IDOT East / West Corridor Capacity Improvements SWAP Funding Agreement Copyrighted
December 16, 2019
City of Dubuque Consent Items # 13.
ITEM TITLE: lowa Departmentof Transportation (IDOT) East/West
Corridor Capacity I mprovements Funding Agreement
SUMMARY: City Manager recommending approval and authorization for
the Mayor to execute a Federal-Aid SWAP Funding
Agreement with the lowa Department of Transportation for
the development and advancement of the East-West
Corridor Capacity I mprovements.
RESOLUTION Approving a Federal Aid Swap Funding
Agreement(6-19-STBG-SWAP-039)with the lowa
Department of Transportation for the Development and
Advancement of EasUWest Corridor Capacity
I mprovements
SUGGESTED DISPOSITION: Suggested Disposition: Receiveand File;Adopt
Resolution(s)
ATTACHMENTS:
Description Type
East-WestCorridor Capacity Impro�ments-MVM City Manager Memo
Memo
Staff Memo Staff Memo
Resolution Resolutions
Agreement Supporting Documentation
Dubuque
THE CITY OF �
AIFMerisa Cfh
DuB E 'ill �'
Master iece on� tl2e Mississi i zoo�•zo�z•zo�3
P PP zoi�+zoi9
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: East-West Corridor Capacity Improvements
Approve Federal-Aid SWAP Funding Agreement
lowa DOT Project No. STBG-SWAP-2100 (698)--SG-31
lowa DOT Agreement No. 6-19-STBG-SWAP-039
DATE: December 10, 2019
Assistant City Engineer Bob Schiesl recommends City Council approval and
authorization for the Mayor to execute a Federal-Aid SWAP Funding Agreement with
the lowa Department of Transportation for the development and advancement of the
East-West Corridor Capacity Improvements. This will allow the use of state SWAP
funds to complete the preliminary engineering and environmental (NEPA) study phase,
right-of-way property acquisition, final design, and future construction phases.
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
Robert Schiesl, Assistant City Engineer
Dubuque
THE CITY OF �
All-America City
UB E ��o������,.�,��
� � ��►
Maste iece on the Mississi i z°°'*2°12�z°13
�`P pp zoi�*zoi9
TO: Michael C. Van Milligen, City Manager
Gus Psihoyos, City Engineer
FROM: Robert Schiesl, Assistant City Engineer
DATE: December 9, 2019
SUBJECT: East-West Corridor Capacity Improvements
Approve Federal-Aid SWAP Funding Agreement
lowa DOT Project No. STBG-SWAP-2100 (698)--SG-31
lowa DOT Agreement No. 6-19-STBG-SWAP-039
INTRODUCTION
The purpose of this memorandum is to provide information and to request City Council
approval and authorization for the Mayor to execute a Federal-Aid SWAP Funding
Agreement (Agreement No. 6-19-STBG-SWAP-039) with the lowa Department of
Transportation (lowa DOT) for the development and advancement of East-West
Corridor Capacity Improvements.
BACKGROUND
In August 2007, the City Council listed the completion of the East - West Corridor
Connectivity Study as a "High-Priority" in its Goals and Priorities for Policy Agenda. The
US Highway 20 corridor is the primary east-west route in the City of Dubuque and future
traffic volume projections indicate US Highway 20 alone will not provide sufficient
capacity for east-west travel in the city. Capacity along alternate east-west corridors will
need to be improved to provide connectivity between the western growth areas and the
downtown urban core.
To achieve this goal, the City retained the professional consultant services of HDR
(Omaha, Nebraska) to complete the East-West Corridor Connectivity Study. The
purpose of the study was to analyze the east-west traffic flow in the City; identify
corridor improvements or modifications to support growing traffic demands; and to
consider transit needs, pedestrian needs, and sustainability. The four east-west
corridors identified in the study area are: Asbury Road; Pennsylvania Avenue;
University Avenue; and Loras Boulevard.
In February 2012, the City Council formally adopted the East - West Corridor
Connectivity Study - Final Report and directed City staff to begin implementation plans
for the recommendations contained in the East-West Corridor Connectivity Report.
Following this Council action, in August 2012 the City implemented a Development
Moratorium for the section of University Avenue, from Pennsylvania Avenue to Loras
Boulevard, referred to as the "Overlap Section".
