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America's Rvr Museum, EDI GrantMEMORANDUM June 25, 2002 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: EDI-Special Purpose Grant: America's River Museum Housing and Community Development Department Director David Harris is recommending approval of a $1,000,000 Economic Development Initiative (EDI) Special Project grant from the U.S. Department of Housing and Urban Development (HUD) and a sub grantee contract with Dubuque County Historical Society for the America's River Museum. I concur with the recommendation and respectfully request Mayor and City Council approval. Michael C. Van Milligen MCVM/jh Attachment cc: Barry Lindahl, Corporation Counsel Cindy Steinhauser, Assistant City Manager David Harris, Housing and Community Development Director CITY OF DUBUQUE, IOWA MEMORANDUM June 19, 2002 TO: Michael Van Milligen, City Manager FROM: David Harris, Housing and Community Development Department SUBJECT: EDI- Special Purpose Grant: America's River Museum INTRODUCTION This memorandum presents for City Council review and approval a resolution providing for an Economic Development Initiative (EDI) Special Project grant from the U.S. Department of Housing and Urban Develolmaent (HUD) for the America's River Museum to the City of Dubuque with the Dubuque County Historical Society being the sub grantee. BACKGROUND The U.S. Department of Housing and Urban Development has notified the City of Dubuque that Congress has approved funding for an Economic Development Initiative (EDI) Special Project as specified in the Conference Report on the 2002 Appropriations Act for HUD. The Conference Report specifies that $1,000,000 has been allocated for the City of Dubuque for development of America's River Museum The City Council authorized filing the application in March 2002 by Resolution 99-02. The Dubuque County Historical Society will be the entity responsible for completion of the project. DISCUSSION The Dubuque County Historical Society is developing the America's River Museum. Through research, education, and outreach, the museum will raise public awareness of issues relating to the Mississippi River and its watershed. The museum will feature history and natural habitat of the Mississippi River, large aquariums, outdoor wetland, living history, and boat- building demonstrations. It will promote greater public understanding of the Mississippi River's role as a nationally significant environmental resource and as a national significant waterway. Total cost for the Interpretive Center is estimated at $19.7 million. This $1,000,000 HUD grant will provide funds for the America's River museum on behalf of the Dubuque County Historical Society. Staff will collect aquatic species for the aquarium and historical artifacts for extibition. Graphic images will be reviewed, researched and selected, audio-visual programs will be reviewed and edited, marketing programs will be developed, visitor services will be programmed and funding resources will be secured to build and operate the Museum. RECOMMENDATION I recommend that the City Council approve the attached resolution authorizing the $1,000,000 EDI Special Project grant agreement with the U.S. Department of Housing and Urban and a sub grantee contract with Dubuque County Historical Society for the America's River Museum. ACTION STEP The action step for the City Council is to adopt the attached resolution. Attachments Prepared by Aggie Kramer, Community Development Specialist F:\Usexs~KRAMER~EDIGRANT~D1 America River.n~nlo.mvm.doc RESOLUTION NO. 334 -02 A RESOLUTION PROVIDING FOR AN ECONOMIC DEVELOPMENT INITIATIVE 0gDl) SPECIAL PROJECT GRANT AGREEMENT WITH HUD AND SUBGRANTEE CONTRACT WITH TgiE DUBUQUE COI,!NTV HI,qT_O~RICAL SOCIETY FOR THE AMERICA'S RIVER MUSEUM. Whereas, the U.S. Department of Housing and Urban Development (HUD) has allocated a $1,000,000 Economic Development Initiative (EDI) Special Project grant to the City of Dubuque, on behalf o£the Dubuque County Historical Society (DCHS), sub-grantee, for work associated with the development of the America's River Museum; and Whereas, thc Dubuque County Historical Society will utilize the grant funds for the America's River Museum project and will be the entity responsible for completing said project; NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA: Section 1. That the Mayor hereby is authorized to sign the grant agreement with the U. S. Department of Housing and Urban Development and the sub-grantee contract with the Dubuque County Historical Society for the EDI Special Project grant for work associated with the development of the America's River Museum. Section 2. That the Mayor is hereby authorized to submit said grant agreement to the U. S: Department of Housing and Urban Development together with such documents as may be required. Passed, approved and adopted thisl