IDOT North Cascade Road Bridge AgreementMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
Dubuque
bierd
All-America City
1
2007
SUBJECT: North Cascade Road Bridge Replacement - Dbq. County ER Project
Iowa Department of Transportation - Federal Aid Funding Agreement
Iowa DOT Project No. STP -U -2100 (671)- -70 -31
Iowa DOT Agreement No. 6 -11- STPU -21
DATE: January 17, 2012
On July 27 -28, 2011, Dubuque County received extremely heavy rainfall with amounts
reported to be up to 15 inches in 12 hours. Rushing flood waters on the South Fork of
Catfish Creek overtopped the North Cascade Road and bridge, which is located outside
the City limits, washing out major portions of the west approach roadway to the bridge,
including the west abutment causing the bridge to collapse on the morning of July 28th
City Engineer Gus Psihoyos recommends City Council authorization for the Mayor to
execute the Iowa Department of Transportation (Iowa DOT) Federal Aid Funding
Agreement for the North Cascade Road Bridge Replacement Project in Dubuque
County.
Although the North Cascade Road Bridge is currently under the jurisdiction of Dubuque
County, due to the bridge location and close proximity to the City's corporate limits, it is
anticipated that this southwest corridor will be annexed and become part of the City at
some point in the future. Additionally, with the recent development of the Timber -Hyrst
Estates residential subdivision and the development agreement between the City and
North Cascade Road Developers, LLC, the City previously agreed to construct safety
improvements to North Cascade Road, west of the bridge to approximately Edval Lane.
The existing sight distance along this stretch of North Cascade Road is less than
desirable and the proposed geometric realignment of the existing curves will improve
safety for the motorist. The development agreement initially stipulated that said
improvements will be completed by the end of the 2012 construction season. However,
due to budgetary funding restraints and recent housing market conditions, the developer
has agreed to allow the project to be delayed until 2013.
Based on the City's proposed plans to make safety improvements to North Cascade
Road (immediately adjacent and west of the bridge) and in consideration for planning
for the future expansion of the City, staff met with representatives from the County, the
Iowa DOT and the Federal Highway Administration to discuss and request that the
bridge and roadway be designed to urban design standards rather than typical rural
standards.
The Federal Highway Administration has reviewed the City's request and issued a
determination that reconstructing the bridge and roadway to urban design standards
would be considered betterment, or a design upgrade, and would not be eligible for
Federal Emergency Repair program funding. Based on federal regulations, the
principal intent of the Federal Emergency Repair program is to restore facilities to "pre -
flood" condition, with only consideration given to current design standards, such as
Corps of Engineers or DNR requirements.
Since the City already has funding budgeted in the amount of $924,000 for
improvements to North Cascade Road, with funding programmed using both DMATS
STP funds in the amount of $690,800 and local funds in the amount of $233,200, the
City and County requested and received approval from both the Iowa DOT and the
Dubuque Metropolitan Area Transportation Study (DMATS) to shift a portion of the
City's DMATS STP programmed funds to assist in funding the North Cascade Road
Bridge and the associated road pavement repairs.
It is proposed that the City's DMATS STP funds and local matching funds be used to
fund project costs that are considered non - eligible for Federal Emergency Repair
program funding. The City would be responsible for all design upgrade costs to urban
design standards, such as; an additional 2 feet bridge deck width, a separated
pedestrian sidewalk added to the south side of the bridge, increasing the roadway
pavement width from 26 feet to 35 feet and adding curb and gutter along with storm
sewer. The estimated cost to replace the North Cascade Road Bridge is $1,371,523,
with the City's portion of costs for the requested upgrades estimated at $388,856. This
leaves $535,000 remaining to construct safety improvements to North Cascade Road,
west of the bridge project, requiring the City to renegotiate the scope of work with North
Cascade Road Developers, LLC.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Michael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Gus Psihoyos, City Engineer
2
THE CITY OF
Dui �" E
Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager
FROM: Gus Psihoyos, City Engineer
DATE: January 17, 2012
Dubuque
krtrd
All-AmericaCity
11111!
