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Agreement with the U.S. Department of the Army for an Engineering Analysis on the Force main Stabilization Project Copyrig hted February 15, 2021 City of Dubuque Consent Items # 20. City Council Meeting ITEM TITLE: Agreement with the U.S. Department of the Army for an Engineering Analysis on the Force Main Stabilization Project SUM MARY: City Manager recommending authorization to enter into an agreement with the U.S. Department of the Army in order for the U.S.Army Corps of Engineers to provide a planning and design analysis of the Force Main Stabilization Project. RESOLUT ION Authorizing the execution of an Agreement with the Department of the Army to collaborate on stabilization and protection of the Force Main along the Mississippi River SUGGESTED Suggested Disposition: Receive and File;Adopt Resolution(s) DISPOSITION: ATTACHMENTS: Description Type Agreement with U.S. Department of Army for Analysis City Manager Memo of Force Main Stabilization Project-MVM Memo Staff Memo Staff Memo Resolution Resolutions Agreement Supporting Documentation Supporting doc 1 Supporting Documentation Supporting doc 2 Supporting Documentation Supporting doc 3 Supporting Documentation Dubuque THE CITY OF � ui-Aseria cih DuB E , . � . , � II � Maste iece on tj2e Mississi i zoo�•zoiz•zois YP pp zoi�*zoi9 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Agreement with the U.S. Department of the Army for an Engineering Analysis on the Force Main Stabilization Project DATE: February 9, 2021 City Engineer Gus Psihoyos requests City Council authorization to enter into an agreement with the U.S. Department of the Army in order for the U.S. Army Corps of Engineers to provide a planning and design analysis of the Force Main Stabilization Project. The City's 42-inch diameter sanitary sewer force main was constructed in 1977 with about 3,000 feet located along the banks of the Mississippi. It carries approximately 80% of the City's daily average wastewater flows to the Water and Resource Recovery Center. Over the years, erosion of the banks of the Mississippi have reduced the ground cover (and protection) to the point where the pipe is showing in a few places. Because the flow is under pressure, if the force main was to be ruptured, it would result in the discharge of thousands of gallons of untreated wastewater directly into the Mississippi. In October of 2017, the City sent a letter to the U.S. Army Corps of Engineers regarding a possible partnership to address the erosion on the banks for the Mississippi resulting in the exposure of the City's forty-two-inch diameter sanitary force main. In response to the City's request for assistance and subsequent conversations, the U.S. Army Corps of Engineers concluded that the City's Force Main Stabilization Project met the eligibility requirements of the Continuing Authorities Program. As such, the U.S. Army Corps of Engineers has provided an agreement that would allow them to proceed with the requisite planning and design analysis to "identify and evaluate alternatives and the preparation of a decision document that, as appropriate, recommends a coordinated and implementable solution" for the Force Main Stabilization Project. The total cost of the planning and design analysis is projected to be $190,000. The U.S. Army Corps of Engineers funds the first $100,000. Anything above and beyond $100,000 requires 50% matching funds from the City. Therefore, the City's projected share is $45,000. Once the planning and design analysis is complete, the USACE is prepared to move forward with constructing the improvements on a 65% federal to 35% federal to City cost-share basis. The adopted FY21-25 CIP Budget reflected a $7,692,308 construction project with $5 million in federal funding. The construction estimate for the recommended improvements will be established as part of the U.S. Army Corps of Engineers planning and design analysis. I concur with the recommendation and respectfully request Mayor and City Council approval. � Mic ael C. Van Milligen MCVM:jh Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Gus Psihoyos, City Engineer 2 Dubuque THE CITY OF � AIF Ilmerica Cit� DuB E ���`�.�� , � �,�:; � � Maste iece on the Mississi i z°°'�Z°iZ`z°13 � pp zoi�*zoi� TO: Michael C. Van Milligen, City Manager FROM: Gus Psihoyos, City Engineer SUBJECT: Agreement with the U. S. Department of the Army for an Engineering Analysis on the Force Main Stabilization Project (CI P#710-2846) DATE: February 5, 2021 INTRODUCTION The purpose of this memorandum is to seek authorization to enter into an agreement with the U. S. Department of the Army in order for the U. S. Army Corps of Engineers (USACE) to provide a planning and design analysis of the Force Main Stabilization Project. BACKGROUND The City's 42-inch diameter sanitary sewer force main was constructed in 1977 with about 3,000 feet located along the banks of the Mississippi. It carries approximately 80 percent (80%) of the City's daily average wastewater flows to the Water and Resource Recovery Center. Over the years, erosion of the banks of the Mississippi have reduced the ground cover (and protection) to the point where the pipe is showing in a few places. Because the flow is under pressure, if the force main was to be ruptured, it would result in the discharge of thousands of gallons of untreated wastewater directly into the Mississippi. In October of 2017, the City sent a letter to the USACE regarding a possible partnership to address the erosion on the banks for the Mississippi resulting in the exposure of the City's forty-two-inch diameter sanitary force main. With the adoption of the FY2021 CIP Budget, the City Council allocated $100,000 for engineering services related to the Force Main Stabilization Project (Project). The Project involves the stabilization and protection of approximately 3,000 feet the City's 42-inch diameter sanitary sewer force main that runs along the main channel of the Mississippi River from Maus Lake to the south. DISCUSSION In response to the City's request for assistance and subsequent conversations, the USACE concluded that the City's Force Main Stabilization Project met the eligibility requirements of the Continuing Authorities Program— Section 14 of the 1946 Flood Control Act. As such, the USACE has provided the attached agreement that would allow them to proceed with the requisite planning and design analysis to "identify and evaluate alternatives and the preparation of a decision document that, as appropriate, recommends a coordinated and implementable solution" for the Force Main Stabilization Project. The total cost of the planning and design analysis is projected to be $190,000. The USACE funds the first $100,000. Anything above