Certified Local Government (CLG) Grant Agreement for Eagle Point Park Phase 1 Archeology SurveyCity of Dubuque
ITEM TITLE:
SUMMARY:
SUGGESTED DISPOSITION:
Copyrighted
March 16, 2020
Consent Items # 6.
Certified Local Government (CLG) Grant Agreement -
Eagle Point Park Phase 1 Archeology Survey
City Manager recommending approval of a Fiscal Year
2020 grant agreement through the Certified Local
Government grant program by the State Historic
Preservation Office under the Iowa Department of Cultural
Affairs for Continued Preservation Planning at Eagle Point
Park with a Phase I Archaeology Survey.
RESOLUTION Approving CLG Grant Agreement with the
Iowa Department of Cultural Affairs for continued
preservation planning at Eagle Point Park
Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description
CLG Grant for Eagle Point Park-MVM Memo
Staff Memo
Agreement and Maps
Resolution
Type
City Manager Memo
Staff Memo
Supporting Documentation
Resolutions
Masterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
Dubuque
bitil
All-A.aia City
111111
2007.2012.2013
2017*2019
SUBJECT: FY20 Certified Local Government Grant Agreement for Continued
Preservation Planning at Eagle Point Park
DATE: March 6, 2020
Leisure Services Manager Marie Ware and Planning Services Manager Laura Carstens
recommend City Council approval of a Fiscal Year 2020 $10,000 grant agreement
through the Certified Local Government grant program by the State Historic
Preservation Office under the Iowa Department of Cultural Affairs for Continued
Preservation Planning at Eagle Point Park with a Phase I Archaeology Survey.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
/-.
Mic ael C. Van Milligen
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
Marie Ware, Leisure Services Manager
Laura Carstens, Planning Services Manager
WIC
THE CITY OF
biatil
Dubuque
All-beileibli
DUBTJE 'i
iIr
Masterpiece on the Mississippi
2007.2012.2013
2017*2019
TO: Michael C. Van Milligen, City Manager
FROM: Marie Ware, Leisure Services Manager
Laura Carstens, Planning Services Manager
Planning Services Department
City Hall - 50 West 13th Street
Dubuque, IA 52001-4845
(563) 589-4210 phone
(563) 589-4221 fax
(563) 690-6678 TDD
planning@cityofdubuque.org
SUBJECT: FY 20 CLG Grant Agreement for Continued Preservation Planning at
Eagle Point Park
DATE: March 4, 2020
INTRODUCTION
This memorandum transmits for City Council approval an FY 20 $10,000 grant
agreement through the Certified Local Government (CLG) grant program by the State
Historic Preservation Office (SHPO) under the Iowa Department of Cultural Affairs
(IDCA) for Continued Preservation Planning at Eagle Point Park with a Phase I
Archaeology Survey. The grant program requires the City to endorse the agreement.
The CLG grant agreement and resolution are enclosed, along with scope of work,
vicinity and section maps. The CLG grant program is federal pass-thru funding from the
National Park Service (NPS) with the IDCA. The enclosed grant agreement is in two
parts: The first 12 pages are IDCA's grant agreement with the City while the remainder
is the NPS grant agreement with IDCA, and related requirements. The project scope of
work is on pages 8-9 and the tentative schedule is on pages 10-11 of the IDCA grant
agreement with the City.
BACKGROUND
The SHPO annually awards CLG grant funds for competitive projects that help to
preserve, conserve, interpret, enhance, and educate the public about Iowa's historical
preservation projects in the community. An FY 20 $10,000 award was announced in
November 2019 for the Continuation of the Phase I Archaeology Survey at Eagle Point
Park grant application to CLG.
Eagle Point Park, located at 2601 Shiras Avenue, is listed in the National Register of
Historic Places. As a CLG, the City has a long collaboration with the SHPO in
stewardship of the historic architecture, historic landscape, cultural heritage, and
archaeology of this regional park. Eagle Point Park is also a local Historic Landmark
Site.
1
DISCUSSION
A State grant matched by City funds enabled completion of a Phase I Archeological
Survey in 2015 for the traditional portion of Eagle Point Park, Section A on the enclosed
Section Map. The full extent of the parkland owned by the City, Section B, extends north
from the north gate for a substantial distance along the river bluffs. In December 2018,
the City Council accepted a private donation of 11 acres northwest of the park's tennis
courts. This new land is Section C.
City staff identified the need for a retracement survey to determine the boundaries of
Sections B and C. The Park Division will work with the Engineering Department to install
permanent boundary stakes and complete a retracement survey of the areas shown on
the enclosed Scope of Work Map. This work will be funded by the Park Division and will
constitute a cash match for the CLG grant award.
The retracement survey will delineate the work area for the Continuation of the Phase I
Archeological Survey. Grant funding will be used to help hire an archeologist to conduct
the Phase I Archaeology Survey in Sections B and C shown on the enclosed Scope of
Work Map. The Planning Services Department has matching funds budgeted to help
leverage the CLG grant (see budget chart below).
The Engineering Department will complete the retracement survey. The survey
boundary is shown on the enclosed Scope of Work map. This work will be paid for by
the Park Division and will constitute a local match for the CLG grant.
When completed, we will have accurate boundaries and a Phase I archeological survey
for the entire parkland owned by the City of Dubuque. This information will enable the
Park Division to be good land stewards by avoiding culturally -sensitive areas, continue
environmental restoration work, and protect the historic, archeological, and
environmental resources that make up this community park.
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. The Park Division's
dedication to preserving and recording the park's history offers enriching and engaging
experiences to visitors and residents, furthering the social and cultural vibrancy of our
community.
This space intentionally left blank
2
BUDGET IMPACT
The estimated Project Budget is shown below. City staff time is an in -kind match.
Project Expense
Project Total
CLG Grant
In -kind &
Cash Match
Source of
City Match
Consultant -
Archaeologist
$15,000
$10,000
$5,000
Planning Services
CIP# 102-2431
Materials —
boundary stakes
600
0
600
Park Division
operating line item
#100300400 62685
Personnel — project
staking/coordination
500
0
500
Park Division staff
time
Personnel —
engineering
retracement survey
4,180
0
4,180
Park Division CIP
#1021453
Personnel — project
management &
grant admin
800
0
800
Planning Services
staff time
TOTALS
$21,080
$10,000
$11,080
RECOMMENDATION
Staff recommends the City Council approve the grant agreement and authorize the
Mayor sign the resolution for an FY 20 $10,000 CLG Grant for Continuation of the
Phase I Archaeology Survey at Eagle Point Park.
Enclosures
Report Prepared by Chris Happ Olson e
cc: Marie Ware, Leisure Services Manager
Stephen Fehsal, Park Division Manager
Jenny Larson, Budget & Finance Director
Wally Wernimont, Associate Planner
Christine Happ Olson, Assistant Planner
Gus Psihoyos, City Engineer
Nate Kieffer, Land Surveyor
F:\Users\Colson\Grants\2020 FY - CLG EPP Archaeology Survey\To City Council & MVM\EPP Continued
Phase I Archaeology Survey- CLG- MVM memo - Grant Agreement.doc
3
Reference definitions for the Section Map
Eagle Point Park, City of Dubuque
CLG Grant Application Portfolio Supplement
The following are descriptions for understanding Eagle Point Park, the parcels and
sections that comprise the entire park of 175 acres, and project vicinity and scope
of work location.
A) EPP Traditional Park— the 113 acres of traditional parkland bound by Shiras
Avenue to the west, Lincoln Avenue to the South, the Canadian Pacific
Railroad to the east, and the north gate entrance at the north.
B) EPP North Section- the 51 acres of land that runs north of the north gate
entrance, bound by bluffland and the Canadian Pacific Railroad at the north
east, Eagle Point Drive to the west, and EPP Traditional Park to the south. In
2019, Bear Creek Archaeology completed a Phase I Archaeology Survey for
a 2.1 acre area in this section.
C) EPP New Section- the 11.7 acres of undeveloped land donated and added
to the park by Dubuque City Council in Dec. 2018; located north of the park
tennis courts and between the private property owners on the west side of
Eagle Point Drive at the east, and the private property owners on the east
side of Shiras Avenue at the west.
D) Eagle Point Park — the entire 175 acres of parkland owned by the City
Eagia Pal nit Park
Continued Phase lArdt.aedbgy Survey
Vicinity Map
Eagle Pant Pik
Continued Phaselilireftaadogy
Section Map
B - EPP North Section
C- EPP New Section
Legend
_-- ! Retracement Survey Boundary
Phase I Archaeology Survey Area - HRDP Request
Phase I Archaeology Completed
Prepared by: Laura Carstens, City Planner Address: City Hall, 50 W. 13th St, Dubuque, IA 52001 Telephone: 589-4210
Return to: Kevin Firnstahl, City Clerk Address: City Hall, 50 W. 13th St, Dubuque, IA 52001 Telephone: 589-4121
RESOLUTION NO. 85-20
RESOLUTION APPROVING CLG GRANT AGREEMENT WITH THE IOWA
DEPARTMENT OF CULTURAL AFFAIRS FOR CONTINUED PRESERVATION
PLANNING AT EAGLE POINT PARK
Whereas, the State Historic Preservation Office under the Iowa Department of Cultural
Affairs has allocated Certified Local Government (CLG) Program 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 2017 Comprehensive Plan that includes
goals for educating the community about the benefits of historic preservation.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA THAT:
Section 1. The Mayor is hereby authorized on behalf of the City of Dubuque to sign the
FY 2020 CLG Grant Agreement with the Iowa Department of Cultural Affairs for
Continuation of the Phase 1 Archaeology Survey at Eagle Point Park.
Section 2. The Planning Services Manager is hereby authorized as the project manager
for the CLG project.
Passed, approved and adopted this 16th day of March 2020.
