Iowa DOT Federal-Aid Agreement for Accelearted Innovation Deployment (AID) for STREETS Copyrighted
December 21, 2020
City of Dubuque Consent Items # 17.
City Council Meeting
ITEM TITLE: lowa Department of Transportation Federal-Aid Agreementforan
Accelerated I nnovation Deployment Demonstration Project
SUM MARY: City Manager recommending approval of a resolution authorizing the
Mayor to execute an I owa Department of Transportation Federal-Aid
Agreement for an Accelerated I nnovation Deployment Demonstration
Project for Phase 1 of the Dubuque STREETS (Smart Traffic Routing
with Efficient and Effective Traffic System) project.
RESOLUTION Approving the lowa Department of Transportation
Federal-Aid Funding Agreement (Agreement No. 2020-EDP-01)for an
Accelerated I nnovation Deployment (AI D) Demonstration 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 DOT Federal-Aid Agreement for Accelerated
Innovation Deployment Demonstration Project-MVM City Manager Memo
Memo
Staff Memo AI D Staff Memo
Resolution AI D Resolutions
AI D Agreement Supporting Documentation
Dubuque
THE CITY OF �
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TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: lowa Department of Transportation Federal-Aid Agreement for an
Accelerated Innovation Deployment Demonstration Project
Project Number: EDP-2100(699)-7Y-31
lowa DOT Agreement Number: 2020-EDP-01
DATE: December 17, 2020
City Engineer Gus Psihoyos recommends City Council approval of a resolution
authorizing the Mayor to execute an lowa Department of Transportation Federal-Aid
Agreement for an Accelerated Innovation Deployment Demonstration 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.
This grant covers a maximum of either 80% of eligible costs (other than those
reimbursed with other federal funds) or the amount listed ($998,000) in the Dubuque
Metropolitan Area Transportation Study current Transportation Improvement Program
(TIP) and approved in the current Statewide Transportation Improvement Program
(STIP), whichever is less.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
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Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Cori Burbach, Assistant City Manager
Gus Psihoyos, City Engineer
Dubuque
THE CITY OF �
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TO: Michael C. Van Milligen, City Manager
FROM: Gus Psihoyos, City Engineer
DATE: December 14, 2020
RE: lowa Department of Transportation Federal-Aid Agreement for an
Accelerated Innovation Deployment Demonstration Project
Project Number: EDP-2100(699)-7Y-31
lowa DOT Agreement Number: 2020-EDP-01
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute an lowa Department of
Transportation Federal-Aid Agreement for an Accelerated Innovation Deployment (AID)
Demonstration 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 September 2017, an application was submitted to the Federal Highway
Administration (FHWA) for the AID Demonstration Grant. The lowa DOT (recipient) and
the City of Dubuque (sub recipient) was selected to receive, an AID Demonstration
Grant in the amount of $998,000 for the development of a smart, next-generation, traffic
management and control system that will employ traffic control strategies to maximize
roadway capacities in the Dubuque metro area.
RECOMMENDATION
I recommend that the City Council authorize the Mayor to execute an lowa DOT
Federal-Aid Agreement for an Accelerated Innovation Deployment (AID) Demonstration
Project 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.
This grant covers a maximum of either 80 percent of eligible costs (other than those
reimbursed with other federal funds) or the amount listed ($998,000) in the Dubuque
Metropolitan Area Transportation Study current Transportation Improvement Program
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(TIP) and approved in the current Statewide Transportation Improvement Program
(STIP), whichever is less.
ACTION TO BE TAKEN
The City Council is requested to authorize the Mayor to execute an lowa DOT Federal-
Aid Agreement for an Accelerated Innovation Deployment (AID) Demonstration Project
(lowa DOT Agreement No. 2020-EDP-01) 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. 368-20
APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION FEDERAL -AID
FUNDING AGREEMENT (AGREEMENT NO. 2020-EDP-01) FOR AN ACCELERATED
INNOVATION DEPLOYMENT (AID) DEMONSTRATION 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
Accelerated Innovation Deployment (AID) Demonstration Project funding in the amount
of $998,000 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 Federal -Aid Funding Agreement (Agreement No. 2020-
EDP-01) 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
Federal Aid Funding Agreement (Agreement No. 2020-EDP-01) for Phase I of the
Smart Traffic Routing with Efficient and Effective Traffic Signals (STREETS) program.