and beyond $100,000 requires 50% matching funds from the City. Therefore, the City's projected share is $45,000. Once the planning and design analysis is complete, the USACE is prepared to move forward with constructing the improvements on a 65% federal to 35% federal to City cost-share basis. The adopted FY21-25 CIP Budget reflected a $7,692,308 construction project with $5 million in federal funding. The construction estimate for the recommended improvements will be established as part of the USACE planning and design analysis. RECOMMENDATION I recommend that the City enter into the attached Agreement with the U. S. Department of the Army in order for the USACE to provide an engineering analysis of the Force Main Stabilization Project. BUDGETIMPACT Per the agreement, the City's contribution is projected to be $45,000. The payment to the USACE will be funded through the $100,000 FY19 budget appropriation for "Force Main Stabilization" (CIP#710-2846). ACTION TO BE TAKEN I respectfully request adoption of the attached resolution authorizing the Mayor to execute the attached agreement with the U. S. Department of the Arm for the USACE to provide an engineering analysis of the Force Main Stabilization Project. Attach. Prepared by Deron Muehring Cc: Crenna Brumwell, City Attorney Jenny Larson, Director of Finance and Budget John Klostermann, Public Works Director Bob Schiesl, Assistant City Engineer Steve Sampson Brown, Project Manager Deron Muehring, Civil Engineer 2 Prepared by: Deron Muehring, Engineering Department 50 W. 13th St. Dubuque, IA 52001 (563) 589-4270 Return to: Adrienne N. Breitfelder, City Clerk 50 W. 13th St. Dubuque, IA 52001 (563) 589-4100 RESOLUTION NO. 41-21 AUTHORIZING THE EXECUTION OF AN AGREEMENT WITH THE DEPARTMENT OF THE ARMY TO COLLABORATE ON STABILIZATION AND PROTECTION OF THE FORCE MAIN ALONG THE MISSISSIPPI RIVER WHEREAS, the City recognizes the need to stabilize and protect the City's sanitary sewer force main that runs along the Mississippi River; WHEREAS, the Continuing Authorities Program— Section 14 of the 1946 Flood Control Act authorizes the protection of the Forced Sewer Main for the City, Iowa; WHEREAS, the Water Resources Development Act of 1986, Public Law 99-662, as amended (33 U.S.C. 2215(a)), specifies the cost -sharing requirements; and WHEREAS, the Department of the Army has provided an agreement to that would allow them to proceed with a planning and design analysis to identify and evaluate alternatives and a recommendation of a coordinated and implementable solution for the Force Main Stabilization Project; WHEREAS, the Department of the Army and the City have the full authority and capability to perform in accordance with the terms of the agreement; and WHEREAS, it is the best interest of the City to enter into the agreement. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA: Section 1. The Mayor is hereby authorized to sign the agreement and the Certification Regarding Lobbying in the forms attached hereto. Section 2. The City Manager is hereby authorized to act as an authorized representative for the agreement and may execute any documents required by the Agreement as the Department of the Army may reasonably request. Passed, approved and adopted this 15th day of February 2021. Roy D. ,Pluol, Mayor Attest: Adrienne N. Breitfelder, City Clerk AGREEMENT BETWEEN THE DEPARTMENT OF THE ARMY AND CITY OF DUBUQUE FOR THE CITY OF DUBUQUE FORCED SEWER MAIN — SECTION 14 PROJECT THIS AGREEMENT is entered into this 15thday of February , 2021, by and between the Department of the Army (hereinafter the "Government"), represented bythe District Commander for Rock Island District (hereinafter the "District Commander")and the City of Dubuque (hereinafter the "Non -Federal Sponsor"), represented by theMayor, City of Dubuque, Iowa. WITNESSETH THAT: WHEREAS, Continuing Authorities Program— Section 14 of the 1946 Flood Control Act authorizes the protection of the Forced Sewer Main for the City of Dubuque, Iowa; WHEREAS, Section 105(a) of the Water Resources Development Act of 1986, Public Law 99-662, as amended (33 U.S.C. 2215(a)), specifies the cost -sharing requirements; and WHEREAS, the Government and the Non -Federal Sponsor have the full authority and capability to perform in accordance with the terms of this Agreement. NOW, THEREFORE, the parties agree as follows: ARTICLE I - DEFINITIONS A. The term "Study" means the activities and tasks required to identify and evaluate alternatives and the preparation of a decision document that, as appropriate, recommends a coordinated and implementable solution for Emergency Streambank and Shoreline Protection at the Forced Sewer Main, City of Dubuque, Dubuque County, Iowa on the Mississippi River, Pool 12 (UMR Mile 577.8 — 578.1). B. The term "shared study costs" means all costs incurred by the Government and Non -Federal Sponsor after the effective date of this Agreement that are directly related to performance of the Study and cost shared in accordance with the terms of this Agreement. The term includes, but is not necessarily limited to: the Government's costs for preparing the PMP; for plan formulation and evaluation, including costs for economic, engineering, real estate, and environmental analyses; for preparation of a floodplain management plan if undertaken as part of the Study; for preparing and processing the decision document; for supervision and administration; for Agency Technical Review and other ENCL 1 review processes required by the Government; and for response to any required Independent External Peer Review; and the Non-Federal Sponsor's creditable costs for in-kind contributions, if any. The term does not include any costs for dispute resolution; participation by the Government and Non-Federal Sponsor in the Study Coordination Team to discuss significant issues and actions; audits; an Independent External Peer Review panel, if required; or negotiating this Agreement. The term also does not include the first $100,000 of costs for the Study incurred by the Government, whether before or after execution of this Agreement. C. The term "PMP" means the project management plan, and any modifications thereto, developed in consultation with the Non-Federal Sponsor, that specifies the scope, cost, and schedule for Study activities and tasks, including the Non-Federal Sponsor's in- kind contributions, and that guides the performance of the Study. D. The term "in-kind contributions" means those planning activities (including data collection and other services) that are integral to the Study and would otherwise have been undertaken by the Government for the Study and that are identified in the PMP and performed or provided by the Non-Federal Sponsor after the effective date of this Agreement