2007
SUBJECT: North Cascade Road Bridge Replacement - Dbq. County ER Project
Iowa Department of Transportation - Federal Aid Funding Agreement
Iowa DOT Project No. STP -U -2100 (671)- -70 -31
Iowa DOT Agreement No. 6- 11- STPU -21
INTRODUCTION
The enclosed resolution authorizes the Mayor to execute the Iowa Department of
Transportation (Iowa DOT) Federal Aid Funding Agreement (Agreement No. 6-11-
STPU-21) for the North Cascade Road Bridge Replacement Project in Dubuque
County.
BACKGROUND
On July 27 -28, 2011, Dubuque County (County) received extremely heavy rainfall with
amounts reported to be up to 15 inches in 12 hours. Rushing flood waters on the South
Fork of Catfish Creek overtopped the North Cascade Road and bridge, washing out
major portions of the west approach roadway to the bridge, including the west abutment
causing the bridge to collapse on the morning of July 28th at approximately 8:30 A.M.
On August 30, 2011, the City of Dubuque (City) and County received a Presidential
Declaration (DR- 4018 -IA) for public assistance. Since North Cascade Road is on the
City /County Federal Aid Classification Route, it is not eligible for FEMA public
assistance. Since the North Cascade Road Bridge is under the jurisdiction of County,
the County applied for and received approval for Federal Emergency Repair (ER)
Program funding for its replacement.
Based on the approved ER program funding, the Iowa Department of Transportation
(Iowa DOT) has scheduled this project for the January 18, 2012 bid - letting in Ames.
The project will include a total bridge reconstruction and the associated road pavement
repairs at an estimated cost of $1,371,523.
DISCUSSION
Although the North Cascade Road Bridge is currently under the jurisdiction of Dubuque
County, due to the bridge location and close proximity to the City's corporate limits, it is
anticipated that this southwest corridor will be annexed and become part of the City at
some point in the near future. Additionally, with the recent development of the Timber -
Hyrst Estates residential subdivision and the development agreement between the City
and North Cascade Road Developers, LLC, the City has previously agreed to construct
safety improvements to North Cascade Road, west of the bridge to approximately Edval
Lane. The existing sight distance along this stretch of North Cascade Road is less than
desirable and the proposed geometric realignment of the existing curves will improve
safety for the motorist. The development agreement initially stipulated that said
improvements will be completed by the end of the 2012 construction season. However,
due to budgetary funding restraints and recent housing market conditions, the developer
has agreed to allow the project to be delayed until 2013.
Based on the City's proposed plans to make safety improvements to North Cascade
Road (immediately adjacent and west of the bridge) and in consideration for planning
for the future expansion of the City, staff met with representatives from the County, the
Iowa DOT and the Federal Highway Administration (FHWA) to discuss and request that
the bridge and roadway be designed to urban (city) design standards rather than typical
rural standards.
The FHWA has reviewed the City's request and issued a determination that
reconstructing the bridge and roadway to urban (city) design standards would be
considered betterment (design upgrade) and would not be eligible for ER program
funding. Based on federal regulations, the principal intent of the ER program to restore
facilities to "pre- flood" condition with consideration given to current design standards,
such as Corps of Engineers or DNR requirements.
Since the City already has funding budgeted ($924,000) for improvements to North
Cascade Road, City CIP No. 3002021, with funding programmed using both DMATS
STP funds ($690,800) and local funds ($233,200), the City and County requested and
received approval from both the Iowa DOT and the Dubuque Metropolitan Area
Transportation Study (DMATS) to shift a portion of the City's DMATS STP programmed
funds to assist in funding the North Cascade Road Bridge and the associated road
pavement repairs.
It is proposed that the City's DMATS STP funds and local matching funds (Sales Tax —
30%), will be used to fund project costs that are considered non - eligible for Federal ER
program funding. The City would be responsible for all betterment (design upgrade)
costs to urban (city) design standards, such as; an additional 2 feet bridge deck width, a
separated pedestrian sidewalk added to the south side of the bridge, increasing the
roadway pavement width from 26 feet to 35 feet and adding curb and gutter along with
storm sewer.
With the shifting of funds to the North Cascade Road Bridge Replacement Project, City
staff will continue to work with North Cascade Road Developers, LLC. to revise the
scope of work for the original North Cascade Road Reconstruction Project, City CIP No.