Passed, approved and adopted this 21st day of December
D. Buol, Mayor
Attest:
l „nti� /I/,, b"a4
Adrienne Breitfelder, City Clerk
September 2018
IOWA DEPARTMENT OF TRANSPORTATION
Federal-Aid Agreement for an
Accelerated Innovation Deployment (AID) Demonstration Project
Subrecipient: City of Dubuque
Subrecipient DUNS Number: 093105302
Project Number(s): EDP-2100(699)-7Y-31
lowa DOT Agreement Number: 2020-EDP-01
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 lowa Department of Transportation, the federal pass-
through entity (hereinafter referred to as the Department). lowa 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 lowa 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 Accelerated Innovation Deployment (AID)
Demonstration authorized within the Technology and Innovation Deployment Program (TIDP), as
codified in Section 503 of Title 23, which are hereinafter referred to as AID funds. The Catalog of Federal
Domestic Assistance (CFDA) number and title for this funding is 20.200 Highway Research and
Development Program.
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 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 Subrecipient 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
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September 2018
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. The Subrecipient shall receive reimbursement for costs of authorized and approved eligible project
activities from AID funds. The portion of the project costs reimbursed with AID 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 ($998,000) in the Dubuque Metropolitan Area Transportation Study
current Transportation Improvement Program (TIP) and approved in the current Statewide
Transportation Improvement Program (STIP), whichever is less. Eligible project activities will be as
described in Section 503 of Title 23, United States Code (U.S.C.) and determined by the Department
to be eligible.
5. Eligible project costs in excess of the amount reimbursed by the Department above will be
considered the local contribution and may include cash, non-cash or approved state fund
contributions, subject to Department approval. The local contribution must equal a minimum of 20
percent of eligible project costs. The subrecipient shall certify to the Department the value of any
non-cash contribution to the project prior to it being incurred and in accordance with the procedures
outlined in the applicable Instructional Memorandum to Local Public Agencies (I.M.$). 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
least sixty (60) days prior to the deadline.
7. The Subrecipient shall take the necessary actions in accordance with this agreement to submit a
request for FHWA authorization to the Department and ensure that authorization and obligation of
AID funds is completed before January 14, 2021. If the Subrecipient does not do this, these funds
will no longer be available for the project.
8. The Subrecipient 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. 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.
9. The Subrecipient shall submit a Data Management Plan to the Department for review and approval
in accordance with the requirements described in the Department's Guidance on Data Management
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September 2018
Plan (DMP) Requirements for Federally Funded Research Projects
(http://publications.iowa.�ov/21913/) prior to execution of this agreement.
10. The Subrecipient shall submit a final report to the Department for transmittal to the FHWA within six
(6) months of project completion in the format required by the FHWA which documents the process,
benefits, and lessons learned including development and/or refinement of guidance, specifications
or other tools and methods to support rapid adoption of the innovation(s) as standard practice, as
well as level of commitment by recipient to deploy the innovation as standard practice.
11. 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.
12. 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.
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 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.
14. 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.
15. The Subrecipient shall maintain, or cause to be maintained for the intended public use, the
completed improvement in a manner acceptable to the Department.
16. This agreement is not assignable without the prior written consent of the Department.
17. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this
agreement shall remain in effect.
18. It is the intent of both parties that no third-party beneficiaries be created by this agreement.
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September 2018
19. 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.
20. 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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September 2018
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
By: E (%! Date_QeCefilhP.r �0)0
Title: Mavor
CERTIFICATION:
I, ALie.lntle N. B re'i Ke I jer , certify that I am the Clerk of the city, and that
(Name of City Clerk)
o b. Q VC)I lIwho 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 becemher , goQo
City Clerk of Dubuque, Iowa.
IOWA DEPARTMENT OF TRANSPORTATION
Planning, Programming and Modal Division
800 Lincoln Way, Ames, Iowa 50010
Tel. 515-230-1664
By: Date �� •�e�
Crag, arkley
Director
Systems Planning; Bureau
September 2018
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 lowa 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 lowa 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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September 2018
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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September 2018
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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September 2018
c. The Subrecipient 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 Subrecipient shall follow the procedures in
I.M. 4.130, 404 Permit Process; 4.140, Storm Water Permits; 4.150, lowa 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
lowa.
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, 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 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 lowa 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
lowa 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/I M/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 least 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 S% 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 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 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
ii. Refund to the Department all funds collected in excess of the total project costs (including
interest and penalties associated with the amount of the excess) within 60 days of the receipt
of any excess funds. In return, the Department will either credit reimbursement billings to
the FHWA or credit the appropriate state fund account in the amount of refunds received
from the 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 lowa, 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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