Iowa DOT Funding Agreement- University Avenue and Asbury Road Copyright 2014
City of Dubuque Consent Items # 18.
ITEM TITLE: Iowa DOT Funding Agreement- University Avenue and
Asbury Road
SUMMARY: City Manager recommending approval of a Federal Aid
Funding Agreement with the Iowa Department of
Transportation (Iowa DOT)for future capacity
improvements at the intersection of University Avenue and
Asbury Road.
RESOLUTION Approving the Iowa Department of
Transportation Federal Aid Funding Agreement for
University Avenue -Asbury Road Intersection
improvements
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
Iowa DOT Funding Agreement-University Avenue- City Manager Memo
Asbury Road Intersection Improvements-MVM Memo
Staff Memo Staff Memo
Resolution Resolutions
Iowa DOT Funding Agreement Supporting Documentation
THE CITY OF Dubuque
UBE I
erica .i
Masterpiece on the Mississippi 2007-2012-2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Iowa Department of Transportation Federal Aid Funding Agreement
University Avenue –Asbury Road Intersection Improvements
Iowa DOT Project No. STP-U-2100 (674)-70-31
Agreement No: 6-16-STPU-14
DATE: June 29, 2016
City Engineer Gus Psihoyos recommends City Council approval of a Federal Aid
Funding Agreement with the Iowa Department of Transportation (Iowa DOT) for future
capacity improvements at the intersection of University Avenue and Asbury Road.
In May, 2016, the City acquired the vacant Fahey Family / Rainbo Oil Company
property (2239 University Avenue) as an advance protective purchase to preserve the
corridor identified in the East-West Corridor Connectivity Study and the future
reconstruction of the University Avenue - Asbury Road Intersection.
The City received authorization from both the Iowa DOT and the Federal Highway
Administration to use local federal DMATS Surface Transportation Program funds to
cover the costs (80%) for the advance protective property purchase.
Prior to the City having the ability to receive funding reimbursement for eligible
expenses incurred to date to complete the advance protective property purchase, the
Federal Aid Funding Agreement must be approved and executed.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Micliael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Gus Psihoyos, City Engineer
THE CITY OF o. Dubuque
DUB E ►�,aiChy
1111.1
Masterpiece on the Mississippi Z007-20l2.,,,,,
TO: Michael C. Van Milligen, City Manager
FROM: Gus Psihoyos, City Engineer _
SUBJECT: Iowa Department of Transportation Federal Aid Funding Agreement
University Avenue - Asbury Road Intersection Improvements
Iowa DOT Project No. STP-U-2100 (674)--70-31
Agreement No: 6-16-STPU-14
DATE: June 29, 2016
INTRODUCTION
The purpose of this memorandum is to provide information and recommend approval of
a Federal Aid Funding Agreement between the Iowa Department of Transportation
(Iowa DOT) and the City of Dubuque (City) for future capacity improvements at the
intersection of University Avenue and Asbury Road.
BACKGROUND
The section of University Avenue, from Pennsylvania Avenue to Loras Boulevard,
referred to as the "Overlap Section" was recommended for converting the three
intersections along University Avenue to roundabouts.
In May, 2016, the City acquired the vacant Fahey Family / Rainbo Oil Company
property (2239 University Avenue) as an advance protective purchase to preserve the
corridor identified in the East-West Corridor Connectivity Study and the future
reconstruction of the University Avenue - Asbury Road Intersection.
The City received authorization from both the Iowa DOT and the Federal Highway
Administration (FHWA) to use local federal DMATS Surface Transportation Program
(STP) funds to cover the costs (80%) for the advance protective property purchase.
DISCUSSION
Prior to the City having the ability to receive funding reimbursement for eligible
expenses incurred to date to complete the advance protective property purchase, the
Federal Aid Funding Agreement must be approved and executed.