s~iny of July 2002. T~wrunce M. Duggan,/~ ~h(anne F. Schneider, City Clerk F:\Usersk6KRAIvlERkEDI GRANTXEDIAmerica River Res.doe FY 2002 EDI - SPECIAL PROJECT NO. B-02-SP-IA-0178 GRANT AGREEMENT (Includes Sub-Grantee) This Grant Agreement between the Department of Housing and Urban Development ("HUD") and City of Dubuque (the "Grantee") is made pursuant to the authority of Public Law 107-73 (the FY 2002 Appropriations Act for HUD and other agencies) and House Report 107-272 (the Conference Report on the Appropriations Act). The Grantee's application package, as may be amended by the provisions of this Grant Agreement, is hereby incorporated into this Agreement. In reliance upon and in consideration of the mutual representations and obligations hereunder, HUD and the Grantee agree as follows: Subject to the provisions of the Grant Agreement, HUD will make grant funds in the amount of 1,000,000.00 available to the Grantee. The Grantee agrees to abide by the following: ARTICLE I. HUD Requirements. The Grantee agrees to comply with the following requirements for which HUD has enforcement responsibility. The grant funds will only be used for activities described in the application, which is incorporated by reference and made part of this Agreement as may be modified by Article VIII (A) of this Grant Agreement. EQUAL OPPORTUNITY REQUIREMENTS The grant funds must be made available in accordance with the following: For projects involving housing, the requirements of the Fair Housing Act (42 U.S.C. 3601-20) and implementing regulations at 24 CFR Part 100; Executive Order 11063 (Equal Opportunity in Housing) and implementing regulations at 24 CFR Part 107. The requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (Nondiscrimination in Federally Assisted Programs) and implementing regulations issued at 24 CFR Part 1. The prohibitions against discrimination on the basis of age under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and implementing regulations at 24 CFR Part 146, and the prohibitions against discrimination against handicapped individuals under section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing regulations at 24 CFR Part 8. The requirements of 24 CFR 5.105(a) regarding equal opportunity as well as the requirements of Executive Order 11246 (Equal Employment Opportunity) and the implementing regulations issued at 41 CFR Chapter 60. For thOse grants funding construction covered by 24 CFR 135, the requirements of section 3 of the Housing and Urban Development Act of 1968, (12 U.S.C. 170tu) which requires that economic opporttmities generated by certain HUD financial assistance shall, to the greatest extent feasible, be given to low- and very low-income persons and to businesses that provide economic opportunities for these persons. The requirements of Executive Orders 11625 and 12432 (concerning Minority Business Enterprise), and 12138 (concerning Women's Business Enterprise). Consistent with HUD's responsibilities under these Orders, the Grantee must make efforts to encourage the use of minority and women's business enterprises in connection with grant funded activities. See 24 CFR Part 85.36(e), which describes actions to be taken by the Grantee to assure that minority business enterprises and women business enterprises are used when possible in the procurement of property and services. Where applicable, Grantee shall maintain records of its efforts to comply with the requirements cited in Paragraphs 5 and 6 above. The Grantee agrees to assume all of the responsibilities for environmental review and decision making and actions, as specified and required in regulations issued by the Secretary pursuant to the Multifamily Housing Property Disposition Reform Act of t994 and published in 24 CFR Part 58. Administrative requirements of OMB Circular A-133 "Audits of States, Local governments and Non-Profit Organizations." For State and Local. Governments, the Administrative requirements of 24 CFR Part 85, including the procur~nent requirements of 24 CFR Part 85.36, and the requirements of OMB Circular A-87 regarding Cost Principles for State and Local Governments. For Non-Profits, the Administrative requircnnents of 24 CFR Part 84, including the procurement requirements of 24 CFR Part 84.40, and OMB Circular A-122 regarding Cost Principles for Non-Profit Institafions. For Institutions of Higher Education the applicable OMB Circular regarding Cost Principles is A-21. The regulations at 24 CFR Part 87, related to lobbying, including the requirement that the Grantee obtain certifications and disclosures from all covered persons. Restrictions on participation by ineligible, debarred or suspended persons or entities as described in Executive Order 12549 and at CFR 24 Part 5.I05(c). The Uniform Relocation Act as implemented by regulations at 49 CFR Part 24. The Grantee will comply with all accessibility requirements