Roy D. uol, Mayor
Attest:
Ke in S. irnstah% City Clerk
F:\Users\Colson\Grants\2020 FY - CLG EPP Archaeology Survey\EPP Phase I Survey - FY20 CLG Grant Agreement
Resolution.doc
CERTIFIED LOCAL GOVERNMENT PROGRAM STATE HISTORICAL SOCIETY OF IOWA
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
1
Article 1. Identification of Parties
This Grant-In-Aid Agreement (the "Contract") is between the State Historical Society of Iowa (SHSI), a
division of the Iowa Department of Cultural Affairs, State of Iowa, 600 East Locust, Des Moines, Iowa, 50319
(the "Department"), and the Grant Recipient (the "Grantee"):
Grantee: City of Dubuque
Authorized Official: Roy D. Buol
Primary Contact: Christine Happ Olson
Address: 50 W 13th St
City, State Zip: Dubuque, Iowa 52001-4845
Grant Information
Fiscal Year: 2020 Account Number:
Grant Number: 202011-8903 Program: Survey
Grant Award: $10,000.00 Final Report Due
Date:
August 31, 2021
Beginning Date:
February 1, 2020 End Date: August 31, 2021
Project Title: Phase I Archaeological Survey for Eagle Point Park
WITNESSETH:
WHEREAS, the SHSI 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 Phase I Archaeological Survey for Eagle Point Park
NOW THEREFORE, it is agreed by the parties as follows:
ARTICLE 2. Designation of Officials
a. The Interim Deputy State Historic Preservation Officer (SHPO) is the SHSI Official authorized to
execute the contract and any changes in the terms, conditions, or amounts specified in this
Contract. The SHPO may designate a staff member to negotiate, on behalf of the SHSI, any
changes to the Contract.
b. Roy D. Buol 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
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
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This Contract shall be in effect commencing on the date of the last signature executing this
document and will terminate on August 31, 2021, 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 SHSI 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 SHSI of a Request for
Reimbursement. This request shall be made according to the format specified by the SHSI with
reimbursement to the RECIPIENT occurring at intervals no more than sixty (60) days after
approval of request.
c. SHSI 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 SHSI 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.
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 SHSI all of its records, pertaining to all matters covered by
this Contract and shall permit the SHSI to audit, examine and make excerpts from such records
and all other matters covered by this Contract.
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
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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 SHSI shall reimburse the RECIPIENT for actual, necessary and 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 SHSI, 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.
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.
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
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b. The SHSI 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 SHSI 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 SHSI, the
legislature or governor deappropriate, suspend, fail to appropriate, or fail to allocate, funds
sufficient for the SHSI 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 SHSI’s authorization to conduct the activities contemplated in 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 SHSI, 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 SHSI, was satisfactorily completed.
ARTICLE 9. Interest of Officials and Others
a. No officer, employee or advisor of the SHSI 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 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, 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-
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
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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 SHSI 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
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 em ployees 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
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
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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 provision relevant to fair employment of the
rules and regulations of the SHSI. The RECIPIENT will furnish all information and reports
requested by the SHSI or required by or pursuant to the rules and regulations thereof and will
permit access to payroll and employment records by the SHSI 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 SHSI. In addition, the SHSI 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 601A, 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
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 SHSI. Any assignment, delegation, or other transfer without prior written approval
by the SHSI 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 SHSI.
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
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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 SHSI or the State of Iowa.
ARTICLE 19. Severability
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
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
Interim Deputy 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.
Authorized Official of the
Grantee:
Roy D. Buol
\s1\ Date: \d1\
Interim Deputy State Historic
Preservation Officer:
Heather Gibb
\s2\ Date: \d2\
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
3/17/2020
3/18/2020
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
8
ATTACHMENT A
SCOPE OF WORK
A. WORK ELEMENTS
Eagle Point Park (from here known as EPP) is 175 acres overlooking the Mississippi River and Lock
& Dam #11 at Dubuque, providing a spectacular tri-state view of Iowa, Illinois and Wisconsin. In
1908, 100 acres were deeded to the City of Dubuque (City) to create the park on Shiras Avenue.
Additional land, buildings and features were added and developed over time, with the most
recent being an 11.7-acre parcel donated in December 2018. In 2017, the EPP Historic District was
listed on the National Register of Historic Places under Criteria A & C. In 2019 the City named it a
Dubuque Landmark Site. In 2015, the City retained Wapsi Valley Archaeology for a Phase I
Intensive Archaeological Survey and Mound Remnant Survey in order to identify potential areas
of concern and protect sensitive resources prior to taking on an environmental restoration
project.
The city of Dubuque will hire an archaeologist to conduct a Phase I Archaeology Survey at the
EPP New and North Sections (minus steep bluff lands and the 2.1 acres already completed in the
EPP North Section.) Match will be provided to help pay for the Phase I Survey and the entire
retracement survey, necessary to identify the area for undertaking the Phase I Survey. Together,
the projects will allow the City to continue environmental restoration work and protect park’s
historic, archaeological, and environmental resources.
The new donation of 11.7 acres of undeveloped land (EPP New Section) serves as a buffer to EPP
in addition to expanding park land. This helps preserve the serenity of place and help to
counteract and thwart the impact of the community development in the park vicinity. Protection
of the EPP New Section by staff and the community is difficult without the retracement survey to
delineate ownership, which is also necessary to undertake the Phase I Archaeology Survey. The
City identified a need to better understand the actual boundaries of the EPP New and North
Sections. With new land, the park gets new neighbors, and it is unclear where the neighboring
land ends and EPP begins. In 2017, the City approved an Environmental Restoration Management
Plan (ERMP) prepared by consultant Applied Ecological Services for EPP. The ERMP was
developed in response to conditions in the park and the City’s commitment to sustainable best
practices for resource management, environmental integrity,
and native plants and animals.
Dubuque does not view natural and cultural resources in silos; they are in a symbiotic relationship
where the expanding natural areas buffer the Traditional Park. Management actions will restore
and enhance portions of core habitats resulting in increased diversity of wildlife and improved
aesthetics and activities for the visitor experience. Plan implementation includes a monitoring
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
9
program to evaluate restoration; periodic evaluation and modification of tasks; and
communication and education of the public about the restoration process and the cultural
significance of the park’s resources. EPP is accessible 365 days a year, with a staffed information
booth from May through October, and an information webpage for education and rental
capability. Recent partnership with local non-profits resulted in tours and lectures on the park’s
history, renewing interest. The park is a flyway and nesting spot for neo-tropical migratory birds
along the Upper Mississippi River National Wildlife and Fish Refuge. Continued restoration of the
historic and environmental resources within this park is a priority for our community, while the
NRHP nomination provides important information on the historic contexts, cultural themes, and
architectural significance of the park’s buildings and landscape.
The Retracement Survey will be completed by the City’s Engineering and Leisure Services
Departments staff, using a handheld GPS coordinate unit to identify property lines and markers
from previous surveys at the EPP New and North Sections. Wood lath staking with flags is
planned during the retracement and consists of 1” lath staked no more than 6” in the ground and
protruding 48” from the ground. It will be only installed immediately adjacent to previous
markers. This practice is in addition to geo-locating boundaries.
The Phase I Archaeology Survey will be completed by a contracted qualified consulting firm
through an RFP process by the City. A qualified consultant who meets the Secretary of the
Interior’s Professional Qualifications for archaeology will to hired to undertake this project. Chris
Olson (Planning Services staff) will serve as local project manager, while Leisure Services staff will
guide and assist the consultant as appropriate.
Prior to the grant being awarded, the Office of the State Archaeologist (OSA) will provide an
update to the Indian Advisory Council about the project intentions at their September 2019
meeting. Following the grant award, planning Services staff will outreach to all tribal
representatives on the current list held at the Office of the State Archaeologist. This allows for an
update and an additional 30 to 60 days of input prior to starting the RFP process. Previous
contact through the City’s management of the Four Mounds Summit allows for existing
relationships with currently five tribes.
All work under this contract will be done in accordance with the Secretary of the Interior’s
Standards and Guidelines for Historic Preservation and Archeology and specifically, the Secretary
of the Interior’s Standards and Guidelines for Identification and Evaluation. A qualified consultant
who meets the Secretary of the Interior’s Professional Qualifications for archaeology will to hired
to undertake this project.
B. PRODUCTS
The SHSI will furnish the following:
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
10
CLG Grant Project Director’s Manual
Forms for documentation of match
The RECIPIENT will produce and distribute the following grant products:
Following receipt of the Notice to Proceed and executed Contract, the Local Project Director will
complete and submit a progress reporting form to the SHSI quarterly. The Local Project Director
is encouraged to submit these quarterly reports electronically.
Tangible work products include:
The following are the work products (unless otherwise noted, all work products are submitted
digitally):
Photographs documenting the project (local project manager)
Quarterly reports (local project manager)
Draft Phase I Archaeology Survey report (consultant)
Final Phase 1 Archaeology Survey report; 1 hard copy single sided and 3 CDs (consultant)
Retracement survey (city staff)
Photographs documenting the project (local project manager)
Quarterly reports (local project manager)
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. All work performed under the Contract
will be completed by June 30, 2021 and the final bill must be submitted with the final report by
July 31, 2021. The Contract will end on or before August 31, 2021. Early completion of Contract
activities and submission of Contract products is encouraged.
Tentative Schedule:
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
11
February 2020 Sign contract and schedule kick off meeting with state project manager and
archaeologist
February 2020 Notification of Iowa associated IAC members
March 2020 Develop RFP and send to at least 3 qualified consultants
April 2020 Bid Selection & Award
April 2020 Project Notice & Review to Parks & HPC Commissions
May 2020 Retracement Survey
May-June 2020 Archaeological Survey
August 2020 Report Production & Review
August 2020 Draft Report for SHPO and HPC review
Sept. 2020 Final Report
October 2020 Review & Approval by City Council
November 2020 Grant Report Closeout
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319
IOWACULTURE.GOV
12
D. REIMBURSEMENT SCHEDULE
Payments by the SHSI 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 SHSI 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
Approval of all products remaining balance of the grant
Adjustments between budget categories are permissible following written mutual consent
between the RECIPIENT and the SHSI pursuant to Article XIV.
E. COORDINATION
This Project will be managed by the RECIPIENT in cooperation with the SHSI. The RECIPIENT will
be represented by a Project Director, and the SHSI will be represented by Paula Mohr, State
Historical Society of Iowa, New Historical Building, 600 East Locust, Des Moines, Iowa 50319 -0290
at (515) 281-6826 or paula.mohr@iowa.gov.
The RECIPIENT’s Project Director will maintain continuous coordination with the SHSI’s
Project Manager, during the Contract.
ATTACHMENT B:
BUDGET
See additional file.
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
IOWA DEPARTMENT OF CULTURAL AFFAIRS
STATE HISTORICAL BUILDING 600 E. LOCUST ST. DES MOINES, IA 50319 1
Substitute W-9/Vendor 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.
Box A
Are You/ Your Organization Yes No
Individual [I] □ □
Sole Proprietor [S] □ □
If NO to both, complete Box B. If YES to either
item, complete Box A. Sole Proprietors may enter
FEIN, but IRS prefers to use SSN.
