Northwest Arterial - State of Good Repair Project: Approve Federal-Aid SWAP Funding AgreementCity of Dubuque
City Council Meeting
Consent Items # 22.
Copyrighted
December 20, 2021
ITEM TITLE: Northwest Arterial - State of Good Repair Project: Approve Federal -Aid
SWAP Funding Agreement- Iowa DOTAgreement No. 6-21-STBG-
SWAP-021
SUMMARY: City Manager recommending approval and authorization for the Mayor to
execute a Federal -Aid SWAP Funding Agreement with the Iowa
Department of Transportation (Iowa DOT) for the Northwest Arterial -
State of Good Repair Project.
RESOLUTION Approving a Federal -Aid Swap Funding Agreement (6-
21-STBG-SWAP-021) with the Iowa Department of Transportation for
the Northwest Arterial - State of Good Repair Project
SUGGESTED Suggested Disposition: Receive and File; Adopt Resolution(s)
DISPOSITION:
ATTACHMENTS:
Description Type
Northwest Arterial State of Good Repair Project-MVM City Manager Memo
Memo
Staff Memo
Resolution
Agreement
Staff Memo
Resolutions
Supporting Documentation
THE CITY
DUOF
B TEE
Masterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Northwest Arterial - State of Good Repair Project
Approve Federal -Aid SWAP Funding Agreement
Iowa DOT Project No. STBG-SWAP-2100 (702)--SG-31
Iowa DOT Agreement No. 6-21-STBG-SWAP-021
DATE: December 16, 2021
Dubuque
All -America City
IN
2007.2012.2013
2017*2019
Assistant City Engineer Bob Schiesl recommends City Council approval and
authorization for the Mayor to execute a Federal -Aid SWAP Funding Agreement with
the Iowa Department of Transportation (Iowa DOT) for the Northwest Arterial - State of
Good Repair Project.
The Northwest Arterial project was originally anticipated to be completed by the Iowa
DOT, however as part of the executed Transfer of Jurisdiction Agreement, the City
agreed to be the lead local agency responsible for completing the Northwest Arterial -
State of Good Repair improvements.
Effective January 29, 2021, the Transfer of Jurisdiction of the Northwest Arterial was
completed from the State of Iowa to the City as part of the Southwest Arterial project.
As part of the roadway transfer, the Iowa DOT has issued a state of good repair
payment to the City in the amount of $5,672,000 to complete pavement rehabilitation
and reconstruction of the Northwest Arterial from US20 to Central Ave / IA3.
The Northwest Arterial - State of Good Repair Project will be packaged and bid as part
of the County's John Deere Road Build project which is scheduled for letting in March
2022 through the Iowa DOT in Ames. The project work limits for the Northwest Arterial -
State of Good Repair will be from US20 to JF Kennedy Road, and will include pavement
rehabilitation of the southbound lanes, reconstruction of the northbound lanes, and the
reconstruction of both the Pennsylvania and Asbury intersections.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
v
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Cori Burbach, Assistant City Manager
Gus Psihoyos, City Engineer
Robert Schiesl, Assistant City Engineer
THE CITY OF
DUB E
Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager
Gus Psihoyos, City Engineer
FROM: Robert Schiesl, Assistant City Engineer
DATE: December 14, 2021
SUBJECT: Northwest Arterial - State of Good Repair Project
Approve Federal -Aid SWAP Funding Agreement
Iowa DOT Project No. STBG-SWAP-2100 (702)--SG-31
Iowa DOT Agreement No. 6-21-STBG-SWAP-021
INTRODUCTION
Dubuque
All -America City
2007.2012.2013
2017*2019
The purpose of this memorandum is to provide information and to request City Council
approval and authorization for the Mayor to execute a Federal -Aid SWAP Funding
Agreement (Agreement No. 6-21-STBG-SWAP-021) with the Iowa Department of
Transportation (Iowa DOT) for the Northwest Arterial - State of Good Repair Project.