FUNDING SUMMARY
The total cost incurred to-date to acquire the Fahey Family / Rainbo Oil Company
property as an advance protective purchase is as follows:
Description Estimated Cost
Advance Protective Purchase (Fahey/Rainbo Oil property) $ 844,000
Other Incidental Costs 9,305
Project Cost Estimate $ 853,305
The project funding is summarized as follows:
Fund Description Fund Amount
Federal DMATS STP Funding (80%) $ 682,644
STP-U-2100 (674)--70-31
City - Local Funding (20%) 170,661
Project Funding $ 853,305
BUDGET IMPACT
The City has funding programmed in FY2016 - 2018 to address potential advance
protective property acquisition(s) and to begin the next steps in the design development
process to start the preliminary engineering and environmental (NEPA) study phase for
the Overlap Section. Once the preliminary engineering and environmental (NEPA) study
are completed, corridor impacts will be identified and other property acquisition could
begin in approximately FY2018 and would take approximately 3 years to complete.
The current available funding for property acquisition(s) is as follows:
CIP No. Project Description Funding Funding
Source Amount
3002324 University & Asbury Intersection Improvements DMATS STP $ 800,000
3002324 University & Asbury Intersection Improvements City Funds $ 200,000
Current Available Funding $1,000,000
ACTION TO BE TAKEN
I recommend that the City Manager be authorized to execute a Federal Aid Funding
Agreement between the Iowa Department of Transportation and the City of Dubuque for
future capacity improvements at the intersection of University Avenue and Asbury Road.
Prepared by Robert Schiesl, Assistant City Engineer
cc: Jenny Larson, Budget Director
Chandra Ravada, ECIA
F:\PROJECTS\University&Asbury Intersection (674)\Funding Agreement
RESOLUTION NO. 271-16
RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION
FEDERAL AID FUNDING AGREEMENT FOR UNIVERSITY AVENUE - ASBURY
ROAD INTERSECTION IMPROVEMENTS
Whereas, the City of Dubuque acquired the vacant Fahey Family / Rainbo Oil
Company property (2239 University Avenue) as an advance protective purchase to
preserve the corridor identified in the East-West Corridor Connectivity Study and the
future reconstruction of the University Avenue - Asbury Road Intersection.
Whereas, the City received authorization from both the Iowa DOT and the
Federal Highway Administration (FHWA) to use local federal DMATS Surface
Transportation Program (STP) funds to cover the costs (80%) for the advance
protective property purchase.
Whereas, prior to the City having the ability to receive funding reimbursement for
eligible expenses incurred to date to complete the advance protective property
purchase, the Federal Aid Funding Agreement must be approved and executed.
Whereas, the Iowa Department of Transportation (Iowa DOT) has authorized the
use of federal funds for eligible costs for the University Avenue - Asbury Road
Intersection Improvements.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That said Iowa DOT Federal Aid Funding Agreement (6-16-STPU-
14) between the City of Dubuque and the Iowa Department of Transportation be hereby
approved for the University Avenue - Asbury Road Intersection Improvements.
Section 2. That the City Manager be authorized and directed to execute two
copies of Iowa DOT Federal Aid Funding Agreement (6-16-STPU-14) between the City
of Dubuque and the Iowa Department of Transportation be hereby approved for the
University Avenue - Asbury Road Intersection Improvements.
Passed, approved and adopted this 5th day of July, 2016.
Attest:
Kevin S(. irnstahl, CMC 'ity Clerk
oy D. Buol, Mayor
June 21, 2016
DOT
SMARTER 1 SIMPLER I CUSTOMER DRIVEN
Bob Schiesl, P.E.
Assistant City Engineer
50 West 13th Street
Dubuque, IA 52001
wwvv.iowadot.gov
District 6 Office I Highway Division
5455 Kirkwood Blvd. SW, Cedar Rapids, IA 52404
Phone: (319) 364-0235 1 Fax (319) 364-9614 1 Email: kent.ellis@dot.iowa.gov
Ref: STP -U-2100(674)--70-31
City of Dubuque
Agreement No: 6-16-STPU-14
CFDA No. and Title 20.205
Highway Planning and Construction
SUBJECT: Agreement 6-16-STPU-14 (New roundabout / PCC Reconstruction In the City
of Dubuque, University / Asbury Rd: University & Asbury Rd Intersection)
Dear Mr. Schiesl:
I have enclosed two (2) copies of an agreement between the city of Dubuque and the Iowa
Department of Transportation for the referenced project. The project involves: New
roundabout / PCC Reconstruction In the City of Dubuque, University / Asbury Rd:
University & Asbury Rd Intersection.