unde~ section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing regulations at 24 CFR Part 8, where applicable. ARTICLE II. Agreement to Enforce Compliance by the Sub-Grantee with the requirements of this Grant Agreement. The Grantee agrees to enter into a Sub-Grant Agreement with each Sub- Grantee that will have responsibility for designated aspects of project performance as identified in the application and Article VIII (B) of the Grant Agreement. The Sub-Grant Agreement shall commit the Sub- Grantee to comply with the terms of this Grant Agreement. The Grantee agrees to enforce compliance by the Sub-Grantee with the terms of this Agreement. The Sub-Grant Agreement between the Grantee and the Sub-Grantee shall contain the following: The activities to be undertaken by the Sub-Grantee, consistent with the activities described in the Grantee's application as modified by Article VIII (A) of this Grant Agreement. Alt applicable equal opportunity requirements set forth in Article I, Section B of this Grant Agreement. Anti-lobbying requirements in 24 CFR part 87, including the requirement to provide certain certifications and/or disclosures to the Grantee. The requirements of 24 CFR Part 84 or Part 85 as appropriate and Treasury Circular 1075, that grants funds shall not be requested or disbursed by the Grantee until needed and shall be the minimum amount necessary. Additional requirements for draw downs are in Articles III and IV. The cost charges to the grant must be allowable (including the "reasonable and necessary" standard) and allOcable as specified in OMB Circular A-87, A-122 or A-21 (cost principles for for Institutions of Higher Education) as appropriate. 24 CFR Part 84 or Part 85 requirements related to retention of records, open access to records by HUD and the Grantee, reporting, project close-out, later disallowances and adjustments, and collection of amounts due. ARTICLE III. COnditions Precedent to Draw Down. The Grantee may not draw down grant funds until the following actions have taken place: The Grantee and each Sub-Grantee have executed a contract as required by Article II. 4 Bo The Grantee has received and approved any certifications and disclosures required by 24 CFR 87.100 concerning lobbying and by 24 CFR 24.510(b) regarding ineligibility, suspension and debarment. Any other preconditions listed in Article VIII ( C ) of this Grant Agreement. ARTICLE IV. Draw Downs. A request by the Grantee to draw down grant funds under the Voice Response Access system or any other payment system constitutes a representation by the Grantee that it and all participating parties are complying with the terms of this Grant Agreement. The Grantee will be paid on an advance basis provided that the Grantee minimizes the time elapsing between transfer of the grant funds and disbursement for project purposes and otherwise follows the requirements of 24 CFR Part 85 and Treasury Circular 1075 (31 CFR Part 205). Before the Grant Agreement is signed, the Grantee may incur cost for activities which are exempt from environmental review under 24 CFR Part 58 and may charge the costs to the grant. ARTICLE V. Progress Reports. The Grantee shall submit a progress report to the Grant Officer every six months after the effective date of the Grant Agreement. Progress reports shall include reports on both performance and financial progress and shall conform with 24 CFR 85.40 and 85.41 or 24 CFR Sections 84.50 through 84.53, as applicable. Additional information required or increased frequency of reporting as may be described in Article VIII ( C ). The performance reports must contain the information required under 24 CFR Part 85.40(b) (2) or 24 CFR Part 84.51(a), as applicable including a comparison of actual accomplishment to the objectives indicated in the approved application, the reasons for slippage if established objectives were not met, and additional pertinent information including explanation of significant cost overruns. Financial reports shall be submitted on Standard Form 269 showing a breakdown in costs similar to the line items in the application budget. 5 C. No grant payments will be approved for projects with overdue progress reports. ARTICLE VI. Project Close-out. The Grantee shall initiate project close-out within 30 days of project completion by submitting to HUD the Financial Status Report (SF 269A). Block 12 on that Form should state; "initiating project close-out." HUD will then send close-out documents. At HUD's option, the Grantee may delay initiation of project close-out until the resolution of any HUD monitoring findings. If HUD exercises this option the Grantee must promptly resolve the findings. The Grantee recognizes that the close-out process may entail a review by HUD to determine compliance with the Grant Agreement by the Grantee and all participating parties. The Grantee agrees to cooperate with any review in any way possible, including making available records requested by HUD and the project for on-site HUD inspection. Co Within 90 days of project completion, the Grantee shall provide to HUD the following documentation. 