and in accordance with the PMP. E. The term "maximum Federal study cost" means the $1,500,000 Federal cost limit for the Study, unless the Government has approved a higher amount, and includes the first $100,000 of costs for the Study incurred by the Government. F. The term "fiscal year" means 1 year beginning on October 1St and ending on September 30th of the following year. ARTICLE II - OBLIGATIONS OF THE PARTIES A. In accordance with Federal laws, regulations, and policies, the Government shall conduct the Study using funds appropriated by the Congress and funds provided by the Non-Federal Sponsor. In carrying out its obligations under this Agreement, the Non-Federal Sponsor shall comply with all the requirements of applicable Federal laws and implementing regulations. B. The Non-Federal Sponsor shall contribute 50 percent of shared study costs in accordance with the provisions of this paragraph and provide required funds in accordance with Article III. 1. After considering the estimated amount of credit for in-kind contributions, if any, that will be afforded in accordance with paragraph C. of this Article and the first $100,000 of the costs incurred by the Government that are excluded from shared costs, the Government shall provide the Non-Federal Sponsor with a written estimate of the amount of funds required from the Non-Federal Sponsor to meet its share of shared study costs for the remainder of the initial fiscal year of the Study. No ENCL1 later than 15 calendar days after such notification, the Non-Federal Sponsor shall provide the full amount of such funds to the Government. 2. No later than August 1St prior to each subsequent fiscal year of the Study, the Government shall provide the Non-Federal Sponsor with a written estimate of the amount of funds required from the Non-Federal Sponsor during that fiscal year to meet its cost share. No later than September 1 St prior to that fiscal year, the Non- Federal Sponsor shall provide the full amount of such required funds to the Government. C. The Government shall include in shared study costs and credit towards the Non-Federal Sponsor's share of such costs, the costs, documented to the satisfaction of the Government, that the Non-Federal Sponsor incurs in providing or perForming in-kind contributions, including associated supervision and administration, after the effective date of this Agreement. Such costs shall be subject to audit in accordance with Article VI to determine reasonableness, allocability, and allowability, and crediting shall be in accordance with the following procedures, requirements, and limitations: 1. As in-kind contributions are completed and no later than 60 calendar day after such completion, the Non-Federal Sponsor shall provide the Government appropriate documentation, including invoices and certification of specific payments to contractors, suppliers, and the Non-Federal Sponsor's employees. Failure to provide such documentation in a timely manner may result in denial of credit. The amount of credit afforded for in-kind contributions shall not exceed the Non-Federal Sponsor's share of shared study costs. 2. No credit shall be afforded for interest charges, or any adjustment to reflect changes in price levels between the time the in-kind contributions are completed and credit is afforded; for the value of in-kind contributions obtained at no cost to the Non-Federal Sponsor; for any items provided or performed prior to completion of the PMP; or for costs that exceed the Government's estimate of the cost for such item if it had been performed by the Government. D. To the extent practicable and in accordance with Federal laws, regulations, and policies, the Government shall afford the Non-Federal Sponsor the opportunity to review and comment on solicitations for contracts prior to the Government's issuance of such solicitations; proposed contract modifications, including change orders; and contract claims prior to resolution thereof. Ultimately, the contents of solicitations, award of contracts, execution of contract modifications, and resolution of contract claims shall be exclusively within the control of the Government. E. The Non-Federal Sponsor shall not use Federal program funds to meet any of its obligations under this Agreement unless the Federal agency providing the funds verifies in writing that the funds are authorized to be used for the Study. Federal program funds are those funds provided by a Federal agency, plus any non-Federal contribution required as a matching share therefor. ENCL1 F. Except as provided in paragraph C. of this Article, the Non-Federal Sponsor shall not be entitled to any credit or reimbursement for costs it incurs in performing its responsibilities under this Agreement. G. If Independent External Peer Review (IEPR) is required for the Study, the Government shall conduct such review in accordance with Federal laws, regulations, and policies. The Government's costs for an IEPR panel shall not be included in shared study costs or the maximum Federal study cost. H. In addition to the ongoing, regular discussions of the parties in the delivery of the Study, the Government and the Non-Federal Sponsor may establish a Study Coordination Team to discuss significant issues or actions. The Government's costs for participation on the Study Coordination Team shall not be included in the shared study costs, but shall be included in calculating the maximum Federal study cost. The Non- Federal Sponsor's costs for participation on the Study Coordination Team shall not be included in shared study costs and shall be paid solely by the Non-Federal Sponsor without reimbursement or credit by the Government. ARTICLE III - PAYMENT OF FUNDS A. As of the effective date of this Agreement, shared study costs are projected to be $90,000, with the Government's share of such costs projected to be $45,000 and the Non-Federal Sponsor's share of such costs projected to be $45,000. These amounts are estimates only that are subject to adjustment by the Government and are not to be construed as the total financial responsibilities of the Government and the Non-Federal Sponsor. B. The Government shall provide the Non-Federal Sponsor with monthly reports setting forth the estimated shared study costs and the Government's and Non-Federal Sponsor's estimated shares of such costs; costs incurred by the Government, using both Federal and Non-Federal Sponsor funds, to date; the amount of funds provided by the Non-Federal Sponsor to date; the estimated amount of any creditable in-kind contributions; and the estimated remaining cost of the Study. C. The Non-Federal Sponsor shall provide to the Government required funds by delivering a check payable to "FAO, USAED, Rock Island District (B5)" to the