BACKGROUND
Dubuque County was awarded a BUILD Grant to make capacity and safety
improvements to John Deere Road and the Northwest Arterial - State of Good Repair
Project was added to the BUILD grant project because it is a critical freight route that
connects to South John Deere Road. The Northwest Arterial - State of Good Repair
Project will also provide the non-federal local match to the Dubuque County BUILD
Grant.
DISCUSSION
The Northwest Arterial project was originally anticipated to be completed by the Iowa
DOT, however as part of the executed Transfer of Jurisdiction Agreement (TOJ), the
City agreed to be the lead local agency responsible for completing the Northwest
Arterial - State of Good Repair improvements.
Effective January 29, 2021, the TOJ of the Northwest Arterial was completed from the
State of Iowa to the City as part of the Southwest Arterial project. As part of the roadway
transfer, the Iowa DOT has issued a state of good repair payment to the City in the
amount of $5,672,000 to complete pavement rehabilitation and reconstruction of the
Northwest Arterial from US20 to Central Ave / IA3.
The Northwest Arterial - State of Good Repair Project will be packaged and bid as part
of the County's John Deere Road Build project which is scheduled for letting in March
2022 through the Iowa DOT in Ames. The project work limits for the Northwest Arterial -
State of Good Repair will be from US20 to JF Kennedy Road, and will include pavement
rehabilitation of the southbound lanes, reconstruction of the northbound lanes, and the
reconstruction of both the Pennsylvania and Asbury intersections.
BUDGETIMPACT
The funding for the Northwest Arterial - State of Good Repair Project is summarized as
follows:
CIP No.
Fund Description
Fund Amount
DMATS STBG SWAP Funds
$ 4,240,580
3002876
TSIP Grant
105,000
Local - NWA TOJ Rehab Reconstruction
4,431,420
Total Project Funding
$ 8,777,000
** The local funding portion comes from the Iowa DOT state of good
repair payment to the City for the Northwest Arterial segment from US20
to JF Kennedy Road which will be used as the non-federal local match to
the Dubuque County BUILD Grant.
RECOMMENDATION
I recommend that the City Council adopt the enclosed resolution and authorize the
Mayor to sign the Federal -Aid SWAP Funding Agreement (Agreement No. 6-21-STBG-
SWAP-021) with the Iowa Department of Transportation for the Northwest Arterial -
State of Good Repair Project.
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution and authorize
the Mayor to sign the Federal -Aid SWAP Funding Agreement (Agreement No. 6-21-
STBG-SWAP-021) with the Iowa Department of Transportation for the Northwest
Arterial - State of Good Repair Project.
Attach.
Prepared by Robert Schiesl, Assistant City Engineer
cc: Jenny Larson, Budget Director
Kent Ellis, Iowa DOT District 6
Chandra Ravada, ECIA
F:\PROJECTS\NW Arterial - State of Good Repair - US 20 to JFK\Funding Agreement - SWAP
Prepared by Robert Schiesl City of Dubuque Engineering 50 W. 131h St Dubuque IA 52001 (563) 589 4270
Return to Adrienne N. Breitfelder City Clerk City of Dubuque, 50 W. 13'h St. Dubuque, IA 52001 (563) 589-4100
RESOLUTION NO. 436-21
RESOLUTION APPROVING A FEDERAL -AID SWAP FUNDING AGREEMENT (6-21-
STBG-SWAP-021) WITH THE IOWA DEPARTMENT OF TRANSPORTATION FOR
THE NORTHWEST ARTERIAL - STATE OF GOOD REPAIR PROJECT
WHEREAS, Dubuque County was awarded a BUILD Grant to make capacity and
safety improvements to John Deere Road; and
WHEREAS, the Northwest Arterial - State of Good Repair Project component was
added to the BUILD grant project because it is a critical freight route that connects to
South John Deere Road; and
WHEREAS, The Northwest Arterial - State of Good Repair Project will also provide
the non-federal local match to the Dubuque County BUILD Grant; and
WHEREAS, effective January 29, 2021, the Transfer of Jurisdiction of the
Northwest Arterial was completed from the State of Iowa to the City as part of the
Southwest Arterial project; and
WHEREAS, as part of the roadway transfer, the Iowa DOT has issued a state of
good repair payment to the City to complete pavement rehabilitation and reconstruction
of the Northwest Arterial; and
WHEREAS, the City will be utilizing both state of good repair payment funds and
STBG Federal -aid Swap funds to complete pavement rehabilitation and reconstruction of
the Northwest Arterial from US20 to JF Kennedy Road.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA, THAT:
SECTION 1. That said Federal -Aid SWAP Funding Agreement (Agreement No. 6-
21-STBG-SWAP-021) with the Iowa Department of Transportation for the Northwest
Arterial - State of Good Repair Project is hereby approved.
