Historic Pres Scholarship GrantMEMORANDUM
June 25, 2002
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Scholarship Grant for Historic Preservation Commissioners and Staff
The City has been awarded a $1,000 scholarship grant to send two Historic
Preservation Commissioners and two Planning Services staff to Forum 2002 in
San Antonio, Texas. Forum 2002 is the annual conference of the National Alliance of
Preservation Commissions.
One of the service objectives of the Planning Services Department is to provide
Commissioners with educational and training opportunities such as this. The Planning
Services Department has the necessary matching funds budgeted for this grant.
Planning Services Manager Laura Carstens recommends execution of the grant
agreement for this scholarship.
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
Laura Carstens, Planning Services Manager
MEMORANDUM
June 26, 2002
To: Michael Van Milligen, City Manager
From: Laura Carstens, Planning Services Manager
Subject: Scholarship Grant for Historic Preservation Commissioners and Staff
The City has been awarded a $1,000 scholarship grant to send two Historic
Preservation Commissioners and two Planning Services staff to Forum 2002 in San
Antonio, Texas. Forum 2002 is the annual conference of the National Alliance of
Preservation Commissions.
One of the service objectives of the Planning Services Department is to provide
Commissioners with educational and training opportunities such as this. The travel
expenses are estimated to be $3,600. The Planning Services Department has the
necessary matching funds budgeted for this grant. The Department has $2,875 in the
City Planning Activity and $1,333 in the Development Services Activity for education
and training.
I recommend that the City Council authorize the Mayor to sign the enclosed grant
agreement for this scholarship.
Enclosure
Contract No. 02-014
STATE HISTORICAL SOCIETY OF IOWA
GRANT-IN-AID AGREEMENT FOR:
City of Dubuque
Scholarship to attend FORUM 2002
This agreement is made and entered into by and between City of Dubuque. Iowa. hereinafter referred to as the
RECIPIENT, and the STATE HISTORICAL SOCIETY OF IOWA. hereinafter referred to as the STATE; WITNESSETH
THAT:
WHEREAS. the STATE. is interested in broadening the role of local governmems in historic preservation through the
Certified Local Government program: and
WHEREAS, the STATE, in accordance with the National Historic Preservation Amendments of 1980, ~s providing 10% of
its annual federal Histodc Preservation Fund appropriation to Certified Local Governmen[s; and
WHEREAS, the RECIPIENT has demonstrated its interest in historic preservation by becoming a Certified Local
Government. and desires to use [he Scholarship to attend Forum 2002;
NOW THEREFORE. it is agreed by and between the parties hereto as follows:
1. That the RECIPIENT is qualified to complete the attached Scope of Work (Exhibit C);
2. That the RECIPIENT will be responsible for overseeing all aspects of fiscal management;
3. That the RECIPIENT provide a 3ermanent 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;
That the STATE provide for only project costs e g b e under provisions stipulated by the National Park Service, U.S
Depar~mem of the Intedor for grants -in-aid. Project work which does not meet Secretary of Interior StanSards will not
be reimbursed for under this contrac[;
5. That the STATE monitor the project and provide input as called for in the attached Scooe of Work (Exhibit C);
That the Recipient and the STATE mutually agree that if, during the duration of[he contract, it is deemed necessary by
either party to make alterations to or amendments to this Agreement, such changes shall be incorporated into this
contract upon mutual agreement and shall be in e.~ect as of the date of the amendment unless otherwise specified
within the amendment; -
7. That the STATE agrees to pay the project eligible costs under the terms of this Agreement;
8. That the RECIPIENT and the STATE mutualIy agree to abide by the general and specific conditions attached here[o
as Exhibits A, B, and C;
9. That the RECIPIENT and the STATE mutually agree that all work performed under this contract will be completed by
June 30.2003:
10 That the RECIPIENT and the STATE mutually agree that the cost of this contract shall be. All eligible costs necessary
to carry out the project shall be-i~k~ally advanced by the RECIPIENT and then the STATE shall reimburse the
RECIPIENT for $1,000.00, upon receipt of all work uroducts and as specified in the Scope of Work. The agreemen[
will end on June 30, 2003. The final bill must be submittec with the final report by June 30, 2003.
11 Expenditures are to be according [o the Budget, attached as Exhibit C. Adjustments between budget categories are
'permissible following written mutual consent between the RECIPIENT and the STATE;
12. The RECIPIENT will faithfully comply with all applicable Federal and State laws. regulations and guidelines, including
the Secretary of the Interior's Standards and Guidelines for Archaeology and Historic Preservation as published in the
Federal Register on September 29, 1983;
13, The RECIPIENT shall hold the STATE and federal government harmless from damages in any action arising from the
performance of work described herein.
