IDOT TAP Alternatives Program for the Bee Branch Trail Phase ICopyrighted
May 4, 2020
City of Dubuque Consent Items # 7.
ITEM TITLE: Iowa Department of Transportation (I DOT) Transportation
Alternatives Program for the Bee Branch Trail Phase I
SUMMARY: City Manager recommending authorization for the Mayor to
execute the Iowa Department of Transportation Federal
Aid Agreement for Transportation Alternative Program
(TAP) for the Bee Branch Trail, Phase I from 16th Street at
Sycamore Street to 12th Street.
SUGGESTED DISPOSITION:
RESOLUTION Approving the Iowa Department of
Transportation Federal Aid Agreement for a Transportation
Alternatives Program (TAP) Project
Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
Bee Branch Trail Phase 1 16th -Sycamore to 12th City Manager Memo
Street -MVM Memo
Staff Memo Staff Memo
Resolution Resolutions
1 DOT TAP Agreement Supporting Documentation
THE CITY OF
DUB E
Masterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Bee Branch Trail, Phase I: from 16th/Sycamore to 12th Street
Iowa DOT Agreement No. 20 -TAP -117
Iowa DOT Project Number TP -U-21--(697)--81-31
DATE: April 29, 2020
Dubuque
All-A.eriu City
111111
2007.2012.2013
2017*2019
City Engineer Gus Psihoyos recommends City Council authorization for the Mayor to
execute the Iowa Department of Transportation Federal Aid Agreement for
Transportation Alternative Program (TAP) for the Bee Branch Trail, Phase I: from
16th /Sycamore to 12th Street. The improvements are fully funded from the combination
of transportation grant funding and state sale tax increment funding previously received
for the improvements.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
7--
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
THE CITY OF
Du13
E
Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager
FROM: Gus Psihoyos, City Engineer
SUBJECT: Bee Branch Trail, Phase 1: from 16th/Sycamore to 12th St.
Iowa DOT Agreement No. 20 -TAP -117
Iowa DOT Project Number TP -U -21—(697)-8I-31
DATE: April 28, 2020
Dubuque
taltri
Alibied:a City
11,1
' 1111'
2007+2012=2013
2017*2019
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute the Iowa Department of
Transportation (Iowa DOT) Federal Aid Agreement for Transportation Alternative
Program (TAP) for the Bee Branch Trail, Phase I: from 16th/Sycamore to 12th St. The
improvements are fully funded from the combination of transportation grant funding and
state sales tax increment funding previously received for the improvements.
BACKGROUND
In February of 2018, City staff submitted a grant application agreement with the Dubuque
Metropolitan Area Transportation Study (DMATS) for Transportation Alternatives
Program (TAP) grant funds for the Bee Branch Creek Trail –
Phase 1 project adjacent to the 16. Street Detention Basin.
The Iowa Department of Transportation (IDOT) administers DMATS Transportation
Enhancement Program grant funds as part of the federal pass-through funding in the
IDOT Transportation Alternatives Program. TAP grants provide 80% of project costs.
Cities must provide written assurance of the required 20% of local match and
maintenance of the completed project for a minimum of 20 years.
DISCUSSION
The Bee Branch Creek Trail - Phase 1 project involves the extension of the trail system
constructed as part of the Lower Bee Branch Creek Restoration Project (Phase IV of the
Bee Branch Watershed Flood Mitigation Project) approximately 0.38 miles to the
south/southeast under US Highway 61/151 along the shoreline of the 16th Street
Detention Basin, then south to 12th Street adjacent to the Alliant Energy solar array, then
east approximately 600 lineal feet towards Kerper Blvd. The project will consist of a 10 -
foot paved multi -use trail to accommodate bicyclists and pedestrians.
The project is part of a multi -phase trail to be built along the restored Bee Branch Creek
that will extend connections to two regional trails -- Dubuque Heritage Trail and
Mississippi River Trail — as well as to the citywide trail system. The project is part of a
phased trail connection to the Jule public transit service and bicycle/pedestrian amenities
at the City's Intermodal Transportation Center on Elm Street.