SECTION 2. That the Mayor be authorized and directed to execute the Federal -
Aid SWAP Funding Agreement (Agreement No. 6-21-STBG-SWAP-021) with the Iowa
Department of Transportation.
Passed, approved and adopted this 20th day of December 2021.
Attest: Roy D. B ol, Mayor
-
Adrienne N. Breitfelder, City Clerk
June 2018
IOWA DEPARTMENT OF TRANSPORTATION
Agreement for a Surface Transportation Block Grant Program Federal -aid Swap Project
Recipient: City of Dubuque
Project No.: STBG-SWAP-2100(702)--SG-31
Iowa DOT Agreement No.: 6-21-STBG-SWAP-021
This is an agreement between the City of Dubuque, Iowa (hereinafter referred to as the Recipient) and the Iowa
Department of Transportation (hereinafter referred to as the Department) for Surface Transportation Block Grant
(STBG) Program Federal -aid Swap funds under 761 Iowa Administrative Code (IAC) Chapter 162. Iowa 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 Iowa.
Pursuant to the terms of this agreement, applicable statutes, and administrative rules, the Department agrees to
provide STBG Federal -aid Swap funding to the Recipient for the authorized and approved costs for eligible items
associated with the project.
Under this agreement, the parties further agree as follows:
1. The Recipient shall be the lead local governmental agency for carrying out the provisions of this agreement.
2. All notices required under this agreement shall be made in writing to the appropriate contact person. The
Department's contact persons will be the Local Systems Project Development Engineer, Christy VanBuskirk,
and Eastern Region Local Systems Field Engineer, Kent L. Ellis. The Recipient's contact person shall be the
City Engineer.
3. The Recipient shall be responsible for the development and completion of the following described STBG
project:
HMA Pavement - Grade and Replace on Northwest Arterial, from US 20 north 5.15 miles to IA 3.
4. Eligible project activities will be limited to the following: construction, engineering, inspection, and right-of-way
acquisition. Under certain circumstances, eligible activities may also include utility relocation or railroad work
that is required for construction of the project.
5. The Recipient shall receive reimbursement for costs of authorized and approved eligible project activities from
STBG Federal -aid Swap funds. The portion of the project costs reimbursed by STBG Federal -aid Swap funds
shall be up to $4,431,420 for the following phases of work as stipulated by the
East Central Intergovernmental Association:
Preliminary Engineering
Construction Engineering
Right -of -Way
X Construction
Other (please specify) .
6. The Recipient shall pay for all project costs not reimbursed with STBG Federal -aid Swap funds.
7. If the project described in Section 3 drops out of the East Central Intergovernmental Association current TIP
or the approved current STIP prior to obligation of funds, and the Recipient fails to reprogram the project in
the appropriate TIP and STIP within 3 years, this agreement shall become null and void.
8. The Recipient shall let the project for bids through the Department.
9. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this
agreement shall remain in effect.
10. It is the intent of both parties that no third party beneficiaries be created by this agreement.
STBG Swap Project Agreement
Page 2
11. This agreement and the attached Exhibit 1 constitute the entire agreement between the Department and the
Recipient concerning this project. Representations made before the signing of this agreement are not
binding, and neither party has relied upon conflicting representations in entering into this agreement. Any
change or alteration to the terms of this agreement shall be made in the form of an addendum to this
agreement. The addendum shall become effective only upon written acceptance of the Department and the
Recipient.