IN WITNESS WHEREOF, the parties hereto have execu[ed this contract on the day and year last specified below
RECIPIENT
Terrance Duggan, Mayor, City of Dubuque, Iowa
Date
STATE
Lowell Soike, Deputy State Historic Preservation Officer
Date
EXHIBIT A
GENERAL CONDITIONS
- ARTICLE I - Amendment of Contract:
The RECIPIENT or the STATE ms.y?dudng the duration of the Contract, deem it necessary to make alterations to the
provisions of this agreement. Any changes, which shall be mutually agreed upon by both parties, shalI be
incorporated into this Contract. The provisions of the amendment shall be in effect as of the date of the amendment
unless otherwise specified withi'n the amendment. A waiver of any conditions of this Contract must be in writing from
a duly authorized official of the STATE.
ARi'ICLE 11 - Patent and Copyright:
a. No material or product in whole or in par[ under this Contract shall be subject to patent or copyright by either part in the
United States or in any other country.
b. The U.S. Deoartment of the Interior reserves a royalty-flee no-exclusive and irrevocable license to reproduce, publish.
or otherwise use, and to authorize others to use. any materials produced in whole or in part under this Contract for
government purposes. Any oublication by the RECIPIENT must bear in an appropriate place an acknowledgment of
grant support under the National Historic Preservation Act of 1966. as amended, from the U.S. Department of the
Interior and the State Historical Society of iowa.
ARTICLE III - Accounts and Records:
a, Accounts - 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 oroperly 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. Audit and Insoection - At all times during normal business hours and as frequently as is deemed necessary, the
RECIPIENT shall make available to the STATE all of its records, pertaining to ail matters covered by this Contract and
shall permit the STATE to audit, examine and make excerpts from such records and all other matters covered by this
Contract.
c. Retention of Financial Records - All records in the 2ossession of the RECIPIENT pertaining to this Contract shall be
retained by the RECIPIENT for a 2eriod of three (3) years beginning with the date upon which fina payment under
this Contract is issued. All records shall be retained beyond the three 13) year period if audit findings have not been
resolved within that period.
d. The STATE shall reimburse the RECIPIENT for actual, necessary and eligible costs incurred by the RECIPIENT in the
conduct of this 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.
ARTICLE IV - Termination of Contract
a. Termination for Cause - The STATE or the RECIPIENT may terminate this Con~ract in whole or in part. at any time
before the date of completion, whenever it is determined that the other party has failed to comply with the conditions
of the Contract. The STATE or RECIPIENT shall promptly notify the other par~y in writing of the determination and
the reasons for the termination. Together with the effective date. The RECIPIENT shall not incur new obligations for
the terminated portion after the effective date, and shall cancel as many outstanding obligations as possible. The
STATE shall allow full credit to the RECIPIENT for no-cancelabie obligations uo to the amount of $1.000.00. if said
obligations are properly incurred by the RECIPIENT prior to termination. The STATE shall terminate the contract if it
determines that the RECIPIENT is not following cost eligibility as outlined in the Secretary of Interior Standards, 36
CFR; OMB Circular A-87; ano OMB Circular A-102.
b. Termination for Convenience - The STATE and the RECIPIENT may terminate this Contract in whole or in oart, when
both parties agree that the continuation of the project would not produce beneficial results commensurate with the
future expenditure of funds. The two parties shall agree upon the termination conditions, including the effect date
and, in the case of partial termination, the portion to be terminated. The RECIPIENT shall not incur new obligations
for the terminated portion after the effective date. and shall cancel as many outstanding obligations as possible. The
STATE shall allow full credit t~)~;~e RECIPIENT for non-cancelable obligations up to the amount of award, if said
obligations are properly incurred by the RECIPIENT prior to termination.
c. Termination due to Non-Appropriation - Notwithstanding any other provisions of this Contract, if funds anticioated for the
continued fulfillment of the Contract are at any time not forthcoming or insufficient, either through the failure of the
Federal Government or of the State of Iowa to appropriate funds or discontinuance or material alteration of the
· program under which funds were provided. [hen the STATE shall have the right to terminate this Contract without
penalty by giving not less than thirty (30) days written notice documenting the lack of funding, discontinuance or
program alteration. Unless otherwise agreed to by the parties, the Contract shall become null and void on the last
day of the fiscal year for which appropriations were received, except that if an appropriation to cover the costs of this
Contract becomes available within sixty (60) days subseouent to termination under this clause, the STATE agrees to
re-enter a Contract with the terminated RECIPIENT under the sar0e provisions, terms and conditions as the original
award. In the event of termination of this Contract due to non-appropriation, the exclusive· sole and complete reme(~y
of the RECIPIENT shall be payment for service completed prior to termination
d. Right in Incomplete Products - In [he 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 STATE, become its prope~y, and the
RECIPIENT shall be entitled to receive just and equitable compensation for any satisfactory WOrK completed on the
project.
