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RAISE Infrastructure Planning Grant - Engineering Design and NEPA/Environmental Project Development - Recommend Approval of Iowa DOT Federal-Aid Funding AgreementCity of Dubuque City Council Meeting Consent Items # 017. Copyrighted November 20, 2023 ITEM TITLE: RAISE Infrastructure Planning Grant- Engineering Design and NEPA/ Environmental Project Development - Recommend Approval of Iowa DOT Federal -Aid Funding Agreement: Iowa DOT Agreement No. 6-23- RAISE-037; Iowa DOT Project No. EDP-2100 (705)--7Y31 SUMMARY: City Manager recommending City Council authorize the Mayor to execute a Federal -Aid Funding Agreement (Agreement No. 6-23-RAISE-037) with the Iowa Department of Transportation for the RAISE Infrastructure Planning Grant to complete the Engineering Design and NEPA / Environmental Study Phase to advance development for the project entitled "Building Bridges to Employment and Equity (132E2)". RESOLUTION Approving a Federal -Aid Funding Agreement (6-23- RAISE-037) with the Iowa Department of Transportation for a RAISE Infrastructure Planning Grant SUGGESTED Suggested Disposition: Receive and File; Adopt Resolution(s) DISPOSITION: FIN ik[91:ILyil21ZIII l+] Description Type MVM Memo City Manager Memo Staff Memo Staff Memo Resolution Resolutions Funding Agreement Supporting Documentation THE CITY OF Dubuque DUB TEE1. All -America City Masterpiece on the Mississippi � pp zoo�•*o 13 zoi720zoi9 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: RAISE Infrastructure Planning Grant Engineering Design and NEPA / Environmental Project Development Recommend Approval of Iowa DOT Federal -Aid Funding Agreement Iowa DOT Agreement No. 6-23-RAISE-037 Iowa DOT Project No. EDP-2100 (705)--7Y-31 DATE: November 15, 2023 Assistant City Engineer Robert Schiesl is recommending City Council authorize the Mayor to execute a Federal -Aid Funding Agreement (Agreement No. 6-23-RAISE-037) with the Iowa Department of Transportation for the RAISE Infrastructure Planning Grant to complete the Engineering Design and NEPA / Environmental Study Phase to advance development for the project entitled "Building Bridges to Employment and Equity (B2E2)". With the award of the RAISE Infrastructure Planning Grant, Federal regulations require Federal funds pass through and be administered by the Iowa DOT. The attached Federal - Aid Funding Agreement between the City and the Iowa DOT, pursuant to the terms of the agreement, applicable statutes, and administrative rules, the Iowa DOT agrees to provide RAISE grant funding ($2.28 million) to the City for the authorized and approved costs for eligible items associated with the B2E2 project. I concur with the recommendation and respectfully request Mayor and City Council approval. v Mic ael C. Van Milligen MCVM:sv Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Gus Psihoyos, City Engineer Robert Schiesl, Assistant City Engineer Jenny Larson, Chief Financial Officer Teri Goodmann, Director of Strategic Partnerships Nathan Kelleher, Grant, Budget/Financial Analyst Jon Dienst, Civil Engineer II Nate Steffen, Civil Engineer THE COF DUi! B E Masterpiece on the Mississippi TO: Michael C. Van Milligen, City Manager Gus Psihoyos, City Engineer FROM: Robert Schiesl, Assistant City Engineer Dubuque AFANaICI CF4 2007-2012.2013 2017*2019 SUBJECT: RAISE Infrastructure Planning Grant Engineering Design and NEPA / Environmental Project Development Recommend Approval of Iowa DOT Federal -Aid Funding Agreement Iowa DOT Agreement No. 6-23-RAISE-037 Iowa DOT Project No. EDP-2100 (705)--7Y-31 DATE: November 14, 2023 INTRODUCTION The enclosed resolution authorizes the Mayor to execute a Federal -Aid Funding Agreement with the Iowa Department of Transportation (Iowa DOT) for the RAISE Infrastructure Planning Grant to complete the Engineering Design and NEPA / Environmental Study Phase to advance development for the project entitled "Building Bridges to Employment and Equity (132E2)". BACKGROUND The City was awarded a U.S. Department of Transportation (USDOT) RAISE Infrastructure Planning Grant which will provide for the planning and design of a multimodal transportation corridor project for proposed improvements to the Elm Street corridor, the 16th Street corridor, the Kerper Blvd. corridor, Chaplain Schmitt Island corridor, and the proposed 14th Street Railroad (vehicular and pedestrian) Overpass bridge project. DISCUSSION The RAISE