The project will provide a connection to the new solar array installed by Alliant Energy
adjacent to the project. Alliant Energy plans to construct a 10 -foot paved trail adjacent to
the educational features of the solar array site that will be open to the public.
The project fulfills the top and high priorities, goals, and objectives of the DMATS 2045
Long Range Transportation Plan. The project is included in the DMATS Plan.
BUDGET IMPACT
Bee Branch Creek Trail — Phase 1 project has an estimated total cost of $525,000. The
80% TAP grant amount will be $420,000. The required 20% local match of $105,000 will
be funded using Sales Tax Increment (STI) received in FY2020 through the State Flood
Mitigation Program for the Bee Branch Watershed Flood Mitigation project.
The project cost breakdown is as follows:
Construction $420,000
Engineering (15%) 63,000
Contingency (10%) 42,000
Total $525,000
The project funding breakdown is as follows:
DMATS TAP Grant (80%) $420,000
City FY2020 STI Funds (20%) $105,000
Total $525,000
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution and authorize
the Mayor to sign the Iowa Department of Transportation for Transportation Alternative
Program (Agreement No. 20 -TAP -117) for the Bee Branch Trail, Phase I: from
16th/Sycamore to 12th St.
cc: Wally Wernimont, Planning Services Manager
Marie Ware, Leisure Services Manager
Jenny Larson, Budget Director
Deron Muehring, Civil Engineer
Jon Dienst, Civil Engineer
Chandra Ravada, ECIA
Pam Lee, Iowa DOT
2
RESOLUTION NO. 135-20
RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION
FEDERAL AID AGREEMENT FOR A TRANSPORTATION ALTERNATIVES
PROGRAM (TAP) PROJECT
Whereas, the City of Dubuque is proceeding with the Bee Branch Trail, Phase I; and
Whereas, the trail will be located on from 16th/Sycamore intersection to 12th Street,
then east approximately 600 feet toward Kerper Blvd; and
Whereas, the Bee Branch Trail, Phase I project will involve the construction of a 10-
foot-wide paved multi -use trail. The project is planned to be constructed in 2020 and is
part of a multi -phase trail to be built along the restored Bee Branch Creek that will
extend connections to two regional trails -- Dubuque Heritage Trail and Mississippi
River Trail — as well as to the citywide trail system. The project is part of a phased trail
connection to the Jule public transit service and bicycle/pedestrian amenities at the
City's Intermodal Transportation Center on Elm Street; and
Whereas, the Iowa Department of Transportation (Iowa DOT) has authorized the use
of federal funds for eligible costs for the Bee Branch Trail, Phase I.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA THAT:
Section 1. The Mayor be authorized and directed to execute the Iowa DOT
Transportation Federal -Aid Agreement for an Iowa's Transportation Alternatives
Program (TAP) Project Agreement (20-TAP-117) between the City of Dubuque and the
Iowa Department of Transportation be hereby approved for the Bee Branch Trail, Phase
I: from 16th/Sycamore to 12th St.
Passed, approved and adopted this 4th day of May 2020.
Roy D. Buol, Mayor
Attest:
Kevin S. Firnstahl, CMC, City Clerk
t?tcwiiooT
GETTING YOU THERE))'
May 7, 2020
Jon Dienst, P.E.