District Commander, or verifying to the satisfaction of the Government that the Non-Federal Sponsor has deposited such required funds in an escrow or other account acceptable to the Government, with interest accruing to the Non-Federal Sponsor, or by providing an Electronic Funds Transfer of such required funds in accordance with procedures established by the Government. D. The Government shall draw from the funds provided by the Non-Federal Sponsor to cover the non-Federal share of shared study costs as those costs are incurred. If the Government determines at any time that additional funds are needed ENCL1 from the Non-Federal Sponsor to cover the Non-Federal Sponsor's required share of shared study costs, the Government shall provide the Non-Federal Sponsor with written notice of the amount of additional funds required. Within 60 calendar days of such notice, the Non-Federal Sponsor shall provide the Government with the full amount of such additional funds. E. Upon completion of the Study and resolution of all relevant claims and appeals, the Government shall conduct a final accounting and furnish the Non-Federal Sponsor with the written results of such final accounting. Should the final accounting determine that additional funds are required from the Non-Federal Sponsor, the Non- Federal Sponsor, within 60 calendar days of written notice from the Government, shall provide the Government with the full amount of such additional funds. Should the final accounting determine that the Non-Federal Sponsor has provided funds in excess of its required amount, the Government shall refund the excess amount, subject to the availability of funds. Such final accounting does not limit the Non-Federal Sponsor's responsibility to pay its share of shared study costs, including contract claims or any other liability that may become known after the final accounting. ARTICLE IV - TERMINATION OR SUSPENSION A. Upon 30 calendar days written notice to the other party, either party may elect at any time, without penalty, to suspend or terminate future performance of the Study. Furthermore, unless an extension is approved by the Assistant Secretary of the Army (Civil Works), the Study may be terminated if an Integrated Feasibility Report with Environmental Assessment is not completed for the Study within 3 years after the effective date of this Agreement. B. In the event of termination, the parties shall conclude their activities relating to the Study. To provide for this eventuality, the Government may reserve a percentage of available funds as a contingency to pay the costs of termination, including any costs of resolution of contract claims, and resolution of contract modifications. C. Any suspension or termination shall not relieve the parties of liability for any obligation incurred. Any delinquent payment owed by the Non-Federal Sponsor pursuant to this Agreement shall be charged interest at a rate, to be determined by the Secretary of the Treasury, equal to 150 per centum of the average bond equivalent rate of the 13 week Treasury bills auctioned immediately prior to the date on which such payment became delinquent, or auctioned immediately prior to the beginning of each additional 3 month period if the period of delinquency exceeds 3 months. ARTICLE V - DISPUTE RESOLUTION As a condition precedent to a party bringing any suit for breach of this Agreement, that party must first notify the other party in writing of the nature of the purported breach and seek in good faith to resolve the dispute through negotiation. If the parties cannot resolve the dispute through negotiation, they may agree to a mutually ENCL1 acceptable method of non-binding alternative dispute resolution with a qualified third party acceptable to the parties. Each party shall pay an equal share of any costs for the services provided by such a third party as such costs are incurred. The existence of a dispute shall not excuse the parties from performance pursuant to this Agreement. ARTICLE VI - MAINTENANCE OF RECORDS AND AUDIT A. The parties shall develop procedures for the maintenance by the Non-Federal Sponsor of books, records, documents, or other evidence pertaining to costs and expenses for a minimum of 3 years after the final accounting. The Non-Federal Sponsor shall assure that such materials are reasonably available for examination, audit, or reproduction by the Government. B. The Government may conduct, or arrange for the conduct of, audits of the Study. Government audits shall be conducted in accordance with applicable Government cost principles and regulations. The Government's costs of audits for the Study shall not be included in shared study costs, but shall be included in calculating the maximum Federal study cost. C. To the extent permitted under applicable Federal laws and regulations, the Government shall allow the Non-Federal Sponsor to inspect books, records, documents, or other evidence pertaining to costs and expenses maintained by the Government, or at the request of the Non-Federal Sponsor, provide to the Non-Federal Sponsor or independent auditors any such information necessary to enable an audit of the Non-Federal Sponsor's activities under this Agreement. The costs of non-Federal audits shall be paid solely by the Non-Federal Sponsor without reimbursement or credit by the Government. ARTICLE VII - RELATIONSHIP OF PARTIES In the exercise of their respective rights and obligations under this Agreement, the Government and the Non-Federal Sponsor each act in an independent capacity, and neither is to be considered the officer, agent, or employee of the other. Neither party shall provide, without the consent of the other party, any contractor with a release that waives or purports to waive any rights a party may have to seek relief or redress against that contractor. ARTICLE VIII - NOTICES A. Any notice, request, demand, or other communication required or permitted to be given under this Agreement shall be deemed to have been duly given if in writing and delivered personally or mailed by certified mail, with return receipt, as follows: ENCL1 If to the Non -Federal Sponsor: Mayor City of Dubuque 50 W. 13th Street Dubuque, IA 52001 If to the Government: District Commander US Army Engineer District, Rock Island P.O. Box 2004 Rock Island, IL 61204-2004 B. A party may change the recipient or address for such communications by giving written notice to the other party in the manner provided in this Article. ARTICLE IX -CONFIDENTIALITY To the extent permitted by the laws governing each party, the parties agree to maintain the confidentiality of exchanged information when requested to do so by the providing party. ARTICLE X - THIRD PARTY RIGHTS, BENEFITS, OR LIABILITIES Nothing in this Agreement is intended, nor