Please secure the necessary approvals and signatures of the appropriate city officials and
return both signed copies of the agreement to this office for further processing. After I
receive the signed copies of the agreement, I will sign both copies and one of the copies of
the fully executed agreement will be returned to your office.
All those who are involved with the project should carefully review the provisions of the
agreement that pertain to federal funding for this project and the standard provisions for
federal aid projects.
Please contact me if you have any questions concerning this agreement.
Sincerely,
Kent L. Ellis, P.E.
Local Systems Engineer, District 6
KLE/hmb
Enclosures (2) 6-16-STPU-14
410WADOT
SMARTER I SIMPLER 1 CUSTOMER DRIVEN VVVVW.iowadot.Cgov
District 6 Office 1 Highway Division
5455 Kirkwood Blvd. SW, Cedar Rapids, IA 52404
Phone: (319) 364-0235 1 Fax (319) 364-9614 1 Email: kent.ellis@dot.iowa.gov
July 11, 2016
Bob Schiesl, P.E.
Assistant City Engineer
50 West 13th Street
Dubuque, IA 52001
Ref: STP -U-2100(674)--70-31
City of Dubuque
Agreement No: 6-16-STPU-14
CFDA No. and Title 20.205
Highway Planning and Construction
SUBJECT: Agreement 6-16-STPU-14 FULLY EXECUTED (New roundabout / PCC
Reconstruction In the City of Dubuque, University / Asbury Rd: University &
Asbury Rd Intersection)
Dear Mr. Schiesl:
Enclosed is a copy of the fully executed Iowa Department of Transportation Federal -Aid
Surface Transportation Program Projects agreement for the referenced project.
This agreement is not the needed authorization to proceed, nor the authorization of the
funding for this project. The special provisions in this agreement must be followed in order
to ensure reimbursement of federal funds.
If you are using or will be using a consultant for this project, please provide your consultant
with a copy of this agreement.
Please contact me if you have any questions regarding the development and design
requirements for this project.
Sincerely,
)4-/
Kent L. Ellis, P.E.
Local Systems Engineer, District 6
KLE/hmb
Enclosure 6-16-STPU-14
cc: Deanne Popp
Daryl Hart
September 2012
IOWA DEPARTMENT OF TRANSPORTATION
Federal -aid Agreement
for a Surface Transportation Program Project
Recipient: City of Dubuque
Project No.: STP -U-2100(674)--70-31
Iowa DOT Agreement No.: 6-16-STPU-14
CFDA No. and Title: 20.205 Highway Planning and Construction
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). Iowa Code Sections 306A.7 and 307.44
provide 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 with Federal funds. Federal regulations require
Federal funds to be administered by the Department.
The Recipient has received Federal funding through the Surface Transportation Program (STP), which was continued
by the Moving Ahead for Progress in the 21St Century (MAP -21), Public Law 112-141, now codified at Section 133(b)
of Title 23, United States Code (U.S.C.). STP funds are available for construction, reconstruction, rehabilitation,
resurfacing, restoration and operational or safety improvement projects on Federal -aid highways, bridges on any
public road, and several other types of projects, as specified in 23 U.S.C. 133(b). Federal -aid highways include all
Federal Functional Classifications, except for rural minor collectors or local roads
Pursuant to the terms of this agreement, applicable statutes, and administrative rules, the Department agrees to
provide STP 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 will be the District 6 Local Systems Engineer. The Recipient's contact person
shall be the City Engineer or their designated representative.
3. The Recipient shall be responsible for the development and completion of the following described STP
project:
New roundabout/ PCC Reconstruction. In the City of Dubuque, University / Asbury Rd: University & Asbury
Rd Intersection
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
STP funds. The portion of the project costs reimbursed by STP funds shall be limited to a maximum of either
80 percent of eligible costs or the amount stipulated in the East Central Intergovernmental Association current
Transportation Improvement Program (TIP) and approved in the current Statewide Transportation
Improvement Program (STIP), whichever is Tess.
6. 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 Federal 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.
7. The Recipient shall let the project for bids through the Department.
STP Project Agreement
Page 2
8. If any part of this agreement is found to be void and unenforceable, the remaining provisions of this
agreement shall remain in effect.
9. It is the intent of both parties that no third party beneficiaries be created by this agreement.
10. 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.