Infrastructure Planning Grant proposes a project entitled "Building Bridges to Employment and Equity (132E2)". Through the grant, the City was awarded $2.28 million in USDOT RAISE Planning funds to assist with the planning and design of a multimodal transportation corridors which will connect vulnerable neighborhoods and low income residents with economic opportunities, recreational amenities and key community resources in the Kerper Boulevard Industrial Park, on Chaplain Schmitt Island, in downtown Dubuque and its Historic Millwork District, and on the west side of the city via the downtown Intermodal Transportation Center. In particular, the RAISE Infrastructure Planning Grant would be used for planning and design of physical connections that will directly benefit low-income residents in Areas of Persistent Poverty (Census Tracts 1 and 5) by connecting them to economic opportunities such as the Kerper Boulevard Industrial Park and Chaplain Schmitt Island, and key community assets. Improving safety for all users is a key goal of the proposed RAISE Infrastructure Planning Grant. A primary focus of the B2E2 project is the elimination of an at -grade rail crossing conflict on 14t" Street and will provide for the planning and design a proposed vehicular and pedestrian overpass bridge which will connect downtown residents to job opportunities while avoiding train crossing delays that negatively impact the safe and efficient movement of people and goods to and from the Kerper Boulevard Industrial Park and Chaplain Schmitt Island. LEGEND 1. Bee Branch Bicycle & Pedestrian Tmrail 6. Connectivity to Chaplain Schmitt Island & Kerper Boulevard 9. To the Imerodal Transportation Center 2. Future Redevelopment 7. Washington Street Neighborhood Revitalization 10. Roundabouts §. Bee Branch Creek Dubuque%2 fnwest income —us &o&s 11. CPKC Railroad 1. 16th Street Complete Stmet &. Elm Street Complete Street ', 14th Street CPKC Railroad Overpass Conxcta,g to rntermodor Transportoh_ Cuter The project will also focus on multimodal transportation corridors with "complete streets" and proposed roundabout intersections along Elm Street and 16th Street corridors. The project would also include the design of an improved pedestrian/bike shared use path adjacent to the existing 16th Street Peosta Channel bridge to Chaplain Schmitt Island and strategically plan a roundabout at Captain Sheehy Drive on Chaplain Schmitt Island. ELM STREET CORRIDOR - COMPLETE STREETS LEGEND Reconstruct Elm Street from 20th Street to 11th Street as a Complete Street 1. Bike Lanes 4. Vehicular Parking to improve safety and access for pedestrians and bicyclists and connect to 2. Improved Sidewalks 5. Street Trees and Green Infrastructure Intermodal Transportation Center. 3. Vehicular Travel Lanes 6. Streetscape Amenities and Lighting IOWA DOT FUNDING AGREEMENT With the award of the RAISE Infrastructure Planning Grant, Federal regulations require Federal funds pass through and be administered by the Iowa DOT. The attached Federal -Aid Funding Agreement between the City and the Iowa DOT, pursuant to the terms of the agreement, applicable statutes, and administrative rules, the Iowa DOT agrees to provide RAISE grant funding ($2.28 million) to the City for the authorized and approved costs for eligible items associated with the B2E2 project. RECOMMENDATION I recommend that the City Council approve and authorize the Mayor to execute the Federal -Aid Funding Agreement with the Iowa DOT for the RAISE Infrastructure Planning Grant to complete the Engineering Design and NEPA / Environmental Study Phase to advance development for the B2E2 project. BUDGETIMPACT The current available funding for the B2E2 RAISE Infrastructure Planning Grant is summarized as follows: Fund Description Percentage Fund Amount RAISE Infrastructure Planning Grant 52.1% $ 2,280,000 Local Funds - City 47.9/o o $ 1,350,000 Local Funds - DRA Contribution $ 750,000 Total Project Cost 100% $ 4,380,000 ACTION TO BE TAKEN I respectfully request the City Council approve and authorize the Mayor to execute a Federal -Aid Funding Agreement (Agreement No. 6-23-RAISE-037) with the Iowa Department of Transportation for the RAISE Infrastructure Planning Grant to complete the Engineering Design and NEPA / Environmental Study Phase to advance development for the project entitled "Building Bridges to Employment and Equity (B=)" cc: Jenny Larson, Chief Financial Officer Teri Goodmann, Director