may be construed, to create any rights, confer any benefits, or relieve any liability, of any kind whatsoever in any third person not a party to this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement, which shall become effective upon the date it is signed by the District Commander. DEPARTMENT OF THE ARMY STEVEN M. SATTINGER Colonel, US Army Commander & District Engineer DATE: CITY OF D UQUE BY: ROY D. BUUL Mayor, City of Dubuque, Iowa DATE: LO &'m ENCL 1 DEPARTMENT: STATE PROGRAM: PROJECT TITLE: YEAR FIRST SUBMITTED: FY 2021 TOTAL 55 - Engineering/Sanitary 8C - Business Type Force Main Stabilization PROJECT Sewer ACTIVITY NO: 710-2846 COST $ 7,792,308 2019 2020 EXPENSE BUDGET PROJECT BUDGET 2021 2022 2023 2024 2025 2026 A. EXPENDITURE ITEMS Engineering Services $ 100,000 $ — $ — $ — $ — $ — Construction Cost $ — $ — $ — $ — $ 7,692,308 $ — $ — $ — TOTAL $ 100,000 $ — $ — $ — $ 7,692,308 $ — B. PROJECT FINANCING State Revolving Fund Loan $ — $ — $ — $ — $ 2,692,308 $ — Federal Cap Sect 14 $ — $ — $ — $ — $ 5,000,000 $ — General Fund $ 100,000 $ — $ — $ — $ — $ — $ — $ — TOTAL $ 100,000 $ — $ — $ — $ 7,692,308 $ — PROJECT DESCRIPTION/JUSTIFICATION This project provides for the stabilization of approximately 3,000 feet the City's 42-inch diameter sanitary sewer force main that runs along the main channel of the Mississippi from Maus Lake to the south. The work entails the reconstruction of the river embankment so that there is adequate cover and protection from the river and debris floating along the river. It will also provide protection from river barges that travel up and down the river, sometimes tying off in areas where the existing force main is exposed. The project will be done in partnership with the U. S.Army Corps of Engineers (USACE)through their Emergency Streambank Repair and Shoreline Protection program (Section 14 of the Flood Control Act of 1946). Through that program, the USACE will design and construct the improvements. The first$100,000 of the Planning Design Analysis phase (normally limited to 12 months) is a Federal expense.All PDA costs after the first$100,000 are cost shared 50/50.All construction costs are cost shared 65% Federal and 35% non-Federal. Each project is limited to a total Federal cost of$5 million. The City's 42-inch diameter sanitary sewer force main was constructed in 1977 with about 3,000 feet located along the banks of the Mississippi. It carries approximately 80 percent (80%) of the City's daily average flows to the Water and Resource Recovery Center. Over the years, erosion of the banks of the Mississippi have reduced the ground cover(and protection)to the point where the pipe is showing in a few places. Because the flow is under pressure, if the force main was to be ruptured, it would result in the discharge of thousands of gallons of untreated wastewater directly into the Mississippi. RELATIONSHIP TO OTHER PROJECTS This project is not related to other capital projects. OUTCOME Sustainable Environment: Have clean water—ground and surface. FUNDING RESTRICTIONS This project is restricted to the Sanitary Sewer Construction Fund. 186 FEDERAL/NON-FEDERAL FUNDS ALLOCATION TABLE BY FISCAL YEAR ITEM FY20 FY21 FY22 FY23 TOTAL Feasibilit Total $100,000 $90,000 $190,000 Feasibilit —Federal' $100,000 $45,000 $145,000 Feasibilit —Non-Federal $45,000 $45,000 Design and Construction TBD TBD TBD DI - Federal TBD TBD TBD DI — Non-Federal TBD TBD TBD Total Pro'ect Cost $100,000 $90,000 TBD TBD TBD � Includes initial $100,000 of feasibility funding at 100% Federal expense ENCL 8 CERTIFICATION REGARDING LOBBYING The undersigned certifies, to the best of his or her knowledge and belief that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. ROY D. L MAYOR, CITY OF DUBUQUE DATE: X WI ENCL 4 DEPARTMENT OF THE ARMY CORPS OF ENGINEERS, ROCK ISLAND DISTRICT PO BOX 2004 CLOCK TOWER BUILDING ROCK ISLAND, ILLINOIS 61204-2004 March 4, 2021 Programs and Project Management Division Mr. Roy D. Buol, Mayor City of Dubuque 50 W. 13th Street Dubuque, IA 52001 Dear Mr. Buol: The U.S. Army Corps of Engineers, Rock Island District, has executed a Feasibility Cost Sharing Agreement with the City of Dubuque. Enclosed is an original copy of the agreement for your records. The total project cost subject to cost sharing is estimated to be $190,000.00. The first $100,000 of project cost was 100% federal funds with the remaining $90,000 cost shared. In accordance with the terms of the Feasibility Cost Sharing Agreement, the non -Federal Sponsor contribution of 50% of the shared costs is estimated to be $45,000. In order to meet the current schedule, the District requests $45,000 be received by March 19, 2021. Please deliver a check to the District Engineer, made payable to "FAO, USAED, Rock Island (135)" and including the project name, CAP S14 City of Dubuque Forced Sewer Main. Your check should be mailed to: District Engineer US Army Corps of Engineers, Rock Island District Attn: R. Hawes (PM-M) Clock Tower Building P. O. Box 2004 Rock Island, IL 61204-2004 I forwarded a copy of this correspondence to: Mr. Deron Muehring, Civil Engineer City of Dubuque 50 W. 13th Street Dubuque, IA 52001 The District looks forward to assisting the City of Dubuque with its continued efforts to provide emergency shoreline protection. The point of contact for this action is Ms. Rachel Hawes, Project Manager, (309) 794-5305, or e-mail: Rachel.K.Hawes@usace.army.mil. Sincerely, Kimberly S. Thomas, P.E. Chief, Programs and Project Management Division _ C CSf (. ,t M AGREEMENT BETWEEN THE DEPARTMENT OF THE ARMY AND CITY OF DUBUQUE FORTHE CITY OF DUBUQUE FORCED SEWER MAIN — SECTION 14 PROJECT THIS AGREEMENT is entered into this )b day of P b rL)orj_, UZI , by and between the Department of the Army (hereinafter the "Governmeht"), represented bythe District Commander for Rock Island District (hereinafter the "District Commander")and the City of Dubuque (hereinafter the "Non -Federal Sponsor"), represented by theMayor, City of Dubuque, Iowa. WITNESSETH THAT: WHEREAS, Continuing Authorities Program— Section 14 of the 1946 Flood Control Act authorizes the protection of the Forced Sewer Main for the City of Dubuque, Iowa; WHEREAS, Section 105(a) of the Water Resources Development Act of 1986, Public Law 99-662, as amended (33 U.S.C. 2215(a)), specifies the cost -sharing requirements; and WHEREAS, the Government and the Non -Federal Sponsor have the full authority and capability to perform in accordance with the terms of this Agreement. NOW, THEREFORE, the parties agree as follows: ARTICLE I - DEFINITIONS A. The term "Study" means the activities and tasks required to identify and evaluate alternatives and the preparation of a decision document that, as appropriate, recommends a coordinated