IN WITNESS WHEREOF, each of the parties hereto has executed this agreement as of the date shown opposite its
signature below.
City Signature Block
By _ Date becernber 0 20�1
I, Adri e nn8 N, Bre,+ eldp1- certify that I am the City Clerk of Dubuque, and
that Roy b. Buo) who signed said Agreement for and on behalf of the city was duly
authorized to execute the same by virtue of a formal resolution duly passed and adopted by the city on the 00+"
day of December , 20_aj_.
} b i
City Clerk of Dubuque, Iowa
IOWA DEPARTMENT OF TRANSPORTATION
Highway Administration
Date becembu, a ,20R1
Date 20
Kent L. Ellis, P.E.
Local Systems Field Engineer
Eastern Region
December 2010
IOWA DEPARTMENT OF TRANSPORTATION
Addendum to
Agreement No. 6-21-STBG-SWAP-021
County Dubuque County
City City of Dubuque
Project No. STBG-SWAP-2100(702)--SG-31
Iowa DOT
Addendum No. 6-21 -STBG-SWAP-021 A
Staff Action No. N/A
This Addendum, is entered into by and between the Iowa Department of Transportation, hereinafter
designated the "DOT', and City of Dubuque, Iowa, the Recipient, hereafter designated the "Recipient";
The DOT and the Recipient previously entered into the following agreement for the above referenced
project: Agreement No. 6-21-STPG-SWAP-021 for HMA Pavement - Grade and Replace on Northwest
Arterial, from US 20 north 5.15 miles to IA 3. Agreement was executed by the DOT and the Recipient on
December 28, 2021, and December 21, 2021 respectively; and
Subsequent to execution of the above referenced Agreement it was determined that additional $400,000
STBG Federal -aid SWAP funds will be added to this project.
This Addendum reflects the current concept of this project which is subject to modification by mutual
agreement between the Recipient and the DOT.
Now, therefore, it is agreed as follows:
The Recipient shall receive reimbursement for costs of authorized and approved eligible project activities
from STBG Federal -aid Swap funds. The portion of the project costs reimbursed by STBG Federal -aid
Swap funds shall be up to $4,831,420 for the following phases of work as stipulated by the
East Central Intergovernmental Association:
Preliminary Engineering
Construction Engineering
Right -of -Way
X Construction
Other (please specify) _
1. It is the intent of both (all) parties that no third party beneficiaries be created by this Addendum.
2. If any section, provision, or part of this Addendum shall be found to be invalid or unconstitutional, such
finding shall not affect the validity of the Addendum as a whole or any section, provision, or part thereof
not found to be invalid or unconstitutional, except to the extent that the original intent of the Addendum
cannot be fulfilled.
3. All previously executed agreement(s) and or addendum(s) will remain in effect except as amended
herein.
4. This Addendum may be executed in two counterparts, each of which so executed will be deemed to be
an original.
5. This Addendum, as well as the unaffected provisions of any previous agreement(s), addendum(s),
and/or amendment(s); represents the entire Agreement between the Recipient and DOT regarding this
project. All previously executed agreements will remain in effect except as amended herein. Any
subsequent change or modification to the terms of this Agreement will be in the form of a duly executed
amendment to this document.
December 2010
IN WITNESS WHEREOF, each of the parties hereto has executed Addendum No. 6-21-STBG-SWAP-021 A
as of the date shown opposite its signature below.
City Signature Block
By Date August 2 20 22
City Manager
Title of city official
I, Trish L. Gleason certify that I am the Assistant City Clerk of Dubuque, and
that Michael C. Van Milligan who signed said Agreement for and on behalf of the city was
duly authorized to execute the same by virtue of a formal resolution duly passed and adopted by the city
on the 2nd day of August 120 22 _
Signedntf� )C1C9K� Date August 2 120 22
Tr.Sh Glo.csor.