City of Dubuque
City Hall
50 W 13th Street
Dubuque, IA 52001
Re: Bee Branch Trail, Phase I, City of Dubuque
Project Number TAP-2100(697)-81-31; Agreement Number 20-TAP-117
"T.P- --
Jon:
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,
Pamella S. Lee
Systems Planning Bureau
Enclosure
%. 1515-239-1810
®1 Pamella.Lee@iowadot.us
® I www.iowadot.gov
Address:
[800 Lincoln Way, Ames, IA 50010]
September 2018
TAP-U-2100(697)-81-31 20-TAP-117
IOWA DEPARTMENT OF TRANSPORTATION
Federal -Aid Agreement for a
Iowa's Transportation Alternatives Program (Iowa's TAP) Project
Subrecipient: City of Dubuque
Subrecipient DUNS Number: 093105302
Project Number(s): TAP-U-2100(697)-81-31
Iowa DOT Agreement Number: 20-TAP-117
This agreement, made as of the date of the last party's signature below, is between the City of Dubuque
(hereinafter referred to as Subrecipient) and the Iowa Department of Transportation, the federal pass -
through entity (hereinafter referred to as the Department). Iowa Code Sections 306A.7 and 307.44
provide for the Subrecipient 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 federal -aid highway funds
included in this agreement are jointly implemented by the Federal Highway Administration (FHWA) and
the Department.
The Subrecipient has received federal funding through the Iowa's Transportation Alternatives Program
(Iowa's TAP), which is funded by the Surface Transportation Block Grant Program (STBG), as codified in
Section 133 of Title 23, United States Code (U.S.C.), which are hereinafter referred to as STBG funds.
The Catalog of Federal Domestic Assistance (CFDA) number and title for this funding is 20.205 Highway
Planning and Construction.
Pursuant to the terms of this agreement, applicable statutes, and administrative rules, the Department
agrees to provide the funding named above to the Subrecipient for the authorized and approved costs
for eligible items associated with the project.
Under this agreement, the parties further agree as follows:
1. The Subrecipient 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 Subrecipient's contact person shall be Jon
Dienst, P.E., City of Dubuque, City Hall, 50 W 13th Street, Dubuque, Iowa 52001, 563-589-4270.
3. The Subrecipient shall be responsible for the development and completion of the following
described project:
Bee Branch Trail, Phase!: from 16th/Sycamore intersection to 12th Street, then east
approximately 600 feet toward Kerper Blvd.
4. The Subrecipient shall receive reimbursement for costs of authorized and approved eligible project
activities under the Iowa's TAP program from STBG funds. The portion of the project costs
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TAP-U-2100(697)-81-31 20-TAP-117
reimbursed with STBG 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 ($420,000) in the East
Central Intergovernmental Association's 's current Transportation Improvement Program (TIP) and
approved in the current Statewide Transportation Improvement Program (STIP), whichever is less.
Eligible project activities will be as described in Section 133(h) of Title 23, United States Code
(U.S.C.), and determined by the Department to be eligible.
5. Eligible project costs in excess of the amount reimbursed by the Department above will be
considered the local contribution and may include cash, non -cash or approved state fund
contributions, subject to Department approval. The local contribution must equal a minimum of 20
percent of eligible project costs. The subrecipient shall certify to the Department the value of any
non -cash contribution to the project prior to it being incurred and in accordance with the procedures
outlined in the applicable Instructional Memorandum to Local Public Agencies (I.M.$). The
Department retains the sole authority to determine the eligibility and value of the Subrecipient's
non -cash contribution for the purposes of this agreement. If the Subrecipient's total cash and non -
cash contribution is determined by the Department to be less than that required by this agreement,
the Subrecipient shall increase its cash contribution or the grant amount associated with this project
shall be reduced accordingly.
6. The Subrecipient must have let the contract or have construction started within two years of
October 1, 2019. If the Subrecipient does not do this, they will be in default for which the
Department can revoke funding commitments. The Department may approve extensions of this
agreement for periods up to six months upon receipt of a written request from the Subrecipient at
(east sixty (60) days prior to the deadline.
7. If the Subrecipient fails to perform any obligation under this agreement, the Department shall have
the right, after first giving thirty (30) days written notice to the Subrecipient by certified mail return
receipt requested, to declare any part or all of this agreement in default. The Subrecipient shall have
thirty (30) days from date of mailing of the notice to cure the default. If the Recipient cures the
default, the Subrecipient 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 Subrecipient remains in
default.
8. This agreement may be declared to be in default by the Department if the Department determines
that the Subrecipient'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 and according to the requirements of this agreement.