ARTICLE V - Interest of Officials and Others:
a. STATE - No officer, employee or advisor of the STATE including a member of the State Historical Society of Iowa
Board of Trustees or 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 respec~ to a subgrant, contract subcontract, or any agreement supported with
state or federal assistance if the person or any of the following qas a financial interest in that application.
1. The person, the person's spouse, minor child, or panner, or;
2. Any organization in which the person is serving as an officer, director, trustee, 3artner or employee or:
3. 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 sfatewide proceoures 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. RECIPIENT - The RECIPIENT convenants 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 2erformance of services required to De performed
under this Contract.
ARTICLE VI - Assignment of Interest:
Neither this Agreement or any interest therein, no claim thereunder, shall be assigned or transferred by the RECIPIENT to
any other party or parties.
4
ARTICLE VII - Subcontract:
None of the work or services required under this Agreement shall be subcontracted by the RECIPIENT without prior
written approval to subcontract by the STATE.
ARTICLE Vlll - Procurement of R.r ~efessional Sen/ices and Equipment:
The RECIPIENT shall procure professional services by competitive negotiation, or small purchase procedures. This
reouiras solicitations from au least three sources to oermit reasonable competition consistent with the nature ano
requirements or the procurement. "Cost-p[us-a-percentage-of-cost" contracting is strictly forbidder Rather, cost
reimbursement or fixed price contracting ~s required.
Project principal investigators must meet the mimmum professional standards as outlined in the Code of Federal
Regulations, Volume 36 Part 61.
The purchase of any equipment under this agreement over $300 may not occur without prior written permission of the
STATE. The STATE will not approve such purchases until the same are approved in writing by the National Park
Service.
EXHIBIT B
SPECIAL CONDITIONS
ARTICLE I - Identification of Parties:
This Contract is entered into by and between the State Historical Society of Iowa. hereinafter called the STATE, and the.
hereinafter called the RECIPIENT.
ARTICLE II - Designation of Officials:
a. STATE - The State Histodc Preservation Officer is the State Official authorized to execute any changes in the terms,
conditions, or amounts specified in this Contract, He/She may designate a member of his/her staff to negotiate, on
behalf of the State, any changes to the Contract.
b. RECIPIENT- City of Dubuqe, Iowa, is authorized to execute any changes in the terms, conditions, or amounts as
seecified in this contract.
ARTICLE II1 - Additional Special Conditions:
a. Audit Requirements - The RECIPIENT shall annually have performed, on a timely basis, independent financial and
compliance audits of the historic preservation funds received from the STATE. All such audits shall be conducted in
accordance with applicable auditing standards set forth in OMB Circular A-128, "Audits of State ann Local
Governments", pursuant to the Single Audit Act of 1984. Costs associated with such audits are the responsibility of
the RECIPIENT. A copy of this audit must be submitted to the STATE.
If the RECIPIENT is a non-profit organization, publio-college or university, audits shall be made in accordance with
statutory requirements and the 2rovision of Circular A-110 a copy of this audit must be submitted to the STATE.
b. General Obligations - All work oerformed under this Contract shall be carried out in a lawful, proper and satisfactory
manner in accordance with appropriate Federal, State and Local regulations, including OMB Circular A-102 and NPS
49; and any circular. 2olicies, procedures and requirements as may from time to time be prescribed by the U.S.
Department of Interior.
5
ARTICLE IV - Conditions of Payment:
a. Maximum Payment - It is expressly understood ano agreed to that the maximum amounts to be paid to the RECIPIENT
by the STATE 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.
D. Requisition for Payment - All payments to the RECIPIENT shall be subject to the receipt by the STATE of a Recuest
for Reimbursement. This request shall be made according [o the format specified by the STATE with reimbursement
to the RECIPIENT occurnng at intervals no more than sixty (60) days after approval of request.
ARTICLE V - REQUIRED ACKNOWLEDGMENTS:
Publication, films, exhibits, etc. developed as a part of this Contract shall acknowledge Federal aid by including [he
following statement as part of the Title or Acknowledgment Section with each item produced.
"This project has been funded with the assistance of a matching grant-in-aid from the State Historical Societ~ of Iowa.
Community Programs Bureau, through the Department of the !nterior, National Park Service, under provisions of the
National Historic Preservation Act of 1966; the opinions expressed herein are not necessarily those of the Department
of the interior."