SSN:
OR FEIN:
Last
Name:
First
Name:
DBA:
Address:
City:
State:
Zip:
Box B
Is Your Organization Yes No
Corporation [C] \
Partnership [P] \
Estate or Trust [E] \
Government [G] \X
Other [O] \
FEIN: \ssntbx_1_text\
Firm
Name:
City of Dubuque
DBA: Dubuque (city) Historic Preservation
Commission
Address: 50 W 13th St
City: Dubuque
State: Iowa
Zip: 52001-4845
Certification Must Be Signed By Vendor
Under penalties of perjury, I certify that:
(1) The number shown on this form is my correct taxpayer identification number (or I am waiting for a
number to be issued to me), and
(2) I am not subject to backup withholding because:
(a) I am exempt from backup withholding, or
(b) I have not been notified by the Internal Revenue Service (IRS) that I am subjected to backup
withholding as a result of a failure to report all interest or dividends, or
(c) the IRS has notified me that I am no longer subject to backup withholding.
The digital signature below serves as the vendor’s legal signature to this document.
Authorized Official of
the Grantee: \s1\ Date: \d1\
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
42-6004596
3/17/2020
Page I o f 3 .
CHOOSE ONE:
Grant and Cooperative Agreement □ COOPERATIVE
AGREEMENT
!Kl GRANT
CHOOSE ON E: □ EDUCATION □ FAC ILITIES □ RESEARCH □ SDCR □ TRAIN ING
1. GRANT/COOPERATIVE AGREEMENT NUMBER 12. SUPPLEMENT NUMBER 13. EFFECTIVE DAT E 4 . COMPLETION DATE
Pl9A F00030 06/14/2019 09/30/2020
5. ISSUED TO 6. ISSUED BY NPS State , Tribal , Local, Plans &
NAME/ADDRESS OF RECIPIENT (No., Street, City/County, State, Zip)
CUL TURAL A FFAIRS , IOWA DEPARTMEN T OF Mailing Address: Grants
Attn : ATTN GOVERNMENT POC 1849 C Street NW (2256)
600 E LOCUST ST RM 2007 Washi ngton DC 20240
DES MOINES IA 50319 -1006
9 . PRINCIPAL INVESTIGATOR/ORGANIZATION'S PROJECT OR
7 . TAXPAYER IDENTIFICATION NO . (TIN) PROGRAM MGR. (Name & Phone )
State H istoric Preservation Officer
6. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.
515-281 -4013 30K Z1
n 0. RESEARCH , PROJECT OR PROGRAM TITLE
~019 H P F SH PO -IOWA
11 . PURPOSE
h2 . PERIOD OF PERFORMANCE (Approximately)
10/01/2018 throuqh 09/30/2020
13A. AWARD HISTORY 136. FUNDING HISTORY
PREVIOUS $0.00 PREVIOUS $0.00
THIS ACTION $898,118.00 THIS ACTION $898,118.00
CASH SHARE $898.118.00 TOTAL $898 118 .00
NON-CASH SHARE $0.00
RECIPIENT SHARE $598,745.00
TOTAL $898,118.00
14. ACCOUNTING AND APPROPRIATION DATA
b l
~URCHASE REQUEST NO. JOB ORDER NO . A MOUNT STATUS
b o201769 4 5
15. POINTS OF CONTACT
NAME MAIL STOP TELEPHONE E-MAI L ADDRESS
TECHN ICAL OFFICER
NEGOTIATOR
ADMINISTRATOR
PAYMENTS
16. THIS AWARD IS MADE UNDER THE AUTHORITY OF :
P .L . 116-6
17 . APPLICABLE STATEMENT(S), IF CHECKED: 16. APPLICABLE ENCLOSURE(S), IF CHECKED:
□ NO CHANGE IS MADE TO EXISTING PROVISIONS □ PROVISIONS [Kj SPECIAL CONDIT IONS
IB) FDP TERMS AND CONDITION S AND THE AGENCY-SPECIFIC □ REQUIRED PU BLICATIONS AND REPORTS
REQU IREMENTS APPLY TO THIS GRANT
(.n, UNITED A s OF AMERICA COOPERATIVE A GREEMENT RECIPIENT
A l
COtfR,i, '; ~,....'CliR
_ _..._..
.J
JI/NTE 2 6 201
AUTHORIZED REPRESENTATI VE I DATE
Megan sri(}i~ 7f , .... .,._
V
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
ITEM NO
(A)
00010
Grant and Cooperative Agreement
ITEM OR SERVICE (Include Spec1fica~ons and Special Instructions)
(B)
~FDA Number : 15 .904
DUNS Number : 622830511
2019 HPF SHPO -IOWA
Delivery : 09/30/2020
Delivery Location Code : 0009060778
Nation al Park Service
1849 C Street NW
~ashington DC 20240 US
Account Assignm : K G/L Account : 6100 .411G0
Bu sine ss Area : P000 Commitment Item : 4 11G00 Cost
~enter : PPWOCRGR I A Funct ional Area :
PGIHGHGHP .GR0000 Fund : 190PS1 4 0HP Fund Center :
PPWOCRGRIA Project/WES : PX .GCRGR19IA .00 .l PR Acct
1/1.ssign : 01
Period of Performa nce : 10/01/2018 to 09/30/2020
FY19 HPF SHPO -Iowa
bbl igated Amount : $898 ,118 .00
The total amount of award : $898 ,118 .00 . The
~bligation for this award is shown in box 13B .
QUANTITY UNIT
(C) (D)
UN'TPRICE
(El
ESTIMATED COST
Page 2 of3
AMOUNT
{F)
898 ,118 .00
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
Grant Program Catalog of Federal
Function or Domestic Assistance
Activity Number
(a) (b)
115. 904 1 . 8.J.stor1.c
Pres ervation
2 . I
3 . I
4 . I
5 . Totals
Tracking Numbcr:GRANT!2857704
BUDGET INFORMATION -Non -Construction Programs 0MB Number. 4 040-0006
Expiration Date. 02/28/2022
I $ I
I I
I I
I I
s I
SECTION A -BUDGET SUMMARY
Estimated Unobllgated Funds
Federal Non-Federal
(c) (d)
s I $ I
I I
I I
I I
s I $ I
New or Revised Budget
Federal
(e)
898 ,118.001 $ I
I
I I
I I
898 ,118.00 I s I
Non-Federal Total
(f) (g)
590,745. ooj s I 1,4 96 ,863. ool
I
I
I I
-
590,74 5. ool sj 1 ,4 96,863.001
Standard Form 424A (Rev. 7-97)
Prescribed by 0MB (Circular A -102) Page 1
Funding Opportunity Number:Pl9AS00l34 Rece ived Datc:May 16, 2019 04:37:38 PM EDT
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
6. Object Class Categories
a. Personnel
b . Fringe Benefits
c . Travel
d. Equipment
e. Supplies
f. Contractual
g. Construction
h . Other
i. Total Direct Charges (sum of 6a -6h)
j . Indirect Charges
k. TOTALS (sum of Si and 6j)
7. Program Income
Tracking Numbcr:GRANT12857704
SECTION B -BUDGET CATEGORIES
GRANT PROGRAM, FUNCTION OR ACTIVITY
(1) (2) (3) (4)
Historic N/A N/A
Pr eservation
$1 8 4 ,836 . ooJ $ I 1a5, 993 . ooJ $ $
I 4 6,10 4 .001 I 271,306.001
I 16,800.001
!
I 9,713. ooJ
I 132,111. ooJ I 150, ooo. ooJ
I 130,940. ooJ I 1,215,923.001 I 150, ooo. ooJ
I
$ I 130,94 0. ooJ $1 1,215,923. ooJ $ I 150 ,000.00 1 $
$I I $ I $ $
Authorized for Local Reproduction
Total
(5)
$1 010, 029. ooJ
I 317,410.001
I 16,800.001
I I
I 9,713.001
I
I I
I 202,111. ooJ
$1 1,4 96 , B63. ooJ
$I
$1 1 ,496 ,863.001
$I
Standard Form 424A (Rev 7-97)
Prescribed by 0MB (Ci rcular A -102) Page 1 A
Funding Oppor tunity Number:P 19AS00134 Received Date:May 16, 2019 04:37:38 PM EDT
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
SECTION C • NON-FEDERAL RESOURCES
(a) Grant Program (b) Applicant (c) State (d) Other Sources (e)TOTALS
8 _ !Non-Federal Match Supplied by Grante e I $ I 530,745. oo j $ I $ I I $ I 538, 745.ooj
9. !Non-Federal Match for CLG Pass-Through Subgrants
I
I I I I 60, ooo .ooj I 60,000.001
10. I I I I I I
11 . I I I I I I
12. TOTAL (sum of lines 8-11) $ I 530, 7 45 .oo j $ I $ I 60,000 .ooj $1 598,745. ooj
SECTION D • FORECASTED CASH NEEDS
Total for 1st Year 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter
13. Fede ral sl s l I $I sl $1 I
14. Non-Federal sl I I I I I I
15. TOTAL (sum of lines 13 and 14) sl s l I $I sl $I I
SECTION E -BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
(a) Grant Program
16. ,Ristoric Prese rvation
17.
18.
19.
20. TOTAL (sum of lines 16 -19)
21 . Direct Charges: I
23. Remarks : I
Tracking Number:GRANT1285770•J
FUTURE FUNDING PERIODS (YEARS)
(b)First (c) Second
I s I I sf
I l I
I l f
I l f
$ I s[
SECTION F -OTHER BUDGET INFORMATION
I 122. Indirect Charges : [
Authorized for Local Reproduction
SI
I
I
I
sl
(d) Third (e) Fourth
SI I
I I
I I
I I
$1 I
I
I
Standard Form 424A (Rev 7-97)
Prescribed by 0 MB (Circular A -102) Page 2
Funding Opportunity Number:Pl 9AS00134 Rece ived Datc:May 16, 2019 04:37:38 PM EDT
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
0MB Number· 404 0-0007
Expiration D ate . 02/28/2022
ASSURANCES -NON-CONSTRUCTION PROGRAMS
Public reporting burden for this collection of 1nformat1on is estimated to average 15 minutes per response , including time for reviewing
instructions, searching existing data sources, gathering a nd 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: Certa in of these assurances may not be applicable to your proiect 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 in stitu tional , managerial and financial capability
(i ncluding funds sufficient to pay the non-Federal share
of project cost) to ensure proper planning , management
and completion of the project described in this
appl ication
2 Will g ive the awarding agency, the Comptroller General
of the United States and , 1f appropriate, the State,
through any authorized representative, access to and
the nght to examine all records , books , papers, or
documents related to the award , and w ill establish a
proper accounting system 1n accordance with generally
accepted accounting standards or agency directives
3. Will establish safeguards to proh1b1t 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
1970 (42 USC §§4728-4763) relating to prescribed
standards for ment systems for programs funded under
one of the 19 statutes or regulations specified 1n
Appendix A of OPM 's Standards for a Ment System of
Personnel Administration (5 C .F.R. 900, Subpart F)
6 Will comply with all Federal statutes re lating to
nondiscrimination. These include but are not lim ited to.