of Strategic Partnerships Nathan Kelleher, Grant, Budget/Financial Analyst Jon Dienst, Civil Engineer Nate Steffen, Civil Engineer Dillon Feldmann, Iowa DOT Chandra Ravada, ECIA F:\PROJECTS\RAISE Planning Grant 2022\Funding Agreement - Iowa DOT Prepared by Robert Schiesi City of Dubuque Engineering 50 W. 13" St. Dubuque IA 52001 (563) 589-4270 Return to Adrienne N. Sreitfelder City Clerk City of Dubuque, 50 W. 13" St. Dubuque, IA 52001 (563) 589-4100 RESOLUTION NO, 382-23 RESOLUTION APPROVING A FEDERAL -AID FUNDING AGREEMENT (6-23-RAISE- 037) WITH THE IOWA DEPARTMENT OF TRANSPORTATION FOR A RAISE INFRASTRUCTURE PLANNING GRANT WHEREAS, the City was awarded $2.28 million in U.S. Department of Transportation RAISE Planning grant funds to assist with the planning and design of multimodal transportation corridors for the project entitled "Building Bridges to Employment and Equity (132E2)"; and WHEREAS, through the award of the RAISE Infrastructure Planning Grant, Federal regulations require Federal funds pass through and be administered by the Iowa Department of Transportation; and WHEREAS, pursuant to the terms of the Federal -Aid Funding Agreement, applicable statutes, and administrative rules, the Iowa Department of Transportation agrees to provide RAISE grant funding ($2.28 million) to the City for the authorized and approved costs for eligible items associated with the B2E2 project. NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA, THAT: SECTION 1. That said Federal -Aid Funding Agreement (Agreement No. 6-23- RAISE-037) with the Iowa Department of Transportation to provide RAISE grant funding ($2.28 million) to the City for the authorized and approved costs for eligible items associated with the B2E2 project is hereby approved. SECTION 2. That the Mayor be authorized and directed to execute the Federal - Aid Funding Agreement (Agreement No. 6-23-RAISE-037) with the Iowa Department of Transportation. Passed, approved and adopted this 20tt, day of November 2023. Attest: aw""' , Adrienne N. Breitfelder, City Clerk Brad M. Cavar , Mayor July 2022 IOWA DEPARTMENT OF TRANSPORTATION Federal -aid Agreement for a RAISE Discretionary Project RECIPIENT: City of Dubuque Project No.: EDP-2100(705)--7Y-31 Iowa DOT Agreement No.: 6-23-RAISE-037 CFDA No. and Title: 20.205 Highway Planning and Construction This is an agreement between the City of Dubuque, 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. The RECIPIENT has received Federal funding from the United States Department of Transportation (US DOT) through the Consolidated Appropriations Act, 2022 (Pub. L. 117-103, March 15, 2022) (FY 2022 Rebuilding American Infrastructure with Sustainability and Equity, hereinafter referred to as RAISE), regarding National Infrastructure Investments. RAISE funds are available to provide financial assistance for surface transportation infrastructure projects that will have a significant local or regional impact. Pursuant to the terms of this agreement, applicable statutes, and administrative rules, the DEPARTMENT agrees to provide RAISE 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 Eastern Region Local Systems Field Engineer, Dillon Feldmann. The RECIPIENT's contact person shall be the City Engineer. 3. The RECIPIENT shall be responsible for the development and completion of the following described RAISE project: This planning project will design and engineer a vehicular/ pedestrian overpass at the 14th Street railroad grade from Sycamore Street to Jackson Street, with complete street enhancements for an approximately 3,044-foot section of the 16th Street corridor from Elm Street to Greyhound Park Road and an approximately 2,880-foot section of the Elm Street corridor From 11th Street to 20th Street (includes a new roundabout at Elm and 20th intersection), that will include a new pedestrian/bike shared -use path from 16th Street to Hawthorne Street. This includes preliminary engineering, comprehensive public engagement and input process, NEPA studies and document preparation, final design engineering, and full construction plans. 4. Eligible project activities will be limited to engineering costs. The RECIPIENT shall receive reimbursement for costs of authorized and approved eligible project activities from RAISE funds. The portion of the project costs reimbursed by RAISE funds shall be limited to a maximum of either 52.05 percent of eligible costs or the amount of $2,280,000 as 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. 