The adopted East - West Corridor Connectivity Study report will act as the City's Master
Plan for both short-term and long-term capacity improvements or corridor modifications
to su ort rowin east-west traffic flow in the Cit . The stud included recommended
pp g g y y
improvements supportin complete streets concepts, multi-modal transportation,
g
vehicle, pedestrian, bic cle, and recreational improvements.
y
The re ort included 32 ro osed ca acit im rovement ro�ects alon the four
p p p p y p p J J
corridors. Ca acit im rovements identified include a series of intersection
p y p
reali nments, intersection im rovements, turn lane additions, add traffic si nal
g p g
interconnect and ITS im rovements alon each corridor.
p g
In Au ust 2017, the Cit Council listed the East - West Corridor Ca acit Im rovement
g y p y p
I m lementation as a "To -Priorit " in its 2017-2019 Goals and Priorities. I n an effort to
p p y
advance this to riorit , the Cit has alread com leted the followin im rovements:
pp y y y p g p
N
TDuB E East/West Corridor Capacity Improvements W�E
Mnsteryiece on the Mississippi S
Project Year Cost r ��� �� � r �r�� . . � . �. .
" r �� f- - P 3.�,,r
�� '� , �". .�u'��. �R" >7� . .
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♦ +r
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P ro e rt /""�Ci u�S�`��n 2 016 $ 8 5 3 3 0 0 ' .�r j Property Acquisition r Grandview/Loras �r
� � � � � Com leted:2016 • Traffic Signal Improvements -- �
p Completed:2017 �• �.
r k-,��� �.
�J � '� � ` {� '' ��
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x
Grandview- Delhi _ .- `R� -"�
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,,r "i� � �� ���,��' � '1
2016 $ 827 000 "� � �A���'�'
.. � �
� F� �� '� �� ' ..�,�✓� �
Roundabout _:��� ;��_�- . �� � �-�- . � �� -
� �.# '��`�� '
. 3�`'�r, �r'". 'l )� j`` ��'` • � ��- -
� IIA� Nl/ , �, .` ' �,
■ y�,,� '`�► � + _ ' ..`< ,.�. .
R
Loras - G randview .� ., � ;_ r^ ; . , . �,�c�fi-
.. '"/�'.
2 017 $ 3 7 0,3 0 0 : � �. � -- ..,. . � � ���..� � i r. ,�,�. �s
Traff i c S i g n a I s �� �A a.� University,Loras,Asbury, �. r -��,J�____�^.��¢�6 �,r
�`�� . Pennsylvania Overlap Section �, �� _
r �����
`,/�v;,�' Proposed Roundabouts ' � , ��_+f�� ��� y ,,.
U ' ' ' � ' ��'' Preliminary Design/ ��` � °�` -� � Q T 1
n i ve rs i t — G ra n d vi ew ;��= � En��ronmenta�Study:2020 ���' � . 1�<�� �.` - ;
Y , ,�, Grandview/University a.;� �
2 018 ����O O�O O O � , -.� ,• ' ' • Roundabout - �� -- R,�.
R o u n d a b o u t ,•'�� '. � . � _ '' Completed:2018 �" .,, '�'��r�
, � Q �?,'��e
p.� , � • �� `a:�r---"�.
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Total Im provements To-Date $3,250,300 �- t , � �,� �� �� r
.:.. •" � ��, � Grandview/Delhi/Grace� �� �
� ���;_��.`�y . � _��., ..._._ Roundabout �; �ii'�'y
.� � • .� `--J . .�.�.+�.�r � Completed:2016 '� �-�.'-�
,. .-..:� �,/� �
. .
_ -`�,, . _
In Jul 2018, the Cit a lied for an $18.1 million U.S. De artment of Trans ortation
y y pp p p
Better Utilizin I nvestments to Levera e Development BU I LD rant request to assist in
g g g
fu nd in both mu Iti-modal and ca acit im rovements with in the identified East-West
g p y p
Corridors. Staff was notified in December 2018 that the Cit was not selected to receive
y
a BUILD rant.
