IDOT ICAAP Funding Agreement University-Grandview Roundabout Copyrighted
January 16, 2018
City of Dubuque Consent Items # 19.
ITEM TITLE: IDOT ICAAP Funding Agreement University and Grandview
Roundabout
SUMMARY: City Manager authorization for the Mayor to execute a
Funding Agreement with the lowa Department of
Transportation for an lowa's Clean Air Attainment Program
(ICAAP) Grant to assist with the construction of a proposed
roundabout at the University Avenue and Grandview
Avenue intersection.
RESOLUTION Approving a Funding Agreement(6-17-
ICAAP-09)with the lowa Department of Transportation for
an lowa's Clean air Attainment Program to assist with the
construction of a proposed roundabout at University
Avenue and GrandviewAvenue
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
IDOT ICAAP Funding Agreement for University and City Manager Memo
Grandview Roundabout-NNM Memo
Staff Memo Staff Memo
Resolution Resolutions
IDOT ICAAP Funding Agreement Supporting Documentation
THE CITY OF Dubuque
�
AIFA�erlwGh
UB E '�� III►
Masterpiece on the Mississippi Z°°'�w'2
7A13 2017
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: lowa Department of Transportation lowa's Clean Air Attainment Program
Funding Agreement to Construct a Proposed Roundabout at University
Avenue and Grandview Avenue
CIP No. 3002724
lowa DOT Project No. STP-A-2100(689)-896-31
lowa DOT Agreement No. 6-2017-ICAAP-09
DATE: January 10, 2018
City Engineer Gus Psihoyos recommends City Council authorization for the Mayor to
execute a Funding Agreement with the lowa Department of Transportation for an lowa's
Clean Air Attainment Program (ICAAP) Grant in the amount of$264,842 to assist with
the construction of a proposed roundabout at the University Avenue and Grandview
Avenue intersection.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
�� �� ���
Mic ael C. Van Milligen �� �
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
Gus Psihoyos, City Engineer
Dub�que
THE CITY OF �
!�'� �Arerla ofry
L�LT� E ;. - �x�
I��I.
Maste iece on the Mississi i x°°''�°�Z
�P pP ��3.�0��
TO: Michael C. Van Milligen, City a er
FROM: Gus Psihoyos, City Engineer
DATE: January 10, 2018
RE: lowa Department of Transportation lowa's Clean Air Attainment Program
Funding Agreement to Construct a proposed roundabout at University
Avenue and Grandview Avenue
CIP No. 3002724
lowa DOT Project No. STP-A-2100(689)-86-31
lowa DOT Agreement No. 6-2017-ICAAP-09
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute a Funding Agreement with the
lowa Department of Transportation (lowa DOT) for an lowa's Clean Air Attainment
Program (ICAAP) grant to assist with the construction of a proposed roundabout at
University Avenue and Grandview Avenue intersection.
BACKGROUND
The Grandview Avenue & Loras Boulevard and Grandview Avenue & University Avenue
Intersection Improvement Project was originally bid in July 2016 to include new traffic
signals at both Grandview Avenue & University Avenue and at Grandview Avenue and
Loras Boulevard.
These proposed signalized intersection improvements were recommended by the
East/West Corridor Study that was formally adopted by the City Council in February
2012.
Because of the positive feedback and the success#u! operational performance af th�
new Grandview-Delhi-Grace Roundabout, Engineering staff considered the possibility of
modifying the proposed signalization project to include a roundabout at the Grandview
and University Avenue intersection. There were several issues that needed to be
overcome before a roundabout could be considered including potential funding.
City staff discussed the potential revised roundabout concept with the lowa DOT first.
District 6 Local Systems Engineer was supportive of the potential project change and
consulted with the Office of Traffic and Safety, who also supported the concept.
DISCUSSION
In December 2016, the City submitted an ICAAP grant application with the lowa DOT to
assist in funding the construction of a proposed roundabout at University Avenue and
1
Grandview Avenue intersection as part of the East-West Corridor capacity
improvements.
The grant application was approved by the Transportation Commission on March 14,
2017 in the amount of$264,842.
RECOMMENDATION
I recommend that the City Council authorize the Mayor to execute a Funding Agreement
with the lowa DOT for an ICAAP Grant to assist with the construction of a proposed
roundabout at University Avenue and Grandview Avenue intersection.
