IDOT Grant Agreement for County/City Trailhead_Corrected Copyright 2014
City of Dubuque Consent Items # 13.
ITEM TITLE: Iowa Department of Transportation Grant Agreement for County/City
Trailhead - Corrected Version
SUMMARY: City Manager recommending approval of the corrected version of the Iowa
Department of Transportation grant agreement for the County/City
Heritage Trail Parking Lot along S. John Deere Road.
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Approve
ATTACHMENTS:
Description Type
❑ IDOT Grant Agreement for County/City Trailhead-MVM Memo City Manager Memo
❑ Staff Memo Staff Memo
❑ Aerial view Supporting Documentation
❑ Corrected Contract Supporting Documentation
THE CITY OF Dubuque
UBE I
erica .i
Masterpiece on the Mississippi 2007-2012-2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Corrected Version of IDOT Grant Agreement for County/City Trailhead
DATE: March 31, 2015
On December 15, 2014, the City Council approved the Iowa Department of
Transportation grant agreement for the County/City Heritage Trail Parking Lot along S.
John Deere Road near US 52 and IA 32. This parking lot will serve as a trailhead for
the County and City networks of the Heritage Trail system. Subsequently three typos
were discovered.
Planning Services Manager Laura Carstens recommends City Council approval of the
corrected version of the Iowa Department of Transportation grant agreement for the
County/City Heritage Trail Parking Lot along S. John Deere Road.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Laura Carstens, Planning Services Manager
THE MYOFF Dubuque
DTL E NI-nmeencaCAY
Masterpiece on the Mississippi
2007•20U•2013
MEMORANDUM
TO: Michael C. Van Milligen, City Manager
FROM: Laura Carstens, Planning Services Manager-6p—",–
SUBJECT: Corrected Version of IDOT Grant Agreement for County/City Trailhead
DATE: March 31 , 2015
INTRODUCTION
This memo transmits for City Council review and approval, a corrected version of the
Iowa Department of Transportation (IDOT) grant agreement for the County/City
Heritage Trail Parking Lot along S. John Deere Road near US 52 and IA 32. This
parking lot will serve as a trailhead for the County and City networks of the Heritage
Trail system. Enclosed are the corrected version of the agreement and a location map.
BACKGROUND
The trailhead project is a County/City partnership. Dubuque County has excess right-of-
way on the north side of S. John Deere Road near the intersection of US 52 and IA 32
(Northwest Arterial) that provides a good location for a joint trailhead.
The project site is located in proximity to the Dubuque County Heritage Trail, the City of
Dubuque's Heritage Trail Riverfront System, and the Iowa 32 Bike/Hike Trail.
Construction of a trailhead parking lot to serve these trails will improve the safety of trail
users and motorists. The parking lot would be paved, landscaped and designed using
sustainable best management practices.
DISCUSSION
The City Council approved and the Mayor signed the original grant agreement for the
trailhead project on December 15, 2014. IDOT staff subsequently noticed three
typographical errors on the first page of the agreement:
1) The project number read TAP-T-2100(681)-8I-31 and should have been TAP-
U-2100(681)-8I-31
2) The description had John Deere Road spelled John Deer Road
3) The maximum federal aid was listed at $255,432 and should have been $50,000.
IDOT Grant Agreement for County/City Heritage Trail Parking Lot
City Attorney Barry Lindahl has advised that the City Council should receive and file the
corrected version of the IDOT grant agreement.
BUDGETIMPACT
IDOT administers DMATS Transportation Enhancement Program grant funds as part of
the federal pass-through funding in the IDOT Transportation Alternatives Program
(TAP) under MAP-21 . The City of Dubuque and Dubuque County Conservation have
allocated local funds to match the grant funds for development of the County/City
Heritage Trail Parking Lot. The estimated project cost is $65,000.
The correction of federal aid from $255,432 to $50,000 in no way impacts the project
budget or available grant funds. The funding sources are shown below.
Amount Revenue Source
$50,000 IDOT/DMATS grant
10,000 City of Dubuque
5,000 Dubuque County Conservation
$65,000 Total
The City source for this local match is $10,000 in the FY2016 Planning Services
Department's CIP #350-2430 Trails & Complete Streets.
RECOMMENDATION
I recommend the City Council receive and file the corrected version of the IDOT grant
agreement for the County/City Heritage Trail Parking Lot along S. John Deere Road.