Assistant City Clerk of Dubuque, Iowa
IOWA DEPARTMENT OF TRANSPORTATION
Highway Administration
BY Date 20
Kent L. Ellis, P.E.
Local Systems Field Engineer
Eastern Region
EXHIBIT 1
General Agreement Provisions for use of Federal -aid Swap Funds on Non -primary Projects
Unless otherwise specified in this agreement, the Recipient shall be responsible for the following:
1. General Requirements.
a. The Recipient shall take the necessary actions to comply with applicable State and Federal laws and
regulations. To assist the Recipient, the Department has provided guidance in the Instructional
Memorandums to Local Public Agencies (I.M.$), available on-line at:
https://iowadot.gov/local systems/publications/im/lpa 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 Iowa 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. Programming
a. The Recipient shall be responsible for including the project in the appropriate Regional Planning Affiliation
(RPA) or Metropolitan Planning Organization (MPO) Transportation Improvement Program (TIP). The
Recipient shall also ensure that the appropriate RPA or MPO, through their TIP submittal to the Department,
includes the project in the Statewide Transportation Improvement Program (STIP). If the project is not
included in the appropriate fiscal year of the STIP, funds cannot be obligated.
b. Before beginning any work for which funding reimbursement will be requested, the Recipient shall submit
a written request for acceptance to the Department. The Department will notify the Recipient when
acceptance is granted. The cost of work performed prior to acceptance will not be reimbursed. The turning
in of plans for letting by the Department's administering bureau shall be considered acceptance for
construction. The Department will notify the Recipient when acceptance is granted.
3. Design and Consultant Services
a. The Recipient shall be responsible 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.
4, Environmental Requirements and other Agreements or Permits.
a. The Recipient shall obtain project permits and approvals, when necessary, from the Iowa Department of
Cultural Affairs (State Historical Society of Iowa; State Historic Preservation Officer), Iowa Department of
Natural Resources, U.S. Coast Guard, U.S. Army Corps of Engineers, the Department, or other agencies
as required. The Recipient shall follow the applicable procedures in the Instructional Memorandums to
Local Public Agencies Table of Contents, Chapter 4 — Environmental Regulations.
5. Right -of -Way, Railroads, and Utilities.
a. The Recipient shall acquire the project right-of-way, whether by lease, easement, or fee title, and shall
provide relocation assistance benefits and payments in accordance with the procedures set forth in I.M.
3.600, Right -of -Way Acquisition, and the Department's Right of Way Bureau Local Public Agency Manual.
The Recipient shall contact the Department for assistance, as necessary, to ensure compliance with the
required procedures.
b. If a railroad crossing or railroad tracks are within or adjacent to the project limits, the Recipient shall obtain
agreements, easements, or permits as needed from the railroad. The Recipient shall follow the procedures
in I.M. 3.670, Work on Railroad Right -of -Way.
c. The Recipient shall obtain agreements from utility companies as needed. The Recipient shall comply with
the "Policy for Accommodating Utilities on the County and City a Non -Primary Federal -aid Road System"
for projects on non -primary Federal -aid highways. For projects connecting to or involving some work inside
the right-of-way for a primary highway, the Recipient shall follow the 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.
6. Contract Procurement.
a. The following provisions apply only to projects involving physical construction or improvements to
transportation facilities:
b. The project plans, specifications, and cost estimate (PS&E) shall be prepared and certified by a professional
engineer or architect, as applicable, licensed in the State of Iowa.
c. The Recipient shall be responsible for the following:
i. Prepare and submit the PS&E and other contract documents to the Department for review and
acceptance in accordance with I.M. 3.700, Check and Final Plans and I.M. 3.500, Bridge or Culvert
Plans, as applicable.
ii. The contract documents shall use the Department's Standard Specifications for Highway and Bridge
Construction. Prior to their use in the PS&E, specifications developed by the Recipient for individual
construction items shall be approved by the Department.
iii. Follow the procedures in I.M. 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 Department.