BUDGET IMPACT
The total cost of the roundabout improvement is estimated at $1,214,842. The funding
summary is as follows:
lowa DOT ICAAP Grant $ 264,842.00
lowa DOT Traffic Safety (TSF) Grant $ 500,000.00
DMATS STBG Grant $ 200,000.00
FY 17 Univ & Grandview Intersection Improvements $ 250,000.00
Total Project Funding $1,214,842.00
ACTION TO BE TAKEN
The City Council is requested to authorize the Mayor to execute a Funding Agreement
(Agreement No. 6-2017-1CAAP-09) with the lowa Department of Transportation for an
lowa's Clean Air Attainment Program (ICAAP) Grant to assist with the construction of a
proposed roundabout at University Avenue and Grandview Avenue intersection.
cc: Bob Schiesl, Asst City Engineer
Jon Dienst, Civil Engineer II
David Ness, Civil Engineer II
Chandra Ravada, ECIA
Kent Ellis, lowa DOT
2
RESOLUTION NO. 13-18
RESOLUTION APPROVING A FUNDING AGREEMENT (6-17-ICAAP-09) WITH THE
IOWA DEPARTMENT OF TRANSPORTATION FOR AN IOWA'S CLEAN AIR
ATTAINMENT PROGRA TO ASSIST WITH THE CONSTRUCTION OF A PROPOSED
ROUNDABOUT AT UNIVERSITY AVENUE AND GRANDVIEW AVENUE
Whereas, the increasing growth of traffic volumes, along with operational and safety
concerns, at North Grandview Avenue and University Avenue in the City of Dubuque
could be improved by a roundabout; and
Whereas, the City of Dubuque has determined that improvements to this intersection,
as recommended by the Iowa Department of Transportation Office of Traffic Safety, will
improve traffic flow; and
Whereas, the total cost for these improvements is estimated at $1,241,842.00. The
Iowa's Clean Air Attainment Program Grant will fund $264,842.00 of this project.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA, THAT:
Section 1. That said Iowa's Clean Air Attainment Program Grant funding will be used
within the City of Dubuque to assist with the construction of a proposed roundabout at
University Avenue and Grandview Avenue intersection is hereby approved.
Section 2. That the Mayor be authorized and directed to execute two copies of said
Funding Agreement for the Iowa's Clean Air Attainment Program Grant funding that will
be used within the City of Dubuque to assist with the construction of a proposed
roundabout at University Avenue and Grandview Avenue intersection.
Passed, approved and adopted this 16th day of Januaryy2018.
C
D v d T. Resnick,+ Mayor Pro Tem
Attest:
Kevin S. Firnst,gid.
ahl, CMC, City Clerk
DOT
SMARTER 1 SIMPLER I CUSTOMER DRIVEN
December 21, 2017
www.iowadot.gov
District 6 Office 1 Highway Division
5455 Kirkwood Blvd. SW, Cedar Rapids, IA 52404
Phone: (319) 364-0235 I Fax (319) 364-9614 I Email: kent.ellis@dot.iowa.gov
Bob Schiesl, Assistant City Engineer
City of Dubuque
City Engineering Hall
50 West 13th Street
Dubuque, IA 52001
Ref: STP -A-2100(689)--86-31
City of Dubuque
Dubuque County
Agreement No: 6-17-ICAAP-09
SUBJECT: Agreement 6-17-ICAAP-09 (New Roundabout at University Avenue and
Grandview Avenue intersection).
Dear Mr. Schiesl:
I have enclosed two (2) copies of an agreement between the city of Dubuque and the Iowa
Department of Transportation for the referenced project. The project involves a New
Roundabout at University Avenue and Grandview Avenue intersection.
Please secure the necessary approvals and signatures of the appropriate city officials and
return both signed copies of the agreement to this office for further processing. After I
receive the signed copies of the agreement, I will sign both agreements, and one of the copies
of the fully executed agreement will be returned to your office.
All those who are involved with the project should carefully review the provisions of the
agreement that pertain to state funding for this project.
Please contact me if you have any questions concerning this agreement.
Sincerely,
Kent L. Ellis, P.E.
Local Systems Engineer, District 6
KLE/hmb
Enclosures (2) 6-17-ICAAP-09
CIowADot__�iowadot. ov
SMARTER I SMPER I CUSTOMERr'"..�g
District 6 Office 1 Highway Division
5455 Kirkwood Blvd. SW, Cedar Rapids, IA 52404
Phone: (319) 364-0235 1 Fax (319) 364-9614 1 Email: kent.ellis@dot.iowa.gov
January 25, 2018
Bob Schiesl, Assistant City Engineer
City of Dubuque
City Engineering Hall
50 West 13th Street
Dubuque, IA 52001
Ref: STP -A-2100(689)--86-31
City of Dubuque
Dubuque County
Agreement No: 6-17-ICAAP-09
SUBJECT: FULLY EXECUTED Agreement 6-17-ICAAP-09 (New Roundabout at
University Avenue and Grandview Avenue intersection).