and implementable solution for Emergency Streambanik and Shoreline Protection at the Forced Sewer Main, City of Dubuque, Dubuque County, Iowa on the Mississippi River, Pool 12 (UMR Mile 577.6 -- 576.1). B. The term "shared study costs" means all costs incurred by the Government and Non -Federal Sponsor after the effective date of this Agreement that are directly related to performance of the Study and cost shared in accordance with the terms of this Agreement. The term includes, but is not necessarily limited to: the Government's costs for preparing the PMP; for plan formulation and evaluation, including costs for economic, engineering, real estate, and environmental analyses; for preparation of a floodplain management plan if undertaken as part of the Study; for preparing and processing the decision document; for supervision and administration; for Agency Technical Review and other review processes required by the Government; and for response to any required Independent External Peer Review; and the Non -Federal Sponsor's creditable costs for in -kind contributions, if any. The term. does not include any costs for dispute resolution; participation by the Government and Non -Federal Sponsor in the Study Coordination Team to discuss significant issues and actions; audits; an Independent External Peer Review panel, if required; or negotiating this Agreement. The term also does not include the first $100,000 of costs for the Study incurred by the Government, whether before or after execution of this Agreement. C. The term "PMP" means the project management plan, and any modifications tf iereto, developed -i � consultation with the Noy -Federal Sponsor, that specifies the scope, cost, and schedule for Study activities and tasks, including the Non -Federal Sponsor's in - kind contributions, and that guides the performance of the Study. D. The term "in -kind contributions" means those planning activities (including data collection and other services) that are integral to the Study and would otherwise have been undertaken by the Government for the Study and that are identified in the PMP and performed or provided by the Non -Federal Sponsor after the effective date of this Agreement and in accordance with the PMP. E. The term "maximum Federal study cast" means the $1,500,000 Federal cost limit for the Study, unless the Government has approved a higher amount, and includes the first $100,000 of costs for the Study incurred by the Government. F. The term "fiscal year" means 1 year beginning on October 1$t and ending on September 30t' of the following year. ARTICLE 11- OBLIGATIONS OF THE PARTIES A. In accordance with Federal laws, regulations, and policies, the Government shall conduct the Study using funds appropriated by the Congress and funds provided by the Non -Federal Sponsor. In carrying out its obligations under this Agreement, the Non -Federal Sponsor shall comply with all the requirements of applicable Federal laws and implementing regulations. B. The Non -Federal Sponsor shall contribute 50 percent of shared study costs in accordance with the provisions of this paragraph and provide required funds in accordance with Article III. 1. After considering the estimated amount of credit for in -kind contributions, if any, that will be afforded in accordance with paragraph C. of this Article and the first $100,000 of the costs incurred by the Government that are excluded from shared costs, the Government shall provide the Non -Federal Sponsor with a written estimate of the amount of funds required from the Non -Federal Sponsor to meet its share of shared study costs for the remainder of the initial fiscal year of the Study. No later than 15 calendar days after such notification, the Non -Federal Sponsor shall provide the. full amount of such funds to the Government. 2. No later than August 1st prior to each subsequent fiscal year of the Study, the Government shall provide the Non -Federal Sponsor with a written estimate of the amount of funds required from the Non -Federal Sponsor during that fiscal year to meet its cost share. No later than September 1 st prior to that fiscal year, the Non - Federal Sponsor shall provide the full amount of such required funds to the Government. i,. The Government shall include in shared study costs and credit towards the Non -Federal Sponsors share of such costs, the costs, documented to the satisfaction of the Government, that the Non -Federal Sponsor incurs in providing or performing in -kind contributions, including associated supervision and administration, after the effective date of this Agreement. Such costs shall be subject to audit in accordance with Article VI to determine reasonableness, allocability, and allowability, and crediting shall be in accordance with the following procedures, requirements, and limitations: 1. As in -kind contributions are completed and no later than 60 .calendar day after such completion, the Non -Federal Sponsor shall provide the Government appropriate documentation, including invoices and certification of specific payments to contractors, suppliers, and the Non -Federal Sponsor's employees. Failure to provide such documentation in a timely manner may result in denial of credit. The amount of credit afforded for in -kind contributions shall not exceed the Non -Federal Sponsor's share of shared study costs. 2. No credit shall be afforded for interest charges, or any adjustment to reflect changes in price levels between the time the in -kind contributions are completed and credit is afforded; for the value of in -kind contributions obtained at no cost to the Non -Federal Sponsor; for any items provided or performed prior to completion of the PMP; or for costs that exceed the Government's estimate of the cost for such item if it had been performed by the Government. D. To the extent practicable and in accordance with Federal laws, regulations, and policies, the Government shall afford the Non -Federal Sponsor the opportunity to review and comment on solicitations for contracts prior to the Government's issuance of such solicitations; proposed contract modifications, including change orders; and contract claims prior to resolution thereof. Ultimately, the contents of solicitations, award of contracts, execution of contract modifications, and resolution of contract claims shall be exclusively within the control of the Government. E. The Non -Federal Sponsor shall not use Federal program funds to meet any of its obligations under this Agreement unless the Federal agency providing the funds verifies in writing that the funds are authorized to be used for the Study. Federal program funds are those funds provided by a Federal agency, plus any non -Federal contribution required as a matching share therefor. F. Except