9. In the event a default is not cured the Department may do any of the following: a) revoke funding
commitments of funds loaned or granted by this agreement; b) seek repayment of funds loaned or
granted by this agreement; or c) revoke funding commitments of funds loaned or granted by this
agreement and also seek repayment of funds loaned or granted by this agreement. By signing this
agreement, the Subrecipient 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, or other methods as approved by the Department.
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10. The Subrecipient 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. The Subrecipient shall maintain, or cause to be maintained, for the intended public use, the
improvement for twenty (20) years from the completion date in a manner acceptable to the
Department.
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 Subrecipient 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 Subrecipient.
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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.
SUBRECIPIENT: City of Dubuque
a
By:
Title: Maur
CERTIFICATION:
Date May 4 , 2020
I, Kevin S. Firnst_ah1 , certify that I am the Clerk of the city, and that
(Name of City Clerk)
Roy D. Buol , 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 4thday of May , 2020 .
Signed:
City Clerk of Dubuque, Iowa.
IOWA DEPARTMENT OF TRANSPORTATION
Planning, Programming and Modal Division
800 Lincoln Way, Ames, Iowa 50010
Tel. 515-239-1664
By: Date , Z2'.2
Craig Markley
Director
Systems Planning Bureau
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EXHIBIT 1
General Agreement Provisions for use of Federal Highway Funds on Non -primary Projects
Unless otherwise specified in this agreement, the Subrecipient shall be responsible for the following:
1. General Requirements.
a. The Subrecipient shall take the necessary actions to comply with applicable state and federal
laws and regulations. To assist the Subrecipient, 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 Subrecipient 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 Subrecipient 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 Subrecipient 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 Subrecipient agrees to comply with the
requirements outlined in I.M. 1.070, Title VI and Nondiscrimination Requirements which includes
the requirement to provide a copy of the Subrecipient's Title VI Plan or Agreement and Standard
DOT Title VI Assurances to the Department.
c. The Subrecipient shall comply with the requirements of Title II of the Americans with Disabilities
Act of 1990 (ADA), Section 504 of the Rehabilitation Act of 1973 (Section 504), the associated
Code of Federal Regulations (CFR) that implement these laws, and the guidance provided in I.M.
1.080, ADA Requirements. When bicycle and/or pedestrian facilities are constructed,
reconstructed, or altered, the Subrecipient shall make such facilities compliant with the ADA and
Section 504 following the requirements set forth in Chapter 12A for sidewalks and Chapter 12B
for Bicycle Facilities of the Iowa DOT Design Manual.
d. To the extent allowable by law, the Subrecipient 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 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 in this agreement. If the Subrecipient will
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pay initial project costs and request reimbursement from the Department, the Subrecipient 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 Subrecipient shall not report this project on its SEFA.
f. The Subrecipient 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 Subrecipient shall comply with the following Disadvantaged Business Enterprise (DBE)
requirements:
i. The Subrecipient 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 Subrecipient 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 Subrecipient shall comply with the requirements of I.M. 5.010, 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 Subrecipient 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 Subrecipient with written notice of termination pursuant to this
section.
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2. Programming and Federal Authorization.
a. The Subrecipient shall be responsible for including the project in the appropriate Regional
Planning Affiliation (RPA) or Metropolitan Planning Organization (MPO) Transportation
Improvement Program (TIP). The Subrecipient 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
Subrecipient shall contact the Department to obtain the procedures necessary to secure FHWA
authorization. The Subrecipient shall submit a written request for FHWA authorization to the
Department. After reviewing the Subrecipient's request, the Department will forward the
request to the FHWA for authorization and obligation of federal funds. The Department will
notify the Subrecipient 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 Subrecipient must show federal aid funding activity to
receive the programmed amount authorized for the project. If there is 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 Subrecipient 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
funds can be adjusted or other options can be explored.
d. Upon receipt of Federal Highway Administration (FHWA) authorization a Federal Award
Identification Number (FAIN) will be assigned to this project by the FHWA based on a
methodology that incorporates identifying information about the federal award such as the
federal funding program code and the federal project number. This FAIN will be used to identify
this project and award on the federal government's listing of financial assistance awards
consistent with the Federal Funding Accountability and Transparency Act of 2006 (FFATA) at
usaspending.gov.
e. A period of performance for this federal funding award will be established at the time of FHWA
authorization. The start date of the period of performance will be the FHWA authorization date.