Dear Mr. Schiesl:
Enclosed is a copy of the fully executed Iowa Department of Transportation Federal -Aid
Surface Transportation Program Projects agreement for the referenced project.
This agreement is not the needed authorization to proceed, nor the authorization of the
funding for this project. The special provisions in this agreement must be followed in order
to ensure reimbursement of federal funds. If you are using or will be using a consultant for
this project, please provide your consultant with a copy of this agreement.
Please contact me if you have any questions regarding the development and design
requirements for this project.
Sincerely,
Kent L. Ellis, P.E.
Local Systems Engineer, District 6
KLE/hmb
Enclosure 6-17-ICAAP-09
cc: Deanne Popp
Patricia Jacobs
April 2016
IOWA DEPARTMENT OF TRANSPORTATION
Federal -Aid Agreement for a
Iowa's Clean Air Attainment Program (ICAAP) Project
Recipient: City of Dubuque
Project Number(s): STP -A-2100(689)--86-31
Iowa DOT Agreement Number: 6-17-ICAAP-09
CFDA No. and Title: 20.205 Highway Planning and Construction
This is an agreement between 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 Iowa's Clean Air Attainment Program (ICAAP),
which is funded by the Congestion Mitigation and Air Quality (CMAQ) Program which was continued by
the Moving Ahead for Progress in the 21St Century (MAP -21), Public Law 112-141, and codified at Section
149 of Title 23, United States Code (U.S.C.); which are hereinafter referred to as ICAAP 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 the District 6 Local Systems Engineer, 5455
Kirkwood Blvd. SW Cedar Rapids, Iowa 52404, 319-364-0235. The Recipient's contact person shall be
the City Engineer or their designated representative.
3. The Recipient shall be responsible for the development and completion of the following described
project:
Construct new Roundabout at University Avenue and Grandview Avenue intersection.
4. The Recipient shall receive reimbursement for costs of authorized and approved eligible project
activities from ICAAP funds. The portion of the project costs reimbursed with ICAAP 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 ($264,842) in the East Central Intergovernmental Association
Current Transportation Improvement Program (TIP) and approved in the current Statewide
Transportation Improvement Program (STIP), whichever is Tess. Eligible project activities will be as
1
April 2016
described in Section 149 of Title 23, United States Code (U.S.C.) and determined by the Department
to be eligible.
5. The Recipient must have let the contract or have construction started within two years of October 1,
2017. 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.
6. 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.
7. 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.
8. 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
2
April 2016
misrepresentations; or if the Department determines that the project is not developed as described
in the application.
9. 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.
10. 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.
11. This agreement is not assignable without the prior written consent of the Department.
12. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this
agreement shall remain in effect.
13. It is the intent of both parties that no third party beneficiaries be created by this agreement.
14. 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.
15. 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.
3
April 2016
IN WITNESS WHEREOF, each of the parties hereto has executed this agreement as of the date shown
opposite its signature below.
RECIPIENT: City of Dubuque
JI
By: ,�.�-�.,k' d 1
Title: Mayor Pro Tem
CERTIFICATION:
Kevin S. Firnstahl
(Name of City Clerk)
David T. Resnick
(Name of Mayor/Signer Above)
Date January 16
2018
, certify that I am the Clerk of the city, and that
, 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 16tIllay of January
Signed:
City Clerk of Dubuque, Iowa.
IOWA DEPARTMENT OF TRANSPORTATION
Highway Division- District 6 Office
5455 Kirkwood Blvd. SW
By:
ent L. Ellis
District 6 Local Systems Engineer
4
2018
Date r,ft' r v., 2
June 2017
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/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. The Recipient agrees to
comply with the requirements outlined in I.M. 1.070, Title VI and Nondiscrimination Requirements.
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 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. 3.710, DBE Guidelines.
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
EXHIBIT 1
Page 2
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.
c. 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.
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 rate proposal shall be certified by the FHWA or the Federal agency providing the
largest amount of Federal funds to the Recipient. If approved, the approved indirect cost rate shall be
incorporated by means of an amendment to this agreement.
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.
EXHIBIT 1
Page 3
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 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 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
Guidelines.
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 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
EXHIBIT 1
Page 4
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 Department.
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 Certifications Instructions. The project
shall not receive FHWA Authorization for construction or be advertized 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
Iowa DOT has concurred in the contract award.
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
EXHIBIT 1
Page 5
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.
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.
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:
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
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. 3.910, Final Review, Audit, and Close-out
EXHIBIT 1
Page 6
Procedures for Federal -aid Projects. Failure to comply with the procedures will result in Toss of federal
fund, reimbursed funds shall be returned and a possible suspension may be placed on the Recipient from
receiving federal fund on future projects until the Recipient has demonstrated responsible management of
federal funds on roadway 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.