Enclosures
cc: Marie Ware, Leisure Services Manager
Gus Psihoyos, City Engineer
Jon Dienst, Civil Engineer II
Jenny Larson, Budget Director
Brian Preston, Executive Director, Dubuque County Conservation
F IUSERS1 CAR STE RWPAGrants for TraiIsVIowa 32 TrailoDMATS Grant\Trail parkingWemo IDOT grant trail parting corrected doc
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SMARTER I SIMPLER I CUSTOMER DRIVEN
D IE C IE 0 U [E Office of Systems Planning
800 Lincoln Way Ames, IA 50010
Phone 515-239-1252
MAR 2 5 2015 Email: pamella.lee@dot.iowa.gov
March 19, 2015 CITY OF UE
PLANNING SERVICES DEPARTMENT
Laura Carstens
City of Dubuque
50 W 13th Street
Dubuque, IA 52001
Re: Dubuque Heritage Trail Parking Lot, City of Dubuque
Project Number TAP-U-2100(681)-81-31; Agreement Number 15-TAP-109
Dear Laura:
Enclosed is one copy of an executed Local Public Agency (LPA) and Iowa Department of
Transportation (Iowa DOT) agreement for the above referenced project.
This agreement is NOT an authorization to expend funds. Prior to incurring any costs that will be
reimbursed with federal funds, authorization by the Federal Highway Administration (FHWA) must be
obtained. In addition, the City of Dubuque must comply with the provisions set forth in this agreement to
ensure that eligible project costs may receive federal aid reimbursement.
Thank you for your assistance. If you have questions, please let me know.
Sincerely.
ella S. Lee
Office of Systems Planning
Enclosure
cc: Kevin Galloway, Office of Finance (copy of enclosure)
Office of Document Services, Records Management (copy of enclosure)
Shawn Majors, Office of Program Management (letter only)
October 2014
IOWA DEPARTMENT OF TRANSPORTATION
Federal-Aid Agreement for a
Transportation Alternatives Program (TAP) Project
Recipient: City of Dubuque
Project Number(s): TAP-U-2100(681)-81-31
Iowa DOT Agreement Number: 15-TAP-109
CFDA No. and Title: 20.205 Highway Planning and Construction
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 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 in Iowa with Federal funds. Federal
regulations require Federal funds to be administered by the Department.
The Recipient has received Federal funding through the Transportation Alternatives Program (TAP),
which was established by the Moving Ahead for Progress in the 21St Century (MAP-21), Public Law 112-
141, and codified at Sections 213 and 101(a)(29) of Title 23, United States Code (U.S.C.); which are
hereinafter referred to as TAP funds.
Pursuant to the terms of this agreement and applicable statutes, the Department agrees to provide the
funding named above 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 responsible 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 shall be Pamella Lee, Office of Systems Planning, 800
Lincoln Way, Ames, Iowa 50010, 515-239-1810. The Recipient's contact person shall be Laura
Carstens, 50 W 13th Street, Dubuque, IA 52001, 563-589-4210.
3. The Recipient shall be responsible for the development and completion of the following described
project:
Dubuque County/City Heritage Trail parking lot near S.John Deere Road and US 52
4. The Recipient shall receive reimbursement for costs of authorized and approved eligible project
activities from TAP funds. The portion of the project costs reimbursed with TAP funds shall be
limited to a maximum of either 80 percent of eligible costs (other than those reimbursed with other
Federal funds) or the amount listed ($50,000) in the East Central Intergovernmental Association
current Transportation Improvement Program (TIP) and approved in the current Statewide
Transportation Improvement Program (STIP), whichever is less. Eligible project activities will be as
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described in Sections 213 and 101(a)(29) of Title 23, United States Code (U.S.C.) and determined by
the Department to be eligible. [use if TAP funds are involved]
5. Eligible project costs in excess of the amount reimbursed by the Department above will be
considered the local contribution and may include cash or non-cash contributions. The local
contribution must equal a minimum of 20 percent of eligible project costs. The recipient shall certify
to the Department the value of any non-cash contribution to the project prior to it being incurred.
The Department retains the sole authority to determine the eligibility and value of the Recipient's
non-cash contribution for the purposes of this agreement. If the Recipient's total cash and non-cash
contribution is determined by the Department to be less than that required by this agreement,the
Recipient shall increase its cash contribution or the grant amount associated with this project shall
be reduced accordingly.
6. The Recipient must have let the contract or have construction started within two years of October 1,
2014. If the Recipient does not do this, they will be in default for which the Department 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.
7. If the project described in this agreement crosses a DOT primary road,then:
a. The Recipient shall convey title to the State of Iowa, 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 project's 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, or relocation of the highway by
the DOT. Any relocation of this project necessary because of said plans shall be at the
expense of the Recipient, all at no cost to the DOT. This agreement may be declared to be in
default by the Department if the Department determines that the Recipient's application for
funding contained inaccuracies, omissions,errors or misrepresentations; or if the
Department determines that the project is not developed as described in the application.