Note: The Department may not be able to allow a project to be let in the scheduled letting due to possible
issues with cash flow availability.
d. The Recipient shall forward a completed Project Development Certification (Form 730002) to the
Department in accordance with I.M. 5.050, Project Development Certification Instructions. The project will
not be turned in for bid letting until the Department has reviewed and accepted the Project Development
Certification.
e. If the Recipient is a city, the Recipient shall comply with the public hearing requirements of the Iowa Code
section 26.12.
f. The Recipient shall not provide the contractor with notice to proceed until after receiving written notice that
the Department has concurred in the contract award.
7. Construction.
a. The Recipient shall follow the procedures in I.M. 6.000, Construction Inspection, and the 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.gov/erl/index.html.
e. If the Department provides any materials testing services to the Recipient, the Department will bill the
Recipient for such testing services according to its normal policy as per Materials I.M. 103.
8. Reimbursements.
a. The Recipient will be initially responsible for all project costs. After costs have been incurred, the Recipient
shall submit to the Department periodic itemized claims for reimbursement for eligible project costs.
Requests for reimbursement shall be made at least semi-annually but not more than bi-weekly.
b. To ensure proper accounting of costs, reimbursement requests for costs incurred prior to June 30 shall be
submitted to the Department by August 1, if possible, but no later than August 15.
c. Reimbursement claims shall include a certification that all eligible project costs, for which reimbursement is
requested, have been reviewed by an official or governing board of the Recipient, are reasonable and
proper, have been paid in full, and were completed in substantial compliance with the terms of this
agreement.
d. The Department will reimburse the Recipient for properly documented and certified claims for eligible
project costs. The Department may withhold up to 5% of the total funds available for the project.
Reimbursement will be made either by State warrant or by crediting other accounts from which payment
was initially made. If, upon final review or audit selected by the Administering Bureau, the Department
determines the Recipient has been overpaid, the Recipient shall reimburse the overpaid amount to the
Department. After the final review is complete and after the Recipient has provided all required paperwork,
the Department will release the funds withheld.
e. The total funds collected by the Recipient for this project shall not exceed the total project costs. The total
funds collected shall include any funds received; for example, Federal funds not received through FHWA,
any special assessments made by the Recipient (exclusive of any associated interest or penalties) pursuant
to Iowa Code Chapter 384 (cities) or Chapter 311 (counties), proceeds from the sale of excess right-of-
way, and any other revenues generated by the project. The total project costs shall include all costs that
can be directly attributed to the project. In the event that the total funds collected by the Recipient do exceed
the total project costs, the Recipient shall either:
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
refund to the Department all funds collected in excess of the total project costs (including interest and
penalties associated with the amount of the excess) within 60 days of the receipt of any excess funds.
9. Project Close-out.
a. Acceptance of the completed construction shall be with the concurrence of the Department. Within 30 days
of completion of construction or other activities authorized by this agreement, the Recipient shall provide
written notification to the Department. The Recipient shall follow and request a final review, in accordance
with the procedures in I.M. 6.110, Final Review, Audit, and Close-out Procedures for Federal -aid, Federal -
aid Swap, and Farm -to -Market Projects. Failure to comply with the procedures may result in loss of funds
and the ability to let future projects through the Department; reimbursed funds shall be returned and a
possible suspension may be placed on the Recipient from receiving funds from the Department on future
projects until the Recipient has demonstrated responsible management of funds on roadway projects.
b. For construction projects, the Recipient shall provide a certification by a professional engineer, architect, or
landscape architect as applicable, licensed in the State of Iowa, indicating the construction was completed
in substantial compliance with the project plans and specifications.
c. Final reimbursement of funds shall be made only after the Department accepts the project as complete.
d. The Recipient shall maintain all books, documents, papers, accounting records, reports, and other evidence
pertaining to costs incurred for the project. The Recipient shall also make this documentation available at
all reasonable times for review by the Department. Copies of this documentation shall be furnished by the
Recipient if requested. Such documentation shall be retained for at least 3 years from the date of the
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).
e. The Recipient shall maintain, or cause to be maintained, the completed improvement in a manner
acceptable to the Department.