3002021, to reflect the anticipated remaining funding level. This will require the City to
amend the existing development agreement with North Cascade Road Developers,
LLC. to either shorten the westerly project limits for the proposed improvements to
North Cascade Road or delay the project until additional funding can be re- programmed
to complete the project westerly of the bridge to approximately Edval Lane.
FUNDING AGREEMENT
Under the terms of the Iowa DOT Federal -Aid Agreement, the City will be allowed to
use DMATS Surface Transportation Program (STP) funds for those bridge and roadway
improvements not eligible for the Federal Emergency Repair (ER) funding. The STP
funds can be used for such project activities as construction, engineering, inspection,
right -of -way property acquisition.
PROJECT SCHEDULE
The anticipated schedule for the project is as follows:
Iowa DOT Bid - Letting
County Award of Contract (Subject to Iowa DOT Approval)
Iowa DOT Late Start Date
Iowa DOT Working Days
Completion Date (Approximate)
January 18, 2012
February 13, 2012
April 2, 2012
100 Working Days
September, 2012
COST ESTIMATE
The estimate of probable cost for the North Cascade Road Bridge Replacement Project
is as follows:
Bridge & Road Construction Cost
Right -of -Way Acquisition
Engineering Design Services
Administration, Construction Engineering & Inspection
Total Project Cost:
Estimate
$ 1,187,023
35,000
53,080
96,420
$ 1,371.523
The estimated cost share breakdown between the City and the County is as follows:
Bridge & Road Construction Cost
Right -of -Way Acquisition
Engineering Design Services
Administration, Construction Engineering & Inspection
Total Project Cost:
BUDGET IMPACT
The project funding summary is as follows:
CIP No.
County Amount
$ 840,027 $ 346,996
35,000
38,218 14,862
69,422 26,998
$ 982.667 $ 388.856
Federal Emergency Repair (ER) Program (80 %)
Dubuque County (20 %)
3002021 DMATS STP Funding (80 %)
3002021 City of Dubuque (20 %)
Total Project Funding:
Estimate
$ 786,134
196,533
311,085
77,771
$ 1,371.523
Based on the allocation of City DMATS STP funds and local matching funds (Sales Tax
— 30 %) to fund the non - eligible Federal Emergency Repair (ER) costs associated with
the North Cascade Road Bridge Replacement Project, there will be approximately
$535,000 remaining to construct safety improvements to North Cascade Road, west of
the bridge project, City CIP No. 3002021.
RECOMMENDATION
I recommend that the City Council adopt the enclosed resolution and authorize the
Mayor to sign the Federal Aid Funding Agreement (Agreement No. 6- 11- STPU -21) for
the North Cascade Road Bridge Replacement Project, Iowa DOT Project No. STP -U-
2100 (671)-- 70 -31.
ACTION TO BE TAKEN
I respectfully request that the City Council adopt the attached resolution and authorize
the Mayor to sign the Iowa Department of Transportation Federal Aid Funding
Agreement (Agreement No. 6- 11- STPU -21) for the North Cascade Road Bridge
Replacement Project, Iowa DOT Project No. STP -U -2100 (671)-- 70 -31.
Prepared by: Robert Schiesl, Assistant City Engineer
cc: Jenny Larson, Budget Director
Bret Wilkinson, Dubuque County Engineer
Kent Ellis, Iowa DOT, Local Systems Engineer
Chandra Ravada, ECIA
F \PROJECTS \North Cascade Rd Bridge - ER Project (671) \Funding Agreement \N Cascade Rd Bridge - County ER
Project (671) - DOT Federal Aid Funding Agreement - Council Memo doc
RESOLUTION NO. 35 -12
RESOLUTION APPROVING THE IOWA DEPARTMENT OF TRANSPORTATION
FEDERAL AID FUNDING AGREEMENT (AGREEMENT NO. 6- 11- STPU -21) FOR
THE NORTH CASCADE ROAD BRIDGE REPLACEMENT PROJECT, IOWA DOT
PROJECT NO. STP -U -2100 (671)- -70 -31
Whereas, the Iowa Department of Transportation (Iowa DOT) has authorized the
use of Dubuque Metropolitan Area Transportation Study (DMATS) Surface
Transportation Program (STP) funds, East Central Intergovernmental Association
Transportation Improvement Program (TIP) funds and Statewide Transportation
Improvement Program (STIP) funds for the North Cascade Road Bridge Replacement
Project in Dubuque County, Iowa DOT Project No. STP -U -2100 (671)-- 70 -31.
Whereas, the DMATS STP funds will be utilized for eligible bridge and roadway
improvements deemed not eligible for the Federal Emergency Repair (ER) funding.
Said DMATS STP funds shall be used for such project activities as construction,
engineering, inspection, and right -of -way property acquisition.
Whereas, the DMATS STP federal aid appropriated funds will be eligible as per
the terms of said funding agreement to complete said bridge and roadway
improvements for the North Cascade Road Bridge Replacement Project in Dubuque
County, Iowa DOT Project No. STP -U -2100 (671)-- 70 -31.
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 (Agreement
No. 6- 11- STPU -21) between the City of Dubuque and the Iowa Department of
Transportation be hereby approved for the North Cascade Road Bridge Replacement
Project in Dubuque.
• Section 2. That the Mayor be authorized and directed to execute two copies of
Iowa DOT Federal Aid Funding Agreement (Agreement No. 6- 11- STPU -21) for the
North Cascade Road Bridge Replacement Project in Dubuque.
Passed, approved and adopted this 6th day of Februa , 2012.
Attest:
Roy D. Buol, Mayor
Kevin irnstahl, Ci y Clerk
F: \PROJECTS \North Cascade Rd Bridge - ER Project (671) \Funding Agreement \N Cascade Rd Bridge - County ER
Project (671) - DOT Federal Aid Funding Agreement - Council Resolution.doc
fC83Iowa Department of Transportation
District 6 Office 319 - 364 -0235
430 Sixteenth Avenue SW FAX: 319-364-9614
Cedar Rapids, IA 52404 kent.ellis @dot.iowa.gov
December 22, 2011
Gus Psihoyos, P. E.
City of Dubuque -City Engineer
50 West 13th Street
Dubuque, Iowa 52001 -4864
Ref: STP -U- 2100(671) -70 -31
Dubuque County
City of Dubuque
Agreement No. 6 -11- STPU -21
SUBJECT: Agreement 6- 11- STPU -21 FINAL (Bridge Replacement -North Cascade Road
over South Fork of Catfish Creek).
Dear Mr. Psihoyos:
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 bridge replacement
on North Cascade Road over the south fork of Catfish Creek.
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 /sjb
Enclosure (2)
November 2008
IOWA DEPARTMENT OF TRANSPORTATION
Federal -aid Agreement
for a Surface Transportation Program Project
Recipient: City of Dubuque
Project No.: STP -U- 2100(671)- -70 -31
Iowa DOT Agreement No.: 6- 11- STPU -21
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 Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA -LU), Public Law
109 -59, as amended by the SAFETEA -LU Technical Corrections Act, Public Law 110 -244, reestablished the Surface
Transportation Program (STP), now codified at Section 133(b) of Title 23, United States Code (U.S.C.). This program
makes Federal funds available for construction, reconstruction, rehabilitation, resurfacing, restoration and operational
or safety improvement projects on highways, bridges on any public road, and several other types of projects, as
specified in 23 U.S.C. 133(b). Funding for highways is limited to Federal -aid highways, except that up to 15 percent
of a State's sub - allocation of STP funds for areas with less than 5,000 population may be used for projects on rural
minor collectors. 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:
Bridge replacement - On North Cascade Road over the south fork of Catfish Creek. Said bridge is being
replaced with Federal Emergency Repair funds, from a flood event in July of 2011. The City's STP
contribution for the bridge replacement, is for betterments to the new bridge the City of Dubuque requested,
but were not eligible for ER funding.
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 less.
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.
STP Project Agreement
Page 2
7. If any part of this agreement is found to be void unenforceable, the remaining provisions of this
agreement shall remain in effect.
8. It is the intent of both parties that no third party beneficiaries be created by this agreement.
9. 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.
10. 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.
By h
Mayor
City Signature Block (City Projects Only)
Date February 6 2012
Title of city official
I, Kevin S. F i r n s t a h l , certify that I am the City Clerk of Dubuque, and
that R Qy n _ H i t c- i , 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 the6 t h
day of Februar , 2012
Signed Date February 6 , 2012
City Clerk of Dubuque, Iowa
IOWA DEPARTMENT OF TRANSPORTATION
Highway Division
By Date , 20,
Kent L. Ellis, P.E.