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8. If the Recipient fails to perform any obligation under this agreement,the Department 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 Department no later than five (5) days after cure or before the end of said
thirty (30) day period given to cure the default. The Department may thereafter determine whether
the default has, in fact, been cured, or whether the Recipient remains in default.
9. This agreement may be declared to be in default by the Department if the Department determines
that the Recipient's application for funding contained inaccuracies, omissions, errors or
misrepresentations; or if the Department determines that the project is not developed as described
in the application.
10. In the event a default is not cured the Department may revoke funding commitments 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 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 Transportation
Commission.
11. The Recipient shall comply with Exhibit 1,General Agreement Provisions for use of Federal Highway
Funds on Non-primary Highways, which is attached hereto and by this reference is incorporated into
this agreement.
12.This agreement is not assignable without the prior written consent of the Department.
13. If any part of this agreement is found to be void and unenforceable,the remaining provisions of this
agreement shall remain in effect.
14. It is the intent of both parties that no third party beneficiaries be created by this agreement.
15.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.
16.This agreement and the attached exhibit 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.
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IN WITNESS WHEREOF, each of the parties hereto has executed this agreement as of the date shown
opposite its signature below.
RECIPIENT: City o Dubuque
gy; b r Date December 15 2014
Title: Mayor
CERTIFICATION:
Asist t
I, Trish L. Gleason certify that I am the
CT
Mikie city, and that
(Name of City Clerk)
Roy n R„ol , who signed said Agreement for and on behalf of
(Name of Mayor/Signer Above)
the city was duly authorized to execute the same by virtue of a formal resolution duly passed
and adopted by the city,on the 15 day of December 2014
Signed �0�-
Trish L . Gleason
Assistant City Clerk of Dubuque, Iowa.
IOWA DEPARTMENT OF TRANSPORTATION
Planning, Programming and Modal Division
800 Lincoln Way, Ames, Iowa 50010 2 /
By: Date / `L ;e2/5-
Cr
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*ice
kley
ystems Planning
a
October 2014
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:
http://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 Recipient'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 pedestrian facilities are constructed, reconstructed, or altered,the
Recipient shall make such facilities compliant with the ADA and Section 504.
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 49 CFR 18.26, the Recipient is responsible for obtaining audits in accordance with
the Single Audit Act Amendments of 1996 (31 U.S. C. 7501-7507) and Subpart F of 2 CFR 200.
Subpart F of 2 CFR 200 stipulates that non-Federal entities 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
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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:
i. The Recipient shall not discriminate on the basis of race, color, national origin, or sex in the
award and performance of any Department-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 Department-assisted contracts.
ii. The Recipient shall comply with the requirements of I.M. 3.710, DBE Guidelines.
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.
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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.
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. 3.310, Federal-aid Participation in In-House Services.
b. If Federal reimbursement will be requested for construction performed by employees of the
Recipient,the Recipient shall follow the procedures in I.M. 3.810, Federal-aid Construction by
Local Agency Forces.
c. If the Recipient desires to claim indirect costs associated with work performed by its employees,
the Recipient shall prepare and submit to the Department an indirect cost rate proposal and
related documentation in accordance with the requirements of 2 CFR 200. Before incurring any
indirect costs,such indirect cost proposal shall be certified by the FHWA or the Federal agency
providing the largest amount of Federal funds to the Recipient.
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. 3.305, 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
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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. 3.105, Concept Statement
Instructions; 3.110, Environmental Data Sheet Instructions; 3.112, FHWA Environmental
Concurrence Process; and 3.114, 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. 3.120, Farmland Protection Policy Act
Guidelines.
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.
3.130, 404 Permit Process; 3.140,Storm Water Permits; 3.150, Highway Improvements in the
Vicinity of Airports or Heliports; and 3.160, 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. 3.605, 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
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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 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 or architect, as applicable, licensed in the State of Iowa.
b. For projects let through the Department,the Recipient shall be responsible for the following:
i. Prepare and submit the PS&E and other contract documents to the Department for review
and approval in accordance with I.M. 3.505, Check and Final Plans and I.M. 3.510, Check and
Final 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. 3.730, 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, execute the contract documents and return to the Department.
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c. For projects that are let locally by the Recipient,the Recipient shall follow the procedures in I.M.
3.720, 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. 3.750, 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 written
notice the Department has concurred in the contract award.
B. 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 Iowa Administrative Code 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. 3.805, Construction Inspection, and the
Department's Construction Manual, as applicable, for conducting construction inspection
activities.
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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 annually 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 if possible, but no later than August 15.
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. 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:
L 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
ii. 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 and request a final audit, in
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accordance with the procedures in I.M. 3.910, Final Review,Audit, and Close-out Procedures for
Federal-aid 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.
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