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 approval 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 (City Projects Only)
By a e ---u r (u, - Date July 5
Maya,
Title of city official
1, Kevin S. F i r n s t a h l , certify that I am the City Clerk of Dubuque, and
that Roy D. Buol
, 20 16
, 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 5th
day of July 20 16
Signed
City Clerk of Dubuque, Iowa
Date July 5 , 20 16
IOWA DEPARTMENT OF TRANSPORTATION
Highway Division
By
K'nt L. Ellis, P.E.
Local Systems Engineer
District 6
Date 7u/ /1
, 20 /6
June 2014
EXHIBIT 1
General Agreement Provisions for use of Federal Highway 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 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 Recipient 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 Recipient shall not discriminate against any person on the
basis of race, color, national origin, sex, age, or disability. In accordance with Iowa Code Chapter 216, the
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. The Recipient agrees to
comply with the requirements outlined in I.M. 1.070, Title VI and Nondiscrimination Requirements.
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. To the extent allowable by law, 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 approval process, plan and
construction reviews, and funding participation.
e. As required by the 49 CFR 18.26, the Recipient is responsible for obtaining audits in accordance with the
Single Audit Act Amendments of 1996 (31 U.S. c. 7501-7507) and Subpart F of 2 CFR 200. Subpart F of
2 CFR 200 stipulates that non -Federal entities 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 on the first
page of this agreement. If the Recipient will pay initial project costs and request reimbursement from the
Department, the Recipient 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 Recipient shall not report this project on its SEFA.
f. The Recipient 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 Recipient shall comply with the following Disadvantaged Business Enterprise (DBE) requirements:
The Recipient shall not discriminate on the basis of race, color, national origin, or sex in the
award and performance of any DOT -assisted contract or in the administration of its DBE program or the
requirements of 49 CFR Part 26. The Recipient shall take all necessary and reasonable steps under 49
CFR Part 26 to ensure nondiscrimination in the award and administration of DOT -assisted contracts.
ii. The Recipient shall comply with the requirements of I.M. 3.710, 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
EXHIBIT 1
Page 2
agreement. Upon notification to the Recipient 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/or 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 Recipient with written notice of termination pursuant to this section.
2. Programming and Federal Authorization.
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, Federal funds cannot be authorized.
b. Before beginning any work for which Federal funding reimbursement will be requested, the Recipient
shall contact the Department to obtain the procedures necessary to secure FHWA authorization. The
Recipient shall submit a written request for FHWA authorization to the Department. After reviewing the
Recipient's request, the Department will forward the request to the FHWA for authorization and obligation
of Federal funds. The Department will notify the Recipient when FHWA authorization is obtained. The
cost of work performed prior to FHWA authorization will not be reimbursed with Federal funds.
3. Federal Participation in Work Performed by Recipient Employees.
a. If Federal reimbursement will be requested for engineering, construction inspection, right-of-way
acquisition or other services provided by employees of the Recipient, the Recipient shall follow the
procedures in I.M. 3.310, Federal -aid Participation in In -House Services.
b. If Federal reimbursement will be requested for construction performed by employees of the Recipient, the
Recipient shall follow the procedures in I.M. 3.810, Federal -aid Construction by Local Agency Forces.
c. If the Recipient desires to claim indirect costs associated with work performed by its employees, the
Recipient shall prepare and submit to the Department an indirect cost rate proposal and related
documentation in accordance with the requirements of 2 CFR 225. Before incurring any indirect costs,
such indirect cost rate proposal shall be certified by the FHWA or the Federal agency providing the
largest amount of Federal funds to the Recipient.
4. 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.
b. If the Recipient requests Federal funds for consultant services, the Recipient 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 Recipient shall follow the procedures for selecting and
using consultants outlined in I.M. 3.305, Federal -aid Participation in Consultant Costs.
EXHIBIT 1
Page 3
c. If Preliminary Engineering (PE) work is Federally funded, and if right-of-way acquisition or actual
construction of the road is not started by the close of the tenth fiscal year following the fiscal year in which
the Federal funds were authorized, the Recipient shall repay to the Department the amount of Federal
funds reimbursed to the Recipient 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 planning or other activities that are not intended to lead to a construction project. Examples
include planning, conceptual, or feasibility studies.
5. Environmental Requirements and other Agreements or Permits.
a. The Recipient 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 Recipient shall complete any mitigation agreed upon in the FHWA approval document. These
procedures are set forth in I.M. 3.105, Concept Statement Instructions, 3.110, Environmental Data Sheet
Instructions, 3.112, FHWA Environmental Concurrence Process, and 3.114, Cultural Resource
Guidelines.
b. If farmland is to be acquired, whether for use as project right-of-way or permanent easement, the
Recipient shall follow the procedures in I.M. 3.120, Farmland Protection Policy Act Guidelines.
c. 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 procedures in I.M. 3.130, 404 Permit Process, 3.140, Storm
Water Permits, 3.150, Highway Improvements in the Vicinity of Airports or Heliports, and 3.160, Asbestos
Inspection, Removal and Notification Requirements.
d. In all contracts entered into by the Recipient, and all subcontracts, in connection with this project that
exceed $100,000, the Recipient 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 Recipient 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 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.
3.605, 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, even if no Federal funds are used for right-of-way activities. The Recipient
shall obtain environmental concurrence before acquiring any needed right-of-way. With prior approval,
hardship and protective buying is possible. If the Recipient requests Federal funding for right-of-way
acquisition, the Recipient 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
Recipient 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 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, and I.M. 3.680, Federal -aid Projects Involving
Railroads.
d. The Recipient 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 Recipient shall follow the Iowa
DOT Policy for Accommodating Utilities on Primary Road System. Certain utility relocation, alteration,
EXHIBIT 1
Page 4
adjustment, or removal costs to the Recipient for the project may be eligible for Federal funding
reimbursement. The Recipient should also use the procedures outlined in I.M. 3.640, Utility
Accommodation and Coordination, as a guide to coordinating with utilities.
e. If the Recipient 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. 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 or architect, as applicable, licensed in the State of Iowa.
b. For projects let through the Department, 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
approval in accordance with I.M. 3.505, Check and Final Plans and I.M. 3.510, Check and Final
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. 3.730, 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.
c. For projects that are let locally by the Recipient, the Recipient shall follow the procedures in I.M. 3.720,
Local Letting Process, Federal -aid.
d. The Recipient shall forward a completed Project Development Certification (Form 730002) to the
Department in accordance with I.M. 3.750, Project Development Certifications Instructions. The project
shall not receive FHWA Authorization for construction or be advertized for bids until after the Department
has reviewed and approved 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 the
Iowa DOT has concurred in the contract award.
8. Construction.
a. A full-time employee of the Recipient 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.
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 761 IAC
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 Recipient 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/ert/current/IM/navigation/nay.htm.
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d. For projects let locally, the Recipient shall provide materials testing and certifications as required by the
approved specifications.
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.
f. The Recipient shall follow the procedures in I.M. 3.805, Construction Inspection, and the Department's
Construction Manual, as applicable, for conducting construction inspection activities.
9. Reimbursements.
a. 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 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.
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 Federal share of construction costs or 5% of
the total Federal funds available for the project, whichever is less. Reimbursement will be made either by
State warrant or by crediting other accounts from which payment was initially made. If, upon final audit or
review, the Department determines the Recipient has been overpaid, the Recipient shall reimburse the
overpaid amount to the Department. After the final audit or review is complete and after the Recipient has
provided all required paperwork, the Department will release the Federal 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 Federal or State funds received, 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 does exceed the total project costs, the
Recipient shall either:
1) 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
2) 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 Recipient.
10. Project Close-out.
a. Within 30 days of completion of construction and / or other activities authorized by this agreement, the
Recipient shall provide written notification completed pre -audit checklist to the Department. The Recipient
shall follow and request a final audit, in accordance with the procedures in I.M. 3.910, Final Review,
Audit, and Close-out Procedures for Federal -aid Projects.
b. For construction projects, the Recipient shall provide a certification by a professional engineer or
architect, as applicable, licensed in the State of Iowa, indicating the construction was completed in
substantial compliance with the project plans and specifications.
c. Final reimbursement of Federal funds shall be made only after the Department accepts the project as
complete.
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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 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 Recipient
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 of the final closure document, the Department
will notify the Recipient of the record retention date.
e. The Recipient shall maintain, or cause to be maintained, the completed improvement in a manner
acceptable to the Department and the FHWA.