ARTICLE VI - Equal Opportunity Acknowledgment:
Publications, films, exhibits, etc. developed as a part.of the Contract shill acknowlecge equal opportunity and
nondiscriminat]o~ oractices by including the following statement as part of the Title or Acknowledgment Section with
each item produced.
"This program received Federal funds from the National Park Service. Regulations of the U.S. Depar[men[ of the Interior
strictly prohibit unlawful discrimination in Federally Assisted Programs on the basis af race, color: qational origin, age
or handicaD. Any person who believes he or she has been discriminated against in any program, activity, or facility
operated by a recipient of Federal assistance should write to: Director, Equal Opportunity Program. U.S. Department
of the Interior. National Park Service, 1849 C Street, Washington, D.C. 202402
ARTICLE VII - Certification Regarding Lobbying:
This certification is required by Section 1352, Title 31, U.S. Code, The sub-grantee certifies to the best of his or her
knowledge and belief that:
(I) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any Derson for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress, any 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 gran[, the making of any Federal loan. the entering into of any cooperative
agreement, and the extension, continuation, renewat, 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 [o 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
coooerative agreement, the undersigned shall comolete and submit Standard Form 1963 "Disclosure Form to Reaort
Lobbying," in accordance with instructions.
(3~ The undersigned shall require that the language of this certification be included in the award documents for ail
subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative
agreements) and that all subrecioients shall certify accordingly.
d
Tiqis certification is a material representation of fact upon which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by
Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to civil
penalty of not less than $10.000 and not more than $100,000 for each such failure
ARTICLE VIII - Equal Opportunity:'G~de of Fair Practices
1. 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 insure
that applicants are employed and that emeloyees are treated during employment without regard to their race. creed.
color, religion, qational 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 eno applicants for employment, notices setting forth provisions of this
nondiscrimination clause.
2. 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 emeloyment without regard to race. creed, co~or.
religion, national orig~n, sex, age or physical or mental disability except where it relates to a bona fide occupational
qualification.
3. The RECIPIENT will send to eacn 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.
4. The RECIPIENT will comply with all relevant provisions of the Iowa Civil Rights Act of 1965 as amended, Iowa
Executive Order #15 of 1973, Federal Executive Order 11246 of 1965 es amended by Federal Executive Order
11275 of 1967. the Equal Employment Opportunity Act of 1972 and all orovision relevant to fair employment of the
"ules and regulations of the STATE. The RECIPIENT will furnish all information and reports requested by the STATE
or required by or pursuant to the rules and regulations thereof and will oermit access to payroll and employment
records by the STATE for purposes of investigation to ascertain compliance with such rules, regulations or requests,
or with this nondiscrimination clause.
5. In the event of the RECIPIENTS noncomoliance clauses of this contract or with any of the aforesaid rules, regulations
or requests, [his contract may be canceled, terminated, or suspended in whole or in part and the RECIPIENT may be
declared ineligible for further contracts with the STATE. In addition, the STATE may take such further action, aha
such other sanctions may be imposed and remedies invoked, as provided by the Iowa Civil Rights Act of 1965 as
amended, Chapter 601A. Code of Iowa 1973, as heretofore and hereinafter amended, or by the Cules and regulations
of the State or as otherwise provided by law.
ASSURANCES - NON-CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, incladieg time for rev~ewlng
instructions, searching existing data sources, gathering and maintaining the data needed, ann completing end reviewing the collection
information. Send comments regarding the burden estimate or any otner aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Mar~gement and Budget, Paperwork Reduction Project (0348-004-0), Washing[on, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TC THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE: Certain of these assurances may not be applicable to your project or program. If you have uuestions, p~ease contact me
awarding agency. Further, certain Federal awarding agencies may require =ppl~nts to certify to additional assurances, if such
is the case, you wti[ be notified,
As the duty author[zed representative of the applicant. I certify that the applicant:
Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capabitlty
(including funds sufficient to pay the non-Federal share
of project cost} to ensure proper planning, management
and completion of the project oascdbed in this
applicaiten.
Will give the awarding agency, the Comptroller Genera[
of me United States and. if appropriate, the State,
threugn any authorized reeresentafive, access to and
the dght to examine ail records, books, papem, or
documents related to the award; and will establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
Will establish safeguards to orohibit employees from
using their DOSitiOnS for a purpose thal ~nstitutes or
presents th~ appearance of personal or organizational
conflict of interest, or personal gain.
Will initiate and cumulate the work within the asDlicable
time frame after receipt of approval of the awarding
agency.