6. The RECIPIENT shall pay for all project costs not reimbursed with RAISE funds. Page 2 If the project described in herein drops out of the East Central Intergovernmental Association current TIP or the approved current STIP prior to obligation of Federal funds, and the RECIPIENT fails to reprogram the project in the appropriate TIP and STIP, this agreement shall become null and void. All funds shall be obligated by September 30, 2026. Claims for reimbursement shall be submitted by August 1, 2031, or the amount not paid will be de -obligated by September 30, 2031. 8. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this agreement shall remain in effect. 9. It is the intent of both parties that no third -party beneficiaries be created by this agreement. 10. This agreement and the attached Exhibit 1 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. City Signature Block - r Date Hove In loer a0 20 )2) Title ot city official I, Aj r'i e e) ae 6 re"'I Te I J u- certify that I am the City Clerk of Dubuque, and that G)PG1J cc\vo,nc\ k 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 30.h day of November ,20 33 . Date Nove rydo e r 010 , 20 City Clerk of Dubuque, Iowa IOWA DEPARTMENT OF TRANSPORTATION Highway Administration By Date November 27 , 2023 DilloK Feldmann, P.E. Local Systems Field Engineer Eastern Region Page 3 EXHIBIT 1 General Agreement Provisions for use of Federal Highway Funds on Non -primary Projects Unless otherwise specified in this agreement, the RECIPIENT shall be responsible for the following: 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: https://www.iowadot.gov/local systems/ publications/im/lpa 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. The RECIPIENT agrees to comply with the requirements outlined in I.M. 1.070, Title VI and Nondiscrimination Requirements, which includes the requirement to provide a copy of the Subrecipient's Title VI Plan or Agreement and Standard DOT Title VI Assurances to the Department.. 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), the associated Code of Federal Regulations (CFR) that implement these laws, and the guidance provided in I.M. 1.080, ADA Requirements. When bicycle and/or pedestrian facilities are constructed, reconstructed, or altered, the RECIPIENT shall make such facilities compliant with the ADA and Section 504, which includes following the requirements set forth in Chapter 12A for sidewalks and Chapter 12B for Bicycle Facilities of the Iowa DOT Design Manual. d. To the extent allowable by law, the RECIPIENT agrees to indemnify, defend, and hold the DEPARTMENT harmless from any claim, 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. As required by the 2 CFR 200.501 "Audit Requirements," a non -Federal entity expending $750,000 or more in Federal awards in a year shall have a single or program -specific audit conducted for that year in accordance with the provision of that part. Auditee responsibilities are addressed in Subpart F of 2 CFR 200. The Federal funds provided by this agreement shall be reported on the appropriate Schedule of Expenditures of Federal Awards (SEFA) using the Catalog of Federal Domestic Assistance (CFDA) number and title as shown on the first page of this agreement. 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. f. The RECIPIENT shall supply the DEPARTMENT with all information required by the Federal Funding Accountability and Transparency Act of 2006 and 2 CFR Part 170. g. The RECIPIENT shall comply with the following Disadvantaged Business Enterprise (DBE) requirements: The RECIPIENT shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT -assisted contract or in the administration of its DBE program or the requirements of 49 CFR Part 26. The RECIPIENT shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT -assisted contracts. ii. The RECIPIENT shall comply with the requirements of I.M. 5.010, DBE Guidelines. Page 4 iii. The DEPARTMENT's DBE program, as required by 49 CFR Part 26 and as approved by the Federal Highway Administration (FHWA), is incorporated by reference in this agreement. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the RECIPIENT of its failure to carry out its approved program, the DEPARTMENT may impose sanctions as provided for under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). h. Termination of funds. Notwithstanding anything in this agreement to the contrary, and subject to the limitations set forth below, the DEPARTMENT shall have the right to terminate this agreement without penalty and without any advance notice as a result of any of the following: 1) The Federal government, legislature or governor fail in the sole opinion of the DEPARTMENT to appropriate funds sufficient to allow the DEPARTMENT to either meet its obligations under this agreement or to operate as required and to fulfill its obligations under this agreement; or 2) If funds are de -appropriated, reduced, not allocated, or receipt of funds is delayed, or if any funds or revenues needed by the DEPARTMENT to make any payment hereunder are insufficient or unavailable for any other reason as determined by the DEPARTMENT in its sole discretion; or 3) If the DEPARTMENT's authorization to conduct its business or engage in activities or operations related to the subject matter of this agreement is withdrawn or materially altered or modified. The DEPARTMENT shall provide the RECIPIENT with written notice of termination pursuant to this section. 2. Programming and 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, 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. a. Upon receiving FHWA Authorization, the RECIPIENT must show federal aid funding activity to receive the programmed amount authorized for the project. If there are no funding activity for nine or more months after the previous activity, the remaining unused programmed amount will be de -obligated from the project and there will be no further federal aid reimbursement issued for the project. If the RECIPIENT knows in advance that funding activity will not occur for the nine months, the Contract Administrator needs to be notified to determine if programming of fund can be adjusted or other options can be explored. b. Upon receipt of Federal Highway Administration (FHWA) authorization a Federal Award Identification Number (FAIN) will be assigned to this project by the FHWA based on a methodology that incorporates identifying information about the federal award such as the federal funding program code and the federal project number. This FAIN will be used to identify this project and award on the federal government's listing of financial assistance awards consistent with the Federal Funding Accountability and Transparency Act of 2006 (FFATA) at usaspending.gov. c. A period of performance for this federal funding award will be established at the time of FHWA authorization. The start date of the period of performance will be the FHWA authorization date. The project end date (PED) will be determined according to the methodology in I.M. 1.200, Federal Funds Management. Costs incurred before the start date or after the PED of the period of performance will not be eligible for reimbursement. Page 5 3. Federal Participation in Work Performed by RECIPIENT Employees. a. If Federal reimbursement will be requested for engineering, construction inspection, right-of-way acquisition or other services provided by employees of the RECIPIENT, the RECIPIENT shall follow the procedures in I.M. 3.330, Federal -aid Participation in In -House Services. 4. Design and Consultant Services a. The RECIPIENT shall be responsible for the design of the project, including all necessary plans, specifications, and estimates (PS&E). The project shall be designed in accordance with the design guidelines provided or referenced by the DEPARTMENT in the Guide and applicable I.M.s. b. If the RECIPIENT requests Federal funds for consultant services, the RECIPIENT and the Consultant shall prepare a contract for consultant services in accordance with 23 CFR Part 172. These regulations require a qualifications -based selection process. The RECIPIENT shall follow the procedures for selecting and using consultants outlined in I.M. 3.310, Federal -aid Participation in Consultant Costs. c. If Preliminary Engineering (PE) work is Federally funded, and if right-of-way acquisition or actual construction of the project 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 the amount of Federal funds reimbursed to the RECIPIENT for such PE work. PE includes work that is part of the development of the PS&E for a construction project. This includes environmental studies and documents, preliminary design, and final design up through and including the preparation of bidding documents. PE does not include planning or other activities that are not intended to lead to a construction project. Examples include planning, conceptual, or feasibility studies. 