(a) Title VI of the Civil Rights Act of 1964 (PL. 88-352)
which proh1b1ts discrim1nat1on on the basis of race , color
or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 USC §§1681 -
1683, and 1685-1686), which proh1 b1ts d1s crimi nat1o n on
the basis of sex, (c) Section 504 of the Rehabilitation
Pr evious E dition Usable
Act of 1973, as amended (2 9 U.S.C §794), which
prohibits d1scrim1nation on the basis of hand icaps, (d )
the Age D1scnm1nation 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 nondiscriminatio n on the basis of drug
abuse, (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention , Treatment and Rehabilita tion
Act of 1970 (P.L. 91 -616), as amended , relating to
nond1scnm1nation on the bas is 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 alcoho l
and drug abuse patient records , (h ) Title VIII of the Civi l
Rights Act of 1968 (42 U.S C §§3601 et seq.), as
amended , relating to nondiscrimination in t he sale,
rental or financing of housing , (i) any other
nond iscrimination provisions in th e specific statute(s)
under which application for Federal assistance 1s being
made; and , 0) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
7. Will comply, or has already complied, w ith the
requirements of Titles II and Il l of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L 91-646) which provide for
fair and equitable treatment o f persons displaced or
whose property 1s acquired as a result of Federal or
federally-assisted programs These requirements
apply to all interests in real property acquired fo r
proiect purposes regardless of Federal participation in
purchases.
B Will comply , as applicable , w ith provisions of the
Hatch Act (5 USC §§1501 -1508 and 7324 -7328)
which li mit the pol1t1cal act1v1t1es of employees whose
principal employment act1v1t1es a re funded in w hole
or 1n part with Federal funds .
Authorized for Local Reproduction
Standard Form 424B (Rev. 7-97)
Prescribed by 0 MB Ci rcular A-102
Tracking Numbcr:GRANTl28 57704 Funding Opportunity Numbcr:Pl 9AS00 l 34 Re ceived Date:May 16. 2019 04:37:38 PM EDT
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
9 Will comply , as applicable , with the provisions of the Davis-
Bacon Act (40 U SC §§276a to 276a-7), the Copeland Act
(40 U.S .C. §276c and 18 USC §874), and the Contract
Work Hours and Safety Standards Act (40 USC §§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
recip ients in a special flood hazard area to participate In the
program and to purchase flo od insurance if the total cost of
insurable construction and acquisition Is $10,000 or more.
11 Will comply with environmental standards wh ich may be
prescribed pursuant to the following (a) 1nstItutIon 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 w ith 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
Dnnk1ng 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 (PL. 93-
205)
12. Will comply with the Wild and Scenic Rivers Act of
1968 (16 USC §§1271 et seq .) related to protecting
components or potential components of the national
wild and scenic nvers system
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
jchris Kramer
APPLICANT ORGANIZATION
jstat e Historical Society of Iowa
I
13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 USC §470), EO
11593(1dentification and protection of historic
properties), and the Archaeological and H1stonc
Preservation Act of 1974 (16 USC. §§469a-1 et seq .)
14 Will comply with PL 93-348 regarding the protection of
human subJects involved in research, development, and
related activities supported by this award of assistance
15 Will comply w ith the Laboratory Anima l Welfare Act of
1966 (PL. 89-544, as amended , 7 USC §§2131 et
seq ) pertaining to the care , hand ling , and treatmen t of
warm blooded animals held fo r research , teaching, or
other activities supported by th is award of assistance
16 Will comply with the Lead-Based Paint Po isoning
Prevention Act (42 U S.C §§4801 et seq ) wh ich
prohibits the use of lead-based paint In construction or
rehabilitation of residence structures
17 Will cause to be performed the required fin ancial and
compliance audits In accordance with the Single Audit
Act Amendments of 1996 and 0MB Circular No A-133,
"Audits of States, Local Governments , and Non-Profit
Organizations "
18. Will comply with all applicable requirements of all other
Federal laws , executive orders, regu lations , and po licies
governing this program
19 Will comply w ith the requ irements of Section 106(g) of
the Trafficking Victims Protection Act (TVPA) of 2000, as
amended (22 U S C 7104) which proh1b1ts grant award
recipients or a sub-rec1p1ent from (1) Engag ing In severe
forms of traffick ing In persons dunng th e penod of tim e
that the award is in effect (2) Procuring a commercial
sex act during the penod of time that the award is In
effect or (3) Using forced labor In the performance of the
award or subawards under the award
TITLE
loirector, Iowa Department of Cultural Affairs I
DATE SUBMITTED
I jos/16/2019 I
Standard Form 424B (Rev. 7-97) Back
Trackme Number:GRANTi 2857704 Fundmg Opportunity Nurnber:P l9AS00 134 Received Date:May 16, 20 l 9 04:37:38 PM EDT
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47
Grant Agreement P19AF00030
06/26/2019
Page 1 of 40
Grant Agreement
GRANT AGREEMENT NUMBER P19AF00030
Between
THE UNITED STATES DEPARTMENT OF INTERIOR
NATIONAL PARK SERVICE
AND
IOWA DEPARTMENT OF CULTURAL AFFAIRS
DUNS No: 622830511
CFDA: 15.904
Project Title: State Historic Preservation Office Fiscal Year 2019 HPF Grant
Amount of Federal Funds Obligated: $898,118.00
Amount of Non-Federal Funding: $598,745.00
Total Amount of Federal Award: $1,496,863.00
Period of Performance: October 1, 2018 through September 30, 2020
This Grant Agreement is entered into by the U.S. Department of the Interior, National Park
Service (NPS), and the Iowa Department of Cultural Affairs (Recipient).
Table of Contents
ARTICLE I – LEGAL AUTHORITIES 2
ARTICLE II – PROJECT GOALS AND OBJECTIVES 2
ARTICE III – PUBLIC PURPOSE 2
ARTICLE IV – STATEMENT OF WORK 2
ARTICLE V – RESPONSIBILITIES OF THE PARTIES 3
ARTICLE VI – COST-SHARE REQUIREMENT 3
ARTICLE VII – PRE-AWARD INCURRENCE OF COSTS 3
ARTICLE VIII – APPROVED INDIRECT RATE 3
ARTICLE IX – TERM OF AGREEMENT 3
ARTICLE X – KEY OFFICIALS 4
ARTICLE XI – AWARD AND PAYMENT 5
ARTICLE XII – PRIOR APPROVAL 7
ARTICLE XIII – INSURANCE AND LIABILITY 7
ARTICLE XIV – REPORTS AND/OR OUTPUTS/OUTCOMES 8
ARTICLE XV – PROPERTY UTILIZATION 9
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ARTICLE XVI – MODIFICATION, REMEDIES FOR NONCOMPLIANCE, TERMINATION
9
ARTICLE XVII – GENERAL AND SPECIAL PROVISIONS 10
ARTICLE XVIII – ATTACHMENTS 23
ARTICLE XIX – SIGNATURES 24
Attachment A 25
Attachment B 35
Attachment C 36
Attachment D 40
ARTICLE I – LEGAL AUTHORITIES
The NPS enters into this Agreement pursuant to:
• National Historic Preservation Act (NHPA), 54 U.S.C 300.101 et. sq.
• Historic Preservation Fund Grants Manual, 2007 and subsequent memos and guidance.
• Consolidated Appropriations Act, 2019, P.L. 116-6
• 54 U.S.C. §302902(a) Grants to States
• 54 U.S.C. §302701(a) Grants to Indian Tribes and Native Hawaiian Organizations
ARTICLE II – PROJECT GOALS AND 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. 300101 et seq. (commonly known as the National
Historic Preservation Act).
ARTICE III – PUBLIC PURPOSE
Annual Historic Preservation Fund grants to the 59 State Historic Preservation Offices (SHPO)
support 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 to their
NPS approved State Historic Preservation Plans.
ARTICLE IV – STATEMENT OF WORK
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A. The Statement of Work to be performed in accordance with the Secretary of the Interior’s
Standards and Guidelines for Historic Preservation and Archeology 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
U.S.C 300.101 et. sq., and in the Historic Preservation Grant Fund Manual.
ARTICLE V – RESPONSIBILITIES OF THE PARTIES
A. The Recipient agrees to:
1. Perform work in accordance with the Secretary of the Interior’s Standards and
Guidelines for Historic Preservation and Archeology in the assigned mandatory program
areas as defined by the National Historic Preservation Act.
B. 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,
technical assistance at the request of the recipient.
ARTICLE VI – COST-SHARE REQUIREMENT
At least 40% non-Federal cost-share is required for costs incurred under this Agreement. If pre-
award costs are authorized, reimbursement of these costs is limited to Federal cost share
percentage identified in this agreement.
ARTICLE VII – PRE-AWARD INCURRENCE OF COSTS
The Recipient is not authorized to incur costs prior to the Start date of this Agreement (October
1, 2018).
ARTICLE VIII – APPROVED INDIRECT RATE
The federally-negotiated indirect rate plus administrative costs to be applied against this
agreement, by statute 54 U.S.C. § 302902, of the National Historic Preservation Act
(NHPA), shall not exceed 25% of the total budget (federal plus matching share).
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The Recipient has chosen to not use a federally approved negotiated indirect cost rate.
ARTICLE IX – TERM OF AGREEMENT
The Agreement will become effective upon the recipient’s first withdrawal of grant funds
(Effective Date) and will expire on September 30, 2020 (Expiration Date), unless terminated
earlier per Article XI. However, the period from October 1, 2018 to September 30, 2020 is the
period of performance for the Agreement (Agreement Term). Allowable costs incurred during
the period of performance may be charged to the grant. Funds will no longer be accessible via
ASAP 90 days after the end date.
ARTICLE X – KEY OFFICIALS
A. Key officials are essential to ensure maximum coordination and communications between
the parties and the work being performed. They are:
1. For the NPS:
Awarding Officer (AO):
Megan J. Brown, Chief
State, Tribal, Local, Plans and Grants
Agreement Technical Representative (ATR):
Grants Management Specialist
State, Tribal, Local, Plans and Grants
Contact Info for AO and ATR:
National Park Service
1849 C Street NW, Stop 7360
Washington, DC 20240
202-354-2020
STLPG@nps.gov
(note mail sent USPS may be irradiated)
2. For the Recipient:
State Historic Preservation Officer
Iowa Department of Cultural Affairs
Department of Cultural Affairs
600 E Locust St Room 2007
Des Moines, IA 50319 - 0290
515-281-4013
Chris.Kramer@iowa.gov
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B. Communications. Recipient shall address any communication regarding this Agreement
to the ATR with a copy to the AO. Communications that relate solely to technical matters
may be sent only to the ATR.