Will comply with the Intergovernmental Personnel Act of
1970 (42 U.S.C. §§4728-4763) relating to erascnbed
standards for merit systems for programs funded unaer
one of the 19 statutes or regulaitons seasitlad m
Aooendix A of OPM's Standards for a Medt System of
Personnel Administration [5 C.F.R. 900. Subpart F}.
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}
whmh prohibits discrimination on the barns 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 (Jiscdminatien on
the basis of sex: (cf Section 504 of the Rehabilitation
Act of 1973. as amended [29 U.S.C. §794), which
prohibits discdminatien on the Dams of handicaps; (d)
the Age Dischmination Act of 1975. as amenceo (42
U.S.C. §§6101-8107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatmem Act of 1972 (P.L 92-255~, as amended.
relating to nondiscrimination on the basis of orug
abuse; (0 me Comprehensive Alcohol Abuse ann
Alcoholism Prevention, Treatment and RehabiIitation
Act of 1970 (P.L 91-616), as amenoen, relating to
nondiscrimination on the basis of alcohol eDuse or
alcoholism: (g) §§523 and 527 of the Public Health
Service ACt of 1912 f42 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
CMl Rights Act of 1968 (42 U.S.C. §§3601 et s~q.}, ss
ameceed, relating tn nondiscrimination in the safe.
rental or financing of housing; (i) any other
nondiscrimination provisions in [ne specific sratute(s)
under which aoclication for Federal assistance ~s being
made; and. (j) [ne reou~remen[s of any other
nondiscitminat[on statute(s) wn~cn may apply [o the
application.
Will comply, or nas already comgllad, w;m the
requiremen[s of Titles II ann II of me Uniform
Relocation Ass[stance aha Real Property ACQUlSItiOf~
Policies Act of 1970 fP.U 91-6461 wmcn Drovloe for
fair and equitable treatment of persons olsnlacec or
whose propers, is acquired as a result of Federal or
federalyassisted programs. These reou~rumems apply
to all interests in real property aoau~rea for Drolem
Will comply, as applicable, with provisions of me
Hatch Act (5 U.S.C. §§1501-1508 ant 7324-7328;
which limit the political actlvmas of employees WhOSe
pdnctpal employment activities are funded in whole or
in part with Federal funds.
Authorized for Local Reproduction
Standard ForTh 4249 (Rev,
Prescribed by OMB Circular A*102
8
W~II comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. §§276a to 276a-7), the CopeIecd Act
(40 U.S.C. §276c and 18 U.S.C. §874), and me Contract
Work Hours and Safety Standards Act (40 U.S.C. §{}327-
333), regarding abet standards for federally-assisted
construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the F~ood Disaster
Protection Act of 1973 (P.L 93-234) which requires
rec~ients in a special flood hazard ~e"a to participate in the
program and to purchase flood insurance if the totaJ cost of
insurable construction and acquisition is 510,000 or more.
11.
Will comply with env:ronmentai standards which may be
prescribed pursuant to the following: la) institution ef
- environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L 91-190) and
Executive Order lEO) 11514; lb) notifi~tion of violating
facilities pursuant to EO 11738; lc) protection of wetlands
pursuant to EO '11990; (d) evaluation of flood h~Tards in
floodplains in accordance with EO 11988.; (e) assurance of
project consistency with the approved State management
program developed under the C~)astal Zone Management
Act of 1972 (16 U.S.C. §§1451 et seq.); (0 conformity of
Federal actions to State (Clean Air) Imp[ementatioo Plans
under Section 176('c) o! the Clean Air Act of 1955. as
amended (42 U,S.C. §{}7401 et seq.); (g) protection of
underground sources of ddnking water under the Sate
Ddnking Water Act of 1974. as amended (P.L 93-523);
and. (h) protection of endangerea species under ti~e
Endangered Species Act of 1973. as amended (P.L 93-
205),
12.
13.
14.
15.
16.
17.
18.
Will comply with the Wild and Scenic Rivem Act of
1968 (16 U.S.C. §§1271 er seq.) related to Drotscang
components or Dotanfial components of the national
wild and scenic rivers system.
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. ~-70}, EO 11593
(identification and protection of histodc prcpertiesl, and
the Archaeological and Histadc Preservation Act of
1974 (16 U.S.C. §§489a-1 et seq.),
Will comply with P.L 93-348 regarding the prote~on of
human subjects involved in research, aeve~opmant, and
related activities suppor~ea Dy this award of assistance.
Will compl~ with the Laperato~' Animal Welfare Am 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.
Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et sec.] which
prohibits the use of earl-based saint- in construction or
rehabilitation of residence structures.
Will cause to be performed the resulted finanola[ and
comnliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMB Circular No. A-1 33.
'Audits of States. Local Governments. end Nec-Profit
Organizations."