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. These procedures are set forth in I.M. 3.020, Concept Statement Instructions; 4.020, NEPA Process; 4.110 Threatened and Endangered Species; and 4.120, Cultural Resource Regulations. b. If farmland is to be acquired, whether for use as project right-of-way or permanent easement, the RECIPIENT shall follow the procedures in I.M. 4.170, Farmland Protection Policy Act. c. The RECIPIENT 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, or other agencies as required. The RECIPIENT shall follow the procedures in I.M. 4.130, 404 Permit Process; 4.140, Storm Water Permits; 4.150, Iowa DNR Floodplain Permits and Regulations; 4.190, Highway Improvements in the Vicinity of Airports or Heliports, and 4.160, Asbestos Inspection, Removal, and Notification Requirements. d. 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. 6. Right -of -Way, Railroads and Utilities. a. 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 I.M. 3.600, Right -of -Way Acquisition, and the DEPARTMENT's Right of Way Bureau 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 Page 6 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 amount of Federal funds reimbursed for right-of-way costs to the DEPARTMENT. c. If a railroad crossing or railroad tracks are within or adjacent to the project limits, the RECIPIENT shall obtain agreements, easements, or permits as needed from the railroad. The RECIPIENT shall follow the procedures in I.M. 3.670, Work on Railroad Right -of -Way, and I.M. 3.680, Federal -aid Projects Involving Railroads. d. The RECIPIENT shall comply with the Policy for Accommodating Utilities on City and County Federal -aid Highway Right of Way for projects on non -primary Federal -aid highways. For projects connecting to or involving some work inside the right-of-way for a primary highway, the RECIPIENT shall follow the DEPARTMENT's Policy for Accommodating Utilities on Primary Road System. Certain utility relocation, alteration, adjustment, or removal costs to the RECIPIENT for the project may be eligible for Federal funding reimbursement. The RECIPIENT should also use the procedures outlined in I.M. 3.640, Utility Accommodation and Coordination, as a guide to coordinating with utilities. e. If the RECIPIENT desires Federal reimbursement for utility 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. 7. Contract Procurement. The following provisions apply only to projects involving physical construction or improvements to transportation facilities: a. The project plans, specifications, and cost estimate (PS&E) shall be prepared and certified by a professional engineer, architect, or landscape architect, as applicable, licensed in the State of Iowa. b. For projects let through the DEPARTMENT, the RECIPIENT shall be responsible for the following: Prepare and submit the PS&E and other contract documents to the DEPARTMENT for review and approval in accordance with I.M. 3.700, Check and Final Plans and I.M. 3.500, Bridge or Culvert Plans, as applicable. ii. The contract documents shall use 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. iii. Follow the procedures in I.M. 5.030, Iowa DOT Letting Process, to analyze the bids received, make a decision to either award a contract to the lowest responsive bidder or reject all bids, and if a contract is awarded, and execute the contract documents in DocExpress. c. For projects that are let locally by the RECIPIENT, the RECIPIENT shall follow the procedures in I.M. 5.120, Local Letting Process - Federal -aid. d. The RECIPIENT shall forward a completed Project Development Certification (Form 730002) to the DEPARTMENT in accordance with I.M. 3.710, Project Development Certification Instructions. The project shall not receive FHWA Authorization for construction or be advertised for bids until after the DEPARTMENT has reviewed and approved the Project Development Certification. e. If the RECIPIENT is a city, the RECIPIENT shall comply with the public hearing requirements of the Iowa Code section 26.12. f. The RECIPIENT shall not provide the contractor with notice to proceed until after receiving notice in Doc Express that the DEPARTMENT has concurred in the contract award. Page 7 8. Construction. a. A full-time employee of the RECIPIENT shall serve as the person in responsible charge of the construction project. For cities that do not have any full-time employees, the mayor or city clerk will serve as the person in responsible charge, with assistance from the DEPARTMENT. b. 