as provided in paragraph C. of this Article, the Non -Federal Sponsor shall not be entitled to any credit or reimbursement for costs it incurs in performing its responsibilities under this. Agreement. G. If independent External Peer Review (IEPR) is required for the Study, the Government shall conduct such review in accordance with Federal laws, regulations, and policies. The Government's costs for an IEPR panel shall not be included in shared study costs or the maximum Federal study cost. H. In addition to the ongoing, regular discussions of the parties in the delivery of the Study, the Governrent and the Non -Federal Sponsor may establish a Study Coordination Team to discuss significant issues or actions. The Government's costs for participation on the Study Coordination Team shall not be included in the shared study costs, but shall be included in calculating the maximum Federal study cost. The Non - Federal Sponsor's costs for participation on the Study Coordination Team shall not be included in shared study costs and shall be paid solely by the Non -Federal Sponsor without reimbursement or credit by the Government. ARTICLE III - PAYMENT OF FUNDS A. As of the effective date of this Agreement, shared study costs are projected to be $90,000, with the Government's share of such costs projected to be $45,000 and the Non -Federal Sponsor's share of such costs projected to be $45,000. These amounts are estimates only that are subject to adjustment by the Government and are not to be construed as the total financial responsibilities of the Government and the Non -Federal Sponsor. B. The Government shall provide the Non -Federal Sponsor with monthly reports setting forth the estimated shared study costs and the Government's and Non -Federal Sponsor's estimated shares of such costs; costs incurred by the Government, using both Federal and Non -Federal Sponsor funds, to date; the amount of funds provided by the Non -Federal Sponsor to date; the estimated amount of any creditable in -kind contributions; and the estimated remaining cost of the Study. C_ The Non -Federal Sponsor shall provide to the Government required funds by delivering a check payable to "FAO, USAED, Rock Island District (BS)" to the District Commander, or verifying to the satisfaction of the Government that the Non -Federal Sponsor has deposited such required funds in an escrow or other account acceptable to the Government, with interest accruing to the Non -Federal Sponsor, or by providing an Electronic Funds Transfer of such required funds in accordance with procedures established by the Government. D. The Government shall draw from the funds provided by the Non -Federal Sponsor to cover the non -Federal share of shared study costs as those costs are incurred. If the Government determines at any time that additional funds are needed from the Non -Federal Sponsor to cover the Non -Federal Sponsor's required share of shared study costs, the Government shall provide the Non -Federal Sponsor with written notice of the amount of additional funds required, Within 60 calendar days of such notice, the Non -Federal Sponsor shall provide the Government with the full amount of such additional funds. E. Upon completion of the Study and resolution of all relevant claims and appeals, the Government shall conduct a final accounting and furnish the Non -Federal Sponsor with the written results of such final accounting. Should the final accounting determine that additional funds are required from the Non -Federal Sponsor, the Non - Federal Sponsor, within 60 calendar days of written notice from the Government, shall provide the Government with the full amount of such additional funds. Should the final accounting determine that the Non -Federal Sponsor has provided funds in excess of its required amount, the Government shall refund the excess amount, subject to the availability of funds., Such final accounting does not limit the Non -Federal Sponsor's responsibility to pay its share of shared study costs, including contract claims or any other liability that may become known after the final accounting. ARTICLE IV - TERMINATION OR SUSPENSION A. Upon 30 calendar days written notice to the other party, either party may elect at any time, without penalty, to suspend or terminate future performance of the Study. Furthermore, unless an extension is approved by the Assistant Secretary of the Army (Civil Works),. the Study may be terminated if an Integrated Feasibility Report with Environmental Assessment is not completed for the Study within 3 years after the effective date of this Agreement. B. In the event of termination, the parties shall conclude their activities relating to the Study. To provide for this eventuality, the Government may reserve a percentage of available funds as a contingency to pay the costs of termination, including any costs of resolution of contract claims, and resolution of contract modifications. C. Any suspension or termination shall not relieve the parties of liability for any obligation incurred. Any delinquent payment owed by the Non -Federal Sponsor pursuant to this Agreement shall be charged interest at a rate, to be determined by the Secretary of the Treasury, equal to 150 per centum of the average bond equivalent rate of the 13 week Treasury bills auctioned immediately prior to the date. on which such payment became delinquent, or auctioned. immediately prior to the beginning of each additional 3 month period if the period of delinquency exceeds 3 months. ARTICLE V - DISPUTE RESOLUTION As a condition precedent to a party bringing any suit for breach of this Agreement, that party must first notify the other party in writing of the nature of the purported breach and seek in good faith to resolve the dispute through negotiation. If the parties cannot resolve the dispute through negotiation, they may agree to a mutually acceptable method of non -binding alternative dispute resolution with a qualified third party acceptable to the parties. Each party shall pay an equal share of any costs for the services provided by such a third party as such costs are incurred. The existence of a dispute shall not excuse the parties from performance pursuant to this Agreement. ARTICLE VI - MAINTENANCE OF RECORDS AND AUDIT A. The parties shall develop procedures for the maintenance by the Non -Federal Sponsor of books, records, documents, or other evidence pertaining to costs and expenses for a minimum of 3 years after the final accounting. The Non -Federal Sponsor shall assure that such materials are reasonably available for examination, audit, or reproduction by the Government. B. The Government may conduct, or arrange for the conduct of, audits of the Study. Government audits shall be conducted in accordance with