The project end date (PED) will be determined according to the methodology in I.M. 1.200,
Federal Funds Management. Costs incurred before the start date or after the PED of the period
of performance will not be eligible for reimbursement.
3. Federal Participation in Work Performed by Subrecipient Employees.
a. If federal reimbursement will be requested for engineering, construction inspection, right-of-way
acquisition or other services provided by employees of the Subrecipient, the Subrecipient shall
follow the procedures in I.M. 3.330, Federal -aid Participation in In -House Services.
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b. If federal reimbursement will be requested for construction performed by employees of the
Subrecipient, the Subrecipient shall follow the procedures in I.M. 6.010, Federal -aid Construction
by Local Agency Forces.
c. If the Subrecipient desires to claim indirect costs associated with work performed by its
employees, the Subrecipient 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 Subrecipient. If approved,
the approved indirect cost rate shall be incorporated by means of an addendum to this
agreement.
4. Design and Consultant Services
a. The Subrecipient 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 Subrecipient requests federal funds for consultant services, the Subrecipient 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 Subrecipient shall follow
the procedures for selecting and using consultants outlined in I.M. 3.310, Federal -aid
Participation in Consultant Costs.
c. If Preliminary Engineering (PE) work is federally funded, and if right-of-way acquisition or actual
construction of the project is not started by the close of the tenth fiscal year following the fiscal
year in which the federal funds were authorized, the Subrecipient shall repay to the Department
the amount of federal funds reimbursed to the Subrecipient 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 other activities that are not
intended to lead to a construction project such as planning, conceptual, or feasibility studies.
5. Environmental Requirements and other Agreements or Permits.
a. The Subrecipient 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 Subrecipient shall complete any mitigation agreed upon in
the FHWA approval document. These procedures are set forth in I.M. 3.020, Concept Statement
Instructions; 4.020, NEPA Class of Action Process; 4.030, Environmental Data Sheet Instructions;
4.110, Threatened and Endangered Species; and 4.120, Cultural Resource Regulations.
b. If farmland is to be acquired, whether for use as project right-of-way or permanent easement,
the Subrecipient shall follow the procedures in I.M. 4.170, Farmland Protection Policy Act.
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c. The Subrecipient 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 Subrecipient shall follow the procedures in
I.M. 4.130, 404 Permit Process; 4.140, Storm Water Permits; 4.150, Iowa DNR Floodplain Permits
and Regulations; 4.160, Asbestos Inspection, Removal and Notification Requirements; and 4.190,
Highway Improvements in the Vicinity of Airports or Heliports.
d. In all contracts entered into by the Subrecipient, and all subcontracts, in connection with this
project that exceed $100,000, the Subrecipient 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 Subrecipient 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 Subrecipient shall acquire the project right-of-way, whether by lease, easement, or fee title,
and shall provide relocation assistance benefits and payments in accordance with the procedures
set forth in I.M. 3.600, Right -of -Way Acquisition, and the Department's Office of Right of Way
Local Public Agency Manual. The Subrecipient 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 Subrecipient shall obtain environmental concurrence before
acquiring any needed right-of-way. With prior approval, hardship and protective buying is
possible. If the Subrecipient requests federal funding for right-of-way acquisition, the
Subrecipient 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 Subrecipient 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
Subrecipient shall obtain agreements, easements, or permits as needed from the railroad. The
Subrecipient 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 Subrecipient 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
Subrecipient shall follow the Department's Policy for Accommodating Utilities on Primary Road
System. Certain utility relocation, alteration, adjustment, or removal costs to the Subrecipient for
the project may be eligible for federal funding reimbursement. The Subrecipient should also use
the procedures outlined in I.M. 3.640, Utility Accommodation and Coordination, as a guide to
coordinating with utilities.