Will comely with all applicable requirements of ali other
Federal laws. executive orders, regulations, and policies
governing this program.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
APPLICANT ORGANIZATION
TITLE
DATE SUBMITTED
Standard Form 424B (Rev. 7-97) Bact(
Certifications Regarding Debarment, Suspension and
Other Responsibility Matters, Drug-Free Workplace
Requirements and Lobbying
Persons signing this form should refer to the regulations
referenced below for complete insb'uctions:
Certification Regarding Deba.rrne~t. Suspension, and Other
Responsibility Matters - Pdmary Covered Transactions - The
prospective primary participant further agrees by
submitting this proposal that it will include the clause
titled, "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion - Lower Tier
Covered Transaction," provided by the department or
agency entering into this covered transaction, without
modification, in all lower tier covered transactions and in
all solicitations forlower tier covered transactions. See
below for language to be used or use this form for
cerfffication and sign, (See Appendix A of Subpart D of 43
CFR Part 12.)
Certffica~Jon Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion - Lower Tier Covered Trensa~ons -
(See Appendix B of Subeart D of 43 CFR Part 12.)
Certh~cetion Regarding Dreg-Free Workplace Reeuirements -
A,'temate 1. (Grantees Other Than individuals) and Alternate
I1. (Grantees Who are Individuals) - (See Appendix C of
Subpart D of 43 CFR Part 12)
Signatore on this form provides for compliance with
certJfica§on requirements under 43 CFR Parts 12 and 18,
The certifications shall be heated as a material
representation of fact upon which reliance will be placed
when the Department of the Inteder determines to award the
covered transaction, grant, cooperative agreement or loan.
PART A: Certification Regarding Debarment, Suspension, and Other Responsibility Matters -
Primary Covered Transactions
CHECK__iF THIS CERTIFICATION IS FOR A PRfMARY COVERED T~ANSACTION AND IS APPLICABLE.
(1) The amspective pdmary participant cert;'fies to the best ef its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any
Federal deoartment or agency;
(b)
Have not within a three-yeer pedod preceding this proposal been convicted of or had a civi judgment rendered against
them for commission of fraud or a cdminal offense in connection with obtaining, attempting to ootaln, or performing e
public (Federal, State or local) transaction or contract under a public transaction: violation of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery, bdbery, fats~cation or destruction of records, making false
statements, or rece~vthg stolen property;
(c) Are not 3resentiy indicted for or otherwise criminally or civilly charged by a governmental entity (Federal State or local)
w:th commission of any of the offenses enumerated in barograph (1}(b) of this certification; ane
(d) Have not within a three-year period preceding this application/proposal had one or more public transactions [Federal.
State or [oca0 terminated for cause or default.
(2) Where the orospective pnmary participant is unable to certify to an), of the statemen[s in this certification, such DrosDect]ve
participant snail a~tach an explanation to this proposal.
PART B: Certification Regarding Debarment. Suspension, Ineligibility and Voluntary Exclusion -
Lower Tier Covered Transactions
CHECK. IF THiS CERTIFICATION iS FOR A LOWER TIER COVERED TP. ANSACTION AND IS APPLICABLE.
(1) The Drosoect~ve lower tier earacioant certifie.< by submission of this proposal, that neither it nor its pnnc]pals is Dresent[y
debarred, suspenaee, :roposed for debarment, declared ineligible, or voluntarily excluded from parbc~pation in this transaction
by any Federal denare'nent 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 exelanation to this PrOPOSaL
lO
CHECK~IF THIS CER'FiFICA TtON IS FOR ,,AN APPI, J~ WHO IS NOT AN INDIVIDUAL.
Alternate L (Grantees Other Than individuals)
A. The grantee certifies that it will or continue to provide a drug-free workplace by:
(a) Publishing a statement r~tifying employee~ ~t the unlawful manufacture, distdb,.~on, dispensing, pnssession, or use
of a controlled substance is prohibited in the grantee's workplace and specking the ac'dons that will be taken against
eroployees for violation of such prohibition:
(b) Establishing an eegoin~ drug-free awareness program to inform employees about- (1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) A~y available drug counseling, rehabilitation, and eroployee assistance programs; and
(4) The penates that roay be iroposed upon employees for drug abuse violations occurring in the workolace:
(c) Making it a requirement that each eroployee to be engaged in the performance of the grant be given a copy of the
stateroent required by paragraph (a);
(d) Not~ying the employee in the ~atoment required by paragraph (a) that, as a cendtiJon of employment under the grant.
