Iowa DOT Agreement - Iowa's Clean Air Attainment Program (ICAAP) and Surface Transportation Block Grant (STBG) for STREETS Copyrighted
December 21, 2020
City of Dubuque Consent Items # 16.
City Council Meeting
ITEM TITLE: lowa Departmentof TransportationAgreementforan lowa's CleanAir
Attainment Program and Surface Transportation Block Grant Federal-Aid
Swap Project
SUMMARY: City Manager recommending approval forthe Mayorto execute an lowa
Department of Transportation Funding Agreement for lowa's Clean Air
Attainment Program (ICAAP) and Surface Transportation Block Grant
(STBG) Federal-aid Swap Project for Phase 1 of the Dubuque
STREETS (Smart Traffic Routing with Efficient and Effective Traffic
System) project.
RESOLUTION Approving the Funding Agreement (Agreement No.
2020-I CAAP-03)with the I owa Department of Transportation for an
lowa's CleanAirAttainment Program (ICAAP) and Surface
Transportation Block Grant (STBG) Federal-aid Swap Project as part of
Phase I of the Smart Traffic Routing with Efficient and Effective Traffic
Signals (STREETS)
SUGGESTED Suggested Disposition: Receive and File;Adopt Resolution(s)
DISPOSITION:
ATTACHMENTS:
Description Type
I DOTAgreement for lowa Clean Air Attainment
Program and Surface Transportation Block Grant-MVM City Manager Memo
Memo
Staff Memo ICAPP STBG Staff Memo
Resolution ICAAP STBG Resolutions
ICAAP STBG Agreement Supporting Documentation
Dubuque
THE CITY OF �
ui-Aseria cih
DuB E , . � . ,
� II �
Maste iece on tj2e Mississi i zoo�•zoiz•zois
YP pp zoi�*zoi9
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: lowa Department of Transportation Agreement for an lowa's Clean Air
Attainment Program and SurFace Transportation Block Grant Federal-Aid
Swap Project
Project Number: ICAAP-SWAP-2100(701)--SH-31
lowa DOT Agreement Number: 2020-ICAAP-03
DATE: December 17, 2020
City Engineer Gus Psihoyos recommends City Council approval for the Mayor to
execute an lowa Department of Transportation Funding Agreement for lowa's Clean Air
Attainment Program (ICAAP) and SurFace Transportation Block Grant (STBG) Federal-
aid Swap Project for Phase 1 of the Dubuque STREETS (Smart Traffic Routing with
Efficient and Effective Traffic System) project.
The total cost of Phase 1 of Dubuque's STREETS project is estimated at $3,666,250.
These grants cover costs of authorized and approved eligible project activities. The
portion of the project costs reimbursed with ICAAP Federal-aid Swap funds shall be
limited to a maximum of either 80% of eligible costs (other than those reimbursed with
other state or federal funds) or $818,250, whichever is less.
The City 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 with STBG Federal-aid Swap funds shall be limited to a maximum of either
80% of eligible costs (other than those reimbursed with other state or federal funds) or
$800,000, whichever is less.
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
Cori Burbach, Assistant City Manager
Gus Psihoyos, City Engineer
2
Dubuque
THE CITY OF �
All•Ameriea Ciq�
Du B E �������
, � �����;
I I
Masre iece on the Mississi i z°°'�Z°lZtZ°13
� pp �o1�*Zoi�
TO: Michael C. Van Milligen, City Manager
FROM: Gus Psihoyos, City Engineer
DATE: December 14, 2020
RE: lowa Department of Transportation Agreement for an lowa's Clean Air
Attainment Program and Surface Transportation Block Grant Federal-aid
Swap Project
Project Number: ICAAP-SWAP-2100(701)—SH-31
lowa DOT Agreement Number: 2020-ICAAP-03
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute an lowa Department of
Transportation (lowa DOT) Funding Agreement for lowa's Clean Air Attainment
Program (ICAAP) and SurFace Transportation Block Grant (STBG) Federal-aid Swap
Project for Phase 1 of the Dubuque STREETS project.
BACKGROUND
Goals of the STREETS study are to accelerate the adoption of innovative technologies,
improve highway efficiency, safety, mobility, and reliability, and to develop and deploy
new tools, techniques, and practices. This system will use traffic control strategies to
enable dynamic traffic routing on ten corridors to maximize the use of existing roadway
capacities in the Dubuque metro area.
In October 2019, an application was submitted to the lowa DOT for an ICAAP and
STBG Grant. The grant application was approved by the Transportation Commission in
January 2020 in the amounts of$818,250 and $800,000 respectively.
RECOMMENDATION
I recommend that the City Council authorize the Mayor to execute a Funding Agreement
with the lowa DOT for the ICAAP and STBG Grant for Phase 1 of the Dubuque
STREETS project.
