Fiscal Year 2023 Certified Local Government Grant Agreement for Voelker Highlands SurveyCity of Dubuque
City Council Meeting
Consent Items # 06.
Copyrighted
February 20, 2023
ITEM TITLE: Fiscal Year2023 Certified Local Government Grant Agreement for
Voelker Highlands Survey
SUMMARY: City Manager recommending City Council approve an FY 2023 $7,000
grant agreement through the Certified Local Government (CLG) grant
program by the State Historical Society of I owa (S HS 1) under the I owa
Department of Cultural Affairs (I DCA) for Dubuque's Voelker Highlands
Architectural Survey and authorize the Mayor sign the resolution.
SUGGESTED
DISPOSITION:
ATTACHMENTS:
Description
MVM Memo
Staff Memo
Resolution
Agreement
RESOLUTION Approving CLG Grant Agreement with the Iowa
Department of Cultural Affairs for the Voelker Highlands Intensive
Architectural Survey
Suggested Disposition: Receive and File; Adopt Resolution(s)
Application
Historic Preservation Commission 2022 Workplan
Boundary Map
Type
City Manager Memo
Staff Memo
Resolutions
Supporting Documentation
Supporting Documentation
Supporting Documentation
Supporting Documentation
THE CITY OF
DUjIBQTE
Masterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: FY 2023 CLG Grant Agreement for Voelker Highlands Survey
DATE: February 15, 2023
Dubuque
WAWca 914
2007-2012-2013
2017*2019
Planning Services Manager Wally Wernimont is recommending City Council approve an
FY 2023 $7,000 grant agreement through the Certified Local Government (CLG) grant
program by the State Historical Society of Iowa (SHSI) under the Iowa Department of
Cultural Affairs (IDCA) for Dubuque's Voelker Highlands Architectural Survey and
authorize the Mayor sign the resolution.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Micl�ael C. Van Milligen
MCVM:sv
Attachment
cc: Crenna Brurnwell, City Attorney
Cori Burbach, Assistant City Manager
Wally Wernimont, Planning Services Manager
Dubuque
THE CITY OF
DUjIB 9 ?C FE
1 1 1
Masterpiece on the Mississippi
2007-2012-2013
2017*2019
TO: Michael C. Van Milligen, City Manager
FROM: Wally Wernimont, Planning Services Managero
Planning Services Department
City Hall - 50 West 13th Street
Dubuque, 1A 52001-4845
(563) 589-4210 phone
(563) 589-4221 fax
(563) 690-6678 TDD
planning@ci!yofdubuque.org
SUBJECT: FY 2023 CLG Grant Agreement for Voelker Highlands Survey
DATE: February 14, 2023
INTRODUCTION
This memorandum transmits for City Council approval an FY 2023 $7,000 grant
agreement through the Certified Local Government (CLG) grant program by the State
Historical Society of Iowa (SHSI) under the Iowa Department of Cultural Affairs (IDCA)
for Dubuque's Voelker Highlands Architectural Survey. The grant program requires the
City to endorse the agreement.
The CLG grant agreement and resolution are enclosed, along with the grant application
approved by City Council on August 15, 2022. The CLG grant program is state funding
and the grant agreement is enclosed.
BACKGROUND
Identified in the Historic Preservation Commission Workplan for 2022 which was
approved by City Council, is the Voelker Highlands Intensive Architectural Survey in the
goal: Surveys and Registration Projects.
The City of Dubuque has been awarded funding to hire a consultant to develop and
intensive architectural and historical survey of the Voelker Highlands neighborhood. The
process will engage current and past residents, through education about the
neighborhood and collecting information about the structures and families that lived
there. The project RFP shall reference standards for intensive surveys as outlined in the
State Historic Preservation Office (SHPO) draft Guidelines for Historic Architectural
Surveys in Iowa.
This will be the first time the City of Dubuque has surveyed a neighborhood built entirely
in the early 20th Century and the first time the City has ventured up and west past the
immediate hill neighborhoods surrounding the Downtown and Northend.
As a Certified Local Government with the SHPO, the City is required to help to
preserve, conserve, interpret, enhance, and educate the public about Dubuque's
historical assets. This project helps fulfill those requirements.
This project helps meet multiple goals and recommendations of:
0 Dubuque City Council,
0 2037 Imagine Dubuque Comprehensive Plan, and the
0 2016 City of Dubuque Arts and Culture Master Plan.
TIMELINE
The grant timeline runs through September 30, 2024, providing ample time for
community engagement and research.
BUDGETIMPACT
The project budget is shown below. City staff time is an in -kind match.
GRANT OR
Funds and use
Source of funds
MATCH
Amount
CLG Grant for consultant
IDCA Source for GLG Grant
GRANT Award
$ 7,000
services
CIP funding for consultant
Budget code # 102-62-0000-76-
MATCH: cash
$ 4,000
services
750-6270-00-02-64900
Use for general costs (printing
Documentation of costs
MATCH: in -kind
$ 220
outreach, etc.)
Staff time
Documentation of in -kind
MATCH: In -kind
$ 3,961
services
TOTAL PROJECT COST
$ 15,181
RECOMMENDATION
I respectfully recommend the City Council approve the grant agreement and authorize
the Mayor sign the resolution for an FY 2023 $7,000 CLG Grant to help us undertake
the Voelker Highlands Survey.
Enclosures
Report Prepared by Chris Happ Olson
cc: Jenny Larson, Budget & Finance Director
T:\Grants\Planning Svcs\Active\FY23 CLG Voelker Highlands Survey\FY23 Contract Approval - Voelker
Highlands.doc
VA
Prepared by: Wally Wernimont, City P[anner Address: City Hall, 50 W. 13th St, Dubuque, IA 52001 Telephone: 589-4210
Return to: Adrienne Breitfelder. City Clerk Address: City Hall. 50 W. 13th St, Dubuque, IA 52001 Telephone: 589-4121
RESOLUTION NO. 40-23
RESOLUTION APPROVING CLG GRANT AGREEMENT WITH THE IOWA
DEPARTMENT OF CULTURAL AFFAIRS FOR THE VOELKER HIGHLANDS
INTENSIVE ARCHITECTURAL SURVEY
Whereas, the State Historical Society of Iowa (SHSI) under the Iowa Department
of Cultural Affairs (IDCA) has allocated Certified Local Government Program (CLG) grant
funds for projects that help to preserve, conserve, interpret, enhance, and educate the
public about Iowa's historical assets; and
Whereas, the City of Dubuque has adopted the 2022 Historic Preservation
Commission Workplan which includes the Voelker Highlands Intensive Architectural
Survey in the goal: Surveys and Registration Projects; and
Whereas, this project helps support recommendations in the 2037 Imagine
Dubuque Comprehensive Plan; and
Whereas, this project helps support recommendations in the 2016 Arts and
Cultural Master Plan: and
Whereas, this project helps meet goals of the Dubuque City Council.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. The Mayor is hereby authorized on behalf of the City of Dubuque to
sign the FY 2023 CLG Grant Agreement with the Iowa Department of Cultural Affairs for
the Voelker Highlands Intensive Architectural Survey.
Section 2. The Planning Services Manager is hereby authorized as the project
manager for the CLG project.
Passed, approved, and adopted this 201h day of February 2023.
Attest:
",7
Adrienne N. Breitfelder, City Clerk
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
STATE HISTORIC
PRESERVATION
OFFICE OF IOWA
Article 1. Identification of Parties
STATE HISTORIC PRESERVATION OFFICE
Is] 2 16INTI-111
This Grant -In -Aid Agreement (the "Contract") is between the State Historic Preservation Office (SHPO),
State of Iowa, 600 East Locust, Des Moines, Iowa, 50319 (the "SH PO"), and the Grant Recipient (the
"Recipient"):
Grantee:
City of Dubuque
Authorized Official:
Brad Cavanagh
Primary Contact:
Chris Happ Olson
Address:
50 W 13th St
City, State Zip:
Dubuque, Iowa 52001-4845
Grant Information
Fiscal Year:
2023
Account
2520 CLG
Number:
Grant
202301-12217
Program:
Survey
Number:
Grant Award:
$7,000.00
Final Report
07-31-2024
Due Date:
Matching
$8,181.00
Project Total:
Share:
Beginning
End Date:
09-30-2024
Date:
Project Title:
Voelker Highlands Intensive Survey
WITNESSETH:
WHEREAS, the SHPO is interested in broadening the role of local governments in historic preservation
through the Certified Local Government (CLG) program; and
WHEREAS, the RECIPIENT has demonstrated its interest in historic preservation by becoming a
Certified Local Government, and desires to complete Voelker Highlands Intensive Survey
NOW THEREFORE, it is agreed by the parties as follows:
ARTICLE 2. Designation of Officials
STATE HISTORIC PRESERVATION OFFICE OF IOWA
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
a. The State Historic Preservation Officer is the Official authorized to execute the contract and
any changes in the terms, conditions, or amounts specified in this Contract. The State
Historic Preservation Officer may designate a staff member to negotiate, on behalf of the
SHPO, any changes to the Contract.
b. Brad Cavanagh is the RECIPIENT'S Official authorized to execute the contract and any
changes in the terms, conditions, or amounts as specified in this Contract.
ARTICLE 3. Duration
This Contract shall be in effect commencing on the date of the last signature executing this
document and will terminate on 09-30-2024, unless earlier terminated pursuant to the
provisions of this Contract.
ARTICLE 4. Conditions of Payment
a. The maximum amounts to be paid to the RECIPIENT by the SHPO for any item of work or
services shall be the amount specified herein. All payments for work and services under this
Contract shall be on a cost -incurred, non-profit basis.
b. All payments to the RECIPIENT shall be subject to the receipt by the SHPO of a Request for
Reimbursement. This request shall be made according to the format specified by the SHPO
with reimbursement to the RECIPIENT occurring at intervals no more than sixty (60) days after
approval of request.
c. SHPO shall provide only for Project costs eligible under provisions stipulated by the
National Park Service, U.S. Department of the Interior for grants-in-aid. Project work which
does not meet the Secretary of the Interior's applicable Standards for Archaeology and
Historic Preservation will not be reimbursed under this Contract.
ARTICLE 5. Intellectual Property
a. No material or product in whole or in part under this Contract shall be subject to patent or
copyright by either party in the United States or in any other country.
b. The Recipient will secure all necessary permissions and licenses to avoid misappropriating
or infringing on intellectual property rights of any other party when carrying out the Project.
c. The U.S. Department of the Interior and the SHPO shall reserve a royalty -free, non-
exclusive and irrevocable license to reproduce, publish (including in an electronic format), or
otherwise use for government purposes, and to authorize others to use, any materials
produced in whole or in part under this Contract.
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
ARTICLE 6. Accounts and Records
a. The RECIPIENT shall maintain books, records, documents and other evidence pertaining to
all costs and expenses incurred and revenues acquired under this Contract to the extent and
in such detail as will properly reflect all costs, direct and indirect, of labor, materials, supplies,
services, and other costs and expenses of whatever nature, for which payment is claimed
under this Contract.
b. At all times during normal business hours and as frequently as is deemed necessary, the
RECIPIENT shall make available to the SHPO all of its records, pertaining to all matters
covered by this Contract and shall permit the SHPO to audit, examine and make excerpts
from such records and all other matters covered by this Contract.
c. All financial records in the possession of the RECIPIENT pertaining to this Contract shall be
retained by the RECIPIENT for a period of three (3) years beginning with the date upon which
final payment under this Contract is issued. All records shall be retained beyond the three (3)
year period if audit findings have not been resolved within that period.
d.The SHPO shall reimbursethe RECIPIENT for actual, necessaryand eligible costs incurred
by the RECIPIENT in the conduct of the Project. All claims shall include copies of time
utilization sheets, records, documents and other evidence in support of all costs and
expenses incurred for the performance of this Contract.
e. The RECIPIENT shall provide a permanent copy of financial records suitable for State and
Federal audit as directed under the Single Audit Act of 1984, P.L. 98-502, if required.
f. All products, including but not limited to, survey reports, nominations, inventory forms, and
studies shall be retained permanently by the RECIPIENT.
ARTICLE 7. Indemnification
a. The RECIPIENT shall indemnify, defend, and hold harmless the SHPO, the State of Iowa, its
departments, divisions, agencies, sections, commissions, officers, employees, and agents from
and against all losses, liabilities, penalties, fines, damages, and claims (including taxes), and all
related costs and expenses (including reasonable attorneys' fees and disbursements and
costs of investigation, litigation, settlement, judgments, interest and penalties), arising from or
in connection with any of the following:
1. Any claim, demand, action, citation, or legal proceeding arising out of or resulting
from the Project.
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
2. Any claim, demand, action, citation, or legal proceeding arising out of or resulting
from a breach by the RECIPIENT of any representation, warranty, or covenant made by the
RECIPIENT in this Contract.
3. Any claim, demand, action, citation, or legal proceeding arising out of or related to an
act or omission of the Recipient or any of their agents in its capacity as an employer.
ARTICLE 8. Termination of the Contract
a. Either party may terminate this Contract due to the material breach of the Contract by the
other party if such breach is not cured within sixty days after receipt of a written notice of
breach and demand for cure.
b. The SHPO shall terminate the Contract for cause if it determines that the RECIPIENT is not
following cost eligibility requirements as outlined in the Secretary of the Interior's applicable
Standards for Archaeology and Historic Preservation, and OMB regulations in 2 CFR 200
c. The SHPO may terminate this Contract for any reason following 30 days'written notice.
d. This Contract may be terminated with no notice if, in the sole opinion of the SHPO, the
legislature or governor cleappropriate, suspend, fail to appropriate, or fail to allocate, funds
sufficient for the SHPO to meet its obligations under the Contract. Additionally, this Contract
may be terminated with no notice if, in the sole opinion of the Agency, the legislature or
governor materially alters the SHPO's authorization to conduct the activities contemplated in
this Contract, its duties, its responsibilities, or its programs.
e. Right to Incomplete Products - In the event the Contract is terminated, all finished or
unfinished portions of the work prepared by or for the RECIPIENT under this Contract shall, at
the option of the SHPO, become its property, and the RECIPIENT shall be entitled to receive
reasonable compensation from the Certified Local Government Grant for work on the Project
which, in the opinion of the SHPO, was satisfactorily completed.
ARTICLE 9. Interest of Officials and Others
a. No officer, employee or advisor of the SHPO, including a member the State Nominations
Review Committee, shall participate in any decisions relating to this Contract which affect his
personal interest or the interest of any corporation, partnership or association in which he is
directly or indirectly interested or have any interest, direct or indirect, in this Contract or the
proceeds thereof. A person has a conflict of interest with respect to a sub -grant, contract,
subcontract, or any agreement supported with state or federal assistance if the person or any
of the following has a financial interest in that application: the person's spouse, minor child, or
partner, or; any organization in which the person is serving as an officer, director, trustee,
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 4
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
partner or employee, or; any person or organization with whom the person is negotiating or
has any arrangements concerning prospective employment. Benefit or remuneration other
than a fee in accordance with applicable statewide procedures includes, without exception,
royalty, commission, contingent fee, professional services contract, brokerage fee, or other
payment accruing to the person or any member of his immediate family.
b. The RECIPIENT covenants that it presently has no interest and shall not acquire any
interest, direct or indirect, which would conflict in any manner or degree with the
performance of services required to be performed under this Contract.
ARTICLE 10. Procurement of Professional Services and Equipment
a. The RECIPIENT shall procure professional services by competitive negotiation, or small
purchase procedures. This requires solicitations from at least three sources to permit
reasonable competition consistent with the nature and requirements or the procurement.
"Cost -plus -a -percentage -of -cost" contracting is forbidden. Cost reimbursement or fixed -price
contracting is required.
b. Project consultants must meet the minimum professional standards as outlined in the
Standards and Guidelines for Archaeology and Historic Preservation.
b. The RECIPIENT must receive prior written permission from the SHPO and the National Park
Service before purchasing any piece of equipment under this Contract worth over $5,000.
ARTICLE 11. Acknowledgments
a. Publication, films, exhibits, and similar works developed as a part of this Contract shall
acknowledge Federal aid by including the following statement as part of the Title or
Acknowledgment Section with each item produced:
"The activity that is the subject of this project has been financed in part with Federal funds
from the National Park Service, U.S. Department of the Interior.
"The views and conclusions contained in this document are those of the authors and should
not be interpreted as representing the opinions or policies of the U.S. Government. Mention
of trade names or commercial products does not constitute their endorsement by the U.S.
Government."
ARTICLE 12. Equal Opportunity: Code of Fair Practices
a. The RECIPIENT will not discriminate against any employee or applicant for employment
because of race, creed, color, religion, national origin, sex, age or physical or mental disability.