C. 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.
ARTICLE XI – AWARD AND PAYMENT
A. The NPS will provide funding to the Recipient in an amount not to exceed $898,118.00
for the Statement of Work described in Article IV and in accordance with the NPS
approved budget. The approved budget detail is incorporated herein, Attachment E. 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.
B. Recipient shall request payment in accordance with the following:
1. Method of Payment. Paym ent 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.
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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 funds, 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.
C. In order to receive a financial assistance award and to ensure proper payment, it is
required that the Recipient maintain their registration with the System for Award
Management (SAM), accessed at http://www.sam.gov. Failure to maintain registration
can impact obligations and payments under this Agreement and/or any other financial
assistance or procurement documents the Recipient may have with the Federal
government.
D. 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.
E. 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.
F. Travel Costs. For travel costs charged against awards under the Agreement, costs
incurred must be considered reasonable and otherwise allowable only to the extent such
costs do not exceed charges normally allowed by the Recipient in its regular operations as
a result of the Recipient’s written travel policy. If the Recipient does not have written
travel policies established, the Recipient and its contractors shall follow the travel
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policies in the Federal Travel Regulation, and may not be reimbursed for travel costs that
exceed the standard rates. All charges for travel must conform to the applicable cost
principles.
G. Indirect Costs. Indirect costs will not be allowable charges against the award unless
specifically included as a line item in the approved budget incorporated into the award.
H. 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 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.
ARTICLE XII – PRIOR APPROVAL
The Recipient shall obtain prior approval for budget and program revisions, in accordance with 2
CFR 200.308.
ARTICLE XIII – INSURANCE AND LIABILITY
A. Insurance. The recipient shall be required to (1) obtain liability insurance or (2)
demonstrate present financial resources in an amount determined sufficient by the
Government to cover claims brought by third parties for death, bodily injury, property
damage, or other loss resulting from one or more identified activities carried out in
connection with this financial assistance agreement.
B. Insured. The Federal Government shall be named as an additional insured under the
recipient's insurance policy.
C. Indemnification. The recipient hereby agrees to indemnify the Federal government, and
the NPS from any act of omission of the Recipient, its officers, employees, or (members,
participants, agents, representatives, as appropriate), (1) against third party claims for
damages arising from one or more identified activities carried out in connection with this
financial assistance agreement and (2) for damage or loss to government property
resulting from such an activity. This obligation shall survive the termination of this
Agreement
D. To purchase public and employee liability insurance at its own expense from a
responsible company or companies with a minimum limitation of one million dollars
($1,000,000) per person for anyone claim, and an aggregate limitation of three million
dollars ($3,000,000) for any number of claims arising from any one incident. The
policies shall name the United States as an additional insured, shall specify that the
insured shall have no right of subrogation against the United States for payments of any
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premiums or deductibles due thereunder, and shall specify that the insurance shall be
assumed by, be for the account of, and be at the insured's sole risk. Prior to beginning the
work authorized herein, [Recipient Name] shall provide the NPS with confirmation of
such insurance coverage.
To pay the United States the full value for all damage to the lands or other property of the
United States caused by the Recipient, its officers, employees, or representatives.
To provide workers' compensation protection to the Recipient, its officers, employees,
and representatives.
To cooperate with the NPS in the investigation and defense of any claims that may be
filed with the NPS arising out of the activities of the Recipient, its agents, and employees.
In the event of damage to or destruction of the buildings and facilities assigned for the
use of the Recipient in whole or in part by any cause whatsoever, nothing herein
contained shall be deemed to require the NPS to replace or repair the buildings or
facilities. If the NPS determines in writing, after consultation with the Recipient that
damage to the buildings or portions thereof renders such buildings unsuitable for
continued use by the Recipient, the NPS shall assume sole control over such buildings or
portions thereof If the buildings or facilities rendered unsuitable for use are essential for
conducting operations authorized under this Agreement, then failure to substitute and
assign other facilities acceptable to the Recipient will constitute termination of this
Agreement by the NPS.
D. 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.
ARTICLE XIV – REPORTS AND/OR OUTPUTS/OUTCOMES
A. 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 (October
1, 2018 – September 30, 2019) including:
i. Completed HPF Online
ii. Signed Carry over statement
iii. Annual SF425, Federal Financial Report
iv. SF428, Tangible Personal Property Report (if NPS approved equipment
purchased)
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2. Final report package reflecting the full period of performance of this award (October 1,
2018 – September 30, 2020) including:
i. Completed HPF Online
ii. SF425, Final Federal Financial Report
iii. SF428, Tangible Personal Property Report (if NPS approved equipment
purchased)
iv. Copies of all Indirect Cost Rate Agreements applied against under this
grant
v. Grant product submissions
B. The annual report package shall be submitted no later than December 31, 2019 and cover the
reporting period of 10/01/2018– 09/30/2019.
C. The final report package shall be submitted no later than December 31, 2020 and cover the
full reporting period of 10/01/2018 – 09/30/2020.
D. 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.
ARTICLE XV – PROPERTY UTILIZATION
All tools, equipment, and facilities furnished by the 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 200.310 through
200.316 applies to this Agreement.
ARTICLE XVI – MODIFICATION, REMEDIES FOR NONCOMPLIANCE,
TERMINATION
A. 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.
B. Additional conditions may be imposed by the 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 200.338.
C. This Agreement may be terminated consistent with applicable termination provisions for
Agreements found in2 CFR 200.339 through 200.342.
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ARTICLE XVII – GENERAL AND SPECIAL PROVISIONS
A. General Provisions
1. OMB Circulars and Other Regulations. The following Federal regulations are
incorporated by reference into this Agreement (full text can be found at
http://www.ecfr.gov:
a) Administrative Requirements:
2 CFR, Part 200 – Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards, in its entirety;
b) Determination of Allowable Costs:
2 CFR, Part 200 – Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards, Subpart E; and
c) Audit Requirements:
2 CFR, Part 200 – Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards, Subpart F.
d) Code of Federal Regulations/Regulatory Requirements:
2 CFR Part 182 & 1401, “Government–wide Requirements for a Drug–Free
Workplace”;
2 CFR 180 & 1400, “Non–Procurement Debarment and Suspension”, previously
located at 43 CFR Part 42, “Governmentwide Debarment and Suspension
(NonProcurement)”;
43 CFR 18, “New Restrictions on Lobbying”;
2 CFR Part 175, “Trafficking Victims Protection Act of 2000”;
FAR Clause 52.203–12, Paragraphs (a) and (b), Limitation on Payments to
Influence Certain Federal Transactions;
2 CFR Part 25, System for Award Management (www.SAM.gov) and Data
Universal Numbering System (DUNS); and
2 CFR Part 170, “Reporting Subawards and Executive Compensation”.
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2. Non–Discrimination. All activities pursuant to this Agreement shall be in compliance
with the requirements of Executive Order 11246, as amended; Title VI of the Civil Rights
Act of 1964, as amended, (78 Stat. 252; 42 U.S.C. §§2000d et seq.); Title V, Section 504
of the Rehabilitation Act of 1973, as amended, (87 Stat. 394; 29 U.S.C. §794); the Age
Discrimination Act of 1975 (89 Stat. 728; 42 U.S.C. §§6101 et seq.); and with all other
Federal laws and regulations prohibiting discrimination on grounds of race, color, sexual
orientation, national origin, disabilities, religion, age, or sex.
3. 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 31. 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. 110–161) also apply.
4. 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.
5. 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. The 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.
6. Assignment. No part of this Agreement shall be assigned to any other party without prior
written approval of the NPS and the Assignee.
7. 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.
8. Agency. The Recipient is not an agent or representative of the United States, the
Department of the Interior, the NPS, or the Park, nor will the Recipient represent itself as
such to third parties. NPS employees are not agents of the Recipient and will not act on
behalf of the Recipient.
9. Non–Exclusive Agreement. This Agreement in no way restricts the Recipient or the
NPS from entering into similar agreements, or participating in similar activities or
arrangements with other public or private agencies, organizations, or individuals.
10. Survival. Any and all provisions which, by themselves or their nature, are reasonably
expected to be performed after the expiration or termination of this Agreement shall
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survive and be enforceable after the expiration or termination of this Agreement. Any and
all liabilities, actual or contingent, which have arisen during the term of and in connection
with this Agreement shall survive expiration or termination of this Agreement.
11. 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.
12. Captions and Headings. The captions, headings, article numbers and paragraph numbers
appearing in this Agreement are inserted only as a matter of convenience and in no way
shall be construed as defining or limiting the scope or intent of the provision of this
Agreement nor in any way affecting this Agreement.
13. No Employment Relationship. This Agreement is not intended to and shall not be
construed to create an employment relationship between the 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.
14. No Third–Party Rights. This Agreement creates enforceable obligations between only
the 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.
15. Foreign Travel. The Recipient shall comply with the provisions of the Fly America Act
(49 U.S.C. 40118). The implementing regulations of the Fly America Act are found at 41
CFR 301–10.131 through 301–10.143.
16. 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 the agreement
closeout process.
B. Special Provisions – [Refer to the As Needed Terms and Conditions to add special
provisions based on project and program specifics]
1. Public Information and Endorsements
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a) Recipient shall not publicize or otherwise circulate promotional material (such as
advertisements, sales brochures, press releases, speeches, still and motion
pictures, articles, manuscripts or other publications) which states or implies
governmental, Departmental, bureau, or government employee endorsement of a
business, product, service, or position which the Recipient represents. No release
of information relating to this award may state or imply that the Government
approves of the Recipient’s work products, or considers the Recipient’s work
product to be superior to other products or services.
b) All information submitted for publication or other public releases of information
regarding this project shall carry the following disclaimer.
“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) Recipient must obtain prior Government approval for any public information
releases concerning this award which refer to the Department of the Interior or
any bureau or employee (by name or title). The specific text, layout photographs,
etc. of the proposed release must be submitted with the request for approval.
d) Recipient further agrees to include this provision in a subaward to a subrecipient,
except for a subaward to a state government, a local government, or to a federally
recognized tribal government.
