seek arbitration. The written notice shall include a precise
statement of the dispute. The Department 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 paragraph
f. The Office of Management and Budget(OMB) Circular A-133 requires the Department to inform the Recipient
of the appropriate Catalog of Federal Domestic Assistance (CFDA) number and title to be used on the
Schedule of Expenditures of Federal Awards (SEFA) that is required by OMB Circular A-133. CFDA#20.205
and title, "Highway Planning and Construction" shall be used for the Federal funds awarded for this project. If
the Recipient will pay initial project costs and request reimbursement from the Department, the Recipient shall
report this project on its SEFA. If the Department will pay initial project costs and then credit those accounts
from which initial costs were paid, the Department will report this project on its SEFA. In this case, the
Recipient shall not report this project on its SEFA.
2. Federal Authorization.
a. The Recipient shall be responsible for including the project in the appropriate Regional Planning Affiliation
(RPA) or Metropolitan Planning Organization (MPO) Transportation Improvement Program (TIP). The
Recipient shall also ensure that the appropriate RPA or MPO, through their TIP submittal to the Department,
Exhibit 1
Page 2
includes the project in the Statewide Transportation Improvement Program (STIP). If the project is not
included in the appropriate fiscal year of the STIP, Federal funds cannot be authorized.
b. Before beginning any work for which Federal funding reimbursement will be requested, the Recipient shall
contact the Department to obtain the procedures necessary to secure FHWA authorization. The Recipient
shall submit a written request for FHWA authorization to the Department. After reviewing the Recipient's
request, the Department will forward the request to the FHWA for authorization and obligation of Federal
funds. The Department will notify the Recipient when FHWA authorization is obtained. The cost of work
performed prior to FHWA authorization will not be reimbursed with Federal funds.
3. In-House Services.
a. If Federal funding is requested for in-house services, the Recipient shall follow the procedure outlined in I.M.
3.310, Federal-aid Participation in In-House Services. If the Recipient desires to claim indirect costs under
Federal awards, the Recipient shall prepare an indirect cost rate proposal and related documentation in
accordance with the requirements of 2 CFR 225. Before incurring costs for in-house services, such an
indirect cost rate proposal shall be certified by the FHWA or the Federal agency providing the largest amount
of Federal funds to the Recipient.
4. Consultant Services
a. If the Recipient requests Federal funds for consultant services, the Recipient and the Consultant shall prepare
a contract for consultant services in accordance with Title 23, Code of Federal Regulations, Part 172 -
Administration of Negotiated Contracts (23 CFR 172). These regulations require a qualifications-based
selection process. The Recipient shall follow the procedures for selecting and using consultants outlined in
I.M. 3.305, Federal-aid Participation in Consultant Costs.
b. If preliminary engineering is Federally funded, and 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 funds were authorized, the Recipient shall repay to the
Department an amount equal to the amount of Federal funds made available for such engineering.
5. Environmental Requirements and other Agreements or Permits.
a. The Recipient shall take the appropriate actions and prepare the necessary documents to fulfill the FHWA
requirements for project environmental studies including historical/cultural reviews and location approval. The
Recipient shall complete any mitigation agreed upon in the FHWA approval document.
b. 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).
c. 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, the Department, etc.
d. The Recipient shall comply with the Policy for Accommodating Utilities on City and County Federal-aid
Highway 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 funding reimbursement. If the Recipient desires Federal reimbursement of these
costs, it shall submit a request for FHWA Authorization prior to beginning any utility relocation work, in
accordance with the procedures outlined in I.M. 3.650, Federal-aid Participation in Utility Relocations
e. In all contracts entered into by the Recipient, and all subcontracts, in connection with this project that exceed
$100,000, the Recipient shall comply with the requirements of Section 114 of the Clean Air Act and Section
308 of the Federal Water Pollution Control Act, and all their regulations and guidelines. In such contracts, the
Recipient shall stipulate that any facility to be utilized in performance of or to benefit from this agreement is
not listed on the Environmental Protection Agency (EPA) List of Violating Facilities or is under consideration
to be listed.
Exhibit 1
Page 3
6. Right-of-Way.
a. The Recipient shall acquire the prcject 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 I.M.
3.605, Right-of-Way Acquisition, and the Department's Office of Right of Way Local Public Agency Manual.
The Recipient shall contact the Department for assistance, as necessary, to ensure compliance with the
required procedures, even if no Federal funds are used for right-of-way activities. The Recipient shall obtain
environmental concurrence before acquiring any needed right-of-way. With prior approval, hardship and
protective buying is possible. If the Recipient requests Federal funding for right-of-way acquisition, the
Recipient shall also obtain FHWA authorization before purchasing any needed right-of-way.
b. 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 funds were authorized, the Recipient
shall repay the sum or sums of Federal funds in the right-of-way to the Department.