the eroptoyee will --
-- (1) Abide by the terms of the statement: and
(2) Notif7 the employer in writing of his or her conviction for a violation of a cdroinal drug statute occurring in the
workplace no {atar than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2) from an
employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide
notice, including pos~Jon titie, to every grant officer on whose grant activity the convicted employee was working, umess
[he Federal agency has designated a central point for the receipt of such notices, Notice shall include the identification
numcers(s) of each affected grant4
(0 Taldng one of the following aceJons, wil~in 30 ceiendar days of receMng notice under subperagrapn (d)(2), with respect
to any employee who is so convicted --
(1) Taking apprapdate personnel action against such an employee, up to and including termination, consistent with
the reeuirements of the Rehabilitation Act of 1973. as amended: or
(2) ~eauidng such emeloyee to eadJcieata sstisfactodly in a drug abuse assistance or rehabilitation program approved
for such purposes by a Federal State. or local health, law enforcement, or other appropriate agency;
(g) Making a good faith effort, to continue to maintain a erug-free workplace through implementation of paragraphs (a) (b),
(c), (d), (e) and (0-
B. The grantee may insert in the space provided below [he site(s for the 2erformance of work done in connection with tJ~e seecific
Place of Performance (Street address city. county, state, zie code)
Check if there are workplaces on file that are not identified here.
PART 3: Certification Regarding Drug-Free Workplace Requirements
CHECK__IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS AN INDIVIDUAL.
Altamate II. (Grantees Who Are Individuals)
(a) The grantee ceKdfies that. as a condition of the grant, he or she will not e~age in the unlawful manufacture, distribution.
dispensing., possession, or use of a controlled substance in condu~ng any activity with the gram:
(b)
If convicted of a criminal drug offense resulting from a violation occurring dudng the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days of the conviction, to the grant officer or other designee.
unless the Federal agency designates a central point'for the receipt of such notices. When notice is maae [o such a
central point, it shall include the identificetion number(s) of each affected grant.
ll
PART E: Certification Regarding Lobbying
Certification for Conb-acts, Grants, Loans, and Cooperative Agreements
CHECK_IF CERTIFICATION IS FOR Ti'~E AWARD OF ANY OF THE FOLLOWING AND
THE AMOUNT E~CEED$ $100.000: A FEDEP. AL GRANT OR COOPERATIVE AGREEMENt;
SUBCONTRACT. OR SUBGRANT UNDER THE GRANT' OR COOPERATIVE AGREEMENT.
CNEC. K IF CERTIFICATION IS FOR THE AWARD OF A FEDERAL
LOAN E~CEEDING THE AMOUNT OF $150,0~0, OR A SUBGRANT OR
SUBCONTRACT ~CEEDING $100.000. UNDER THE LOAN.
The undersigned cartifies~ to the best of his or her knowledge and belief, that:
(1) No Federal approphated funds have been paid or will be paid. by or on behalf of the undemigned, to any person for influencing
or attempting to influence an officer or employee of an agency, a Member of Cor~jress, and officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any~=ederal cordract, the makingof 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 contrac[, grant, loan, or cooperative agraereen~.
(2) If any funds other than Federal apprapdated funds have been ceid or will be paid to any person for influencing or aeempfing
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, o~ cooperative agreement, the undersigned shall
complete and submit Standard ForrmLLL 'Disclosure Form to Report Lobbying," in accordanca with.its instructions.
(3.} The undersigned shall reauire that the language of this certification be included in the award documents for all subawaras al
all tiers .(including subcontracts SUDgrants, and con[facts under grants, loans, and COODerafive agreements) ano that ail
subracipients shall cedJfy accordingly.
This certification is a ma[edal reoresentation of fact unon which reliance was placed when this transaction was made or entered
into. Submission of this certification is a premquislte for making or entering into this transaction imposed by Section 1352, tPJe 31,
U.S. Code. Any person who foils to file the rec~ui,~ed cer~fication shall be subject to a civil penarcy of not less than $10,000 and not
more than $100.000 for each such failure.
As the authorized certifTing official ] hereby ceA;fy t~at the aeeve specified certifications are true.
SIGNATURE OF AUTHOR[ZED CERTIFYING OFFICIAL
TYPED NAME AND TITLE
DATE
Z2
EXHIBIT C
SCOPE OF WORK
AND
BUDGET
Terrance Duggan, Mayor, City of Dubuque, Iowa
Date
PART I . APPLICATION ;F-,QRMAT.
All applicants submitted applications that followed this format.