2. Publications of Results of Studies. No party will unilaterally publish a joint publication
without consulting the other party. This restriction does not apply to popular publications
of previously published technical matter. Publications pursuant to this Agreement may be
produced independently or in collaboration with others; however, in all cases proper
credit will be given to the efforts of those parties contribution to the publication. In the
event no agreement is reached concerning the manner of publication or interpretation of
results, either party may publish data after due notice and submission of the proposed
manuscripts to the other. In such instances, the party publishing the data will give due
credit to the cooperation but assume full responsibility for any statements on which there
is a difference of opinion.
3. 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.
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4. Retention and Access Requirements for Records. All Recipient financial and
programmatic records, supporting documents, statistical records, and other grants–related
records shall be maintained and available for access in accordance with 2 CFR Part
200.333–200.337.
5. Audit Requirements
a) Non–Federal entities that expend $750,000 or more during a year in Federal
awards shall have a single or program–specific audit conducted for that year in
accordance with the Single Audit Act Amendments of 1996 (31 U.S.C. 7501–
7507) and 2 CFR Part 200, Subpart F , which is available at
http://www.ecfr.gov/cgi–bin/text–
idx?SID=fd6463a517ceea3fa13e665e525051f4&node=sp2.1.200.f&rgn=div6
b) Non–Federal entities that expend less than $750,000 for a fiscal year in Federal
awards are exempt from Federal audit requirements for that year, but records must
be available for review or audit by appropriate officials of the Federal agency,
pass–through entity, and General Accounting Office (GAO).
c) Audits shall be made by an independent auditor in accordance with generally
accepted government auditing standards covering financial audits. Additional
audit requirements applicable to this agreement are found at 2 CFR Part 200,
Subpart F, as applicable. Additional information on single audits is available from
the Federal Audit Clearinghouse at http://harvester.census.gov/sac/.
6. Procurement Procedures. A full description of procurement standards can be found in 2
CFR §200.317-§200.326.
7. Prohibition on Text Messaging and Using Electronic Equipment Supplied by the
Government while Driving. Executive Order 13513, Federal Leadership On Reducing
Text Messaging While Driving, was signed by President Barack Obama on October 1.
This Executive Order introduces a Federal Government–wide prohibition on the use of
text messaging while driving on official business or while using Government–supplied
equipment. Additional guidance enforcing the ban will be issued at a later date. In the
meantime, please adopt and enforce policies that immediately ban text messaging while
driving company–owned or –rented vehicles, government–owned or leased vehicles, or
while driving privately owned vehicles when on official government business or when
performing any work for or on behalf of the government.
8. Seat Belt Provision. The Recipient is encouraged to adopt and enforce on–the–job seat
belt use policies and programs for their employees when operating company–owned,
rented, or personally owned vehicles. These measures include, but are not limited to,
conducting education, awareness, and other appropriate programs for their employees
about the importance of wearing seat belts and the consequences of not wearing them.
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9. Trafficking in Persons. This term of award is pursuant to paragraph (g) of Section 106
of the Trafficking Victims Protections Act of 2000, as amended (2 CFR §175.15).
10. Recipient Employee Whistleblower Rights and Requirement to Inform Employees
of Whistleblower Rights
a) This award and employees working on this financial assistance agreement will be
subject to the whistleblower rights and remedies in the pilot program on Award
Recipient employee whistleblower protections established at 41 U.S.C. 4712 by
section 828 of the National Defense Authorization Act for Fiscal Year 2013 (Pub.
L. 112–239).
b) The Award Recipient shall inform its employees in writing, in the predominant
language of the workforce, of employee whistleblower rights and protections
under 41 U.S.C. 4712.
c) The Award Recipient shall insert the substance of this clause, including this
paragraph (c), in all subawards or subcontracts over the simplified acquisition
threshold, 42 CFR § 52.203–17 (as referenced in 42 CFR § 3.908–9).
11. Reporting Subawards and Executive Compensation.
Recipients must report all subaward and executive compensation data pursuant to the
Federal Funding Accountability and Transparency Act (FFATA) of 2006 and associate
amendments (P.L. 109-282, as amended by section 6202(a) of P.L. 110-252 (see 31
U.S.C. 6101 note)). Refer to https://www.fsrs.gov/ for more information.
12. Conflict of Interest
(a) 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.
(b) 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.
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(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 funding 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.
(c) Notification.
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.
(d) 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.
(e) 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.
(f) 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 200.338,
Remedies for Noncompliance, including suspension or debarment (see also 2 CFR
Part 180).
13. Minimum Wages Under Executive Order 13658 (January 2015)
a) Definitions. As used in this clause—
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“United States” means the 50 states and the District of Columbia.
“Worker”—
(1) Means any person engaged in performing work on, or in connection with,
an agreement covered by Executive Order 13658, and
(i) Whose wages under such agreements are governed by the Fair Labor
Standards Act (29 U.S.C. chapter 8), the Service Contract Labor Standards
statute (41 U.S.C. chapter 67), or the Wage Rate Requirements
(Construction) statute (40 U.S.C. chapter 31, subchapter IV),
(ii) Other than individuals employed in a bona fide executive,
administrative, or professional capacity, as those terms are defined in 29
C.F.R. § 541,
(iii) Regardless of the contractual relationship alleged to exist between the
individual and the employer.
(2) Includes workers performing on, or in connection with, the agreement
whose wages are calculated pursuant to special certificates issued under 29
U.S.C. § 214(c).
(3) Also includes any person working on, or in connection with, the agreement
and individually registered in a bona fide apprenticeship or training program
registered with the Department of Labor's Employment and Training
Administration, Office of Apprenticeship, or with a State Apprenticeship
Agency recognized by the Office of Apprenticeship.
b) Executive Order Minimum Wage rate.
(1) The non-Federal entity shall pay to workers, while performing in the
United States, and performing on, or in connection with, this agreement, a
minimum hourly wage rate determined by the Secretary of the Department of
Labor on an annual basis (currently $10.20 per hour as of January 1, 2017).
(2) The non-Federal entity shall adjust the minimum wage paid, if necessary,
annually thereafter, to meet the Secretary of Labor's annual E.O. minimum
wage. The Administrator of the Department of Labor's Wage and Hour
Division (the Administrator) will publish annual determinations in the Federal
Register no later than 90 days before the effective date of the new E.O.
minimum wage rate. The Administrator will also publish the applicable E.O.
minimum wage on www.wdol.gov (or any successor Web site) and on all
wage determinations issued under the Service Contract Labor Standards
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statute or the Wage Rate Requirements (Construction) statute. The applicable
published E.O. minimum wage is incorporated by reference into this
agreement.
(3) (i) The non-Federal entity may request a price adjustment only after the
effective date of the new annual E.O. minimum wage determination.
Prices will be adjusted only if labor costs increase as a result of an
increase in the annual E.O. minimum wage, and for associated labor costs
and relevant subaward costs. Associated labor costs shall include
increases or decreases that result from changes in social security and
unemployment taxes and workers' compensation insurance, but will not
otherwise include any amount for general and administrative costs,
overhead, or profit.
(ii) Subrecipients may be entitled to adjustments due to the new minimum
wage, pursuant to paragraph (b)(2). Non-Federal entities shall consider
any Subrecipient requests for such price adjustment.
(iii) The Financial Assistance Awarding Officer will not adjust the
agreement price under this clause for any costs other than those identified
in paragraph (b)(3)(i) of this clause, and will not provide duplicate price
adjustments with any price adjustment under clauses implementing the
Service Contract Labor Standards statute or the Wage Rate Requirements
(Construction) statute.
(4) The non-Federal entity warrants that the prices in this agreement do not
include allowance for any contingency to cover increased costs for which
adjustment is provided under this clause.
(5) The non-Federal entity shall pay, unconditionally to each worker, all
wages due free and clear without subsequent rebate or kickback. The non-
Federal entity may make deductions that reduce a worker's wages below the
E.O. minimum wage rate only if done in accordance with 29 C.F.R. § 10.23,
Deductions.
(6) The non-Federal entity shall not discharge any part of its minimum wage
obligation under this clause by furnishing fringe benefits or, with respect to
workers whose wages are governed by the Service Contract Labor Standards
statute, the cash equivalent thereof.
(7) Nothing in this clause shall excuse the non-Federal entity from compliance
with any applicable Federal or State prevailing wage law or any applicable
law or municipal ordinance establishing a minimum wage higher than the
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E.O. minimum wage. However, wage increases under such other laws or
municipal ordinances are not subject to price adjustment under this subpart.
(8) The non-Federal entity shall pay the E.O. minimum wage rate whenever it
is higher than any applicable collective bargaining agreement(s) wage rate.
(9) The non-Federal entity shall follow the policies and procedures in 29
C.F.R. § 10.24(b) and 10.28 for treatment of workers engaged in an
occupation in which they customarily and regularly receive more than $30 a
month in tips.
c)
(1) This clause applies to workers as defined in paragraph (a). As provided in
that definition—
(i) Workers are covered regardless of the contractual relationship alleged
to exist between the non-Federal entity or subrecipient and the worker;
(ii) Workers with disabilities whose wages are calculated pursuant to
special certificates issued under 29 U.S.C. § 214(c) are covered; and
(iii) Workers who are registered in a bona fide apprenticeship program or
training program registered with the Department of Labor's Employment
and Training Administration, Office of Apprenticeship, or with a State
Apprenticeship Agency recognized by the Office of Apprenticeship, are
covered.
(2) This clause does not apply to—
(i) Fair Labor Standards Act (FLSA) – covered individuals performing in
connection with contracts covered by the E.O., i.e. those individuals who
perform duties necessary to the performance of the agreement, but who are
not directly engaged in performing the specific work called for by the
agreement, and who spend less than 20 percent of their hours worked in a
particular workweek performing in connection with such agreements;
(ii) Individuals exempted from the minimum wage requirements of the
FLSA under 29 U.S.C. § 213(a) and 214(a) and (b), unless otherwise
covered by the Service Contract Labor Standards statute, or the Wage Rate
Requirements (Construction) statute. These individuals include but are
not limited to—
(A) Learners, apprentices, or messengers whose wages are calculated
pursuant to special certificates issued under 29 U.S.C. § 214(a).
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(B) Students whose wages are calculated pursuant to special
certificates issued under 29 U.S.C. § 214(b).
(C) Those employed in a bona fide executive, administrative, or
professional capacity (29 U.S.C. § 213(a)(1) and 29 C.F.R. § part 541).
d) Notice. The non-Federal entity shall notify all workers performing work on, or in
connection with, this agreement of the applicable E.O. minimum wage rate under
this clause. With respect to workers covered by the Service Contract Labor
Standards statute or the Wage Rate Requirements (Construction) statute, the
Contractor may meet this requirement by posting, in a prominent and accessible
place at the worksite, the applicable wage determination under those statutes.