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e. If the Subrecipient 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. Construction Contract Procurement.
The following provisions apply only to projects involving physical construction or improvements to
transportation facilities:
a. The project plans, specifications, and cost estimate (PS&E) shall be prepared and certified by a
professional engineer, architect, or landscape architect, as applicable, licensed in the State of
Iowa.
b. For projects let through the Department, the Subrecipient 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. 3.700, Check and Final Plans and I.M. 3.500, Bridge or
Culvert Plans, as applicable.
ii. The contract documents shall use the Department's Standard Specifications for Highway and
Bridge Construction. Prior to their use in the PS&E, specifications developed by the
Subrecipient for individual construction items shall be approved by the Department.
iii. Follow the procedures in I.M. 5.030, Iowa DOT Letting Process, to analyze the bids received,
make a decision to either award a contract to the lowest responsive bidder or reject all bids,
and if a contract is awarded, execute the contract documents and return to the Department.
c. For projects that are let locally by the Subrecipient, the Subrecipient shall follow the procedures
in I.M. 5.120, Local Letting Process, Federal -aid.
d. The Subrecipient 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 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 Subrecipient is a city, the Subrecipient shall comply with the public hearing requirements of
the Iowa Code Section 26.12.
f. The Subrecipient shall not provide the contractor with notice to proceed until after receiving
written notice the Department has concurred in the contract award.
8. Construction.
a. A full-time employee of the Subrecipient 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.
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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
Iowa Administrative Code 761 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 Subrecipient
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 Subrecipient shall provide materials testing and certifications as
required by the approved specifications.
e. If the Department provides any materials testing services to the Subrecipient, the Department
will bill the Subrecipient 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 Subrecipient shall follow the procedures in I.M. 6.000, Construction Inspection, and the
Department's Construction Manual, as applicable, for conducting construction inspection
activities.
9. Reimbursements.
a. After costs have been incurred, the Subrecipient shall submit to the Department periodic
itemized claims for reimbursement for eligible project costs. Requests for reimbursement shall
be made at (east every six months but not more than bi-weekly.
b. To ensure proper accounting of costs, reimbursement requests for costs incurred prior to June 30
shall be submitted to the Department by August 1 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
Subrecipient, are reasonable and proper, have been paid in full, and were completed in
substantial compliance with the terms of this agreement.
d. Reimbursement claims shall be submitted on forms identified by the Department along with all
required supporting documentation. The Department will reimburse the Subrecipient 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 Subrecipient has been overpaid, the Subrecipient shall
reimburse the overpaid amount to the Department. After the final audit or review is complete
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and after the Subrecipient has provided all required paperwork, the Department will release the
federal funds withheld.
e. The total funds collected by the Subrecipient 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 Subrecipient (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 Subrecipient do exceed the total project costs, the Subrecipient 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
H. 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 Subrecipient.
10. Project Close-out.
a. Within 30 days of completion of construction or other activities authorized by this agreement,
the Subrecipient shall provide written notification to the Department and request a final audit, in
accordance with the procedures in I.M. 6.110, Final Review, Audit, and Close-out Procedures for
Federal -aid Projects. Failure to comply with the procedures will result in loss of federal funds
remaining to be reimbursed and the repayment of funds already reimbursed. The Subrecipient
may be suspended from receiving federal funds on future projects.
b. For construction projects, the Subrecipient 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 Subrecipient shall maintain all books, documents, papers, accounting records, reports, and
other evidence pertaining to costs incurred for the project. The Subrecipient 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 Subrecipient 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
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of the final closure document, the Department will notify the Subrecipient of the record
retention date.
e. The Subrecipient shall maintain, or cause to be maintained, the completed improvement in a
manner acceptable to the Department and the FHWA.
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