BUDGETIMPACT
The total cost of Phase 1 of Dubuque's STREETS project is estimated at $3,666,250.
These grants cover costs of authorized and approved eligible project activities. The
portion of the project costs reimbursed with ICAAP Federal-aid Swap funds shall be
limited to a maximum of either 80 percent of eligible costs (other than those reimbursed
with other state or federal funds) or $818,250, whichever is less.
1
The City 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 with STBG Federal-aid Swap funds shall be limited to a maximum of either
80 percent of eligible costs (other than those reimbursed with other state or federal
funds) or $800,000, whichever is less.
ACTION TO BE TAKEN
The City Council is requested to authorize the Mayor to execute an lowa Department of
Transportation (lowa DOT) Funding Agreement (2020-ICAAP-03) for lowa's Clean Air
Attainment Program (ICAAP) and Surface Transportation Block Grant (STBG) Federal-
aid Swap Project for Phase 1 of the Dubuque STREETS project.
cc: David Ness, Civil Engineer
Bob Schiesl, Asst City Engineer
Chandra Ravada, ECIA
Debra Arp, lowa DOT
2
Prepared by Gus Psihoyos, City Engineer, 50 W. 13th St Dubuque IA 52001 (563) 589-4276
Return to Adrienne N. Breitfelder, City Clerk, 50 W. 13th St., Dubuque, IA 52001, (563) 589-4100
RESOLUTION NO. 367-20
APPROVING THE FUNDING AGREEMENT (AGREEMENT NO. 2020-ICAAP-03)
WITH THE IOWA DEPARTMENT OF TRANSPORTATION FOR AN IOWA'S CLEAN
AIR ATTAINMENT PROGRAM (ICAAP) AND SURFACE TRANSPORTATION
BLOCK GRANT (STBG) FEDERAL -AID SWAP PROJECT AS PART OF PHASE I OF
THE SMART TRAFFIC ROUTING WITH EFFICIENT AND EFFECTIVE TRAFFIC
SIGNALS (STREETS)
Whereas, the STREETS project is designed to improve traffic conditions
throughout the Dubuque metro area by distributing traffic more evenly on the region's
major corridors. The STREETS project will modify the signal timings through a
seamless interface between a signal timing model and signals used in the field; and
Whereas, the City has determined that STREETS project will reduce congestion,
shorten travel times, improve air quality, and improve safety in the metro area. By
rerouting traffic on the roads with extra capacities dynamically, it is expected that the
proposed system will reduce traffic bottlenecks as recommended by the adopted East-
West Corridor Study; and
Whereas, the City in partnership with DMATS requested
Iowa's Clean Air Attainment Program (ICAAP) Project funding in the amount of
$818,250 and Surface Transportation Block Grant STBG Federal -aid Swap funds in the
amount of $800,000 to assist with a Phase I of the Dubuque STREETS program; and
NOW, THEREFORE, IT IS AGREED BY AND BETWEEN THE PARTIES AS
FOLLOWS:
SECTION 1. That said Funding Agreement (Agreement No. 2020-ICAAP-03)
between the City of Dubuque and the Iowa Department of Transportation is hereby
approved.
SECTION 2. That the Mayor is hereby authorized and directed to execute the
Funding Agreement (Agreement No. 2020-ICAAP -03) for Phase I of the Smart Traffic
Routing with Efficient and Effective Traffic Signals (STREETS) program.
Passed, approved and adopted this 21Stday of December 2020.
Attest: Roy Buol, Mayor
klnllne � �a4U&
Adrienne Breitfelder, City Clerk
April 2019
IOWA DEPARTMENT OF TRANSPORTATION
Agreement for an
lowa's Clean Air Attainment Program (ICAAP) and
Surface Transportation Block Grant (STBG) Federal-aid Swap Project
Recipient: City of Dubuque
Project Number(s): ICAAP-SWAP-2100(701)--SH-31
lowa DOT Agreement Number: 2020-ICAAP-03
This agreement, made as of the date of the last party's signature below, is 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 lowa's Clean Air Attainment Program (ICAAP) Federal-
aid Swap funds and Surface Transportation Block Grant (STBG) 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 ICAAP and 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 Department's contact person shall be Debra Arp, Systems Planning Bureau, 800
Lincoln Way, Ames, lowa 50010, 515-239-1681. The Subrecipient's contact person shall be
Dave Ness, 50 W. 13th Street, Dubuque, lowa 52001, 563-589-4270.