With respect to workers whose wages are governed by the FLSA, the non-Federal
entity shall post notice, utilizing the poster provided by the Administrator, which
can be obtained at www.dol.gov/whd/govcontracts, in a prominent and accessible
place at the worksite. Non-Federal entities that customarily post notices to
workers electronically may post the notice electronically provided the electronic
posting is displayed prominently on any Web site that is maintained by the non-
Federal entity, whether external or internal, and customarily used for notices to
workers about terms and conditions of employment.
e) Payroll Records.
(1) The non-Federal entity shall make and maintain records, for three years
after completion of the work, containing the following information for each
worker:
(i) Name, address, and social security number;
(ii) The worker's occupation(s) or classification(s);
(iii) The rate or rates of wages paid;
(iv) The number of daily and weekly hours worked by each worker;
(v) Any deductions made; and
(vi) Total wages paid.
(2) The non-Federal entity shall make records pursuant to paragraph (e) (1) of
this clause available for inspection and transcription by authorized
representatives of the Administrator. The non-Federal entity shall also make
such records available upon request of the Contracting Officer.
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(3) The non-Federal entity shall make a copy of the agreement available, as
applicable, for inspection or transcription by authorized representatives of the
Administrator.
(4) Failure to comply with this paragraph (e) shall be a violation of 29 C.F.R.
§ 10.26 and this agreement. Upon direction of the Administrator or upon the
Financial Assistance Awarding Officer’s own action, payment shall be
withheld until such time as the noncompliance is corrected.
(5) Nothing in this clause limits or otherwise modifies the non-Federal entity’s
payroll and recordkeeping obligations, if any, under the Service Contract
Labor Standards statute, the Wage Rate Requirements (Construction) statute,
the Fair Labor Standards Act, or any other applicable law.
f) Access. The non-Federal entity shall permit authorized representatives of the
Administrator to conduct investigations, including interviewing workers at the
worksite during normal working hours.
g) Withholding. The Financial Assistance Awarding Officer, upon his or her own
action or upon written request of the Administrator, will withhold funds or cause
funds to be withheld, from the non-Federal entity under this or any other Federal
agreement with the same non-Federal entity, sufficient to pay workers the full
amount of wages required by this clause.
h) Disputes. Department of Labor has set forth in 29 C.F.R. § 10.51, Disputes
concerning non-Federal entity compliance, the procedures for resolving disputes
concerning a non-Federal entity’s compliance with Department of Labor
regulations at 29 C.F.R. § 10. Such disputes shall be resolved in accordance with
those. This includes disputes between the non-Federal entity (or any of its
Subrecipients) and the contracting agency, the Department of Labor, or the
workers or their representatives.
i) Antiretaliation. The non-Federal entity shall not discharge or in any other manner
discriminate against any worker because such worker has filed any complaint or
instituted or caused to be instituted any proceeding under or related to compliance
with the E.O. or this clause, or has testified or is about to testify in any such
proceeding.
j) Subcontractor compliance. The non-Federal entity is responsible for Subrecipient
compliance with the requirements of this clause and may be held liable for unpaid
wages due Subrecipient workers.
k) Subawards. The non-Federal entity shall include the substance of this clause,
including this paragraph (k) in all subawards, regardless of dollar value, that are
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subject to the Service Contract Labor Standards statute or the Wage Rate
Requirements (Construction) statute, and are to be performed in whole or in part
in the United States.
14. Prohibition on Issuing Financial Assistance Awards to Entities that Require
Certain Internal Confidentiality Agreements: Section 743 of Division E, Title VII of
the Consolidated and Further Continuing Resolution Appropriations Act of 2015 (Pub.
L. 113-235) prohibits the use of funds appropriated or otherwise made available under
that or any other Act for grants or cooperative agreements to an entity that requires
employees or contractors of such entity seeking to report fraud, waste, or abuse to sign
internal confidentiality agreements or statements prohibiting or otherwise restricting
such employees or contractors from lawfully reporting such waste, fraud, or abuse to a
designated investigative or law enforcement representative of a Federal department or
agency authorized to receive such information.
Recipients must not require their employees or contractors seeking to report fraud,
waste, or abuse to sign internal confidentiality agreements or statements prohibiting or
otherwise restricting such employees or contractors from lawfully reporting such waste,
fraud, or abuse to a designated investigative or law enforcement representative of a
Federal department or agency authorized to receive such information.
Recipients must notify their employees or contractors that existing internal
confidentiality agreements covered by this condition are no longer in effect.
15. Data Availability:
(a) Applicability. The Department of the Interior is committed to basing its decisions
on the best available science and providing the American people with enough
information to thoughtfully and substantively evaluate the data, methodology, and
analysis used by the Department to inform its decisions.
(b) Use of Data. The regulations at 2 CFR 200.315 apply to data produced under a
Federal award, including the provision that the Federal Government has the right to
obtain, reproduce, publish, or otherwise use the data produced under a Federal award
as well as authorize others to receive, reproduce, publish, or otherwise use such data
for Federal purposes.
(c) Availability of Data. The recipient shall make the data produced under this award
and any subaward(s) available to the Government for public release, consistent with
applicable law, to allow meaningful third party evaluation and reproduction of the
following:
(i) The scientific data relied upon;
(ii) The analysis relied upon; and
(iii) The methodology, including models, used to gather and analyze data.
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ARTICLE XVIII – ATTACHMENTS
The following documents are attached to and made a part of this Agreement:
Attachment A. Historic Preservation Fund Special Conditions
Attachment B. Environmental Certification
Attachment C. Administrative Costs Memo
Attachment D. Digital Product Submission Guidelines
Attachment E. Approved application forms:
a. SF424-Request for Federal Assistance
b. SF424A – Non-Construction Budget form
c. SF424B – Non-Construction Assurances
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ARTICLE XIX – SIGNATURES
IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the date(s) set
forth below.
RECIPIENT
Recipient’s acceptance of all terms and conditions of the agreement are confirmed by the
recipient’s first draw of funds from the grant funding account.
FOR THE NATIONAL PARK SERVICE
Signature on PRISM cover sheet
______________________________________________________________________
Megan J. Brown Date
Awarding Officer and
Chief, State, Tribal, Local, Plans & Grants
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Attachment A
Historic Preservation Fund Special Conditions
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 they also include:
a. 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 and Inventory, and Tax Incentives;
b. Administrative costs necessary to complete and administer the grant
requirements;
c. Rehabilitation of properties;
i. Eligible properties include historic districts, buildings, sites, structures and
objects listed in the National Register of Historic Places;
ii. All work must meet the Secretary of the Interior’s Standards and
Guidelines for Archeology and Historic Preservation;
iii. All projects receiving repair assistance must enter into a preservation
agreement/covenant/easement;
d. Survey and Inventory of historic resources to determine eligibility;
e. Cost for administering an easement/covenant for the property;
f. Cost for any required audits or financial requests;
g. Cost for the production of a project signs:
h. Costs for public notice of grant opportunities;
i. Costs associated with required training or reporting; and
j. 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:
a. Review and approval of annual and final reporting to include compliance with 2
CFR 200;
b. Review and approval for compliance with the Secretary of the Interior’s
Standards and Guidelines for Archeology and Historic Preservation;
c. Review and approval for compliance with Sections 106 (54 U.S.C. § 306108) and
110f (54 U.S.C. § 306107) of the National Historic Preservation Act in
coordination with the appropriate State Historic Preservation Office;
d. Review and approval for compliance with the National Environmental Protection
Act (NEPA);
e. Review and approval of project signage to notify the public of federal
involvement;
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f. 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. COST SHARING/MATCHING REQUIREMENT
Non-Federal cost-share/match of at least 40% is required for this grant program. The
recipient agrees to contribute $598,745.00 in eligible non-Federal matching contributions that
are allowable, properly 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.
4. ADMINISTRATIVE AND INDIRECT COSTS
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 defines 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).
5. 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:
Low: 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.
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6. 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.
7. 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 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.
8. PATENTS AND INVENTIONS
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 37 CFR 401, 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.
13. PUBLICITY AND 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.
9. REQUIREMENT FOR PROJECT SIGN/NOTIFICATION
HPF funded 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.
Signage/notification must be submitted for approval by the ATR in advance. Also the
sign/notification must be of reasonable and adequate design and construction to withstand
weather 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.”
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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.
Photo documentation of the sign/notification for development projects must be uploaded to
the HPFOnline. Cost of fabricating and erecting notification is an eligible grant cost.
10. CONSULTANTS AND 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.gov/policy-data-oversight/pay-leave/salaries-wages/.
14. 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 environmental 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 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.
11. COMPLIANCE WITH SECTION 106
Pursuant to Section 106 of the National Historic Preservation Act (54 U.S.C. 306108), the
NPS and the grantee must complete the consultation process stipulated in the regulations
issued by the Advisory Council for Historic Preservation in 36 CFR 800 prior to the
commencement of all grant-assisted construction or ground disturbance on the property.
12. 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 110(f) (54 U.S.C. § 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 110(k) (54 U.S.C. § 306113) prohibits the NPS from funding any grantee or
subgrantee that attempts to avoid the requirements of Section 106. Grantees must make
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every effort to fund 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 demolition) to avoid requirements, the NPS must be notified to determine, in
consultation with the ACHP, if the project can proceed.
15. 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. photographs (or digital images) of all exterior elevations of the building or site, with
views identified and oriented and keyed to the site plan;
5. interior photographs of all 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;
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
Guidelines for Historic Preservation and Archeology, 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.
16. GIS SPATIAL DATA TRANSFER
One (1) digital copy of all GIS data produced or collected as part of the grant funds will be
submitted to the NPS via email to stlpg@nps.gov or data transfer. All GIS data files shall be
in a shapefile (*.shp) or GeoDatabase format, preferably a GeoDatabase format. Federal
Geographic Data Committee compliant data set level metadata shall be submitted for each
shapefile or feature class included. All cultural resources delineated with GIS data (points,
lines or polygons) should further be established in compliance with the NPS Cultural
Resource Spatial Data Transfer Standards with complete feature level metadata. Template
GeoDatabases and guidelines for creating and submitting GIS data in the NPS cultural
resource spatial data transfer standards can be found at the NPS Cultural Resource GIS
Facility webpage: https://www.nps.gov/crgis/crgis_standards.htm. Technical assistance to
meet the NPS Cultural Resource Spatial Data Transfer Standard specifications will be made
available if requested.