Local Systems Engineer
District 6
November 2008
EXHIBIT 1
General Agreement Provisions for use of Federal Highway Funds on Non - primary Highways
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 /Iocal_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.
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), and the associated Federal regulations
that implement these laws. When pedestrian facilities are constructed, reconstructed, or altered, the
Recipient shall make such facilities compliant with the ADA and Section 504. Pedestrian facilities include
facilities that are designed for pedestrian use, such as pedestrian signals and push buttons, sidewalks, multi-
use trails, curb ramps, and the street surface in the pedestrian crossing area. Alterations are changes to the
structure, grade, function, or use of the pedestrian facility, and include such activities as: full depth pavement
replacement, widening, resurfacing, signal installation, pedestrian signal installation, and other projects of
similar scale and effect. In addition, by signing this agreement, if the Recipient has 50 or more employees, it
certifies one of the following: it has provided ADA compliant curb ramps at all intersections of sidewalks with
public streets under its jurisdiction; it has a transition plan that meets the requirements of 28 CFR 35.150(d),
including provisions for installation of curb ramps at all intersections of sidewalks with public streets under its
jurisdiction; or it is working to develop such a transition plan. If the Recipient does not have a transition plan
or its transition plan does not include curb ramps, the Recipient shall prepare or modify its transition plan to
include curb ramps in accordance with I.M. 1.080, ADA Requirements.
d. The Recipient agrees to indemnify, defend, and hold the Department harmless from any action or liability
arising out of the design, construction, maintenance, placement of traffic control devices, inspection, or use of
this project. This agreement to indemnify, defend, and hold harmless applies to all aspects of the
Department's application review and approval process, plan and construction reviews, and funding
participation.
e. In case of dispute concerning the terms of this agreement, the parties shall submit the matter to arbitration
pursuant to Iowa Code Chapter 679A. Either party has the right to submit the matter to arbitration after 10
days notice to the other party of their intent to seek arbitration. The written notice shall include a precise
statement of the dispute. The Department and the Recipient agree to be bound by the decision of the
appointed arbitrator. Neither party may seek any remedy with the State or Federal courts absent exhaustion
of the provisions of this paragraph
f. The Office of Management and Budget (OMB) Circular A -133 requires the Department to inform the Recipient
of the appropriate Catalog of Federal Domestic Assistance (CFDA) number and title to be used on the
Schedule of Expenditures of Federal Awards (SEFA) that is required by OMB Circular A-133. CFDA #20.205
and title, "Highway Planning and Construction" shall be used for the Federal funds awarded for this project. 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.
2. 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,
Exhibit 1
Page 2
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. In -House Services.
a. If Federal funding is requested for in -house services, the Recipient shall follow the procedure outlined in I.M.
3.310, Federal -aid Participation in In -House Services. If the Recipient desires to claim indirect costs under
Federal awards, the Recipient shall prepare an indirect cost rate proposal and related documentation in
accordance with the requirements of 2 CFR 225. Before incurring costs for in -house services, such an
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. Consultant Services
a. If the Recipient requests Federal funds for consultant services, the Recipient and the Consultant shall prepare
a contract for consultant services in accordance with Title 23, Code of Federal Regulations, Part 172 -
Administration of Negotiated Contracts (23 CFR 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.
b. If preliminary engineering is Federally funded, and if the "do nothing" alternate is not selected, and if right -of-
way acquisition for 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 an amount equal to the amount of Federal funds made available for such engineering.
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.
b. If farmland is to be acquired, whether for use as project right -of -way or permanent easement, the Recipient
shall submit the U.S. Department of Agriculture Farmland Conversion Impact Rating form, when required, to
the U.S. Natural Resources Conservation Service (NRCS).
c. The Recipient shall obtain agreements, as needed, from railroad and utility companies; and 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, etc.
d. The Recipient shall comply with the Policy for Accommodating Utilities on City and County Federal -aid
Highway Right of Way, and the Policy for Accommodating Utilities on Primary Road System when on State's
right of way. Certain utility relocation, alteration, adjustment, or removal costs to the Recipient for the project
may be eligible for Federal funding reimbursement. lithe Recipient desires Federal reimbursement of these
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
e. 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.