The RECIPIENT will take affirmative action to ensure that applicants are employed and that
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
employees are treated during employment without regard to their race, creed, color, religion,
national origin, sex, age or physical or mental disability except where it related to a bona fide
occupational qualification. Such action shall include but be not limited to the following;
employment, upgrading, demotion or transfer, recruitment or recruitment advertising; layoff
or termination, rate of pay or other forms of compensation; and selection for training,
including apprenticeship. The RECIPIENT agrees to post in conspicuous places, available to
employees and applicants for employment, notices setting forth provisions of this
nondiscrimination clause.
b. The RECIPIENT will, in all solicitations or advertisements for employees placed by or on
behalf of the RECIPIENT, state that all qualified applicants will receive consideration for
employment without regard to race, creed, color, religion, national origin, sex, age or physical
or mental disability except where it relates to a bona fide occupational qualification.
c. The RECIPIENT will send to each labor union or representative of workers with which he
has a collective bargaining agreement or other contract or understanding, a notice advising
the labor union or worker's representative of the RECIPIENT commitments under this
nondiscrimination clause and shall post copies of the notice in a conspicuous place available
to employees and applicants for employment.
d. The RECIPIENT will comply with all relevant provisions of the Iowa Civil Rights Act of 1965 as
amended, Iowa Executive Order #15 of 1973, and all provisions relevant to fair employment
of the rules and regulations of the State of Iowa. The RECIPIENT will furnish all information
and reports requested by the SHPO or required by or pursuant to the rules and regulations
thereof and will permit access to payroll and employment records by the SHPO for purposes
of investigation to ascertain compliance with such rules, regulations or requests, or with this
nondiscrimination clause.
e. In the event of the RECIPIENT's noncompliance with the clauses of this Contract or with any
of the aforesaid rules, regulations or requests, this Contract may be canceled, terminated, or
suspended in whole or in part and the RECIPIENT may be declared ineligible for further
contracts with the SHPO. In addition, the SHPO may take such further action, and such other
sanctions may be imposed, and remedies invoked, as provided by the Iowa Civil Rights Act of
1965 as amended, Chapter 601 A, Code of Iowa 1973, as heretofore and hereinafter
amended, or by the rules and regulations of the State of Iowa or as otherwise provided by
law.
ARTICLE 13. Amendment
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 6
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
This Contract may only be amended in writing after mutual agreement by the parties. The
parties may amend the Contract at any time. The amendment will be effective as of the date
of the amendment unless otherwise specified.
ARTICLE 14. Waiver
Except as provided by explicit written waiver signed by the parties, failure by either party to
require performance or claim breach shall not be construed as affecting subsequent
assertion of those rights.
ARTICLE 15. Integration
This Contract represents the entire Contract between the parties. The parties shall not rely on
any representation that may have been made which is not included in this Contract.
ARTICLE 16. Assignment of Interest
This Contract, any interest herein, or any claim hereunder shall not be assigned, delegated, or
otherwise transferred by the RECIPIENT to any other party or parties without prior written
approval by the SHP0. Any assignment, delegation, or other transfer without prior written
approval by the SH PO is void.
ARTICLE 17. Subcontract
None of the work or services required under this Contract shall be subcontracted by the
RECIPIENT without prior written approval to subcontract by the SHPO.
ARTICLE 18. Choice of Law and Forum
The laws of the State of Iowa shall govern and determine all matters arising out of or in
connection with this Contract without regard to the conflict of law provisions of Iowa law. Any
and all litigation commenced in connection with this Contract shall be brought and
maintained solely in Polk County District Court for the State of Iowa, Des Moines, Iowa, or in
the United States District Court for the Southern District of Iowa, Central Division, Des Moines,
Iowa, wherever jurisdiction is appropriate. This provision shall not be construed as waiving
any immunity to suit or liability including without limitation sovereign immunity in State or
Federal court, which may be available to the SHPO or the State of Iowa.
ARTICLE 19. Severabillity
If any provision of this Contract is determined by a court of competent jurisdiction to be
invalid or unenforceable, such determination shall not affect the validity or enforceability of
any other part or provision of this Contract.
ARTICLE 20: Incorporation and Priority
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 7
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
Attachments included with this document are incorporated into the Contract by reference. If
there is conflict between the Contract and those documents incorporated into it —or conflict
between the incorporated documents —the conflict shall be resolved according to the
following priority, ranked from the highest to the lowest priority: (1) the Contract; (2)
Attachment A; (3) Attachment B; (4) Other Attachments.
Signatures
The digital signatures below legally obligate the authorizing official of the Recipient and the
State Historic Preservation Officer to this agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Contract on the day and year
last specified below.
DocuSigned by:
Authorized Official of the Grantee:
evx� (AM4
1f53907B87AF6D476...
Date:
2/23/2023
Brad Cavanagh
State Historic Preservation
DocuSigned by:
Officer:
�_*' �6414
E2245877277814FD
Date:
2/23/2023
Susan Kloewer
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 8
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
ATTACHMENT A
SCOPE OF WORK
A. WORK ELEMENTS
Scope of Work
The City of Dubuque will hire a Historian or Architectural Historian who meets the Secretary
of the Interior's Professional Qualification Standards for historic preservation under 36 CFR
part 61, hereafter described as the "Consultant" to conduct an Intensive Architectural and
Historical Survey of the Voelker Highlands neighborhood. The process will engage current and
past residents through education about the neighborhood and collecting information about
the structures and families that lived there. The project RFP shall reference standards for
Intensive Surveys as outlined in the SHPO's draft Guidelines for Historic Architectural Surveys
in Iowa.
The Voelker Highlands neighborhood is characterized by mostly Craftsman -style Bungalows,
with eight Voelker Stone structures (aka "Peer -A -Mid Stone" concrete block made by Voelker
Construction Co.), this neighborhood was platted as the Voelker Highlands Subdivision and
marketed with the same name. These homes were constructed largely from 1917-1936, with
a few outliers in the post war era with larger setbacks. The Voelker Highlands neighborhood
survey area is approximately 3.6 acres and contains approximately 27 resources.
By broadening the understanding and providing a basis for which citizens can appreciate this
neighborhood and educating the public about preservation, we seek to build support around
a potential National Register Historic District.
Coordination
The Consultant will research the potential district and properties and the history of the
development of the neighborhood, in addition to its relationship with Christian Anton Voelker
and his company, which was taken over by his sons. The Consultant is responsible to use this
new research and the research already conducted for the neighborhood to compile the
Voelker Highlands Intensive Survey. The Consultant will assign potential research tasks as
needed to our Planning Intern and staff as we are able to assist with the project.
Planning Services Staff will provide direction, access to resources, and assistance Wth
outreach as we educate and engage the neighborhood and community in the survey process.
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
Assistant Planner Chris Olson is the project coordinator, ensuring that the project stays on -
track, directing the work of the consultant and overseeing the intern's work, and
administering the project (estimating 55 hours of work). The Planning Services Intern will
provide research assistance to the Consultant team, with an estimated 1.25 hours of work
per property and general research and meeting attendance (estimating 40.75 hours). The
1.25 hour per property is estimated in order to provide the consultant with an in-depth
research required for these individual structures. Planning Services Manager Wally
Wernimont will provide direction and expertise as needed, attend meetings with the
Consultant, and help with outreach (estimating 8 hours).
Planning Services staff will provide printing services for the final document as necessary, and
mailings as part of the outreach portion of the project. This is counted as an in -kind match.
B. PRODUCTS
The SHPO will furnish the following:
CLG Grant Project Director's Manual
Forms for documentation of match
The RECIPIENT Will Droduce and distribute the followin2 Rrant Droducts:
Following receipt of the Notice to Proceed and executed Contract, the Local Project Director
will complete and submit a progress reporting form to the SHPO quarterly. The Local Project
Director is encouraged to submit these quarterly reports electronically.
Tangible work products include:
Products
The following are the work products (unless otherwise noted, all work products are submitted
digitally):
Photographs documenting the project
Quarterly reports
Project research design discussing project activities and methodology.
Digital copy of final reports, ISIFs and HADB.
The final project will be an Intensive Architectural and Historical Survey of the Voelker Highlands
Neighborhood. This project is made up of research of 27 parcels in an entirely early 20th
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 10
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
Century neighborhood boundary that was developed by Christian Anton Voelker, a German
Immigrant who served as Mayor of Dubuque in 1886-1887, and was a successful
businessperson and developer in the construction and homebuilding industries. The
products coming out of the project include a Survey report and community outreach and
education. An ISIF form shall be created for each potentially contributing property within the
defined boundary.
Intangible benefits include the first time investigation of an entirely early 20th Century neighborhood
outside of the downtown, hill, Northend and Point neighborhoods previously surveyed. This
project helps broaden Dubuquers ideas of what is historic Dubuque.
All products created under this grant will include the acknowledgement:
The activity that is the subject of this project has been financed in part with Federal funds from the
National Park Service, U.S. Department of the Interior.
The views and conclusions contained in this document are those of the authors and should not be
interpreted as representing the opinions or policies of the U.S. Government. Mention of trade
names or commercial products does not constitute their endorsement by the U.S.
Government.
C. SCHEDULE: ACTIVITIES AND PRODUCT SUBMISSION
Upon receipt of the Notice to Proceed and the execution of the Contract, the RECIPIENT may
begin work on the Project. The RECIPIENT is expected to begin work on the Project within 20
days of receiving the notice and the copy of the Contract. The Contract will end on or before
09-30-2024. All work performed under the Contract will be completed by the last day of the
month prior to the contract end date (e.g. byJune 30 for a Contract that ends on July 1), and
the final bill must be submitted with the final report by 07-31-2024. Early completion of
Contract activities and submission of Contract products is encouraged.
Tentative Schedule:
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 11
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
RFP Development & Posting - Feb 2023
RFP Review & Choice - Mar 2023
Contract Award, development, & Approval - Apr 2023
Consultant/Planning Team- Meeting #1 - May 2023
Planning & Consultant Team Meeting #2 -Jun 2023
Outreach Approach Planning -Jul 2023
Planning & Consultant Team Meeting #3 - Aug 2023
Community Outreach Education Meetings - Oct 2023
Planning & Consultant Team Meeting #4 - Oct 2023
Planning & Consultant Team Meeting #5 - Dec 2023
Draft Survey Review - Meeting #6 - Feb 2024
Draft Survey to State for review - Mar 2024
Project Wrap-up - Meeting #7 - Apr 2024
Final Survey to City Council for review - May 2024
Grant Reporting - June 2024
D. REIMBURSEMENT SCHEDULE
Payments by the SHPO shall be made upon receipt of billing invoices from the RECIPIENT that
relate expenses being billed to budgeted expenses identified in Attachment B. Each payment
request will be audited by the SH PO to ensure that sufficient progress has been made in
support of the invoice. Timely submission of products is essential for reimbursement.
Claims for reimbursement must be accompanied by a progress report. Claims must be
submitted through SlideRoom.
The following payment schedule will be used:
Approval of draft products up to 70% of grant
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 12
IOWACULTURE.GOV
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
Approval of all products remaining balance of the grant
Adjustments between budget categories are permissible following written mutual consent
between the RECIPIENT and the SHPO pursuant to Article XIV.
E. COORDINATION
This Project will be managed by the RECIPIENT in cooperation with the SHPO. The RECIPIENT
will be represented by a Project Director, and the SH PO will be represented by Allison
Archambo, State Historical Society of Iowa, New Historical Building, 600 East Locust, Des
Moines, Iowa 50319-0290 at (515) 281-6826 or allison.archambo@iowa.gov. (will any of this
need to change?)
The RECIPIENT's Project Director will maintain continuous coordination with the SHPO's
Project Manager, during the Contract.
ATTACHMENT B:
BUDGET
Grant Request: $7,000.00
Total Cash Match: $4,000.00
Total In -Kind Match: $4,181.00
Total Project Budget- $15,181.00
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 0 600 E. LOCUST ST. 0 DES MOINES, IA 50319 0 13
IOWACULTURE.GOV
NOTICE OF AWARD
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
1. DATE ISSUED MMIDDIYYYY � la. SUPERSEDES AWARD NOTICE dated
except that any additions or restrictions previously imposed
06/01/2022 remain in effect unless specifically rescinded
2. CFDA NO.
15.904 - Historic Preservation Fund Grants -In -Aid
3. ASSISTANCE TYPE Formula Grant
4. GRANT NO. P22AF00736-00
5. TYPE OF AWARD
Originating MCA#
Other
4a. FAIN P22AF00736
5a. ACTION TYPE New
6. PROJECT PERIOD MMIDDIYYYY
MMIDDIYYYY
From 10/01/2021
Through
09/30/2024
7. BUDGET PERIOD MMIDDIYYYY
MMIDDIYYYY
From 10/01/2021
Through
09/30/2024
"RCH 3,'X'O
AUTHORIZATION (Legislation/Regulations)
54 USC §301 et seq National Historic Preservation Act
8. TITLE OF PROJECT (OR PROGRAM)
This request is for grant funding to support the operations of the State Historic Preservation Office for Iowa.
9a. GRANTEE NAME AND ADDRESS
9b. GRANTEE PROJECT DIRECTOR
HEATHER GIBB
CULTURAL AFFAIRS, IOWA DEPARTMENT OF
600 E Locust St
600 E LOCUST ST RM 2007
Des Moines, IA, 50319-0290
DES MOINES, IA, 50319-1006
Phone:5152814013
10a. GRANTEE AUTHORIZING OFFICIAL
10b. FEDERAL PROJECT OFFICER
Mr. CHRIS KRAMER
Ms. Megan Brown
600 E LOCUST ST RM 2007
1849 C Street NW
DES MOINES, IA, 50319-1006
7360
Phone:5152813223
Washington, DC, 20240-1000
Phone: 202 354 2062
ALL AMOUNTS ARE SHOWN IN USD
11. APPROVED BUDGET (Excludes Direct Assistance)
112. AWARD COMPUTATION
I Financial Assistance from the Federal Awarding Agency Only
a. Amount of Federal Financial Assistance (from item 1 1m) $ 1,045,883.00
11 Total project costs including grant funds and all other financial participation
b. Less Unobligated Balance From Prior Budget Periods $ 0.00
c. Less Cumulative Prior Award(s) This Budget Period $ 0.00
a. Salaries and Wages ................................... $ 885,462.00
d. AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION 5
b. Fringe Benefits ...................................
$
331,193.00
13. Total Federal Funds Awarded to Date for Project Period Is
1,045,883.00
C. Total Personnel Costs ................
$
1,216,655.00
14. RECOMMENDED FUTURE SUPPORT
0.00
(Subject to the availability of funds and satisfactory progress of the project):
d. Equipment .................................
$
YEAR
TOTAL DIRECT COSTS
YEAR
TOTAL DIRECT COSTS
e . Supplies .................................
$
4,473.00
$
f. Travel .................................
$
9,800.00
b. 3
$
a. 6
$
9. Construction .................................
$
0.00
c. 4
$
f. 7
$
h. Other .................................
$
512,210.00
15. PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING
i. Contractual .................................
$
0.00
ALTERNATIVES:
a. DEDUCTION
b. ADDITIONAL COSTS
[b]
TOTAL DIRECT COSTS 10 $
1,743,138.00
c MATCHING
d. OTHER RESEARCH (Add / Deduct Option)
OTHER (Sea REMARKS)
k. INDIRECT COSTS
$
0.00
16. THIS AWARD IS BASED ON AN APPLICATION SUBMITTED TO, AND AS APPROVED BY, THE FEDERAL AWARDING AGENCY
0 THE ABOVE TITLED PROJECT AND IS SUBJECT TO THE TERMS AND CONDITIONS INCORPORATED EITHER DIRECTLY
1. TOTAL APPROVED BUDGET
$
1,743,138.00
OR BY REFERENCE IN THE FOLLOWING:
a. The grant program legislation
b. The grant program regulations.
c, I his award notice including ternns and conditions, if any, noted below under REMARKS.
Federal Share $
1,045,883.00
d. Federal administrative requirements, cost principles and audit requirements applicable to this grant.
In the event there are conflicting or otherwise inconsistent policies applicable to the grant, the above order of precedence shall
n. Non -Federal Share $
697,255.00
prevail. Acceptance of the grant ternts and conditions is acknowledged by the grantee when funds are drawn or otherwise
obtained from the grant payment system.