17. CFDA INCLUSION IN SINGLE AUDIT
Non-Federal entities receiving financial assistance through the Historic Preservation Fund
must include the appropriate CFDA number in the Schedule of Expenditures of Federal
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Award in their Single-Audit. The CFDA number applicable to this award will be either
15.904, 15.929, or 15.957, as identified on the first page of this agreement document.
18. 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.
19. CLG PASS-THROUGH
At least 10 percent 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 in the first year of the grant will be recaptured and redistributed to the
benefit of the other CLGs. Funds not expended in the second year may be recaptured and
reallocated by the NPS or returned to the U.S. Treasury. If the State anticipates possible
recapture, they must notify the NPS as soon as possible so they may assist in possible
redistribution of the funds.
20. SUBGRANT AWARDS
The awarding of subgrants must follow the general criteria described below in addition to the
eligibility factors outlined in the Notice of Funding Opportunity, OMB regulations in 2 CFR
200, and the Historic Preservation Fund Grant Manual.
The Grantee must publically announce the availability of HPF funds and include the
following information:
a. A summary statement of the priorities for funding;
b. Description of eligible activities for which funding is to be provided;
c. The total amount available, or expected to be available for subgrants;
d. An explanation of the required selection process used, including evaluation criteria,
that will provide an opportunity for all eligible entities to submit applications and have
them considered on an equal basis;
e. The deadline for submitting the completed application;
f. Directions to the applicant to include a detailed and specific list of the final products to
be accomplished with the subgrant, and to provide a detailed line-item budget that
includes all major work elements;
g. Identification of the donor, source, kind, and amount of nonfederal matching share to
be contributed, if applicable;
h. An explanation that all elements funded must meet the Secretary of the Interior’s
Standards and Guidelines for Archeology and Historic Preservation;
i. An explanation that all subgrants must follow OMB regulations in 2 CFR 200, and the
Historic Preservation Fund Grant Manual;
j. Notice of the requirement for easements or covenants for grant assisted preservation
work.
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To qualify a subgrantee as responsible, the grantee must ensure that a subgrantee will:
a. Have adequate financial resources for performance, the necessary experience,
organization, technical qualifications, and facilities; or a firm commitment,
arrangement, or ability to obtain such;
b. Be able to comply with the proposed or required completion schedule for the project;
c. Have a satisfactory record of integrity, sound judgment, and satisfactory performance,
especially with prior performance upon grants and contracts;
d. Have an adequate accounting system and auditing procedures to provide effective
accountability and control of property, funds, and assets sufficient to meet audit
requirements.
NPS oversight of subgrants will include:
a. Review of selected subgrants;
b. Review of any physical preservation work for compliance with the Secretary of the
Interior’s Standards and Guidelines for Archeology and Historic Preservation;
c. Review of any physical preservation work or archeological surveys for compliance
with National Environmental Protection Act (NEPA);
d. Review, in concert with National Park Service regional office(s), physical
preservation work as per Section 110(f) (54 U.S.C. § 306107) which clarifies the
responsibility of the agency to protect National Historic Landmarks (NHL) from
harm;
e. Verification of submission to FSRS of any subgrants over $25,000 federal share;
f. Review of final executed preservation easement/covenant;
g. Additional requirements as determined for the grantee based on risk or program
requirements.
21. 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
22. 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.
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23. FUNDING FOR USE OF UNMANNED AIRCRAFT SYSTEMS (UAS) (aka drones)
HPF funding for 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 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.
24. 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.
25. STRENGTHENING BUY-AMERICAN PREFERENCES FOR INFRASTRUTURE
PROJECTS PER E.O. 113858
Per Executive Order 113858, entitled "Strengthening Buy-American Preferences for
Infrastructure Projects" the Recipient shall maximize, consistent with law, the use of iron and
steel goods, products, and materials produced in the United States, for infrastructure projects
as defined by the Executive Order when the statement of work includes alteration,
construction, conversion, demolition, extension, improvement, maintenance, reconstruction,
rehabilitation, or repair.
26. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND
PERFORMANCE
1) 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 Information System
(FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2 of
this award term 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.
2) Proceedings You Must Report
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Submit the information required about each proceeding that:
a) Is in connection with the award or performance of a grant, cooperative agreement, or
procurement contract from the Federal Government;
b) Reached its final disposition during the most recent five year period; and
c) Is one of the following:
i) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this
award term and condition;
ii) 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;
iii) 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
iv) Any other criminal, civil, or administrative proceeding if:
(1) It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this
award term and condition;
(2) It had a different disposition arrived at by consent or compromise with an
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.
3) 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.
4) Reporting Frequency
During any period of time when you are subject to the requirement in paragraph 1 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 contracts, grants, 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.
5) Definitions
For purposes of this award term and condition:
a) 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
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performance of a Federal contract or grant. It does not include audits, site visits,
corrective plans, or inspection of deliverables.
b) 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.
c) Total value of currently active grants, cooperative agreements, and procurement
contracts includes—
i) Only the Federal share of the funding under any Federal award with a recipient
cost share or match; and
ii) The value of all expected funding increments under a Federal award and options,
even if not yet exercised.
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Attachment B
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 funded 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
6/26/19
Megan J. Brown Date
Chief State, Tribal, Local, Plans & Grants
National Park Service
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Attachment C
Administrative Costs Definitions
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Attachment D
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 Integrated
Resource Management Applications (IRMA), the NPS’s digital repository system. To see grant products
that have already been uploaded, go to IRMA, choose Historic Preservation Fund (HPF) under “Select a
Park, Office, Program or Region” and select a category of featured content.
What to submit:
● Provide one digital copy of each deliverable or publication under 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 structure reports, design guidelines,
economic impact studies, treatment reports,
historic context statements, preservation plans)
Substantive event materials (including
programs, proceedings, handouts, photographs)
Professionally produced content (including
books, documentaries, oral histories,
presentations and PSAs)
Interpretive products (including books,
brochures, posters, interpretive tours, coloring
books or other youth-focused products, lesson
plans)
Online content (including websites, story maps,
and other web-based projects)
Digital copies saved on CD/DVD-Rs or flash
drives (unless arrangements have been made with
your grant administrator)
Confidential/restricted reports that cannot be
viewed by the general public (including
archeological reports, architectural reports on
federal buildings or restricted sites)
Other documentation not intended for the
general public (including survey forms, financial
records, correspondence)
Ephemeral products unlikely to be of future
value to the general public (including flyers,
postcards, 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.
● For additional questions about the required disclaimer, consult with your NPS grant manager.
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Naming files for submission:
● Name each file you will be submitting using the following naming convention:
[Grant Program]_[Fiscal Year]_[State, if applicable]_[Grantee or Subgrantee]_[Grant
Number]_[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: Audio files submitted under a FY2018 grant by the DC State Historic Preservation Office
SHPO_18_DC_GranteeHistoricDistrict_P17AF00001_JohnDoeInterview001.mp3
SHPO_18_DC_GranteeHistoricDistrict_P17AF00001_JohnDoeInterview002.mp3
● Use the appropriate abbreviation for your grant program in the file name:
Required file formats and resolution standards:
● Reports and publications: PDF files saved at 300 ppi (pixels per inch) and 100% of the original
document size. When possible, convert original documents to PDFs (for example, saving as PDFs
from Word or InDesign files). Otherwise, save high resolution scans of printed materials as PDFs.
● 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 at least one before and one after
photograph of work completed under the grant. 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:
[Grant Program]_[Fiscal Year]_[State, if applicable]_[Grantee or Subgrantee]_[Grant
Number]_Index.docx
Ex: SHPO_18_DC_GranteeHistoricDistric_P17AF00001_Index.docx
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Submitting your files:
● Ask your NPS grant manager to send you an invitation to submit your documents through the
Department of the Interior’s Secure File Transfer website.
● You will receive an email invitation from doi_secure_file_transfer@doi.gov.
● You will have two weeks to upload and submit your files after receiving the email invitation. If
you do not upload files within two weeks, you will need to contact your grant manager to ask for
a new email invitation.
● Create a zipped folder containing all of the files you are uploading. Be sure to include your index
file in the zipped folder with all of the products and deliverables you are submitting. Name the
zipped folder:
[Grant Program]_[Fiscal Year]_[State, if applicable]_[Grantee or Subgrantee]_[Grant
Number]_Products.zip
Ex: SHPO_18_DC_GranteeHistoricDistrict_P17AF00001_Products.zip
● Open the invitation email. Click the “Upload Files” link at the bottom of the message.
● If you are a new user, you will be prompted to create a password for the DOI Secure File Transfer
website.
● Once you have created a password and signed in to your DOI Secure File Transfer account, you
will be directed to the file upload page.
● Drag and drop files or click the “Select” link on the right side of the file upload page.
● Select the zipped folder from where it is saved on your computer and click the “Upload” button.
● After the files have been successfully uploaded, they will appear on the right side of the page
above the “Upload” button. Your grant administrator will be notified that the upload is complete.
Reviewing submitted files:
● When the NPS receives the files, we will review your submitted products for compliance with the
HPF grants manual, the Secretary of the Interior’s Standards for Archeology and Historic
Preservation, and any other relevant requirements.
● If there are issues with the submitted files or grant 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 Integrated Resource Management Applications (IRMA), the NPS’s digital
repository system. If so, we will upload the files to IRMA and make them publicly available.
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Attachment E
Grant Application
a. SF424-Request for Federal Assistance
b. SF424A – Non-Construction Budget form
c. SF424B – Non-Construction Assurances
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CERTIFIED LOCAL GOVERNMENT PROGRAM STATE HISTORICAL SOCIETY OF IOWA
CERTIFICATION STATEMENT
I, Roy D. Buol, certify that I have read and understand the attached National Park Service grant
agreement from Federal Fiscal Year 2019. I understand that when the National Park Service grant
agreement for Federal Fiscal Year 2020 is available, the Department of Cultural Affairs will forward
a copy.
Authorized Official of the
Grantee:
Roy D. Buol
\s1\ Date: \d1\
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3/17/2020
-
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:
1.
2.
3.
4.
5.
6.
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.
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.
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.
Will initiate and complete the work within the applicable
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 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).
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, (j) the requirements of any other
nondiscrimination statute(s) which may apply to the
application.
7. Will comply, or has already complied, with the
requirements of Titles II 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-102
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9.
10.
11.
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.
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.
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.
13.
14.
15.
16.
17.
18.
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.
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.).
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.
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.
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.
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-133,
"Audits of States, Local Governments, and Non-Profit
Organizations."
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: B57FA584-6AC0-4D6E-AB4D-842821296D47
City of Dubuque, Iowa
Mayor
3/17/2020
Dubuque
Budget
DocuSign Envelope ID: B57FA584-6AC0-4D6E-AB4D-842821296D47