g
Followin the BU I LD rant announcement, the Cit has an o ortunit to move forward
g g y pp y
and advance the develo ment of East-West Corridor Ca acit Im rovements utilizin
p p y p g
the new lowa DOT Federal Aid SWAP Polic . Effective October 2018, the new Federal
y
Aid SWAP Polic allows federal fu nds normall allocated to cities or cou nties to be
y y
re laced with State of lowa Primar Road funds on a dollar-for-dollar basis. The oal of
p y g
the new olic is to increase efficiencies and hel local overnments reduce the level
p y p g
federal oversi ht, re ulations and re uirements. Additionall , the use of Primar Road
J J a y y
funds will be reimbursed at 100% of eli ible costs which eliminates the re uirement for
g q
local overn ments to rovide a 20% local match.
g p
In Januar 2019, the Cit be an the rocess to de-federalize the East-West Corridor
y y g p
ro�ect b a in back the federal funds reviousl used for ro ert ac uisition. On
p J y p y J p y p p y q
Au ust 19t" 2019 the Cit received the FHWA fi nal closu re acce tance for the
g , Y p
defederalization of funds related to the East -West Corridor ro'ect.
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DISCUSSION
Now that the project defederalization is completed, staff has been working with the lowa
DOT to prepare a new SWAP Funding Agreement to allow for the use of state SWAP
funds to complete the preliminary engineering and environmental (NEPA) study phase;
right-of-way property acquisition, final design, and future construction phases.
Once the SWAP funding agreement is in place, the City will be able to utilize both local
City funding and SWAP funding to begin the preliminary engineering and environmental
(NEPA) study phase for intersection capacity improvements along the University
Avenue, Loras Boulevard to Pennsylvania Avenue "Overlap Section".
The next steps in the design development process is to begin the preliminary
engineering and environmental (NEPA) study phase for the Overlap Section which is
will take approx. 12 months to complete. Once the preliminary engineering and
environmental (NEPA) study are completed, corridor impacts will be identified, and
property acquisition could begin which is anticipated to take approximately 2 years to
complete.
RECOMMENDATION
I recommend that the City Council adopt the enclosed resolution and authorize the
Mayor to sign the Federal-Aid SWAP Funding Agreement (Agreement No. 6-19-STBG-
SWAP-039) with the lowa Department of Transportation (lowa DOT) for the
development and advancement of East-West Corridor Capacity Improvements.
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution and authorize
the Mayor to sign the Federal-Aid SWAP Funding Agreement (Agreement No. 6-19-
STBG-SWAP-039) with the lowa Department of Transportation (lowa DOT) for the
development and advancement of East-West Corridor Capacity Improvements.
Attach.
Prepared by Robert Schiesl, Assistant City Engineer
cc: Jenny Larson, Budget Director
Kent Ellis, lowa DOT District 6
Chandra Ravada, ECIA
F:\PROJECTS\EAST-WEST CORRIDOR STUDY\Funding Agreement-SWAP
RESOLUTION NO. 429-19
RESOLUTION APPROVING A FEDERAL -AID SWAP FUNDING AGREEMENT (6-19-
STBG-SWAP-039) WITH THE IOWA DEPARTMENT OF TRANSPORTATION FOR
THE DEVELOPMENT AND ADVANCEMENT OF EAST -WEST CORRIDOR CAPACITY
IMPROVEMENTS
Whereas, the City Council listed the East - West Corridor Capacity Improvement
Implementation as a "Top -Priority" in its 2017-2019 Goals and Priorities; and
Whereas, the City Council has directed City staff to begin implementation plans for the
recommendations contained in the East-West Corridor Connectivity Report; and
Whereas, the City has an opportunity to move forward and advance the development
of East-West Corridor Capacity Improvements utilizing the new Iowa DOT Federal Aid
SWAP Policy; and
Whereas, staff has worked with the Iowa DOT to prepare a SWAP Funding Agreement
to allow for the use of state SWAP funds to complete the preliminary engineering and
environmental (NEPA) study phase; right-of-way property acquisition, final design, and
future construction phases; and
Whereas, once the SWAP funding agreement is in place, the City will be able to utilize
both local City funding and SWAP funding to begin the preliminary engineering and
environmental (NEPA) study phase for intersection capacity improvements along the
University Avenue, Loras Boulevard to Pennsylvania Avenue "Overlap Section."
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA, THAT:
Section 1. The said Federal -Aid SWAP Funding Agreement (Agreement No. 6-19-
STBG-SWAP-039) with the Iowa Department of Transportation for the development and
advancement of East-West Corridor Capacity Improvements is hereby approved.
Section 2. The Mayor be authorized and directed to execute two copies of said Federal -
Aid SWAP Funding Agreement (Agreement No. 6-19-STBG-SWAP-039) with the Iowa
Department of Transportation for the development and advancement of East-West
Corridor Capacity Improvements.
Passed, approved and adopted this 16th day of December 2019.
Attest:
Keyi°n S. Firnstahl,C11*C`, City Clerk
Roy D. Buol, Mayor
June 2018
IOWA DEPARTMENT OF TRANSPORTATION
Agreement for a Surtace Transportation Block Grant Program Federal-aid Swap Project
Recipient: City of Dubuque
Project No.: STBG-SWAP-2100(698)--SG-31
lowa DOT Agreement No.: 6-19-STBG-SWAP-039
This is an agreement between the City of Dubuque, lowa (hereinafter referred to as the Recipient) and the lowa
Department of Transportation (hereinafter referred to as the Department) for Surface Transportation Block Grant
(STBG) Program Federal-aid Swap funds under 761 lowa Administrative Code (IAC) Chapter 162. lowa Code
Section 306A.7 provides 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 lowa.
Pursuant to the terms of this agreement, applicable statutes, and administrative rules, the Department agrees to
provide STBG Federal-aid Swap 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
DepartmenYs contact persons will be the Local Systems Project Development Engineer, Christy VanBuskirk,
and Eastern Region Local Systems Field Engineer, Kent L. Ellis. The RecipienYs contact person shall be the
City Engineer.
3. The Recipient shall be responsible for the development and completion of the following described STBG
project:
PCC Pavement- New Roundabouts on University Ave, from Pennsylvania Avenue to Loras Boulevard
4. Eligible project activities will be limited to the following: construction, engineering, inspection, and right-of-way
acquisition. Under certain circumstances, eligible activities may also include utility relocation or railroad work
that is required for construction of the project.
5. The Recipient shall receive reimbursement for costs of authorized and approved eligible project activities from
STBG Federal-aid Swap funds. The portion of the project costs reimbursed by STBG Federal-aid Swap funds
shall be up to $7,560,000 for the following phases of work as stipulated by the
East Central Intergovernmental Association:
X Preliminary Engineering
X Construction Engineering
X Right-of-Way
X Construction
Other (please specify) _
6. The Recipient shall pay for all project costs not reimbursed with STBG Federal-aid Swap funds.
7. If the project described in Section 3 drops out of the East Central Intergovernmental Association current TIP
or the approved current STIP prior to obligation of funds, and the Recipient fails to reprogram the project in
the appropriate TIP and STIP within 3 years, this agreement shall become null and void.
8. The Recipient shall let the project for bids through the Department.
9. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this
agreement shall remain in effect.
10. It is the intent of both parties that no third party beneficiaries be created by this agreement.
STBG Swap Project Agreement
Page 2
11. 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 acceptance 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.
By
Mayo
I/Title of city official
I, Kevin S. Eirnstahl
that Roy D . Buol
City Signature Block
Date December 16,
,201 9
, certify that I am the City Clerk of Dubuque, and
, 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 16 t h
day of December ,201 9
Signed / Date December ,201 9
City Cler/f Dubuque, Iowa
IOWA DEPARTMENT OF TRANSPORTATION
Highway Administration
By Date 20
Kent L. Ellis, P.E.
Local Systems Field Engineer
Eastern Region
EXHIBIT 1
General Agreement Provisions for use of Federal-aid Swap 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 Instructional
Memorandums to Local Public Agencies (I.M.$), available on-line at:
https://iowadot.qov/local systems/publications/im/Ipa ims. The Recipient shall follow the applicable
procedures and guidelines contained in the I.M.s in effect at the time project activities are conducted.
b. In accordance with lowa Code Chapter 216 and associated subsequent nondiscrimination laws and
regulations, the Recipient shall not discriminate against any person on the basis of race, color, creed, age,
sex, sexual orientation, gender identity, national origin, religion, pregnancy, or disability.
c. The Recipient shall comply with the requirements of Title II of the Americans with Disabilities Act of 1990
(ADA), Section 504 of the Rehabilitation Act of 1973 (Section 504), 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. 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
DepartmenYs application review and acceptance process, plan and construction reviews, and funding
participation.
e. 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 DepartmenYs 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
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, funds cannot be obligated.
b. Before beginning any work for which funding reimbursement will be requested, the Recipient shall submit
a written request for acceptance to the Department. The Department will notify the Recipient when
acceptance is granted. The cost of work performed prior to acceptance will not be reimbursed. The turning
in of plans for letting by the DepartmenYs administering bureau shall be considered acceptance for
construction. The Department will notify the Recipient when acceptance is granted.