7. Letting the Project.
a. The project plans, specifications, and project cost estimate (PS&E) shall be prepared and certified as
appropriate by a Professional Engineer, Architect, or Landscape Architect licensed in the State of Iowa. The
Recipient shall submit the plans, specifications, and other contract documents to the Department for review
and approval to let the project.
b. The project shall be constructed under the Department's Standard Specifications for Highway and Bridge
Construction. Prior to their use in the PS&E, specifications developed by the Recipient for individual
construction items shall be approved by the Department.
c. The Recipient shall forward a completed Project Development Certification (Form 730002) and final PS&E to
the Department. As a condition for the Department 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 26.12.
d. 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.
e. When let by the Department, the Department will prepare an Iowa DOT Staff Action identifying the lowest
responsive bidder. The Department will mail three originals of the unexecuted contract to the Recipient.
f. The Recipient shall take action to award a contract to the lowest responsive bidder or reject all bids.
Following award of a contract, the Recipient shall forward to the Department two copies of the fully executed
contract, two copies of the performance bond, and two copies of the certificate of insurance.
8. Construction.
a. 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 IAC 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.
b. If Federal funding is requested for construction performed by local agency forces, the Recipient will follow the
procedures outlined in I.M. 3.810, Federal-aid Construction by Local Agency Forces.
c. The Recipient shall comply with the procedures and responsibilities for materials testing according to the
Department's Material I.M.s. The Department will bill the Recipient for testing services according to its normal
policy. The Recipient should use the Department's Construction Manual as a guide for conducting other
construction inspection activities.
Exhibit 1
Page 4
9. Payments.
a. After costs have been incurred, 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 paid in full and completed in substantial
compliance with the terms of this agreement.
b. The Department will reimburse the Recipient for properly documented and certified claims for eligible project
costs, less a withholding of 5% of the Federal and/or State share of construction costs. Reimbursement will
be made either by State warrant or by crediting other accounts from which payment was initially made. If,
upon final audit or review, the Department determines the Recipient has been overpaid, the Recipient shall
reimburse the overpaid amount to the Department. After the final audit or review is complete and after the
Recipient has provided all required paperwork, the Department will release the Federal or State funds
withheld.
c. The total funds collected by the Recipient for this project shall not exceed the total project costs. The total
funds collected shall include any Federal or State funds received, and any special assessments made by the
Recipient (exclusive of any associated interest or penalties), pursuant to Iowa Code Chapter 384 (cities) or
Chapter 311 (counties). The total project costs shall include all costs that can be directly attributed to the
project. In the event that the total funds collected by the Recipient does exceed the total project costs, the
Recipient shall either:
1) refund to the assessed property owners the excess special assessments collected (including interest and
penalties associated with the amount of the excess), or
2) 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 60 days of the receipt of any excess funds. In
return, the Department will either credit reimbursement billings to the FHWA or credit the appropriate
State fund account in the amount of refunds received from the Recipient.
10. Project Close-out.
a. Upon completion of the project, as appropriate, a Professional Engineer, Architect, or Landscape Architect,
licensed 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.
b. 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 these materials available at all
reasonable times for inspection by ?:he Department, FHWA, or any authorized representatives of the Federal
Government. Copies of these materials shall be furnished by the Recipient if requested. Such documents
shall be retained for at least 3 years from the date of FHWA approval of the final amendment/modification to
the project in the FHWA's Fiscal Management Information System (FMIS). Upon receipt of such approval by
FHWA, the Department will notify the Recipient of the record retention date.
c. The Recipient shall maintain, or cause to be maintained, the completed improvement in a manner acceptable
to the Department and the FHWA.
EXHIBIT 2
Recipient's Certification for Use of American Recovery and Reinvestment Act Funds
Agency Name: Waterloo, Iowa
Project Number: ESL-8155(708)--7S-07
Project Description: HMA Resurfacing on Broadway St., La Porte Rd. and San Marnan Dr.
Estimated Total Cost: $1,560,582
Federal stimulus funds: $1,517,000
In accordance with the requirements of Section 1511 of Title XV of Division A of the American Recovery and
Reinvestment Act of 2009, on behalf of the agency named above I hereby certify that the project described above has
received the full review and vetting required by law and I accept responsibility that this investment is an appropriate
use of taxpayer dollars.
y11a,rGh 9
Signature Date
f ) m Purley holeayor
Printed name Title of county or city official