1..Name of the Historic Preservation Commission
2. Scholarship Request (up to $1,000)
3. City or County Match: (Specify 'what the local government will contribute)
4. Commissioner Match: (Specify costs that each scholarship recipient would assume)
5. Commission Members who will use the scholarship: (list the names of those who will be attending
forum and using the scholarship)
6. Optional Match: Conference of Workshop Proposal: Please provide the title, specify date. time and
location where the workshop will occur, outline the goals and objectives of the trainingt under the program
discuss the topics/activities that will be covered in the workshop as well as possible presenters and
facilitators.
a. Title:
b. Date, Location, Time:
c. Purpose: goals and objectives
d. Program
PART II.
This part consists of the actual application submitted by the City of Dubuque
14
?lanvin§ Services Depm, tmex~t
Oty ~
~e. Iowa
(~) ~0 ~ce '~
(5~) 58~1 f~
plm~ofdu~que.or$
Kerry C. McGrath
State Historical Society of Iowa
600 East Locust Street
Des Moines, IA 50319-0290
Subject: Iowa Certified Local Government Scholarship Application
Dear Kerry,
The City of Dubuque Historic Preservation Commission i¢ subm tt ng the
enclosed application for the Iowa Certified Local Government Scholarship to
send commissioners and staff to Forum 2002 inSan Antonio.
Reasons for Sendinq Personnel
The City of Dubuque is [owa's oldest city and has a significant number of historic
structures. The Historic Preservation Commission is interested in wavs to help
rehabilitate these structures and protect them from being demolished~ The
Commission feels that the Forum 2002 wil help provide ideas about rehabbing
and protecting historic structures.
On Saturday AuguSt 3, there are 4 session from 10:45am-12pm and 3:45pm-
5pm by sending four people, the Historic Preservation Commission will have a
representative attend each session and receive input and materialS.
Overall Performance
The City of Dubuque Historic Pre§ervation Commission considers historic
preservation as a vital asset to Dubuque, The following are some of the
responsibilities of the Historic Preservation Commission:
· Promote and conduct educational orograms
· Develop and adopt design guidelines
· Review and comment on nominations to the National Register of Historic
Places
Iowa Certified Local Government Scholarship Application
· Review and approve exterior changes for buildings, sig ns and sites in
historic districts
· Provide design review recommendations to the City Council for public
works proje¢.ts~in histodc districts and at historic landmarks.
· Provide recommendations to City Council on demolition permits in
demolition districts
Last year, the City of Dubuque amended its Historic Preservation Ordinance to
expand the Commission's role and prohibit demolition Dy neglect. In 2001, the
City also expanded and strengthened it regulations for demolition districts.
Recently the City of Dubuque with funding from the State Historical Society of
Iowa. completed Phases I and I of conducted architectural/historical
survey/evaluation of Dubuque's oldest properties: The City continues to survey
properties to identity potential historic districts and national register eligibility, with
Phase I11 to begin this Spring. The City also is pursuing National Historic
Landmark Status for the Shot Tower.
The City of Dubuque has created a Downtown Rehab Loan Pro9 ram. Fagade
Grant Program. Historic Preservation Revolving Loan Fund. Historic Homeowner
Grant. and tax rebates to help fund historic preservation.
The City of Dubuque has created a Historic District Public Improvement Program
to help fund streetscape improvements (historic lighting, street trees, benches.
brick sidewalks, etc.) in the historic districts. The City also has created 13
interpretive signs for historic features along the Dubuque Heritage Trail.
The City of Dubuque also has adopted Streetscape and Landscape and
Architectural Guidelines for properties located in historic districts. The City of
Dubuque Ks in the process of creating and conducting Desigr Review Training
sessions for these guidelines.
The Historic Preservation Commission would like to thank you for taking time to
consider our application.
If you have any questions feel free to contact me at 563-589-4210.
Sincerely,
Wally Wernimont
Assistant Ptanner
Enclosure
Scholarship Application for Forum 2002
11 Name of the Historic Preservation Commission:
City of Dubuque Historic Preservation Commission
2) Scholarship Request (up to $1,000)
Requesting $ ~, 000
3) City or County Match: (Specify any cash or in~kind match that the local
government will contribute)
$2410
4) Commissioner Match: (Specify any cash or in-kind match that the
commission would contribute)
$0
5) Scholarship Recipient Match: (Specify any cash or in-kind match that the
scholarship recipient would contribute)
Terry Mozena $340
Chris Wand $250
6) Commission Members who will use the scholarship: (list the names of
those who will be attending forum and using the scholarship)
Terry Mozena
Chris Wand
Laura Carstens
Wally Wernimont
7) Optional Match: Conference of Workshop Proposal: Please provide tne
title, specify date, time and Iocatior~'where the workshop will occur, outline the
goals and objectives of the training, under the program discuss the
topics/activities that will be covered in the workshop as welt as possible
presenters and facilitators.
a Title:
b. Date. Location, Time:
c. Purpose: goals and objectives
d. Program