3. Design and Consultant Services
a The Recipient shall be responsible forthe 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.
4. Environmental Requirements and other Agreements or Permits.
a The Recipient shall obtain project permits and approvals, when necessary, from the lowa Department of
Cultural Affairs (State Historical Society of lowa; State Historic Preservation Officer), lowa 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 applicable procedures in the Instructional Memorandums to
Local Public Agencies Table of Contents, Chapter 4—Environmental Regulations.
5. 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 DepartmenYs 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.
b. 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.
c. The Recipient shall obtain agreements from utility companies as needed. The Recipient shall comply with
the "Policy for Accommodating Utilities on the County and City a Non-Primary Federal-aid Road System"
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 DepartmenYs "Policy for
Accommodating and Adjustment of Utilities on the Primary Road System" The Recipient should also use
the procedures outlined in I.M. 3.640, Utility Accommodation and Coordination, as a guide to coordinating
with utilities.
& Contract Procurement.
a The following provisions apply only to projects involving physical construction or improvements to
transportation facilities:
b. 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 lowa.
c. 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
acceptance 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 DepartmenYs 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, lowa 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.
Note: The Department may not be able to allow a project to be let in the scheduled letting due to possible
issues with cash flow availability.
d. The Recipient shall forward a completed Project Development Certification (Form 730002) to the
Department in accordance with I.M. 5.050, Project Development Certification Instructions. The project will
not be turned in for bid letting until the Department has reviewed and accepted the Project Development
Certification.
e. If the Recipient is a city, the Recipient shall comply with the public hearing requirements of the lowa Code
section 26.12.
f. The Recipient shall not provide the contractor with notice to proceed until after receiving written notice that
the Department has concurred in the contract award.
7. Construction.
a. The Recipient shall follow the procedures in I.M. 6.000, Construction Inspection, and the DepartmenYs
Construction Manual, as applicable, for conducting construction inspection activities. The RecipienYs
engineer shall at all times be responsible for inspection of the project.
b. A full-time employee of the Recipient shall serve as the person in responsible charge of the 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.
c. 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.
Proper protective measures and devices such as fences, barricades, signs, flood lighting, and warning
lights as needed.
d. The project shall be constructed under the DepartmenYs Standard Specifications for Highway and Bridge
Construction and the Recipient shall comply with the procedures and responsibilities for materials testing
according to the DepartmenYs Materials I.M.s. Available on-line at: https://www.iowadot.qov/erl/index.html.
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.
8. Reimbursements.
a. The Recipient will be initially responsible for all project costs. 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 semi-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 total funds available for the project.
Reimbursement will be made either by State warrant or by crediting other accounts from which payment
was initially made. If, upon final review or audit selected by the Administering Bureau, the Department
determines the Recipient has been overpaid, the Recipient shall reimburse the overpaid amount to the
Department. After the final review is complete and after the Recipient has provided all required paperwork,
the Department will release the 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 funds received; for example, Federal funds not received through FHWA,
any special assessments made by the Recipient(exclusive of any associated interest or penalties) pursuant
to lowa 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:
i. 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.
9. Project Close-out.
a. Acceptance of the completed construction shall be with the concurrence of the Department. 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 review, 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 may result in loss of funds
and the ability to let future projects through the Department; reimbursed funds shall be returned and a
possible suspension may be placed on the Recipient from receiving funds from the Department on future
projects until the Recipient has demonstrated responsible management of 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 lowa, indicating the construction was completed
in substantial compliance with the project plans and specifications.
c. Final reimbursement of 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 this documentation available at
all reasonable times for review by the Department. Copies of this documentation shall be furnished by the
Recipient if requested. Such documentation shall be retained for at least 3 years from the date of the
DepartmenYs signature of the DepartmenYs Final Payment Form (Form 830436) or the bottom part of the
Certificate of Completion and Final Acceptance of Agreement Work (Form 640003).
e. The Recipient shall maintain, or cause to be maintained, the completed improvement in a manner
acceptable to the Department.