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. c. For projects let through the DEPARTMENT, the project shall be constructed under the DEPARTMENT's Standard Specifications for Highway and Bridge Construction and the RECIPIENT shall comply with the procedures and responsibilities for materials testing according to the DEPARTMENT's Materials I.M.s. Available on-line at: http://www.iowadot.gov/erl/current/IM/navigation/nay.htm. d. For projects let locally, the RECIPIENT shall provide materials testing and certifications as required by the approved specifications. e. If the DEPARTMENT provides any materials testing services to the RECIPIENT, the DEPARTMENT will bill the RECIPIENT for such testing services according to its normal policy as per Materials I.M. 103, Inspection Services Provided to Counties, Cities, and Other State Agencies. f. The RECIPIENT shall follow the procedures in I.M. 6.000, Construction Inspection, and the DEPARTMENT's Construction Manual, as applicable, for conducting construction inspection activities. 9. Reimbursements. a. After costs have been incurred, the RECIPIENT shall submit to the DEPARTMENT periodic itemized claims for reimbursement for eligible project costs. Requests for reimbursement shall be made at least once every six months, but not more than bi-weekly. b. To ensure proper accounting of costs, reimbursement requests for costs incurred prior to June 30 shall be submitted to the DEPARTMENT by August 1. c. Reimbursement claims shall include a certification that all eligible project costs, for which reimbursement is requested, have been reviewed by an official or governing board of the RECIPIENT, are reasonable and proper, have been paid in full, and were completed in substantial compliance with the terms of this agreement. d. Reimbursement claims shall be submitted on forms identified by the Department along with all required supporting documentation. The DEPARTMENT will reimburse the RECIPIENT for properly documented and certified claims for eligible project costs. The DEPARTMENT may withhold up to 5% of the Federal share of construction costs or 5% of the total Federal funds available for the project, whichever is less. 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 funds withheld. e. 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, 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), proceeds from the sale of excess right-of-way, and any other revenues generated by the project. 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 do exceed the total project costs, the RECIPIENT shall either: 1) in the case of special assessments, refund to the assessed property owners the excess special assessments collected (including interest and penalties associated with the amount of the excess), or Page 8 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. Within 30 days of completion of construction or other activities authorized by this agreement, the RECIPIENT shall provide written notification to the DEPARTMENT. The RECIPIENT shall follow and request a final audit, in accordance with the procedures in I.M. 6.110, Final Review, Audit, and Close-out Procedures for Federal -aid, Federal -aid Swap, and Farm -to -Market Projects. Failure to comply with the procedures will result in loss of federal funds remaining to be reimbursed and the repayment of funds already reimbursed. The RECIPIENT may be suspended from receiving federal funds on future projects. b. For construction projects, the RECIPIENT shall provide a certification by a professional engineer, architect, or landscape architect as applicable, licensed in the State of Iowa, indicating the construction was completed in substantial compliance with the project plans and specifications. c. Final reimbursement of Federal funds shall be made only after the DEPARTMENT accepts the project as complete. d. 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 the 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 closure document. Upon receipt of FHWA approval of the final closure document, the DEPARTMENT will notify the RECIPIENT of the record retention date. e. The RECIPIENT shall maintain, or cause to be maintained, the completed improvement in a manner acceptable to the DEPARTMENT and the FHWA.