3. The Recipient shall be responsible for the development and completion of the following
described project:
Development of a smart, next generation, traffic management and control system. The Smart
Traffic Routing with Efficient and Effective Traffic Signals (STREETS) project will use advanced
traffic control strategies and dynamic traffic routing to maximize the use of roadway capacities
in Dubuque. The project includes creating an Adaptive (Dynamic) Traffic Control System (ATCS),
installation of equipment at intersections and connecting to ATCS (33 Intersections), connecting
ATCS to microsimulation model, updating the public with information from ATCS and testing
the system.
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 ICAAP Federal-aid Swap funds. The portion of the project costs reimbursed with
ICAAP Federal-aid Swap funds shall be limited to a maximum of either 80 percent of eligible
costs (other than those reimbursed with other state or federal funds) or$818,250, whichever is
less.
6. 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 with
STBG Federal-aid Swap funds shall be limited to a maximum of either 80 percent of eligible
costs (other than those reimbursed with other state or federal funds) or$800,000, whichever is
less.
7. Eligible project costs in excess of the amount reimbursed by the Department above will be
considered the local contribution. The local contribution must equal a minimum of 20 percent
of eligible project costs.
8. 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 that project in the Statewide Transportation
Improvement Program (STIP). If the project is not included in the appropriate fiscal year of the
STIP, funds will not be reimbursed.
9. The Recipient must have let the contract or have otherwise completed the project within two
years of October 1, 2019. If the Recipient 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 form the
Recipient at least sixty (60) days prior to the deadline.
10. The Recipient shall provide a summary report measuring the success of its effect on vehicle
emissions to the Department upon completion of the project and prior to requesting final
reimbursement of ICAAP Federal-aid Swap funds. The report will include before and after
project emissions calculations comparing new data compiled after project completion to the
data submitted with the project application. Through a quantitative analysis, the summary
must show how many kilograms of pollutants (including CO, VOC, NOx, and if applicable PM)
have been reduced. The preparation of this summary may require additional data collection or
modeling. These tasks or services are not considered project costs and are not eligible for
reimbursement.
11. 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.
12. 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 and according to the requirements of this agreement.
13. 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 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, or other methods as approved by the Department.
14. The Recipient shall maintain, or cause to be maintained for the intended public use, the
completed improvement in a manner acceptable to the Department.
15. This agreement is not assignable without the prior written consent of the Department.
16. If any part of this agreement is found to be void and unenforceable, the remaining provisions of
this agreement shall remain in effect.
17. It is the intent of both parties that no third-party beneficiaries be created by this agreement.
18. 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.
RECIPIENT: City of Dubuque
By: Date becem6er O 1 , dodo
Title: Mayor
CERTIFICATION:
I, Adrl e flne- N, 6 re JFe-1Je.0 , certify that I am the Clerk of the city, and that
(Name of City Clerk)
Roy b. NJ , 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 � day of necember ;ROaO .
I
Signed: P.
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 ,
Craig Markley
Director
Systems Planning Bureau
EXHIBIT 1
General Agreement Provisions for use of ICAAP 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.�ov/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 Department's 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 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. 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.
3. 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.
4. Right-of-Way, Railroads, and Utilities.
a. The Recipient shall acquire the project right-of-way, whether by lease, easement, or fee title, and
shall provide relocation assistance benefits and payments in accordance with the procedures set
forth in I.M. 3.600, Right-of-Way Acquisition, and the Department's 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.
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 Department's "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.
5. Contract Procurement.
The following provisions apply only to projects involving physical construction or improvements to
transportation facilities. Such projects will let at the Department.
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 lowa.
b. 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 Department's Standard Specifications for Highway and
Bridge Construction. Prior to their use in the PS&E, specifications developed by the Recipient
(special provisions) 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.
c. 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.
d. If the Recipient is a city, the Recipient shall comply with the public hearing requirements of the
lowa Code section 26.12.
e. 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.
6. Construction.
a. The Recipient shall follow the procedures in I.M. 6.000, Construction Inspection, and the
Department's Construction Manual, as applicable, for conducting construction inspection
activities. The Recipient's 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 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:
https://www.iowadot.�ov/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.
7. Reimbursements.
a. Costs incurred prior to the date of the executed project funding agreement are not eligible for
reimbursement. Reimbursement of eligible costs may be requested only after the project is
programmed in the Regional Planning Affiliation (RPA) or Metropolitan Planning Organization
(MPO) Transportation Improvement Program (TIP) and Statewide Transportation Improvement
Program (STIP).
b. 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.
c. 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.
d. 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.
e. 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
Office, 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.
f. 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 including but not limited to: Federal
funds, state funds, 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.
8. 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 and the Department has approved the emissions summary report submitted by the
Recipient after completion of the project.
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 Department's signature of the Department's
Final Payment Form (Form 830436) or the bottom part of the Certificate of Completion and Final
Acceptance of Agreement Work (Form 640003).