1. A Certificate of Project Close-out. 2. A Grant Close-out Agreement. A final financial report giving the mount and types of project costs charged to the grant (that meet the allowability and allocability requirements of OMB Circular A-122 or A-87 as applicable, including the "necessary and reasonable" standard); a certification of the costs, and the amounts and sources of other project funds. A final performance report providing a comparison of actual accomplishment with each of the project commitments and objectives indicated in the approved application, the reasons for slippage if established objectives were not met and additional pertinent information including explanation of significant cost ovelTuns. 6 The Grantee agrees that the grant funds are allowable only to the extent that the project costs, meeting the standard of OMB Circular A-122, A-87, or A-21 as applicable, equal the grant mount plus other sources of projects funds provided. Ho When HUD has determined' that the grant funds are allowable, the activities were completed as described by the Grant Agreement, and all Federal requirements were satisfied, HUD and the Grantee will sign the Close-out Agreement. ARTICLE VII. Default. A default under this Grant Agreement shall consist of using grant funds for a purpose other than as authorized by this Agreement, any noncompliance with legislative, regulatory, or other requirements applicable to the Agreement, any other material breach of this Agreement, or any material misrepresentation in the application submissions. ARTICLE VIII. Additional Provisions. A. Project Description. following changes: The project is as described in the application with the NONE B. Changes or Clarification to the Application Related to Participating Parties: The grantee may elect to sub-grant all or a portion of this grant to Dubuque County Historical Society. C. Special Conditions: The grantee shall carry out such environmental review procedures as are recommended Sandra J. Freeman, Regional Envimmental Officer, Missouri State Office on (314) 539-6528, prior to the release of funds for this grant. U.S. Department of HOush~g and Urban Development City of Dubuque Authorized Signature Grant Officer Title Date Authorized Signature Title Date 1/02 8 Assistance Award/Amendment U.S. Department of Housing and Urban Development Office of Administration ~]Cooperative Agreement [] Graot B-02-SP-IA-0178 7. Name and Address of Recipient City of Dubuque 50 W 13th Street Dubuque IA 52001 10. Recipient Project Manager 11. Assistance Anrangement 12. Payment Method ~ Gost Reimbureement [~ Treasur~ Gheck Reimbumement [] Cost Sharing [] Advance Check [] Fixed Price I [] Automated Clearinghouse 14. Assistance Amount Previous HUD Amount $ HUD Amount this action $ 1,000,000.00 [] Award [] Amendment Community Planning and Development Ange~a Dyer (202) 708-3484 EXT 7111 Chief Financial Officer 861/30162 Year 2002 Total HUD Amount $ 1,000,000.00 Recipient Amount $ Total Insb'ument Amount $ 1,000~000.00 18. DescdlAion This EDI-Special Project Grant will be used to devetop the Amedca's River Museum in Dubuque, Iowa. This Award consists of the following items which are appended to and hereby made paint of this Award: ELD-02- Amount Previously Obligated $ Obligation by this action $ Total Obligation $ (A) Cover Page- HUD Form 1044 (B) Grant Agreement 1.000.000.0U 1,000,000.00 17. ~ Recipient is required to sign and retum three (3) copies 18. ~1 Recipient is not required to sign this document. AL~j of this document to the HUD Administering Office 19. Recipient (By Name) 20. HUD (By Name) Mayor Terrance M.Duggan ~tella C. Hall SignatureMayor of & Dubuque 3-~fle Date (rnrrddd/yyyy) Grant Officer Sigr~ture & T'r~e Date (mm/dd/yyyy) form HUD-1044 (8/90) Previous editions am obsolete, ref. Handbook 2210.17 CITY Of DUBUQUE, IOWA AMERICA'S RIVER MUSEUM SUB-GRANTEE CONTRACT FY 2002 EDI-SPECIAL PROJECT NO. B-02-SP-IA-0178 This Contract between the City of Dubuque, Iowa (the "Grantee") and the Dubuque County Historical Society, a nonprofit organization, (the "Sub' Grantee") is made pursuant to the Grant Agreement between the U.S. Department of Housing and Urban Development ("HUD') for EDI-Special Project No. B-02-SP-IA-0178 for the America's River Museum. The Sub-Grantee hereby agrees to the following: The Sub-Grantee shall undertake those activities described in the Grantee's application as modified by Article VIII (a) of the Grant Agreement between the Grantee and HUD. The Grantee's application package, as may be amended by the provisions of the Grant Agreement between the Grantee and HUD, is hereby incorporated by reference. The grant funds of $1,000,000 will only be used for activities described in the Grantee's application. = The Sub-Grantee shall comply with terms of the Grant Agreement between the Grantee and HUD, including all applicable equal opportunity requirements set forth in Article I, Section B of the Grant Agreement between the Grantee and HUD. The Grant Agreement between the Grantee and HUD is hereby incorporated by attachment as Exhibit A. The Sub-Grantee shall comply with the anti-lobbying requirements in 24 CFR part 87, including the requirement to provide certain certifications and/or disclosures to the Grantee. The Sub-Grantee agrees to follow 24 CFR Part 84 or Part 85 as appropriate and Treasury Circular 1075 that grant funds shall not be requested or disbursed by the Grantee until needed and shall be the minimum amount necessary and shall follow additional requirements for draw downs in Articles III and IV of the Grant Agreement. The Sub-Grantee agrees that cost charges to the grant must be allowable (including the "reasonable and necessary" standard) and allocable as specified in OMB Circular A-87, A-122 or A-21 (cost principles for Institutions of Higher Education) as appropriate. SUB-GRANTEE CONTRACT Page 2 The Sub-Grantee agrees to follow 24 CFR Part 84 or Part 85 requirements related to retention of records, open access to records by HUD and the Grantee, reporting, project close-out, later disallowances and adjustments, and collections of amounts due. The Sub-Grantee shall provide the Grantee with the information necessary for the Grantee to submit a progress report every six months after the effective date of the Grant Agreement between the Grantee and HUD, in accordance with Article V of said Grant Agreement. A default under this Contract shall consist of any action listed under Article VII of the Grant Agreement between the Grantee and HUD, and any breach of this Contract. City of Dubuque, Iowa Dubuque County Historical Society Authorized Signature Authorized Signature Title Title Date Date APPENDIX A TO PART 87 - CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in enunection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loma, the entering into of any cooperative agreement, and the extension continuation renewal amendment or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of tiffs certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or eixtering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agent3,, a Member of Congress, an officer or employee of Congress or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Signature of Authorized Certifying Official Title Dubuque County Historical Society Applicant Organization DmeS~mitted APPENDIX B TO PART 24 - CERTIEICATION REGARDING DEPARTMENT SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION - LOWER TIER COVERED TRANSACTIONS Instructions for Certification 1. By signing and submitting this proposal the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal and voluntarily excluded, as used in this clause, have the meanings set out in the Definitions and Coverage sections of roles implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the depm tment or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this proposal that is will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction." without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prOspective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the Nonprocurement List (Tel. #). 8. Nothing contained in the foregoing shah be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions (1) The prospective lower tier participant certifies by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Signature of Authorized Certifying Official Title Dubuque County Historical Society Applicant Organization Date Submitted MEMORANDUM July 9, 2002 TO: Jeanne Schneider, City Clerk FROM: Aggie Kramer, Housing and Community Development Department SUBJECT: EDI Grant B-02-SP-IA-0178 Dubuque County Historical Society Attached are the subgrantee contracts with Dubuque County Historical Society for the EDI grant for the America's River Museum. The Mayor had signed in the wrong location so I reprinted the last page. Please have him sign these 3 contracts and the 1 that you retained. Return to me when completed. Do you want your copy to also have Jerry Enzler's signature? If so send back to me and I will return after I obtain his signature. Thank you. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions ( 1 ) The prospective lower tier participant certifies by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statemants in this certification, such prospective participant shall attach an explanation to this proposal. Signature of Authorized Certifying Official Title Dubuque Count), Historical Society Applicant Organization Date Submitted CITY OF DUBUQUE, IOWA AMERICA'S RIVER MUSEUM SUB-GRANTEE CONTRACT FY 2002 EDI-SPECIAL PROJECT NO. B-02-SP-IA-0178 This Contract between the City of Dubuque, Iowa (the "Grantee") and the Dubuque County Historical Society, a nonprofit organization, (the "Sub' Grantee') is made pursuant to the Grant Agreement between the U.S. Department of Housing and Urban Development ("HUD') for EDI-Special Project No. B-02-SP-IA-0178 for the America's River Museum. The Sub-Grantee hereby agrees to the following: The Sub-Grantee shall undertake those activities described in the Grantee's application as modified by Article VIII (a) of the Grant Agreement between the Grantee and HUD. The Grantee's application package, as may be amended by the provisions of the Grant Agreement between the Grantee and HUD, is hereby incorporated by reference. The grant funds of $1,000,000 will only be used for activities described in the Grantee's application. = The Sub-Grantee shall comply with terms of the Grant Agreement between the Grantee and HUD, including all applicable equal opportunity requirements set forth in Article I, Section B of the Grant Agreement between the Grantee and HUD. The Grant Agreement between the Grantee and HUD is hereby incorporated by attachment as Exhibit A. The Sub-Grantee shall comply with the anti-lobbying requirements in 24 CFR part 87, including the requirement to provide certain certifications and/or disclosures to the Grantee. The Sub-Grantee agrees to follow 24 CFR Part 84 or Part 85 as appropriate and Treasury Circular 1075 that grant funds shall not be requested or disbursed by the Grantee until needed and shall be the minimum amount necessary and shall follow additional requirements for draw dOWns in Articles III and IV of the Grant Agreement. The Sub-Grantee agrees that cost charges to the grant must be allowable (including the "reasonable and necessary" standard) and allocable as specified in OMB Circular A-87, A-122 or A-21 (cost principles for Institutions of Higher Education) as appropriate. SUB-GRANTEE CONTRACT Page 2 The Sub-Grantee agrees to follow 24 CFR Part 84 or Part 85 requirements related to retention of records, open access to records by HUD and the Grantee, reporting, project close-out, later disallowances and adjustments, and collections of amounts due. The Sub-Grantee shall provide the Grantee with the information necessary for the Grantee to submit a progress report every six months after the effective date of the Grant Agreement between the Grantee and HUD, in accordance with Article V of said Grant Agreement. A default under this Contract shall consist of any action listed under Article VII of the Grant Agreement between the Grantee and HUD, and any breach of this Contract. City of Dubuque, Iowa Authorized Signature J/ Dubuque County Historical Society Authorized Signature Title Date Title Date APPENDIX A TO PART 87 - CERTIFICATION REGARDING LOBBYENG Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of bis or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension continuation renewal amendment or modification of any Federal contract, grant, loan, or cooperative agreement. (2) I f any funds other than Federal appropriat ed funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee ora Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all suhawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that ail sub~cipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or emered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, un officer or employee of Congress or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Signature of Authorized Certifying Official Title Dubuque County Historical Society Applicant Organization Date Submitted APPENDIX B TO PART 24 - CERTIFICATION REGARDING DEPARTMENT SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION - LOWER TIER COVERED TRANSACTIONS Instructions for Certification 1. By signing and submitting this proposal the prospective lower tier participant is providing the certification sot out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal and voluntarily excluded, as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the depas h~ent or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this proposal that is will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction." without modification, in all lower tier covered transactions and in all solicitatiom for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification ora prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the Nonprocurement List (Tel. #). 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to thc Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions ( 1 ) The prospective lower tier participant certifies by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded fi.om participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Signature of Authorized Certifying Official Title Dubuque County Historical SocietV Applicant Organization Date Submitted