REMARKS (Other Terms and Conditions Attached -
Yes
0 No)
FY22 HPF SHPO - Iowa
GRANTS MANAGEMENT OFFICIAL:
Megan Brown, Chief - State, Tribal, Local, Plans & Grants
1849 C Street NW
7360
Washington, DC, 20240-1000
Phone: 202 354 2062
17. VENDOR CODE 0071308809
18a. UEI DTW7GMF8LXN5 18b. DUNS 622830511
19. CONG. DIST. 03
LINE#
FINANCIAL ACCT
AMT OF FIN ASST
START DATE
END DATE
TAS ACCT
PO LINE DESCRIPTION
1
0051021132-00010
$1,045,883.00
10/01/2021
09/30/2024
5140
FY223 HPF SHPO Iowa
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NOTICE OF AWARD (Continuation Sheet)
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Federal Financial Report Cycle
Reporting Period Start Date
Reporting Period End Date
Reporting Type
Reporting Period Due Date
10/01/2021
09/30/2022
Annual
12/29/2022
10/01/2022
09/30/2023
Annual
12/29/2023
10/01/2023
09/30/2024
Final
01/28/2025
Performance Progress Report Cycle
Reporting Period Start Date
Reporting Period End Date
Reporting Type
Reporting Period Due Date
10/01/2021
09/30/2022
Annual
12/29/2022
10/01/2022
09/30/2023
Annual
12/29/2023
110/01/2023
09/30/2024
Final
01/28/2025
"MARKS
Grant Agreement
between
the United States Department of the Interior
National Park Service
and
the Above -Named Recipient
Articles
1. Department of the Interior Standard Terms and Conditions
Recipients must also adhere the Department of Interior Standard Terms and Conditions located at
hM2s://www.doi.2ov/2rants/doi-standard-tenns-and-conditions.
2. Legal Authority
NPS enters into this Agreement pursuant to:
1. National Historic Preservation Act (NHPA) 54 USC 300 101 et seq.
2. Historic Preservation Fund Grants Manual, 2007 and subsequent memos and guidance
3. 54 USC 302902(a) Grants to States
4. 54 USC 302701 (a) Grants to Indian Tribes and Native Hawaiian Organizations
5. Consolidated Appropriations Act, enacted as P.L. 117-103,
3. Performance Goals and Project Objectives
The objective of this Agreement is to provide Historic Preservation Funding (HPF) to State Historic
Preservation Officers (SHPOs) for the protection and conservation of State, territorial, and local cultural
and historic assets and to assist them in executing their historic preservation programs and activities
pursuant to 54 U.S.C. 300 101 et seq. (commonly known as the National Historic Preservation Act).
4. Public Purpose
Annual Historic Preservation Fund grants to the 59 State Historic Preservation Offices (SHPO) support
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the Federal Preservation Partnership program by enabling the SHPOs to implement and fulfill the
program areas outlined in the National Historic Preservation Act in accordance with their NPS approved
State Historic Preservation Plans.
5. COVID-19 Provisions
Due to the COVID- 19 pandemic, access to National Park Service (NPS) property, personnel, or resources
may be limited at the start of the agreement. Any performance that requires access to National
Park Service property, personnel, or resources shall not commence until the recipient
receives confirmation from the NPS Financial Assistance Awarding Officer of the
availabilityof those resources. The recipient shall contact the NPS Financial Assistance
Awarding Officer for approval prior to incurring any costs for performance that requires
access to National Park Service property or resources. Such approvals can only be
provided by the NPS Financial Assistance Awarding Officer. In the event of a prolonged
unavailability of resources, the period of performance may be modified to a later date, or
the agreement may be cancelled, by either the National Park Service or the recipient, in its
entirety. In addition, the recipient shall contact the NPS Financial Assistance Awarding
Officer to coordinate any other changes to the agreement that may be needed to ensure
successful performance during the COVID-1 9 pandemic.
6. Statement of Work
The Statement of Work to be performed in accordance with the Secretary of the Interior's Standards and
Guidelinesfor Archeology and Historic Preservation includes:
1. Work agreed upon by the State Historic Preservation Officer (SHPO) and the NPS as stated in the
State's annual application for Historic Preservation Fund grant assistance, and
2. Determined eligible as stated in the National Historic Preservation Act (NHPA), 54 USC 300101 et
seq., and in the Historic Preservation Fund Grant Manual.
7. Responsibilities of the Parties
1. The Recipient agrees to:
1. Carry out the Statement of Work in accordance with the terms and conditions stated herein.
2. Adhere to Federal, state, and local laws, regulations, and codes, as applicable.
3. Perform work in accordance with the Secretary of the Interior's Standards and Guidelinesfor
Archeology and Historic Preservation in the assigned mandatory program areas as defined
by the National Historic Preservation Act.
4. Notify NPS of all selected subawards/subgrants, contracts, and in-house projects via HPF
Online.
5. Ensure subrecipients understand they are subject to the requirements of 2 CFR 200.1
"Subaward", 200. 101 Applicability, and 200.331 Requirements for pass -through entities.
6. Record their procurement of qualified consultants and contracts in accordance with 2 CFR
200.317.
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2. No substantial involvement on the part of the NPS is anticipated for the successful completion of
the statement of work detailed in this award. It is anticipated that involvement will be limited to
actions related to monitoring project performance and technical assistance at the request of the
recipient.
8. Cost -Share Requirement
Non -Federal cost -share is not required for this Agreement.
9. Cost -Share Requirement
Non -Federal cost -share is required for costs incurred under this Agreement, as identified in the attached
project budget. If pre -award costs are authorized, reimbursement of these costs is limited to Federal cost
share percentage identified in this agreement.
10. Pre -Award Incurrence of Costs
The Recipient shall be entitled to reimbursement for costs incurred on or after the start date of this
agreement, which, if they had been incurred after this Agreement was entered into, would have been
allowable, allocable, and reasonable under the terms and conditions of this Agreement. The start date is
identified in block 6 of the Notice of Award.
The Recipient is not authorized to incur costs prior to the start date of this agreement.
11. Administrative & Indirect Costs
The Recipient has chosen not to use a federally approved negotiated indirect cost rate.
The federally -negotiated indirect rate plus administrative costs to be applied against this agreement, by
statute 54 U.S.C. § 302902, shall not exceed 25% of the total budget.
Administrative costs are defined as: Allowable, reasonable, and allocable costs related to the overall
management of activities directly related to finance (accounting, auditing, budgeting, contracting),
general administrative salaries and wages (grant administration, personnel, property management, equal
opportunity) and other overhead functions (general legal services, general liability insurance, depreciation
on buildings and equipment, etc.) not directly attributable to specific program areas identified in the grant
agreement. All administrative costs reported must be absolutely necessary for project and/or program
implementation, such as the cost items identified in the final grant agreement or items otherwise approved
in writing by the NPS Awarding Officer (AO).
12. Key Officials
Communications. Recipient shall address any communication regarding this Agreement to the
ATR/Program Officer with a copy to the Awarding/Grants Management Officer. Communications
that relate solely to technical matters may be sent only to the ATR/Prograrn Officer.
Changes in Key Officials. Neither the NPS nor Recipient may make any permanent change in a key
official without written notice to the other party reasonably in advance of the proposed change. The
notice will include a justification with sufficient detail to permit evaluation of the impact of such a
change on the scope of work specified within this Agreement. Any permanent change in key
officials will be made only by modification to this Agreement.
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NOTICE OF AWARD (Continuation Sheet)
13. Award and Payment
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The NPS will provide funding to the Recipient in an amount not to exceed the figure in block 1 Im
of the Notice of Award for the Statement of Work described in Article VI and in accordance with
the NPS approved budget. The approved budget detail is incorporated herein. Any award beyond
the current fiscal year is subject to availability of funds. Acceptance of a Federal financial
assistance award from the Department of the Interior carries with it the responsibility to be aware
of, and comply with the terms and conditions within this award document. Acceptance is defined as
the start of work, drawing down funds, or accepting the award via electronic means.
Recipient shall request payment in accordance with the following:
1. Method of Payment. Payment will be made by advance and/or reimbursement through the
Department of Treasury's Automated Standard Application for Payments (ASAP) system.
2. Requesting Advances. Requests for advances must be submitted via the ASAP system.
Requests may be submitted as frequently as required to meet the needs of the Financial
Assistance (FA) Recipient to disburse funds for the Federal share of project costs. If feasible,
each request should be timed so that payment is received on the same day that the funds are
dispersed for direct project costs and/or the proportionate share of any allowable indirect
costs. If same —day transfers are not feasible, advance payments must be as close to actual
disbursements as administratively feasible.
3. Requesting Reimbursement. Requests for reimbursements must be submitted via the ASAP
system. Requests for reimbursement should coincide with normal billing patterns. Each
request must be limited to the amount of disbursements made for the Federal share of direct
project costs and the proportionate share of allowable indirect costs incurred during that
billing period.
4. Adjusting Payment Requests for Available Cash. Funds that are available from
repayments to, and interest earned on, a revolving fund, program income, rebates, refunds,
contract settlements, audit recoveries, credits, discounts, and interest earned on any of those
funds must be disbursed before requesting additional cash payments.
5. Bank Accounts. All payments are made through electronic funds transfer to the bank
account identified in the ASAP system by the FA Recipient.
6. Supporting Documents and Agency Approval of Payments. Additional supporting
documentation and prior NPS approval of payments may be required when/if a FA Recipient
is determined to be "high risk" or has performance issues. If prior Agency payment approval
is in effect for an award, the ASAP system will notify the FA Recipient when they submit a
request for payment. The Recipient must then notify the NPS AO that a payment request has
been submitted. The NPS AO may request additional information from the Recipient to
support the payment request prior to approving the release of fands, as deemed necessary.
The FA Recipient is required to comply with these requests. Supporting documents may
include invoices, copies of contracts, vendor quotes, and other expenditure explanations that
justify the reimbursement requests.
Any award beyond the current fiscal year is subject to availability of funds; funds may be provided
in subsequent fiscal years if project work is satisfactory and funding is available.
Allowable and Eligible Costs. Expenses charged against awards under the Agreement may not be
incurred prior to the beginning of the Start Date of the Agreement, and may be incurred only as
necessary to carry out the approved objectives, scope of work and budget with prior approval from
the NPS AO. The Recipient shall not incur costs or obligate funds for any purpose pertaining to the
operation of the project, program, or activities beyond the expiration date stipulated in the award.
Recipient Cost Share or Match. Any non —Federal share, whether in cash or in —kind, is expected
to be paid out at the same general rate as the Federal share. Exceptions to this requirement may be
granted by the AO based on sufficient documentation demonstrating previously determined plans
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for or later commitment of cash or in —kind contributions. In any case, the Recipient must meet their
cost share commitment over the life of the award.
14. Prior Approval
The Recipient shall obtain prior approval for budget and program revisions, in accordance with 2 CFR
200.308.
15. Insurance and Liability
Flow —down: For the purposes of this clause, "recipient" includes such sub —recipients, contractors, or
subcontractors as, in the judgment of the recipient and subject to the Government's determination of
sufficiency, have sufficient resources and/or maintain adequate and appropriate insurance to achieve the
purposes of this clause.
16. Reports and/or Outputs/Outcomes
Refer to the last page of the Notice of Award document for Federal Financial reporting frequency
and due dates. Performance reports are also required at the same reporting frequency and due dates
as the FFR. Reports must be submitted through the GrantSolutions "Manage Reports" functionality.
A final Performance Report and a final Federal Financial Report will be due 120 days after the end -
date of the Tenn of Agreement. If the recipient does not submit the final report before the required
due date, NPS is required to submit a finding of non-compliance to the Federal Awardee
Performance and Integrity Information System (FAPIIS). Each report shall be submitted as
described above.
The Secretary of the Interior and the Comptroller General of the United States, or their duly
authorized representatives, will have access, for the purpose of financial or programmatic review
and examination, to any books, documents, papers, and records that are pertinent to the Agreement
at all reasonable times during the period of retention in accordance with 2 CFR 200.333.
Specific projects, tasks, or activities for which funds are reimbursed and/or advanced will be
tracked and reported by the grantee's submission of-
1. An annual report package reflecting the first year of the period of performance (page
2, Report Cycle table, row 1) including:
1. Updated HPF Online
2. Annual SF-425, Federal Financial Report
3. SF-428A, Tangible Personal Property Report (only if NPS-approved equipment
purchased)
2. An annual report package reflecting the second year of the period of performance (page
2, Report Cycle table, row 2) including:
1. Updated HPF Online
2. Signed Carry Over Statement
3. Annual SF-425, Federal Financial Report
4. SF-428A, Tangible Personal Property Report (only if NPS-approved equipment
purchased)
3. Final report package reflecting the full period of performance of this award (page 2, Report
Cycle table, row 3) including:
1. Completed HPF Online
2. SF-425, Federal Financial Report
3. SF-42813, Tangible Personal Property Report (only if NPS-approved equipment
purchased)
4. Copies of all indirect cost rate agreements, if any, applied against this grant
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NOTICE OF AWARD (Continuation Sheet)
5. Grant products, submitted digitally
17. Property Utilization
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All tools, equipment, and facilities furnished by NPS will be on a loan basis. Tools, equipment and
facilities will be returned in the same condition received except for normal wear and tear in project use.
Property management standards set forth in 2 CFR 200.3 10 through 200.3 16 applies to this Agreement.
18. Modification, Remedies for Noncompliance, Termination
This Agreement may be modified at any time, prior to the expiration date, only by a written
instrument executed by both parties. Modifications will be in writing and approved by the NPS
Awarding Officer and the authorized representative of Recipient.
Additional conditions may be imposed by NPS if it is determined that the Recipient is
non —compliant to the terms and conditions of this agreement. Remedies for Noncompliance can be
found in 2 CFR 200.339.
This Agreement may be terminated consistent with applicable termination provisions for
Agreements found in 2 CFR 200.340 through 200.343.
19. Reporting of Matters Related to Recipient Integrity and Performance
General Reporting Requirement
If the total value of your currently active grants, cooperative agreements, and procurement
contracts from all Federal awarding agencies exceeds $ 10,000,000 for any period of time during the
period of performance of this Federal award, then you, as the recipient, during that period of time
must maintain the currency of information reported to the System for Award Management (SAM)
that is made available in the designated integrity and performance system (currently the Federal
Awardee Performance and Integrity Infon-nation System (FAPIIS)) about civil, criminal, or
administrative proceedings described in paragraph 2 of this award terrn and condition. This is a
statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As
required by section 3010 of Public Law 111-212, all information posted in the designated integrity
and performance system on or after April 15, 2011, except past performance reviews required for
Federal procurement contracts, will be publicly available.
Proceedings You Must Report
Submit the information required about each proceeding that:
1. Is in connection with the award or performance of a grant, cooperative agreement, or
procurement contract from the Federal Government;
2. Reached its final disposition during the most recent five year period; and
3. Is one of the following:
1. A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this
award term and condition;
2. A civil proceeding that resulted in a finding of fault and liability and payment of a
monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;
3. An administrative proceeding, as defined in paragraph 5 of this award term and
condition, that resulted in a finding of fault and liability and payment of either a
monetary fine or penalty of $5,000 or more; or reimbursement, restitution, or damages
in excess of $ 100,000; or
4. Any other criminal, civil, or administrative proceeding if-
1. It could have led to an outcome described in paragraph 2.3.(1), (2), or (3) of this
award term and condition;
2. It had a different disposition arrived at by consent or compromise with an
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acknowledgment of fault on your part; and
3. The requirement in this award term and condition to disclose information about
the proceeding does not conflict with applicable laws and regulations.
Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about each
proceeding described in paragraph 2 of this award term and condition. You do not need to submit
the information a second time under assistance awards that you received if you already provided
the information through SAM because you were required to do so under Federal procurement
contracts that you were awarded.
Reporting Frequency
During any period of time when you are subject to the requirement in paragraph I of this award
term and condition, you must report proceedings information through SAM for the most recent five
year period, either to report new information about any proceeding(s) that you have not reported
previously or affirm that there is no new information to report. Recipients that have Federal
contract, grant, and cooperative agreement awards with a cumulative total value greater than
$ 10,000,000 must disclose semiannually any information about the criminal, civil, and
administrative proceedings.
Definitions
For purposes of this award term and condition:
1. Administrative proceeding means a non -judicial process that is adjudicatory in nature in
order to make a determination of fault or liability (e.g., Securities and Exchange Commission
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed
Services Board of Contract Appeals proceedings). This includes proceedings at the Federal
and State level but only in connection with performance of a Federal contract or grant. It
does not include audits, site visits, corrective plans, or inspection of deliverables.
2. Conviction means a judgment or conviction of a criminal offense by any court of competent
jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon
a plea of nolo contendere.
3. Total value of currently active grants, cooperative agreements, and procurement contracts
includes-
1. Only the Federal share of the funding under any Federal award with a recipient cost
share or match; and
2. The value of all expected funding increments under a Federal award and options, even
if not yet exercised.
20. Funding Used for the Operation of Unmanned Aircraft Systems (UAS)
If Federal fianding is provided to a State, local, tribal, or territorial government for the use of UAS for
their operations, the recipient must have in place policies and procedures to safeguard individuals'
privacy, civil rights, and civil liberties prior to expending such funds.
Per the policy memorandum issued by National Park Service Director, dated June 19, 2014, the
launching, landing, and operating of unmanned aircraft, that is not under the control of the Federal
government, on lands and waters administered by the National Park Service is prohibited unless approval
is received from the Associate Director for such purposes as: Scientific study, search and rescue
operations, fire operations, and law enforcement.
Administrative use includes the use of unmanned aircraft by
• NPS personnel as operators or crew;
• cooperators such as government agencies and universities that conduct unmanned aircraft
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operations for the NPS pursuant to a written agreement; and
other entities, including commercial entities, conducting unmanned aircraft operations for the NPS,
provided such entities are in compliance with all applicable FAA and Department of the Interior
requirements.
21. Patents and Inventions (37 CFR 401)
Recipients of agreements which support experimental, developmental, or research work shall be subject
to applicable regulations governing patents and inventions, including the government -wide regulations
issued by the Department of Commerce at 3 7 CFR 40 1, Rights to Inventions Made by Non-profit
Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative
Agreements. These regulations do not apply to any agreement made primarily for educational purposes.
In accordance with 37 CFR 401.3(a), the provision at 37 CFR 401.14(a), with authorized modifications
for the National Park Service, is hereby included in this agreement:
Definitions
1. Invention means any invention or discovery which is or may be patentable or otherwise
protectable under Title 35 of the United States Code, or any novel variety of plant which is or
may be protected under the Plant Variety Protection Act (7 U.S.C. 2321 et seq.).
2. Subject invention means any invention of the recipient conceived or first actually reduced to
practice in the performance of work under this agreement, provided that in the case of a
variety of plant, the date of determination (as defined in section 41(d) of the Plant Variety
Protection Act, 7 U. S.C. 2401 (d)) must also occur during the period of agreement
performance.
3. Practical Application means to manufacture in the case of a composition or product, to
practice in the case of a process or method, or to operate in the case of a machine or system;
and, in each case, under such conditions as to establish that the invention is being utilized and
that its benefits are, to the extent permitted by law or government regulations, available to the
public on reasonable terms.
4. Made when used in relation to any invention means the conception or first actual reduction to
practice of such invention.
5. Small Business Firm means a small business concern as defined at section 2 of Public Law.
85-536 (15 U.S.C. 632) and implementing regulations of the Administrator of the
Small Business Administration. For the purpose of this provision, the size
standards for small business concerns involved in government procurement
and subcontracting at 13 CFR 121.3-8 and 13 CFR 121.3-12, respectively, will be
used.
6. Nonprofit Organization means a university or other institution of higher education or an
organization of the type described in section 50 1 (c)(3) of the Internal Revenue Code of 1954
(26 U.S.C. 501(c) and exempt from taxation under section 501(a) of the Internal Revenue
Code (25 U.S.C. 501 (a)) or any nonprofit scientific or educational organization qualified
under a state nonprofit organization statute.
Allocation of Principal Rights
The Recipient may retain the entire right, title, and interest throughout the world to each subject
invention subject to this provision and 35 U.S.C. 203. With respect to any subject invention in
which the Recipient retains title, the Federal government shall have a nonexclusive,
nontransferable, irrevocable, paid -up license to practice or have practiced for or on behalf
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of the United States the subject invention throughout the world.
Invention Disclosure, Election of Title and Filing of Patent Application by Recipient
1. The Recipient will disclose each subject invention to the National Park Service within two
months after the inventor discloses it in writing to Recipient personnel responsible for patent
matters. The disclosure to the National Park Service shall be in the form of a written report
and shall identify the agreement under which the invention was made and the inventor(s). It
shall be sufficiently complete in technical detail to convey a clear understanding to the extent
known at the time of the disclosure, of the nature, purpose, operation, and the physical,
chemical, biological or electrical characteristics of the invention. The disclosure shall also
identify any publication, on sale or public use of the invention and whether a manuscript
describing the invention has been submitted for publication and, if so, whether it has been
accepted for publication at the time of disclosure. In addition, after disclosure to the National
Park Service, the Recipient will promptly notify the National Park Service of the acceptance
of any manuscript describing the invention for publication or of any on sale or public use
planned by the Recipient.
2. The Recipient will elect in writing whether or not to retain title to any such invention by
notifying the National Park Service within two years of disclosure to the National Park
Service. However, in any case where publication, on sale or public use has initiated the one
year statutory period wherein valid patent protection can still be obtained in the United
States, the period for election of title may be shortened by the National Park Service to a date
that is no more than 60 days prior to the end of the statutory period.
3. The Recipient will file its initial patent application on a subject invention to which it elects to
retain title within one year after election of title or, if earlier, prior to the end of any statutory
period wherein valid patent protection can be obtained in the United States after a
publication, on sale, or public use. The Recipient will file patent applications in additional
countries or international patent offices within either ten months of the corresponding initial
patent application or six months from the date permission is granted by the Commissioner of
Patents and Trademarks to file foreign patent applications where such filing has been
prohibited by a Secrecy Order.
4. Requests for extension of the time for disclosure, election, and filing under subparagraphs
(1), (2), and (3) may, at the discretion of the National Park Service, be granted.
Conditions When the Government May Obtain Title
The Recipient will convey to the National Park Service, upon written request, title to any subject
inventions
1. If the Recipient fails to disclose or elect title to the subject invention within the times
specified in paragraph 3, above, or elects not to retain title; provided that the National Park
Service may only request title within 60 days after learning of the failure of the Recipient to
disclose or elect within the specified times.
2. In those countries in which the Recipient fails to file patent applications within the times
specified in paragraph 3 above; provided, however, that if the Recipient has filed a patent
application in a country after the times specified in paragraph 3 above, but prior to its receipt
of the written request of the National Park Service, the Recipient shall continue to retain title
in that country.
3. In any country in which the Recipient decides not to continue the prosecution of any
application for, to pay the maintenance fees on, or defend in reexamination or opposition
proceeding on, a patent on a subject invention.
5. Minimum Rights to Recipient and Protection of the Recipient Right to File
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1. The Recipient will retain a nonexclusive royalty -free license throughout the world in
each subject invention to which the Government obtains title, except if the
Recipient fails to disclose the invention within the times specified in paragraph
3, above. The Recipient's license extends to its domestic subsidiary and
affiliates, if any, within the corporate structure of which the Recipient is a party
and includes the right to grant sublicenses of the same scope to the extent the
Recipient was legally obligated to do so at the time the agreement was
awarded. The license is transferable only with the approval of the National Park
Service except when transferred to the successor of that party of the Recipient's
business to which the invention pertains.
2. The Recipient's domestic license may be revoked or modified by the National Park Service to
the extent necessary to achieve expeditious practical application of the subject invention
pursuant to an application for an exclusive license submitted in accordance with applicable
provisions at 37 CFR part 404 and the National Park Service licensing regulations (if any).
This license will not be revoked in that field of use or the geographical areas in which the
Recipient has achieved practical application and continues to make the benefits of the
invention reasonably accessible to the public. The license in any foreign country may be
revoked or modified at the discretion of the National Park Service to the extent the Recipient,
its licensees, or the domestic subsidiaries or affiliates have failed to achieve practical
application in that foreign country.
3. Before revocation or modification of the license, the National Park Service will furnish the
Recipient a written notice of its intention to revoke or modify the license, and the Recipient
will be allowed thirty days (or such other time as may be authorized by the National Park
Service for good cause shown by the Recipient) after the notice to show cause why the
license should not be revoked or modified. The Recipient has the right to appeal, in
accordance with applicable regulations in 37 CFR part 404 and National Park Service
regulations (if any) concerning the licensing of Government -owned inventions, any
decision concerning the revocation or modification of the license.
Recipient Action to Protect the Government's Interest
1. The Recipient agrees to execute or to have executed and promptly deliver to the National
Park Service all instruments necessary to
1. establish or confirm the rights the Government has throughout the world in those
subject inventions to which the Recipient elects to retain title, and
2. convey title to the National Park Service when requested under paragraph 4 above and
to enable the government to obtain patent protection throughout the world in that
subject invention.
2. The Recipient agrees to require, by written agreement, its employees, other than clerical and
non -technical employees, to disclose promptly in writing to personnel identified as
responsible for the administration of patent matters and in a format suggested by the
Recipient each subject invention made under agreement in order that the Recipient can
comply with the disclosure provisions of paragraph (3), above, and to execute all papers
necessary to file patent applications on subject inventions and to establish the government's
rights in the subject inventions. This disclosure format should require, as a minimum, the
information required by (3)(1), above. The Recipient shall instruct such employees through
employee agreements or other suitable educational programs on the importance of reporting
inventions in sufficient time to permit the filing of patent applications prior to U.S. or foreign
statutory bars.
3. The Recipient will notify the National Park Service of any decisions not to continue the
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prosecution of a patent application, pay maintenance fees, or defend in a reexamination or
opposition proceeding on a patent, in any country, not less than thirty days before the
expiration of the response period required by the relevant patent office.
4. The Recipient agrees to include, within the specification of any United States patent
applications and any patent issuing thereon covering a subject invention, the following
statement, "This invention was made with government support under (identify the
agreement) awarded by (identify the Federal agency). The government has certain rights in
the invention."
Subcontracts
The Recipient will include this provision, suitably modified to identify the parties, in all sub -
agreements or subcontracts, regardless of tier, for experimental, developmental or research work.
The sub -recipient or subcontractor will retain all rights provided for the Recipient in this provision,
and the Recipient will not, as part of the consideration for awarding the sub -agreement or
subcontract, obtain rights in the sub -recipient's or subcontractor's subject inventions.
Reporting on Utilization of Subject Inventions
The Recipient agrees to submit on request periodic reports no more frequently than annually on the
utilization of a subject invention or on efforts at obtaining such utilization that are being made by
the Recipient or its licensees or assignees. Such reports shall include information regarding the
status of development, date of first commercial sale or use, gross royalties received by the
Recipient, and such other data and information as the National Park Service may reasonably
specify. The Recipient also agrees to provide additional reports as may be requested by the
National Park Service in connection with any march -in proceeding undertaken by the
National Park Service in accordance with paragraph (110) of this provision. As
required by 35 U.S.C. 202(c)(5), the National Park Service agrees it will not disclose
such information to persons outside the government without permission of the
Recipient.
Preference for United States Industry
Notwithstanding any other part of this provision, the Recipient agrees that neither it nor any
assignee will grant to any person the exclusive right to use or sell any subject inventions in the
United States unless such person agrees that any products embodying the subject invention or
produced through the use of the subject invention will be manufactured substantially in the United
States. However, in individual cases, the requirement for such an agreement may be waived by the
National Park Service upon a showing by the Recipient or its assignee that reasonable but
unsuccessful efforts have been made to grant licenses on similar terms to potential licensees that
would be likely to manufacture substantially in the United States or that under the circumstances
domestic manufacture is not commercially feasible.
10. March -in Rights
The Recipient agrees that with respect to any subject invention in which it has acquired title, the
National Park Service has the right in accordance with the procedures in 37 CFR 401.6 and any
supplemental regulations of the National Park Service to require the Recipient, an assignee or
exclusive licensee of a subject invention to grant a nonexclusive, partially exclusive, or exclusive
license in any field of use to a responsible applicant or applicants, upon terms that are reasonable
under the circumstances, and if the Recipient, assignee, or exclusive licensee refuses such a request
the National Park Service has the right to grant such a license itself if the National Park Service
determines that:
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1. Such action is necessary because the Recipient or assignee has not taken, or is not expected
to take within a reasonable time, effective steps to achieve practical application of the subject
invention in such field of use.
2. Such action is necessary to alleviate health or safety needs, which are not reasonably satisfied
by the Recipient, assignee or their licensees;
3. Such action is necessary to meet requirements for public use specified by Federal regulations
and such requirements are not reasonably satisfied by the Recipient, assignee or licensees; or
4. Such action is necessary because the agreement required by paragraph (9) of this provision
has not been obtained or waived or because a licensee of the exclusive right to use or sell any
subject invention in the United States is in breach of such agreement.
11. Special Provisions for Agreements with Nonprofit Organizations
If the Recipient is a nonprofit organization, it agrees that:
1. Rights to a subject invention in the United States may not be assigned without the approval
of the National Park Service, except where such assignment is made to an organization which
has as one of its primary functions the management of inventions, provided that such
assignee will be subject to the same provisions as the Recipient;
2. The Recipient will share royalties collected on a subject invention with the inventor,
including Federal employee co -inventors (when the National Park Service deems it
appropriate) when the subject invention is assigned in accordance with 35
U.S.C. 202(e) and 37 CFR 401.10;
3. The balance of any royalties or income earned by the Recipient with respect to subject
inventions, after payment of expenses (including payments to inventors) incidental to the
administration of subject inventions, will be utilized for the support of scientific research or
education; and
4. It will make efforts that are reasonable under the circumstances to attract licensees of subject
invention that are small business firms and that it will give a preference to a small business
firm when licensing a subject invention if the Recipient determines that the small business
firm has a plan or proposal for marketing the invention which, if executed, is equally as
likely to bring the invention to practical application as any plans or proposals from applicants
that are not small business firms; provided, that the Recipient is also satisfied that the small
business firin has the capability and resources to carry out its plan or proposal. The decision
whether to give a preference in any specific case will be at the discretion of the Recipient.
However, the Recipient agrees that the National Park Service may review the Recipient's
licensing program and decisions regarding small business applicants, and the Recipient will
negotiate changes to its licensing policies, procedures, or practices with the National Park
Service when this review discloses that the Recipient could take reasonable steps to
implement more effectively the requirements of this paragraph (11)(4).
12. Communication
Communications regarding matters relating to this provision shall be directed to:
Deputy Associate Solicitor
Branch of Procurements and Patents
Office of the Solicitor
U.S. Department of the Interior
1849 C Street, NW
Washington, DC 20240
22. Ensuring the Future Is Made in All of America by All of America's Workers per E.O. 14005
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Per Executive Order 14005, entitled "Ensuring the Future Is Made in All of America by All of America's
Workers" the Recipient shall maximize the use of goods, products, and materials produced in, and
services offered in, the United States, and whenever possible, procure goods, products, materials, and
services from sources that will help American businesses compete in strategic industries and help
America's workers thrive.
https://www.federalregister.gov/documents/202l/Ol/28/2021-02038/ensuring-the-future-is-made-in-all-
of-america-by-all-of-americas-workers
23. Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. §794 (d))
While the requirements of Section 508 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794d),
do not apply to financial assistance agreements, the NPS is subject to the Act's requirements that all
documents posted on an NPS or NPS-hosted website comply with the accessibility standards of the Act.
Accordingly, final deliverable reports prepared under this agreement and submitted in electronic format
must be submitted in a format whereby NPS can easily meet the requirements of Section 508 of the
Rehabilitation Act of 1973, as amended. NOTE: Interim progress reports andfinancial reports are not
consideredfinal deliverables and therefore thefollowing requirements do not apply.
All electronic documents prepared under this Agreement must meet the requirements of Section 508 of
the Rehabilitation Act of 1973, as amended. The Act requires that all electronic products prepared for the
Federal Government be accessible to persons with disabilities, including those with vision, hearing,
cognitive, and mobility impairments. View Section 508 of the Rehabilitation Act, Standards and
Guidelines for detailed information (hUs://www.access-board.gov/gLjidelines-and-
standards/communications-and-it/about-the-ict-refresh/final-rule/text-of-the-standards-and-gLjidelines).
The following summarizes some of the requirements for preparing NPS reports in conformance with
Section 508 for eventual posting by NPS to an NPS-sponsored website. For specific detailed guidance
and checklists for creating accessible digital content, please go to hUs:Hsection508.gov/create. All
accessible digital content must conform to the requirements and techniques of the Web Content
Accessibility Guidelines (WCAG) 2.0 or later (hUs://www.w3.org3�LAI/standards-guidelines/wcag�,
Level AA Success Criteria.
Electronic documents with images
Provide a text equivalent for every non -text element (including photographs, charts and equations)
in all publications prepared in electronic format. Use descriptions such as "alt" and "longdesc" for
all non -text images or place them in element content. For all documents prepared, vendors must
prepare one standard HTML format as described in this statement of work AND one text format
that includes descriptions for all non -text images. "Text equivalent" means text sufficient to
reasonably describe the image. Images that are merely decorative require only a very brief "text
equivalent" description. However, images that convey information that is important to the content
of the report require text sufficient to reasonably describe that image and its purpose within the
context of the report.
Electronic documents with complex charts or data tables
When preparing tables that are heavily designed, prepare adequate alternate information so that
assistive technologies can read them out. Identify row and column headers for data tables. Provide
the information in a non -linear form. Markups will be used to associate data cells and header cells
for data tables that have two or more logical levels of row and column headers.
- Electronic documents with forms
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When electronic forms are designed to be completed on-line, the form will allow people using
assistive technology to access the information, field elements, and functionality required for
completion and submission of the form, including all directions and cues.
24. General and Special Provisions
1. Lobbying Prohibition. 18 U. S.C. § 1913, Lobbying with Appropriated Moneys, as amended by
Public Law 107-273, Nov. 2, 2002 Violations of this section shall constitute violations of section
1352(a) of title 3 1. In addition, the related restrictions on the use of appropriated funds found in
Div. F, § 402 of the Omnibus Appropriations Act of 2008 (P.L. I 10— 16 1) also apply.
2. Anti —Deficiency Act. Pursuant to 31 U.S.C. § 1341 nothing contained in this Agreement shall be
construed as binding the NPS to expend in any one fiscal year any sum in excess of appropriations
made by Congress, for the purposes of this Agreement for that fiscal year, or other obligation for
the further expenditure of money in excess of such appropriations.
3. Minority Business Enterprise Development. Pursuant to Executive Order 12432 it is national
policy to award a fair share of contracts to small and minority firms. NPS is strongly committed to
the objectives of this policy and encourages all recipients of its Cooperative Agreements to take
affirmative steps to ensure such fairness by ensuring procurement procedures are carried out in
accordance with the Executive Order.
4. Assignment. No part of this Agreement shall be assigned to any other party without prior written
approval of the NPS and the Assignee.
5. Member of Congress. Pursuant to 41 U.S.C. § 22, no Member of Congress shall be admitted to
any share or part of any contract or agreement made, entered into, or adopted by or on behalf of the
United States, or to any benefit to arise thereupon.
6. Agency. The Recipient is not an agent or representative of the United States, the Department of the
Interior, NPS, or the Park, nor will the Recipient represent its self as such to third parties. NPS
employees are not agents of the Recipient and will not act on behalf of the Recipient.
7. Non —Exclusive Agreement. This Agreement in no way restricts the Recipient or NPS from
entering into similar agreements, or participating in similar activities or arrangements, with other
public or private agencies, organizations, or individuals.
8. Partial Invalidity. If any provision of this Agreement or the application thereof to any party or
circumstance shall, to any extent, be held invalid or unenforceable, the remainder of this
Agreement or the application of such provision to the parties or circumstances other than those to
which it is held invalid or unenforceable, shall not be affected thereby and each provision of this
Agreement shall be valid and be enforced to the fullest extent permitted by law.
9. No Employment Relationship. This Agreement is not intended to and shall not be construed to
create an employment relationship between NPS and Recipient or its representatives. No
representative of Recipient shall perform any function or make any decision properly reserved by
law or policy to the Federal government.
10. No Third —Party Rights. This Agreement creates enforceable obligations between only NPS and
Recipient. Except as expressly provided herein, it is not intended nor shall it be construed to create
any right of enforcement by or any duties or obligation in favor of persons or entities not a party to
this Agreement.
11. Program Income. If the Recipient earns program income, as defined in 2 CFR §200.80, during the
period of performance of this agreement, to the extent available the Recipient must disburse funds
available from program income, and interest earned on such funds, before requesting additional
cash payments (2 CFR§200.305 (5)). As allowed under 2 CFR §200.307, program income may be
added to the Federal award by the Federal agency and the non -Federal entity. The program income
must be used for the purposes, and under the conditions of, the Federal award. Disposition of
program income remaining after the end of the period of performance shall be negotiated as part of
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the agreement closeout process.
12. Rights in Data. The Recipient must grant the United States of America a royalty —free,
non—exclusive and irrevocable license to publish, reproduce and use, and dispose of in any manner
and for any purpose without limitation, and to authorize or ratify publication, reproduction or use
by others, of all copyrightable material first produced or composed under this Agreement by the
Recipient, its employees or any individual or concern specifically employed or assigned to
originate and prepare such material.
13. Conffict of Interest
1. Applicability.
1. This section intends to ensure that non -Federal entities and their employees take
appropriate steps to avoid conflicts of interest in their responsibilities under or with
respect to Federal financial assistance agreements.
2. In the procurement of supplies, equipment, construction, and services by recipients and
by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.
2. Requirements.
1. Non -Federal entities must avoid prohibited conflicts of interest, including any
significant financial interests that could cause a reasonable person to question the
recipient's ability to provide impartial, technically sound, and objective performance
under or with respect to a Federal financial assistance agreement.
2. In addition to any other prohibitions that may apply with respect to conflicts of
interest, no key official of an actual or proposed recipient or subrecipient, who is
substantially involved in the proposal or project, may have been a former Federal
employee who, within the last one (1) year, participated personally and substantially in
the evaluation, award, or administration of an award with respect to that recipient or
subrecipient or in development of the requirement leading to the ftmding
announcement.
3. No actual or prospective recipient or subrecipient may solicit, obtain, or use non-public
information regarding the evaluation, award, or administration of an award to that
recipient or subrecipient or the development of a Federal financial assistance
opportunity that may be of competitive interest to that recipient or subrecipient.
3. Notification.
1. Non -Federal entities, including applicants for financial assistance awards, must
disclose in writing any conflict of interest to the DOI awarding agency or pass -through
entity in accordance with 2 CFR 200.112, Conflicts of interest.
4. Recipients must establish internal controls that include, at a minimum, procedures to identify,
disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible
for notifying the Financial Assistance Officer in writing of any conflicts of interest that may
arise during the life of the award, including those that have been reported by subrecipients.
Restrictions on Lobbying. Non -Federal entities are strictly prohibited from using funds under
this grant or cooperative agreement for lobbying activities and must provide the required
certifications and disclosures pursuant to 43 CFR Part 18 and 31 USC 1352.
5. Review Procedures. The Financial Assistance Officer will examine each conflict of interest
disclosure on the basis of its particular facts and the nature of the proposed grant or
cooperative agreement, and will determine whether a significant potential conflict exists and,
if it does, develop an appropriate means for resolving it.
6. Enforcement. Failure to resolve conflicts of interest in a manner that satisfies the
Government may be cause for termination of the award. Failure to make required disclosures
may result in any of the remedies described in 2 CFR 200.3 3 8, Remedies for
Noncompliance, including suspension or debarment (see also 2 CFR Part 180).
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Recipients are not required to sign the Notice of Financial Assistance Award letter or any other award
document. As per DOI standard terms and conditions, the recipient's acceptance of a financial assistance
award is defined as the start of work, drawing down of funds, or accepting the award via electronic
means.
26. Build America, Buy America
Recipients are hereby notified that none of the funds provided under this award may be used for a project
for infrastructure unless:
all iron and steel used in the project are produced in the United States --this means all
manufacturing processes, from the initial melting stage through the application of coatings,
occurred in the United States;
all manufactured products used in the project are produced in the United States —this means the
manufactured product was manufactured in the United States; and the cost of the components of the
manufactured product that are mined, produced, or manufactured in the United States is greater
than 55 percent of the total cost of all components of the manufactured product, unless another
standard for determining the minimum amount of domestic content of the manufactured product
has been established under applicable law or regulation; and
all construction materials are manufactured in the United States —this means that all
manufacturing processes for the construction material occurred in the United States.
The Buy America preference only applies to articles, materials, and supplies that are consumed in,
incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment,
and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the
completion of the infrastructure project. Nor does a Buy America preference apply to equipment and
furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within
the finished infrastructure project, but are not an integral part of the structure or permanently affixed to
the infrastructure project.
Waivers
When necessary, recipients may apply for, and the Department of the Interior (DOI) may grant, a waiver
from these requirements. The DOI may waive the application of the domestic content procurement
preference in any case in which the agency determines that one of the below circumstances applies:
Non -availability Waiver: the types of iron, steel, manufactured products, or construction materials
are not produced in the United States in sufficient and reasonably available quantities or of a
satisfactory quality;
Unreasonable Cost Waiver: the inclusion of iron, steel, manufactured products, or construction
materials produced in the United States will increase the cost of the overall project by more than 25
percent;or
Public Interest Waiver: applying the domestic content procurement preference would be
inconsistent with the public interest.
If a recipient determines that one of the above criteria applies, a request to waive the application of the
domestic content procurement preference must be submitted to the financial assistance awarding officer
in writing. Waiver requests shall include the below information. The waiver shall not include any privacy
act information, sensitive data, or proprietary information within their waiver request. Waiver requests
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will be posted to www.doi.gov/grants/buyamerica and are subject to public comment periods of no less
than 15 days. Waiver requests will also be reviewed by the Made in America Office.
1. Type of waiver requested (non -availability, unreasonable cost, or public interest).
2. Requesting entity and Unique Entity Identifier (UEI) submitting the request.
3. Department of Interior Bureau or Office who issued the award.
4. Federal financial assistance listing name and number (reference block 2 on DOI Notice of Award)
5. Financial assistance title of project (reference block 8 on DOI Notice of Award).
6. Federal Award Identification Number (FAIN).
7. Federal funding amount (reference block I Lin. on DO Notice of Award).
8. Total cost of Infrastructure expenditures (includes federal and non-federal funds to the extent
known).
9. Infrastructure project description(s) and location(s) (to the extent known).
10. List of iron or steel item(s), manufactured goods, and construction material(s) the recipient seeks to
waive from Buy America requirements. Include the name, cost, countries of origin (if known), and
relevant PSC or NAICS code for each.
11. A certification that the recipient made a good faith effort to solicit bids for domestic products
supported by terms included in requests for proposals, contracts, and nonproprietary
communications with the prime contractor.
12. A statement of waiver justification, including a description of efforts made (e.g., market research,
industry outreach) by the recipient, in an attempt to avoid the need for a waiver. Such a justification
may cite, if applicable, the absence of any Buy America -compliant bids received in response to a
solicitation.
13. Anticipated impact if no waiver is issued.
There may be instances where an award qualifies, in whole or in part, for an existing DOI general
applicability waiver as described at:
https://www.doi.gov/grants/BuyAmerica/GeneralApplicabilityWaivers. If the specific financial assistance
agreement, infrastructure project, or non -domestic materials meets the criteria of an existing general
applicability waiver within the limitations defined within the waiver, the recipient is not required to
request a separate waiver for non -domestic materials. Questions pertaining to waivers should be directed
to the financial assistance awarding officer.
Definitions
"Construction materials" includes an article, material, or supply, other than an item of primarily iron or
steel; a manufactured product; cement and cementitious materials; aggregates such as stone, sand, or
gravel; or aggregate binding agents or additives, that is or consists primarily of-
• non-ferrous metals;
• plastic and polymer -based products (including polyvinylchloride, composite building materials, and
polymers used in fiber optic cables);
• glass (including optic glass);
• lumber; or
• drywall.
"Domestic content procurement preference" means all iron and steel used in the project are produced in
the United States; the manufactured products used in the project are produced in the United States; or the
construction materials used in the project are produced in the United States.
"Infrastructure" includes, at a minimum, the structures, facilities, and equipment for, in the United States,
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roads, highways, and bridges; public transportation; dams, ports, harbors, and other maritime facilities;
intercity passenger and freight railroads; freight and intermodal facilities; airports; water systems,
including drinking water and wastewater systems; electrical transmission facilities and systems; utilities;
broadband inftastructure; and buildings and real property. Infrastructure includes facilities that generate,
transport, and distribute energy.
"Project" means the construction, alteration, maintenance, or repair of infrastructure in the United States.
Program Specific Requirements
1. Eligible Costs
Eligible costs under this award are as described in this Notice, 2 CFR 200, and the Historic Preservation
Fund Grants Manual (HPF Manual).
For this program eligible costs also include:
1. Projects under the eligible program areas as defined by the National Historic Preservation Act
(NHPA): Administration, Local Government Certification, Development/Covenants, National
Register, Planning, Review & Compliance, Survey & Inventory, and Tax Incentives;
2. Administrative costs necessary to complete and administer the grant requirements;
Rehabilitation of properties;
1. Eligible properties include historic districts, buildings, sites, structures and objects listed in
the National Register of Historic Places or applicable Tribal Register;
2. All work must meet the Secretary of the Interior's Standards and Guidelinesfor,4rcheology
and Historic Preservation; and
3. All projects receiving repair assistance must enter into a preservation
agreement/covenant/easement
4. Survey and Inventory of historic resources to determine eligibility;
5. Cost for administering an easement/covenant for the property;
6. Cost for any required audits or financial requests;
7. Cost for the production of project signs:
8. Costs for public notice of grant opportunities;
9. Costs associated with required training or reporting; and/
10. Any other costs as determined eligible by the NPS in accordance with the OMB circulars, NPS
policies, and the Historic Preservation Fund Grants Manual.
2. NPS Oversight
The NPS will provide oversight of this grant project through the following NPS reviews:
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1. Review and approval of annual and final reporting to include compliance with 2 CFR 200;
2. Review and approval for compliance with the Secretary of the Interior's Standards and Guidelines
for Archeology and Historic Preservation;
3. Review and approval for compliance with Sections 106 (54 USC 306108) and I I Of (54 USC
306107) of the National Historic Preservation Act in coordination with the appropriate State
Historic Preservation Office;
4. Review and approval for compliance with the National Environmental Policy Act (NEPA); and
5. Any other reviews as determined by the NPS based on program needs or financial/programmatic
risk factors (i.e., draft National Register nomination if required, etc.).
3. NAGPRA Costs Are Unallowable
Cost related to Native American Graves Protection and Repatriation Act (NAGPRA) activities are
unallowable under this agreement. Funds for NAGPRA activities are available through the NPS National
NAGPRA Program.
4. Equipment Purchases
Each item of equipment purchased under this award must be approved specifically and in writing by the
NPS prior to purchase to confirm the allowability of the costs. Approval of the application is not approval
of equipment included within the application. Equipment is defined by 2 CFR 200.1 as tangible personal
property (including information technology systems) having a useful life of more than one year and a per -
unit acquisition cost which equals or exceeds the lesser of the capitalization level established by the non-
federal entity for financial statement purposes, or $5,000.
5. Publicity & Press Releases
Press releases about this project must acknowledge the grant assistance provided by the Historic
Preservation Fund and the National Park Service, and copies of the press releases must be provided to the
NPS. The Recipient must transmit notice of any public ceremonies planned to publicize funded or related
projects in a timely enough manner so that the NPS, Department of the Interior, Congressional or other
Federal officials can attend if desired. All publicity and press releases related to activities funded with this
award should include a statement that funding for the activity was provided (in part or in whole) by the
Historic Preservation Fund (HPF) administered by the National Park Service.
6. Requirement for Project Sign & Public Notification
As stipulated in 36 CFR Part 800, public views and comments regarding all Federally -funded
undertakings on historic properties must be sought and considered by the authorizing Federal agency.
Therefore, the grantee is required to post a public notification regarding the undertaking under this grant
in one or more of the major newspapers or news sources that cover the area affected by the project within
30 days of obligating any contracts or subgrants. A copy of the posted release must be submitted to NPS
within 30 days of the posting.
HPF funded development projects must create public notification of the project in the form of a project
sign, website posting, and proper credit for announcements and publications as appropriate. The
sign/notification must be of reasonable and adequate design and construction to withstand weather
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exposure (if appropriate); be of a size that can be easily read from the public right-of-way; and be
accessible to the public throughout the project term as stipulated in this Grant Agreement. At a minimum,
all notifications must contain the following statement:
"[Project Name] is being supported in part by the Historic Preservation Fund administered by the
National Park Service, Department of the Interior. "
Additional information briefly identifying the historical significance of the property and recognizing other
contributors is encouraged and permissible. The NPS arrowhead logo may only be used in conjunction
with the HPF approved signage format that can be provided upon request. Any other use of the logo is
prohibited.
7. Consultants & Contractors
Consultant/contractor(s) must have the requisite experience and training in historic preservation or
relevant field to oversee the project work. All consultants and contractors must be competitively selected
and documentation of this selection must be maintained by the grantee and be made readily available for
examination by the NPS. Federal contracting and procurement guidance can be found in 2 CFR 200.318.
Maximum rates charged to this grant may not exceed 120% of a Federal Civil Service GS-15, step 10
salary per project location. Current regional salary tables can be found on the Office of Personnel and
Management website: https://www.opm.2ov/policy-data-oversi2ht/pgy-leave/salaries-wa2es/.
8. Requirement for NEPA Compliance
All HPF funded grants are subject to the requirements of the National Environmental Policy Act (NEPA)
of 1969, as amended. This Act requires Federal agencies to consider the reasonably foreseeable
envirom-nental consequences of all grant -supported activities. As part of the NPS implementation of
NEPA, grantees are required to notify the NPS of any reasonably foreseeable impacts to the environment
from grant —supported activities, or to certify that no such impacts will arise upon receipt of a grant award.
In addition, the NPS has determined that most HPF grant funds are not expected to individually or
cumulatively have a significant impact on the environment, unless the activity involves development
(construction) or archeology. For construction or archeology projects, the applicant/grantee should use
HPFOnline to submit an Environmental Screening Worksheet, in order to assist the NPS in determining
if a Categorical Exclusion (found in NPS Director's Order 12) can be utilized.
9. Compliance with Section 106
Pursuant to Section 106 of the National Historic Preservation Act (54 USC 306108), the NPS and the
grantee must complete the consultation process stipulated in the regulations issued by the Advisory
Council on Historic Preservation (ACHP) in 36 CFR 800 prior to the commencement of all grant -
assisted construction or ground disturbance on the property.
10. Compliance with Section 110
Section 110 of The National Historic Preservation Act identifies the responsibility of the federal agency
in their treatment of historic properties. Section 11 0(f) (54 USC 306107) clarifies the responsibility of the
agency to protect National Historic Landmarks (NHL) from harm. See this agreement for submission
requirements regarding NHL properties. In addition, Section I I 0(k) (54 USC 306113) prohibits the NPS
from funding any grantee or subgrantee that attempts to avoid the requirements of Section 106. Grantees
must make every effort to fimd preservation projects that do no harm or adverse effects to NHL
properties. Should it be discovered a grantee has deliberately damaged a property (e.g., pre-emptive
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demolition) to avoid requirements, the NPS must be notified to determine, in consultation with the
ACHP, if the project can proceed.
11. NPS Review of Planning/Design Documents for National Historic Landmarks
The grantee must submit the following through HPFOnline:
1. a site plan that has the north direction clearly marked;
2. a city/county map with the site of the property clearly labeled;
3. set of plans and specifications for the project;
4. digital images of all exterior elevations of the building or site, with views identified and oriented
and keyed to the site plan;
5. digital images of all interior major rooms and those involved in the project, labeled and keyed to a
floor plan;
6. for NHL Districts include overall views of the district from the project area; and
7. any additional information that will better enable a technical review of the project to be completed.
The grantee must submit documents for the entire undertaking to the NPS for its review and approval to
ensure conformance with the Secretary of the Interior's Standards and Guidelinesfor Archeology and
Historic Preservation, Historic Preservation Fund Grant Manual, and with the conditions listed in this
Grant Agreement, prior to the beginning of grant -assisted work. Work that does not comply with these
Standards in the judgment of the NPS will not be reimbursed, and may cause the grant to be terminated
and funds deobligated.
Plans & specifications for the project must be marked on the cover with this statement:
The (name ofproperty) is designated a National Historic Landmarkfor its architectural and historic
significance. It is considered to have irreplaceable cultural, material, and aesthetic value. The work is
funded in part by the Historic Preservation Fund, administered by the National Park Service, Department
of the Interior. Thefunding of which is subject to having all work items meet The Secretary of the
Interior's Standardsfor the Treatment of Historic Properties.
12. GIS Spatial Data Transfer Standards
All GIS data collected with HPF funds shall be in compliance with the NPS Cultural Resource Spatial
Data Transfer Standards with complete feature level metadata. Template GeoDatabases and guidelines for
creating GIS data in the NPS cultural resource spatial data transfer standards can be found at the NPS
Cultural Resource GIS Facility webpage:
htWs://www.nps.2ov/crizis/cr2is standardshm
Technical assistance to meet the NPS Cultural Resource Spatial Data Transfer Standard specifications
will be made available if requested. Execution of a Data Sharing Agreement between the NPS and the
Recipient shall take place prior to collection of GIS data using HPF funds, as applicable.
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13. Catalog of Federal Domestic Assistance/Assistance Listing Inclusion in Single Audit
Non -Federal entities receiving financial assistance through the Historic Preservation Fund must include
the appropriate Catalog of Federal Domestic Assistance (CFDA) number in the Schedule of Expenditures
of Federal Award in their Single -Audit. The CFDA number applicable to this award as identified in block
2 on the first page of this agreement document.
14. Notice of Financial Management Review
As part of government -wide efforts to improve coordination of financial management and increase
financial accountability and transparency in the receipt and use of federal funding, the grantee is hereby
notified that this award may be subject to higher scrutiny. This may include a requirement to submit
additional reporting documentation.
15. Subgrant Awards
The awarding of subgrants must follow the eligibility factors outlined in the Notice of Funding
Opportunity, OMB regulations in 2 CFR 200, and the Historic Preservation Fund Grant Manual.
16. Unanticipated Discovery Protocols
At a minimum, unanticipated discovery protocols for subgrants or contracts shall require the sub -grantee
or contractor to immediately stop construction in the vicinity of the affected historic resource and take
reasonable measures to avoid and minimize harm to the resource until the SHPO or THPO, sub -grantee or
contractor, and Indian Tribes, as appropriate, have determined a suitable course of action within 15
calendar days. With the express permission of the SHPO and/or THPO, the sub -grantee or contractor may
perform additional measures to secure the jobsite if the sub -grantee or contractor determines that
unfinished work in the vicinity of the affected historic property would cause safety or security concerns.
17. Requirement for Training
At the direction of the National Park Service, personnel associated with management of the grant program
may be required to attend trainings and/or meetings. The grantee will be provided adequate notice to plan
for any required activities; expenses incurred as part of this requirement are eligible to charge towards the
grant.
18. Demonstration of Effort — Performance Goals
In order to ensure the timely and successful completion of all HPF grant awards, the NPS requires
acceptable demonstration of effort by the grantee on project work supported by all HPF funded grants.
Demonstration of effort means acceptable performance by undertaking meaningful progress on grant -
supported activities and complying with award terms and conditions.
19. Funding for Use of Unmanned Aircraft Systems (UAS) (AKA Drones)
HPF funding for unmanned aircraft systems (UAS) usage is eligible only in the contracting of an
experienced, licensed contractor of UAS who possesses the appropriate license, certifications, and
training to operate UAS. The contractor is required to provide proof of liability insurance in the operation
of UAS for commercial use.
If HPF funding is provided to a state, tribal, local, or territorial government, or other non-profit
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organization for the use of UAS as part of their scope of work, the recipient must have in place policies
and procedures to safeguard individuals' privacy, civil rights, and civil liberties prior to expending such
funds.
20. Easement/Covenant Requirement
Section 54 USC 302902 of the National Historic Preservation Act requires Historic Preservation
Fund grantees agree to assume, after the completion of the project, the total cost of continued
maintenance, repair and administration of the grant -assisted property in a manner satisfactory to
the Secretary of the Interior. Accordingly, recipients awarded funds for the physical preservation of a
historic site shall sign a preservation agreement/covenant/easement (easement) with the State or
Tribal Historic Preservation Officer in which the site is located or with a nonprofit preservation
organization acceptable to the NPS. For competitive (project) grants, a draft copy of
the preservation covenant/easement template must be submitted to the NPS ATR within one year of grant
agreement execution for review and comment.
All preservation easements must be executed by registering it with the deed of the property. Baseline
documentation of the character defming features of the site must be documented prior to construction
through photographs. The preservation easement must document the grant assisted condition of the site
and the historic character defining features as part of the document registered with the deed.
The term of the preservation easement is dependent on the amount of assistance the historic property
receives from this opportunity:
1. If the historic property is not currently protected by a preservation easement, a
preservation easement must be executed for the term as given in the table below per the amount of
funding awarded.
2. If the historic property is currently subject to a preservation easement that meets the minimum
federal preservation requirements, an extension must be executed for an additional duration to meet
the requirements of the new funding awarded. Required term is identified in the table below. For
example, if a property had 10 years remaining on a previous 20-year easement, and receives
$300,000 in HPF funding, an amendment to add 15 years would be required.
3. If the historic property is currently protected by a perpetual or other preservation easement that
meets or exceeds the requirements of this grant program as determined by the NPS, no additional
duration or restrictions are necessary.
of Federal
ce Awarded Vovenant/Easement Term Requirement
I-S50,000 5-year minimum preservation agreement; a
�Icovenant/easement amending the deed is not required
0,001 - $250,000 111 0-ycar minimum preservation covenant/easement
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50,00t - $500,000 111 5-year minimum preservation covenant/easement
00,001- $750,000 1120-year minimum preservation covenant/easement
50,001+ 1125-year minimum preservation covenant/easement
2 1. Audit Findings and Follow -Up
The Recipient is hereby informed that the NPS may withhold or suspend award funds, or may impose
other related conditions, if the recipient does not satisfactorily and promptly address findings from Single
or program -specific audits, investigations, or reviews of NPS programs and awards. Each year the award
is active, the Recipient must require its auditors to provide status report updates of all audit findings
included in the prior audit's Schedule of Findings and Questioned Costs, as required by 2 CFR 200,
Subpart F ("Grants and Agreements, Audit Requirements"). Upon review of subsequent annual audits, the
NPS will determine if further corrective action is warranted.
When findings exist, the Recipient must submit a status report every six months to the NPS of all steps
being taken to resolve related audit findings included in the prior audit's Schedule ofFindings and
Questioned Costs to remain in good standing for all NPS grant awards. If the Recipient fails to meet these
deadlines without written approval of extension from the NPS, NPS may withhold remaining and future
award funds, or may impose other related requirements to ensure compliance with this condition.
Outstanding audit findings, if any, are included in the attachments of this Agreement.
22. Copyright
Per 2 CFR 200.315(b), the NPS reserves a royalty -free right to reproduce, publish, or otherwise use the
work for Federal purposes, and to authorize others to do so, any materials produced under this grant. All
photos included as part of the interim & final reporting and deliverables/publication will be considered
released to the NPS for future official use. Photographer, date, and caption should be identified on each
photo, so NPS may provide proper credit for use.
A digital copy of all deliverables must be available for public access. Sensitive information may be
redacted ftom the public access copy.
All consultants hired by the Recipient must be informed of this requirement.
23. Compliance with the Americans with Disabilities Act and the Architectural Barriers Act
The use of federal funds to improve public buildings, to finance services or programs contained in public
buildings, or alter any building or facility financed in whole or in part with Federal funds (except
privately owned residential structures), requires compliance with the 1990 Americans with Disabilities
Act (ADA), Section 504 of the Rehabilitation Act of 1973, and the Architectural Barriers Act (ABA).
Work done to alter the property should be in compliance with all applicable regulations and guidance.
24. Funding Acknowledgement
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The grantee must include acknowledgment of grant support from the Historic Preservation Fund of the
National Park Service, Department of Interior, in all deliverables and publications concerning NPS grant -
supported activities as referenced in the Statement of Work.
All deliverables must contain the following disclaimer and acknowledgement:
"This material was produced with assistancefrom the Historic Preservation Fund, administered by the
National Park Service, Department of the Interior under Grant Number [insert grant number] (and BPF
Online Project Number, if applicable). Any opinions, findings, and conclusions or recommendations
expressed in this material are those of the author(s) and do not necessarily reflect the views of the
Department of the Interior. "
Deliverables/publications include but are not limited to grant project reports; books, pamphlets,
brochures or magazines; video or audio files; documentation of events, including programs;
invitations and photos; websites; mobile apps; exhibits; and interpretive signs.
All digital copies must follow the file naming convention described in the attached Digital Product
Submission Guidelines. Refer to the attached guidance document for instructions on creating,
naming and submitting digital copies of deliverables/publications.
All consultants hired by the grantee must be informed of this requirement.
Grantees, subgrantees, contractors may not use the NPS Arrowhead in any form without written
permission.
25. Determination of Risk
In accordance with 2 C.F.R. § 200.205, the application for this award was subjected to a pre -award risk
assessment which included a review of information contained within the application, past audits, Federal
Awardee Performance and Integrity Information System (FAPIIS), and/or past performance on previous
Federal financial assistance awards and other factors.
This award has been determined to be a low risk with the following requirements:
Requests for payment may be made directly from the ASAP grant account without prior NPS approval
after expenses have been incurred, invoiced, and paid. All documentation of expenses must be kept on
file for audit purposes and may be requested by the NPS at any time. If payments are drawn down prior to
invoice and payment or in amounts larger than costs incurred, the Recipient may be determined medium
or high risk and be subject to additional grant terms and conditions.
26. Cost Sharing/Matching Requirement
A minimum of 40% non -Federal cost -share is required for costs incurred under this grant program. The
recipient agrees to contribute the amount identified in block I ln in eligible non -Federal matching
contributions that are allowable, property documented, and must be used during the grant period to share
the costs for this statement of work. Failure to use the required non -Federal matching share will result in
the disallowance of costs reimbursed, and/or the deobligation of remaining unexpended funds.
27. Pass -Through to Certified Local Governments
At least 10.0% of the amount awarded to each state (the Federal share of this grant) must be transferred to
eligible Certified Local Governments (CLGs) in the state. Funds not obligated to CLGs by July 1 of
the second year may be recaptured and redistributed to the benefit of other CLGs. Funds not
expended in the third year may be recaptured and returned to the U.S. Treasury. If the State
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anticipates possible recapture, they must notify the NPS as soon as possible so they may assist in possible
redistribution of the funds.
28. Monitoring Certified Local Government Recapture
Within the last 3 years, the State has exhibited a problem of not being able to expend the required 10.0%
of the HPF appropriation prior to the end date(s) of the grant(s). Therefore, the NPS requires that the State
inform the NPS of the status of their Certified Local Government (CLG) subgrants by September 30,
XXXX, allowing sufficient time for the NPS to provide assistance in reallocating the remaining ftmds for
the benefit of other CLGs.
[For states that have had recapture for more than two years, include next paragraph. If not CLG
recapture tailor this condition to work for regular HPF funds.]
If the State does not inform the NPS and there continue to be recaptured funds, the NPS can reduce the
amount of the State's apportionment for the next fiscal year by the recaptured amount.
29. Certified Local Government Evaluations
The State must thoroughly evaluate each of their Certified Local Governments (CLGs) at least every four
years. The NPS will monitor that the State has evaluated at least 25% (or more) of their CLGs with the
next End of Year report. Should the State fail to do so, the NPS will require a plan for meeting CLG
evaluation requirements.
30. Organizational Chart
The grantee must submit an organizational chart which identifies:
• positions by title
• 36 CFR 61 required positions
• staff paid in full or in part with HPF funds
• supervisory positions
• reporting relationships
• required program areas assigned to each staff person
• HPF grants manager
• CLG Coordinator
• Title VI/Section 504 Coordinator
The SHPO is responsible for maintaining a staff that meets the professional qualifications requirements of
3 6 CFR 6 1. At a minimum, the SHPO must have full-time access to a historian, architectural historian,
and an archeologist who meet these professional qualifications. This chart must be submitted to the NPS
by XXXX
3 1. State Historic Preservation Plan
A revised State Plan was due XXXX The State must work closely with the NPS Preservation Planning
Program Manager to develop a timeline for meeting this requirement. The purpose of the statewide
historic preservation plan is to provide the State Historic Preservation Office (SHPO) and other
stakeholders with an agreed -upon vision and goals for historic preservation efforts.
32. Review Board
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A qualified State historic preservation review board designated by the State Historic Preservation Officer
is a requirement for the operation of a State Historic Preservation Office under 3 6 CFR 6 1.
Documentation that the State maintains a qualified review board must be submitted with the next End of
Year report. Where State law establishes entities, such as a State Historical Commission, that do not or
cannot assume all of the Review Board responsibilities specified in 3 6 CFR 6 1, a separate complementary
State Review Board must be established. The roles and responsibilities of each entity should be clearly
delineated to prevent duplication. The maximum number of Review Board members is not prescribed, but
each Review Board must have at least 5 members, including a historian, archeologist and architectural
historian.
33. Long Term Vacant Positions & Staffing Plan
The NPS is concerned about the vacancies in the XXX position(s) represented on the Organizational
Chart submitted. The XXX position(s) has been vacant for several years and is a 36 CRF 61 Qualified
position. By June 30, 20XX, please submit a staffing plan for either filling this/these position(s) or
contracting services for the program areas covered by those positions.
34. Vacant Positions & Organizational Chart
The NPS is concerned about the vacancies represented on the 20XX Organizational Chart. The staffing
plan submitted indicates those positions would be filled in FY20XX. All efforts should be made to fill
these positions as soon as possible given the quantity of [tax projects] the XXY—X SHPO is reviewing, as
well as other Federal responsibilities. Please provide by June 30, 20XX, an updated Organizational
Chart, showing for each position the percentage of time spent on Review and Compliance, State Tax
Credits, Federal Tax Credits, Certified Local Governments (CLG), National Register, Survey, Planning,
Covenants, and other responsibilities.
[This can be tailored to fit, but an example of what to use for tax credit issues.1
35. Project Notifications
Project Notifications for each subgrant/contract with must be submitted through HPF Online with
separate email notification to the NPS for review and approval at least 20 calendar days pL�ior to the
subgrant/contract award in accordance with Chapter 8, Section F, of the HPF Grants Manual. All Project
Notifications must specify the proposed products to be achieved with the grant and be approved by the
NPS prior to the start of the project.
36. Final Project Reports for Subgrants/Contracts
Acceptable Final Project Reports for each subgrant/contract must be submitted to the NPS within 90
calendar days of the completion of each subgrant, in accordance with Chapters 3 and 25 of the HPF
Grants Manual. Final Project Reports must be submitted through HPF Online with separate email
notification to the NPS for review and approval.
37. Reduction in Obligational Authority
NPS may reduce the HPF amount apportioned by the amount of unobligated balance at the end of the
fiscal year, in accordance with Chapters 1, 2, and 3 of the HPF Grants Manual. Therefore, funds which
are not committed by the grantee will revert to NPS through a reduction in the next apportionment. This
will result in the next annual apportionment award being reduced by the amount of unobligated or
unexpended ftinds. Therefore, it is critical that the Recipient spend their allocated fatiding from [indicate
28
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NOTICE OF AWARD (Continuation Sheet)
PAGE 29 of 29
DATEISSUED
� 06/01/2022
GRANT NO. P22AF00736-00
which FY grants recipient needs to draw down1to avoid reduction in future HPF apportionments,
29
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
AWARD ATTACHMENTS
CULTURAL AFFAIRS, IOWA DEPARTMENT OF P22AF00736-00
1. Environmental Certification
2. Digital Products Submission Guidelines
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
14T OF
0 United States Department of the Interior
NATIONAL PARK SERVICE
1849 C Street, NW
CH 3 Washington, DC 20240
ENVIRONMENTAL CERTIFICATION
Based upon a review of the application, proposed work, and the supporting documentation
contacting in the applications, it has been determined that the proposed HPF fimded work meets
the criteria for categorical exclusion under the current Interim Director's Order 12 Categorical
Exclusions (replacing DO-12 Handbook, Chapter 3, Sections 3.3, 3.4, and 3.5).
Applicable categorical exclusion(s) below apply to all proposed projects except development
and archeological survey which must be reviewed independently: F.1 — F.6 — Actions Related to
Grant Programs
v2Z101.,ki. 60;��
Megan J. Brown
Chief State, Tribal, Local, Plans & Grants
National Park Service
[effective as of Date Issued]
(block 1, page 1)
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
Digital Product Submission Guidelines
The National Park Service's (NPS) State, Tribal, Local Plans & Grants (STLPG) Division developed these
guidelines to outline the digital product submission process for grant recipients. These guidelines specify the
types of products that should be submitted, supply guidance on the file names and formats grant recipients
should use, and define how submissions should be made.
Products submitted digitally may be uploaded and shared with the general public through the Integrate
Resource Management Application (IRMA), the NPS's digital repository system. The see grant products that
have already been uploaded, use the above link, choose Historic Preservation Fund (HPF) under "Select a Park,
Office, Program or Region" and selected a category of featured context.
What to submit:
Provide one digital copy of each deliverable or publication under your grant agreement. Refer to the
Reports, Outputs, & Outcomes article to find the deliverables and publications specified in your grant
agreement.
Deliverables and publications include, but are not limited to, the following materials:
SUBMIT
DO NOT SUBMIT
Reports, plans and guidelines (including historic
Digital copies saved on CD/DVD-Rs or flash drives
structure reports, design guidelines, economic impact
(unless arrangements have been made with your grant
studies, treatment reports, historic context statements,
administrator)
preservation plans)
Confidential/restricted reports that cannot be viewed
Substantive event materials (including programs,
by the general public (including archeological reports,
proceedings, handouts, photographs)
architectural reports on federal buildings or restricted
Professionally produced content (including books,
sites)
documentaries, oral histories, presentations and PSAs)
Other documentation not intended for the general
Interpretive products (including books, brochures,
public (including survey forms, financial records,
posters, interpretive tours, coloring books or other
correspondence)
youth -focused products, lesson plans)
Ephemeral products unlikely to be of future value
Online content (including websites, story maps, and
to the general public (including flyers, postcards,
other web -based projects)
I invitations, meeting minutes)
Final grant products may be made available to the general public and should, by default, feature the
NPS disclaimer. Printed products must feature a printed disclaimer when feasible. Audio products must
include a spoken version of the disclaimer. Video products must include the disclaimer as an on -screen
graphic. A disclaimer is not required when it would be unreasonable to do so, such as on size -restrictive
publications like postcards or flyers.
"This material was produced with assistancefrom the [Name ofProgram], administered by the National
Park Service, Department of the Interior. Any opinions, findings, and conclusions or recommendations
expressed in this material are those of the author(s) and do not necessarily reflect the views of the
Department of the Interior. "
* For additional questions about the required disclaimer, consult with your NPS grant manager.
Revised 02/16/2021
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
2
Naming files for submission:
• Name each file you will be submitting using the following naming convention:
SHPO — [Fiscal Year]_[Grantee's State Abbreviation]_[Legal Name of Grantee or
Subgranteel_[Grant Numberl_[Short File Description]
• Do not use spaces or special characters (#, %, &, ?) in the file name.
• For "Short File Description," write a brief (less than 50 characters), unique description that would help
someone easily and quickly identify the file.
• If files are part of a series, append the number 001, 002, etc. to the end of the description.
Ex: Audiofiles submitted under a FY2018 grants by the DC State Historic Preservation Office
SHPO-18—DC—GranteeHistoricDistrict—PI 7AFOOOOI—JohnDoeInterviewOOl.mp3
SHPO-18—DC—GranteeHistoricDistrict—PI 7AFOOOOI—JohnDoeInterviewOO2.mp3
Required file formats and resolution standards:
Reports andpublications: PDF files created at 300 ppi (pixels per inch) minimum and 100% of the original
document size. Convert authoring formats to PDFs (for example, saving Word or InDesign files as PDFs).
When bom-digital is not available, provide high resolution scans of printed materials as PDFs. Preference
is for PDF/A- I or PDF/A-2 fonnat over standard PDF.
Photos: JPEG or TIFF files saved at a minimum resolution of 3000 x 2000 pixels (or 6 megapixels).
• When submitting photographs, include captions, photo credit, and a signed release form (if
needed). Photo release forms are available on the STLPG website.
• Development (construction) grants must submit photographs of all work completed under
the grant, including at least three views of the overall structure and all elements of the scope
of work. Refer to the NPS Documenting Historic Places on Film guidelines for more information
on photographing a variety of historic environments and buildings.
Videos: MP4 files saved at a resolution of 1280 by 720 pixels. All videos produced with HPF funding
should include closed captioning. When reasonable, provide transcripts of videos as Word documents.
Audio: Uncompressed WAV files. When reasonable, provide transcripts of audio files as Word documents.
For more information about formatting deliverables, consult the National Archives' Tables of File Formats.
Creating an index file for your submission:
Include this information in the index file for each product that is being submitted:
Grant Number
Subgrant Number (if applicable)
Title of Product
Filename
Product Creator(s) (give full names and their roles include up to 5 names or organizations)
Date Completed
Extent (number of pages, photographs, or length of audio/video files; use when applicable)
Description (up to 200 words)
Save the index file as a Microsoft Word document using the following naming convention:
SHPO — [Fiscal Year]_[Grantee's State Abbreviation]_[Legal Name of Grantee or
Subgranteel_[Grant Number] — Index.docx
Ex. SHPO-18—DC—GranteeHistoricDistrict — PI 7AF00001 — Index.docx
Only submit one index per submission, including all of the products in that submission
Revised 02/16/2021
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
Submitting Your Files:
1. Email st1pg(a)pps.go to ask to be added to your grant folder.
2. You will receive an e-mail from the Records Management Assistant's e-mail account (currently
caitlin white@XgAngLnps.gov) with the subject 'White, Caitlin E shared the folder "[Grant Name]" with
you'. Click 'Open' in the e-mail.
3. You will be sent to a page asking you to Request Verification Code. Click 'Send Code.'
4. A second e-mail from no-replykshargpointonline.com with the subject 'Code [Eight digit number] is your
Microsoft SharePoint verification code.'
a. Copy the code from the e-mail and paste into the box on the 'Enter Verification Code' page that
appeared after you requested a code be sent to you.
5. Click the 'Upload' button at the top of the page.
a. It will give you the option to either upload file(s) or a folder.
6. In the new window, click on the file you wish to upload and then 'Open'. The file should now appear on
the page.
7. E-mail the stIpg&1ps.go account to notify them that the files have been submitted using the template
provided in your welcome e-mail. Unlike the previous system, there is no notification given when a file is
uploaded and YOUR FILES WILL NOT BE CONSIDERED SUBMITTED UNTIL THIS EMAIL IS
RECEIVED.
Reviewing submitted files:
When NPS receives the files, we will review your submitted products for compliance with the HPF grants
manual, the Secretary of the Interior's Standards of Archeology and Historic Preservation, and any other
relevant requirements.
If there are issues with the submitted files or grants products, your grant manager will contact you and may
ask for corrections and resubmission if necessary.
NPS will also determine whether the submitted products are suitable for sharing with the general public
through the Integrated Resource Management Application (IRMA), the NPS's digital repository system. If
so, we will upload the files there and make them publicly available.
Revised 02/16/2021
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
STATE HISTORIC
PRESERVATION
OFFICE OF IOWA
CERTIFICATION STATEMENT
CERTIFIED LOCAL GOVERNMENT PROGRAM
STATE HISTORIC PRESERVATION OFFICE OF IOWA
1, Brad Cavanagh, certify that I have read and understand the attached National Park Service grant
agreement from Federal Fiscal Year 2022. 1 understand that when the National Park Service grant
agreement for Federal Fiscal Year 2023 is available, the Department of Cultural Affairs will forward a
copy.
DocuSigned by:
Authorized Official of the Grantee:
E�x (A"4
Dat
2/23/2023
Brad Cavanagh
7AF6D476
e:
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
OMB Approval No. 0348-0040
ASSURANCES - NON -CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capability
(including funds sufficient to pay the non -Federal share
of project cost) to ensure proper planning, management
and completion of the project described in this
application.
2. Will give the awarding agency, the Comptroller General
of the United States and, if appropriate, the State,
through any authorized representative, access to and
the right to examine all records, books, papers, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
5. Will comply with the Intergovernmental Personnel Act of 7
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352)
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§1681-
1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42
U.S.C. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee-
3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the
Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as
amended, relating to nondiscrimination in the sale,
rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
made; and, 0) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the
requirements of Titles 11 and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally -assisted programs. These requirements apply
to all interests in real property acquired for project
purposes regardless of Federal participation in
purchases.
8. Will comply, as applicable, with provisions of the
Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
which limit the political activities of employees whose
principal employment activities are funded in whole or
in part with Federal funds.
Previous Edition Usable Standard Form 424B (Rev. 7-97)
Authorized for Local Reproduction Prescribed by OMB Circular A-1 02
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
9. Will comply, as applicable, with the provisions of the Davis -
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§327-
333), regarding labor standards for federally -assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires
recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of
Federal actions to State (Clean Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. §§7401 et seq.); (g) protection of
underground sources of drinking water under the Safe
Drinking Water Act of 1974, as amended (P.L. 93-523);
and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-
205).
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271 et seq.) related to protecting
components or potential components of the national
wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of
1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et
seq.) pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or
other activities supported by this award of assistance.
16. Will comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
prohibits the use of lead -based paint in construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-1 33,
"Audits of States, Local Governments, and Non -Profit
Organizations."
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
TITLE
APPLICANT ORGANIZATION
DATE SUBMITTED
Standard Form 424B (Rev. 7-97) Back
DocuSign Envelope ID: 47AA25BD-BCEF-46D6-ACC3-438Dl4957808
IOWA DEPARTMENT OF
CULTURAL AFFAIRS
Vendor Create / Update Form
VENDOR CREATE / UPDATE FORM
In order for the State of Iowa to pay the amount that is due to you and to comply with the Internal Revenue
Service regulations on reporting these payments, the following information is required. Failure to provide this
information will result in withholding of payment.
When you file tax forms with the IRS, how do you describe yourself / your organization?
Please choose one and only one of the following:
Individual Non -Profit Organization
Sole Proprietor LLC Filing as Partner
Corporation LLC Filing as Corp
Estate or Trust LLC Filing as Sole Proprietor
Government
Enter your IRS description here:
Government
Please confirm your contact information and provide your tax ID:
Contractor Name
Doing Business As
Street Address
City
State
Zip
FEIN / SSN (include dashes)
Certification Must Be Signed By Vendor
Dubuque (city) Historic Preservation Commission
50 W 13th St
Dubuque
Iowa
52001-4845
42-6004596
Under penalties of perjury, I certify that the number shown on this form is my correct taxpayer identification
number (or I am waiting for a number to be issued to me)
The digital signature below serves as the grantee's / vendor's legal signature to this document.
Grante
DocuSigned by:
brx� �WA4
1f53907B87AF6D476...
Date:
2/23/2023
e:
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING * 600 E. LOCUST ST. - DES MOINES, IA 50319 - IOWACULTURE.GOV
1
9/2/22, 2:21 PIVI
State Historical Society of Iowa - SlideRoorn - Submission
City of Dubuque / Olson, Christine
State Historical Society of Iowa
2023 Certified Local Government Grant Application
City of Dubuque / Christine Olson
50 W 13th St.
Dubuque, A 52001, United States
5635894210
planning@cityofdubuque.org
Submitted: September 2, 2022
Forms
CLG Applicant Information
1. Name of project
22805971288
* indicates a required field
This is the name of your project (e.g. Jones County Intensive Survey, Planning Project for the
Smith Opera House, Historic Window Workshop, etc.)
Voelker Highlands Intensive Survey
2. Applicant Name
Enter the name of the eligible entity submitting the proposal (for example, Monona County
Historic Preservation Commission, Cedar Rapids Historic Preservation Commission, etc.)
Please note that only Certified Local Governments in good standing are eligible for this grant
opportunity.
City of Dubuque
3. Applicant type
https://iowahistory.slideroom.com/#/Submission/view/5971 288 1/14
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city government
State Historical Society of Iowa - SlideRoorn - Submission
4. Is your CLG in Good Standing?
E.g., is your CLG current with required annual reports and has last year's report been approved
by the State Historic Preservation Office? Only CI -Gs in Good Standing are eligible for this grant
program. If you have questions about your CLG's status, please contact
historic. preservation@iowa.gov
yes
5. Federal Employer ID # (##
42-6004596
6. DUNS Number (
93105302
7. Applicant Address
If your commission is a city CLG, this is the mailing address of your city hall. If your commission
is a county CLG, this is the mailing address of your county courthouse.
50 W. 13th Street, Dubuque, IA 52001 (Planning Services Dept.)
8. Applicant City
If your commission is a city commission, this is the town where your city hall is located. If your
commission is a county commission, this is the town where your county courthouse is located.
Dubuque
9. Applicant County
Dubuque
10. App I ii ca Int State (XX)
I A
11 Applicant Zip Code
52001
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2/14
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State Historical Society of Iowa - SlideRoorn - Submission
12. First name of the person who prepared the grant application
Chris
13. Last name of the person who prepared the grant application
Happ Olson
14. Preparer's email
colson@cityofdubuque.org
15. Preparer's phone number
(563) 589-4387
16. Title of your chief elected official
If your historic preservation commission is a city CLG, enter Mayor. If your historic preservation
commission is a county CLG, enter Chair of the Board of Supervisors.
Mayor
17. First name of your chief elected official
If your historic preservation commission is a city CLG, this is your mayors name. If your historic
preservation commission is a county CLG, this is the name of the chair of the Board of
Supervisors.
Brad
18. Last name of your chief elected official
If your historic preservation commission is a city CLG, this is your mayors name. If your historic
preservation commission is a county CLG, this is the name of the chair of the Board of
Supervisors.
Cavanagh
19. Chief elected official's email
bcavanagh@cityofdubuque.org
20. Chief elected official's phone number
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(563) 589-4110
21. First name of the CLG staff person
If your historic preservation commission is a city CLG, this is the city staff person for the
commission (typically the city administrator or clerk). If your historic preservation commission is
a county CLG, this is the county staff person for the commission (typically the county auditor).
Chris
22. Last name of the CLG staff person
If your historic preservation commission is a city CLG, this is the city staff person for the
commission. If your historic preservation commission is a county CLG, this is the county staff
person for the commisison.
Happ Olson
23. CLG staff person's email
colson@cityofdubuque.org
24. CLG staff person's phone number
(563) 589-4387
25. First name of local project manager
This is the local person who will manage your project if it is funded.
Chris
26. Last name of local project manager
This is the local person who will manage your project if it is funded.
Happ Olson
27. Local project manager's email address
colson@cityofdubuque.org
28. Local project manager's daytime phone number
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(563) 589-4387
State Historical Society of Iowa - SlideRoorn - Submission
29. Iowa Congressional District
Select the numeric Iowa Congressional District of the applicant. To find the Iowa Congressional
District, visit the United States House of Representatives, Use the Find Your Representative
form on the right side of the page to input your zip code information for an exact match.
1
30. Iowa Senate District
Select the numeric Iowa Senate District of the applicant- To find the Iowa Senate District, visit
Find Your Legislator. Use the full address form on the right side of the page to input your
address information for an exact match.
50
31. Iowa House District
Select the numeric Iowa House District of the applicant. To find the Iowa House District, visit
Find Your Legislator. Use the full address form on the right side of the page to input your
address information for an exact match.
100
CLG Project Information and Scope of Work * indicates a required field
1. Brief description of project
Please provide a brief description of your project. This will be used for press releases and for
reporting to the National Park Service
The City of Dubuque will hire a consultant to conduct an Intensive Architectural and Historical
Survey of the Voelker Highlands neighborhood,
2. Type of Project
Intensive Survey
2.1. Provide the amount of acreage to be surveyed.
https://iowahistory.slideroom.com/#/Submission/view/5971 288 5/14
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3.63 acres (including public right of way)
2.2. Provide the number of contributing and noncontributing resources to be surveyed.
25 contributing, 2 non-contributing=27
3. Scope of Work
Describe your project in detail:
• specifically identify the historical resource and state its significance
• provide an overview of the activities you will complete
• explain how the proposed actions will assist the historical resource(s)
• describe how the project will have an impact on the local community (neighborhood, town,
region) or however you define "community."
The City of Dubuque seeks funding to hire a consultant to develop an intensive architectural and
historical survey of the Voelker Highlands neighborhood. The process will engage current and past
residents, through education about the neighborhood and collecting information about the
structures and families that lived there. The project RFP shall reference standards for Intensive
Surveys as outlined in the SHPO's draft Guidelines for Historic Architectural Surveys in Iowa.
Characterized by mostly Craftsman -style Bungalows, with eight Voelker Stone structures (aka
"Peer -A -Mid Stone" concrete block made by Voelker Construction Co.), this neighborhood was
platted as the Voelker Highlands Subdivision and marketed with the same name. These homes
were constructed largely from 1917-1936, with a few outliers in the post war era with larger
setbacks. These outliers could be interpreted as Tudor cottage style, characterized by the gabled
entrance and steep side gabled roof:
- 1716 Lawndale
- 1740 Lawndale
Most of the homes are 1 1/2-story bungalows, characterized by roofs that sweep to the first floor
and are punctuated with dormers. Houses typically have offset or full -width front porches. Three
that deviate from the 1 1/2-story plan are 2-story structures, but are from the same time period:
- 1550 Mt. Pleasant Street
- 1760 Lawndale Street
- 1772 Lawndale Street
Two of the homes, though originally made of Voelker Stone, have lower -integrity due to front
additions, front garages, and additions to the roof:
* 1695 Lawndale Street (converted to a partial 2-story)
* 1735 Lawndale Street
Voelker Highlands was widely publicized in the Telegraph -Herald by the developer, German-born
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State Historical Society of Iowa - SlideRoorn - Submission
Christian Anton Voelker. Voelker was elected as Mayor of Dubuque in 1887 and later as State
Representative (D) in 1896-1898. He was a successful businessman, running companies as
builder, developer, realtor and manufacturer. Many ads for Voelker Highlands and other Voelker
neighborhoods were placed in the Home Builder section, with full -page spreads and as smaller
ads. Development was speculative housing with modern amenities in an ideal neighborhood. The
discussion was that no two homes would be alike, however the patterning of materials, roof forms,
setbacks and size ties the neighborhood together.
A 1917 Voelker Highlands spread in the Home Builder section of the Dubuque Telegraph -Herald is
typical of such advertisements placed for both the Voelker Highlands and other ads where other
Voelker neighborhoods are under development.
This project is new for Dubuque in that it seeks to survey a neighborhood that is disparate from
the downtown, Northend, Point and near hill neighborhoods that have previously been surveyed in
Dubuque - neighborhoods mostly containing 19th and some early 20th Century architecture.
These modest structures are built with attention to detail and modern amenities. They are built in a
park -like hilltop affording great vistas and away from the older downtown. The project seeks to
continue the work in Dubuque to broaden the understanding of what is historic, including housing
that is unassuming.
By broadening the understanding and providing a basis for which citizens can appreciate this
neighborhood and educating the public about preservation, we seek to build support around a
potential National Register Historic District.
4. Coordination
Describe the division of labor, project responsibilities of consultant, local project director, staff,
and volunteers.
The Consultant will research the potential district and properties and the history of the
development of the neighborhood, in addition to its relationship with Christian Anton Voelker and
his company, which was taken over by his sons. The Consultant is responsible to use this new
research and the research already conducted for the neighborhood to compile the Voelker
Highlands Intensive Survey. The Consultant will assign potential research tasks as needed to our
Planning Intern and staff as we are able to assist with the project.
Planning Services Staff will provide direction, access to resources, and assistance with outreach
as we educate and engage the neighborhood and community in the survey process. Assistant
Planner Chris Olson is the project coordinator, ensuring that the project stays on -track, directing
the work of the consultant and overseeing the intern's work, and administering the project
(estimating 55 hours of work). The Planning Services Intern will provide research assistance to the
Consultant team, with an estimated 1.25 hour of work per property and general research and
meeting attendance (estimating 40.75 hours). The 1.25 hour per property is estimated in order to
provide the consultant with an in-depth research required for these individual structures. Planning
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Services Manager Wally Wernimont will provide direction and expertise as needed, attend
meetings with the Consultant, and help with outreach (estimating 8 hours).
Planning Services staff will provide printing services for the final document as necessary, and
mailings as part of the outreach portion of the project. This is counted as an in -kind match.
5. Work Products
List the tangible products required for your type of project. Identify additional intangible products
or benefits.
The final project will be an Intensive Architectural and Historical Survey of the Voelker Highlands
Neighborhood. This project is made up of research of 27 parcels in an entirely early 20th Century
neighborhood boundary that was developed by Christian Anton Voelker, a German Immigrant who
served as Mayor of Dubuque in 1886-1887, and was a successful businessperson and developer
in the construction and homebuilding industries. The products coming out of the project include a
Survey report and community outreach and education. An ISIF form shall be created for each
potentially contributing property within the defined boundary.
Intangible benefits include the first time investigation of an entirely early 20th Century
neighborhood outside of the downtown, hill, Northend and Point neighborhoods previously
surveyed. This project helps broaden Dubuquers ideas of what is historic Dubuque.
6. Schedule
List proposed deadlines for completing different parts of the project, such hiring the consultant,
organizing and training volunteers, conducting meetings, research design (if required),
preparing materials, submitting draft and final products.
PROJECT TASK TIMELINE
Award Anticipated - Dec 2022
RFP Development & Posting - Jan 2023
RFP Review & Choice - Feb 2023
Contract Award, development, & Approval - Mar 2023
Consultant/Planning Team- Meeting #1 - Apr 2023
Planning & Consultant Team Meeting #2 - May 2023
Outreach Approach Planning - Jun 2023
Planning & Consultant Team Meeting #3 - Jul 2023
Community Outreach Education Meetings - Sep 2023
Planning & Consultant Team Meeting #4 - Sep 2023
Planning & Consultant Team Meeting #5 - Nov 2023
Draft Survey Review - Meeting #6 - Jan 2024
Draft Survey to State for review - Feb 2024
Project Wrapup - Meeting #7 - Mar 2024
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Final Survey to City Council for review - Apr 2024
Grant Reporting - May 2024
7. Coordination with local and state preservation plans
Explain how the proposed project will help fulfill the goals and objectives of your local
preservation plan and the state preservation plan, Broadening Preservation's Reach
If this is part of a multi -phase project, describe the completed project segments and/or future
ones that are linked to this project application. Each year's project must be able to stand alone.
Funding of one year does not guarantee funding of future phases.
Dubuque's Historic Preservation Commission adopts a workplan each calendar year. On the 2022
workplan, approved by the HPC in January 2022 and the City Council in February 2022, is the
Voelker Highlands Intensive Survey. At the time the Workplan was adopted, it was unclear if the
City would have sufficient match funding to seek a second CLG grant to support another survey,
so the Voelker Highlands Intensive Survey is prioritized after the Deereville Intensive Survey.
Research work about the neighborhood has been provided in this application. Deputy SHPO
Heather Gibb and SHPO staff Sara Andre are familiar with the project after reviewing a Section
106 project for 1608 Lawndale, in the neighborhood and staff met with Allison Archambo prior to
writing the CLG grant for this project.
The project meets goals in the State Historic Preservation Office's Broadening Preservation's
Reach, 2013-2022 plan, by telling the story of modern development in the early 20th Century,
different than most other stories previously told in Dubuque.
CLG Budget
* indicates a required field
CLG grants require at least that the applicant match equal a minimum of 40% of total
project costs.
In the Budget Form below, please provide sufficient detail to demonstrate that your project
can be completed for the amount requested. Be sure to provide estimated number of
hours and unit costs where appropriate.
More information can be found in the Grant Guidelines.
1. Grant Request
Enter total numeric dollar amount. Round to the nearest dollar. Do not include dollar signs,
commas or decimals.
7000
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2. Total Cash Match
Enter total numeric dollar amount. Round to the nearest dollar. Do not include dollar signs,
commas or decimals.
4000
3. Total In -Kind Match
Enter total numeric dollar amount. Round to the nearest dollar. Do not include dollar signs,
commas or decimals.
4181
4. Total Project Budget
Enter total numeric dollar amount. Round to the nearest dollar, Do not include dollar signs,
commas or decimals.
U1472F.3
5. Budget Form
Detail the grant request, cash and in -kind match expenses by eligible category, including a brief
description and the numeric dollar amount associated with each expense in the budget form
below. Please refer to the CLG Grant Guidelines for allowable amounts for hourly rates,
mileage, hotel, per diem, etc.
Grant Cash In -Kind Total
Expense Detail Request Match Match ($) ($)
Consultant Contract (not to 7000 4000 0 11000
exceed)
Printing 0 0 220 220
Staff - Project Coordinator (55 0 0 2777 2777
h rs)
Staff - Planning Services 0
Manager (8 hrs)
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526 526
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Staff - Intern support (40.75 hrs) 0 0 657 657
CLG Past Grant Contract Performance * indicates a required field
This section gives the applicant an opportunity to dispel any concerns on the part of the
review panel that past problems will hinder this new effort.
1.
Spec if i ca I ly add ress the s uccess or c ha I le nges faced i n ca rryi n g o u t th e req u i re me nts of
past Certified Local Government grant projects.
- If a past grant project was cancelled, please address the specific circumstances of that
cancellation.
- If all previous Certified Local Government grants have been successfully completed, please
state this and discuss the factors that have contributed to your success including your success
in managing the grant, timely completion of monthly reports and communication with the state
project manager.
- If you encountered problems or did not meet deadlines, explain how this will be addressed
with this project if awarded a grant.
- If you have never received a Certified Local Government grant, assess your commission's
performance since being certified, using specific instances and accomplishments to make your
points. Describe how undertaking this project will strengthen and enhance commission
performance.
The City of Dubuque has received $63,587 in CLG grants since 2007, including:
$8,200 for the Phase 1 Archaeological Survey of the Four Mounds Estate
$16,177 to create Downtown Design Guidelines
$4,500 for a National Register nomination for the Old Town Neighborhood
$15,000 for the Eagle Point Park Phase 1 Archaeological Survey
$7,710 for the Four Mounds Protection Plan
$12,000 for the Preserve Iowa Summit 2020, hosted virtually
All previous Certified Local Government grants awarded to the City of Dubuque have been
successfully completed, due to:
1) the professional skills of the consultants retained for CLG-funded projects;
2) the professional skills of the Planning Services staff charged with managing the grants;
3) timely completion of projects through coordination of consultants and Planning Services staff as
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well as support from the Historic Preservation Commission and City Council;
4) timely completion of monthly reports through coordination of consultants and Planning Services
staff, and
5) communication with the state project manager.
CLG Minority Impact Statement
* indicates a required field
Pursuant to 2006 Iowa Acts, HF 2393, Iowa Code Section 8. 11, grant applications
submitted to the State of Iowa shall include a Minority Impact Statement. This is the state's
mechanism to require grant applicants to consider the potential impact of the grant
project's proposed programs or policies on minority groups.
1 .
Please choose the statement that pertains to this grant application. Complete all the
information requested for the chosen statement.
The proposed grant project programs or policies are not expected to have a disproportionate or
unique impact on minority persons.
I - 1 . Present the rationale for determining no impact .
This story contains no specific connection as of yet to any minorities, is not a neighborhood which
is disproportionally occupied by BIPOC people, and won't displace any residents.
2. Certification
I hereby certify that the information on this form is complete and accurate, to the best of my
knowledge.
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City of Dubuque / Olson, Christine 22805971288
ATTACHMENTS
Signed letter from chief elected official
For city CI -Gs, the letter must be signed by the mayor. For county CI -Gs, the letter must be
signed by the chair of the Board of Supervisors.
CLG Letter - Voe I ke r H ig h la nds G ra nt App. pdf
National Register nomination permission/support
If you propose to nominate an individual property to the National Register, please provide a
letter from the owner stating that they give permission for the nomination.
If you propose to nominate a historic district, please provide documentation (e.g., public notice
and meeting minutes) that you have held a public meeting and that there is local support and
support among the property owners for the nomination.
[ no file ]
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City of Dubuque / Olson, Christine 22805971288
PORTFOLIO
9 02 Initial research - Voelker Highlands
Research on Voelker Highlands Neighborhood
9 Application Survey Imagery
Voelker Highlands Survey Imagery September 2022
Printad September 2, 2022 02:21 CSTICDT
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Historic Preservation Commission
Work Plan 2022
Goal: Survey & Registration Projects
Champion: Christina Monk
Priority: High
Status: In -Progress
HPC Approved: 01 - 20 - 2022
City Council Approved: 02 - 21 - 2022
Description: Undertake intensive survey & evaluation projects and register NRHP eligible districts. Survey, evaluation and registration projects provide critical information necessary for
facilitating Historic Tax Credit Projects and raise awarenss of cultural resources. Focus should be on projects which benefit a neighborhood or district where the historic fabric is intact, rather
than individual properties.
Action Steps
Involvement
Estimated
Challenges
Options to Overcome Barriers
Timeframe
Responsibilities
Costs
Deereville Neighborhood - Survey
Planning Services Staff,
$14,000.00
Funding. Survey completed by staff.
Estimates received. Preliminary work
High priority
Survey performed by staff in 2021. Seek
Complete, NRHD nomination needed.
SHPO, Consultant.
completed by Staff. Examples of
due to work
funding & consultant for NRHD nomination.
restrictive racial covenants found.
complete
Voelker Highlands - Survey neighborhood.
Planning Services Staff,
tbd
May require intensive survey or go straight to
Staff can investigate next steps with
TBD
More survey work likely needed before ready
Bill Doyle, Consultant.
NRHD nomination.
SHPO Staff.
to develop NRHD nomination.
Upper Couler Historic District nomination
PSD
TBD
Project is dependent on time, funding and
Funding required to complete work.
TBD
Survey complete in 2015; National Register
(2801 - 3135 Central)
resources
nomination required.
Jackson Street Gable Front Frame Houses
PSD
TBD
Project is dependent on time, funding and
Funding required to complete work.
TBD
Survey complete in 2015; National Register
nomination (2606 - 2776 Jackson)
resources
nomination required.
Others: Grandview Avenue, Rush Street, &
Planning Services Staff,
TBD
Funding and Time
Funding required to complete work.
TBD
Planning Staff to define boundaries, solicit
Kaufmann Avenue
SHPO, Consultant.
cost estimates.
Under -represented people: Black Heritage
Wide partnership across
$48,009
New model created: Multiple Property
Moving forward
through
HRDP Grant Funded in FY22 for $30,000
Survey. Baselinefor understanding and telling
City, non -profits,
Documentation Form, Community Outreach
10-2023
with $18,009 in match funding
this-poition of our bistog.
Loras/UD,
& Geneology, and Database Development
Commissioners,
Consultant Team
Under -represented people: Indigenous
Planning Services Staff
TBD
In -person is expensive and not budgeted.
Plan after staffing levels regained. Virtual
TBD
Staff led with local and state partners at OSA,
Peoples. Follow u
p summit to engage around
with other departments,
Virtual or in -person options require significant
will help with budgeting, on both the City
SHPO, and IAC.
Four Mounds, Eagle Point Park and otber sites.
SHSI, OSA, local
staff time for coordination, outreach and
and partcipants' parts.
partners
planning.
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