Exhibit 1
Page 4
9. Payments.
a. After costs have been incurred, the Recipient may submit to the Department periodic itemized claims for
reimbursement for eligible project costs. Reimbursement claims shall include certification that all eligible
project costs, for which reimbursement is requested, have been paid in full and completed in substantial
compliance with the terms of this agreement.
b. The Department will reimburse the Recipient for properly documented and certified claims for eligible project
costs, less a withholding of 5% of the Federal and / or State share of construction costs. 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 or State funds
withheld.
c. 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, and 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). 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) 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. Upon completion of the project, a Professional Engineer licensed in the State of Iowa shall certify in writing to
the Department that the project was completed in substantial compliance with the plans and specifications set
out in this agreement. Final reimbursement of Federal funds shall be made only after the Department accepts
the project as complete.
b. 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 amendment / modification to
the project in the FHWA's Fiscal Management Information System (FMIS). Upon receipt of such approval by
FHWA, the Department will notify the Recipient of the record retention date.
c. The Recipient shall maintain, or cause to be maintained, the completed improvement in a manner acceptable
to the Department and the FHWA.
DEPARTMENT:
Engineering
STATE PROGRAM:
Public Works
PROJECT TITLE:
North Cascade Road Reconstruction - Phase 1
PROGRAM: 2C
DEPARTMENT: 55
FDICIP NO: 300 -2021
TOTAL
PROJECT
COST
$ 976,623
EXP PRIOR
ESTIMATED
PROJECT BUDGET
2011
2012
2013
2014
2015
BEYOND
TO FY 11
FY 11
-12
-13
-14
-15
-16
2016
A. EXPENDITURE ITEMS
$ 3,116
$ 49,507
Design & Engineering
$ 44,000
Land and R OW
$ 16,500
Construction
$ 863,500
Other
$ 3,116
$ 49,507
TOTAL
$
-
$ 924,000
$
-
$
-
$
-
$ -
B. PROJECT FINANCING
DMATS STP Funds
$ 690,800
$ 3,116
$ 49,507
Sales Tax Fund (30 %)
$ 233,200
$ 3,116
$ 49,507
TOTAL
$
-
$ 924,000
$
-
$
-
$
-
$ -
PROJECT DESCRIPTION
This project provides for the reconstruction of North Cascade Road between Edval lane and the bridge over Catfish Creek on North Cascade Road The existing curves
on North Cascade Road will be realigned to allow for better sight distance This will require some purchase of ROW to accommodate the larger curves which will improve
sight distance The roadway section will be a 37 foot wide rural section Watermain will be extended along this corridor to serve Marty McNamer's proposed subdivision
on the south side of North Cascade Road in this area
The City is proposing to use DMATS STP funding on eligible City street construction and traffic capacity 1 safety related improvement projects which would allow local
funds to be transferred to the Southwest Arterial Project and used as matching cost for the federal funds This project will shift $690,800 in DMATS STP funds which
would allow the leveraging of approximately $2 8 million in federal dollars for the South west Arterial Project
JUSTIFICATION
A large subdivision is proposed to be adjacent to the south side of North Cascade Road between Edval Lane and the Catfish Creek bridge The development agreement
for this subdivision between the City of Dubuque and North Cascade Road Developers, LLC stipulates that the City of Dubuque will have this road reconstructed by the
end of the 2012 construction season However, due to funding restraints and current housing market conditions, the developer has agreed to allow the project to be
delayed until 2013 The existing sight distance along this stretch of North Cascade Road is less than desirable and the realignment of the existing curves in this area will
improve safety for the motoring public
RELATIONSHIP TO OTHER PROJECTS
This project has a direct impact on the North Cascade Road Bridge Replacement Project due to the change in the roadway width and section type and the realignment of
the curves This project also has a direct effect on the Watermain Extension Project This project implements the Comprehensive Plan's Infrastructure Element Goal 4 1
RELATIONSHIP TO SUSTAINABILITY PRINCIPLES
This project implements the Sustainable Principle of Clean Water and Community Design
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