applicable Government cost principles and regulations. The Government's costs of audits for the Study shall not be included in shared study costs, but shall be included in calculating the maximum Federal study cost. C. To the extent permitted under applicable Federal laws and regulations, the Government shall allow the Non -Federal Sponsor to inspect books, records, documents, or other evidence pertaining to costs and expenses maintained by the Government, or at the request.of the Non -Federal Sponsor, provide to the Non -Federal Sponsor or independent auditors any such information necessary to enable an audit of the Non -Federal Sponsor's activities under this Agreement. The costs of non -Federal audits shall be paid solely by the. Non -Federal Sponsor without reimbursement or credit by the Government. ARTICLE VII - RELATIONSHIP OF PARTIES In the exercise of their respective. rights and obligations under this Agreement, the Government and the Non -Federal Sponsor each act in an independent capacity, and neither is to be considered the officer, agent, or employee of the other. Neither party shall provide, without the consent of the other party, any contractor with a release that waives or purports to waive any rights a party may have to seek relief or redress against that contractor. ARTICLE Vlll - NOTICES A. Any notice, request, demand, or other communication required or permitted to be given under this Agreement shall be deemed to have been duly given if in writing and delivered personally or mailed by certified mail, with return receipt, as follows: If to the Non -Federal Sponsor: Mayor City of Dubuque 50 W. 13th Street Dubuque, IA 52001 If to the Government: District Commander US Army Engineer District, Rock Island P.O. Box 2004 Rock Island, IL 61204-2004 B. A party may change the recipient or address for such communications by giving written notice to the other party in the manner provided in this Article. ARTICLE IX - CONFIDENTIALITY To the extent permitted by the laws governing each party, the parties agree to maintain the confidentiality of exchanged information when requested to do so by the providing party. ARTICLE X - THIRD PARTY RIGHTS, BENEFITS, OR LIABILITIES Nothing in this Agreement is intended, nor may be construed, to create any rights, confer any benefits, or relieve any liability, of any kind whatsoever in any third person not a party to this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement, which shall become effective upon the date it is signed by the District Commander. DEPARTMENT OF THE ARMY BY: STEVEN M. SATTIN 4R Colonel, US Army Commander & District Engineer DATE: ?-(v F0.k0e1j U1--1 CITY OF D UQUE BY: 14 e" &j ROY D. B V L Mayor, City of Dubuque, Iowa a/ DATE: I6/ II CERTIFICATE OF AUTHORITY ` I(L4ir toe L r , do hereby certify that I am the principal legal officer for the City of Dubuque, that the City of Dubuque is a legally constituted public body with full authority and legal capability to perform the terms of the Feasibility Cost Share Agreement between the Department of the Army and the City of Dubuque in connection with the City of Dubuque Forced Sewer Main — Section 14 Project, and to pay damages, if necessary, in the event of the failure to perform in accordance with the terms of this Feasibility Cost Share Agreement, as required by Section 221 of Public Law 91-611, as amended (42 U.S.C. 1962d- 5b), and that the person who executed this Feasibility Cost Share Agreement on behalf of the City of Dubuque acted within his statutory authority. IN W)TNESS WHEREOF, I have made and executed this certification this L day of Y e f t 20 Crenna Brumw'ell City Attorney NON-FEDERAL SPONSOR'S SELF -CERTIFICATION OF FINANCIAL CAPABILITY FOR DECISION DOCUMENTS I, Jen Wfer Lars®n _ -,do hereby certify that I am the Chief Financial Officer [Director of Finance and Budget] of the City of Dubuque (the "Non -Federal Sponsor"); that I am aware of the financial obligations of the Non -Federal Sponsor for the City of Dubuque Forced Sewer Main - Section 14 Project and that the Non -Federal Sponsor will have the financial capability to satisfy the Non -Federal Sponsor's obligations for that project. I understand that the Government's acceptance of this self - certification shall not be construed as obligating either the Government or the Non - Federal Sponsor to implement a project. IN WITNESS WHEREOF, I have made and executed this certification this _ 7th day of DeCeM --, 20—. ��_ 0 Jenny Larson Director of Finance and Budget CERTIFICATION OF LEGAL REVIEW The Feasibility Cost Sharing Agreement for the Section 14 Continuing Authorities Program Project: City of Dubuque Forced Sewer Main, Integrated Feasibility Report with Environmental Assessment (Study), Dubuque, Iowa, has been fully reviewed by the Office of Counsel, Rock Island District, and the model agreement is legally sufficient. Amyl` Keys, Assist nt District Counsel I "S for Rian Hancks, District Counse Date: 11 December 2020 DISTRICT COMMANDER'S CERTIFICATIONIAPPROVAL OF FEASIBILITY COST SHARING AGREEMENT PACKAGE i attest that the Feasibility Cost Sharing Agreement package for the Emergency Streambank and Shoreline Protection at the Forced Sewer Main, City of Dubuque, Dubuque County, Iowa on the. Mississippi River, Pool 12 (UMR Mile 577.8-578.1) is consistent with Army policy and has been reviewed for legal sufficiency by District Counsel. In addition, 1 attest that (1) the Feasibility Cost Sharing Agreement does not deviate from the approved model Feasibility Cost Sharing Agreement, and .(2) feasibility study funds have been appropriated and are available for study. Accordingly, I approve the Feasibility Cost Sharing Agreement in accordance with the delegated authority provided by memorandum, CEMVD-PD-N, dated 31 October 2007, subject: Delegation of Approval and Execution Authority for Feasibility Cost Sharing Agreements (FCSA) for Studies of Proposed Projects That Will Require Specific Authorization, for Studies of Modifications That Are Beyond the Scope of the Existing Project Authorization, and for Studies of Projects Authorized Without a Feasibility Study, and for Feasibility Cost Sharing Agreements for Studies of Proposed Projects Under the Continuing Authorities Program and Other Program Authorities That Do Not Require Additional Authorization to Implement Projects. r M STEVEN M. SATTIN R Colonel, U.S. Army Commanding Date: oe- CERTIFICATION REGARDING LOBBYING The undersigned certifies, to the best of his or her knowledge and belief that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of -any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or.attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not.more than $100,000 for each such failure. ROY D. L MAYOR, CITY OF DUBUQUE DATE: