Historic Arch Survey Grant Ph V
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MEMORANDUM
March 10,2004
TO:
Honorable Mayor and City Council Members
FROM:
Michael C. Van Milligen, City Manager
SUBJECT: Historic Preservation Grant & Staffing Recommendation
The State Historical Society of Iowa has awarded the City of Dubuque a $14,437.50
Certified Local Government (CLG) Grant for Phase V of the Architectural and Historical
Survey/Evaluation.
Budget Director, Dawn Lang and Planning Services Manager, Laura Carstens,
recommend that the City accept the CLG grant for the Phase V survey, and authorize
hiring ECIA to provide GIS support at a cost of $2,500 by using the remaining balance
budgeted for local match of survey grants. The Planning Intern will handle the grant
administration responsibilities for the Phase V grant.
The Phase V CLG grant agreement with the State Historic Preservation Office and a
resolution are enclosed for approval.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
(YUJ/ k~!llk
MiclÍael C. Van Milligen ~
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Attachment
cc: Barry Lindahl, Corporation Counsel
Cindy Steinhauser, Assistant City Manager
Dawn Lang, Budget Director
Laura Carstens, Planning Services Manager
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MEMORANDUM
February 3, 2004
FROM:
Michael C. Van Milligen, City Manager
Laura Carstens, Planning Services Manager~
Dawn Lang, Budget Director-vW
TO:
SUBJECT: Historic Preservation Workload
Introduction
This memo responds to your request for background information and recommendations
regarding the historic preservation workload of the Planning Services Department
related to the Department's FY 05 budget improvement decision package and the State
grant for Phase V of the Historic/Architectural Survey.
Background information is provided on the two main areas of staff support for the
historic preservation workload, staff support for the Historic Preservation Commission,
and staff support for the phased Historic/Architectural Survey.
A recommendation regarding administration of the State grant for Phase V of the
Historic/Architectural Survey is provided as well.
Staff Support for Historic Preservation Commission
Backqround
For the last four years, the Planning Services staff has provided support for the Historic
Preservation Commission and three other boards without an increase in staff. In
addition to the case load of the HPC, the HPC and staff have initiated several new
preservation programs at the City Council's direction: a homeowner grant program, a
revolving loan fund, design guidelines, and demolition districts. As a result, the staff
support for the other commissions assigned to the Planning Services Department has
been reduced.
The workload to provide staff support to the Historic Preservation Commission (HPC)
and to administer the phased historic/architectural surveys is handled primarily by an
Assistant Planner position, which is budgeted to the Development Services activity.
Memo to Mike Van Milligen
Historic Preservation Workload
February 3, 2004
Page 2 of 7
This work takes approximately 0.65 FTE of his time. Consequently, the Development
Services activity is understaffed by 0.65 FTE.
The Development Services activity provides staff support to the Zoning Advisory
Commission, Zoning Board of Adjustment and Development Review Committee. It also
includes zoning enforcement and sign permit review.
Proqram/ Service Review:
The Planning Services Department conducted a Program/Service Review in 1996-
1997. The final report was presented to the City Council in January 1998. The
Program/Service Review included an interdepartmental review of service shifts. A shift
of the Historic Preservation Activity from the Community and Economic Development
Department (CED) to the Planning Services Department was evaluated.
At that time, the HP activity was handled by CED staff at the Associate Planner level
(Grade 35). Principal duties included staff support to the HPC and Section 106
reviews. The work historically required 0.25 FTE of staff time from an Associate
Planner.
The shift of the Historic Preservation Activity from CED to Planning Services was
recommended in the Program/Service Review with the vacant part-time 0.50 FTE
Associate Planner position (Grade 35) in the City Planning Activity to be filled as a part-
time 0.75 FTE Assistant Planner (Grade 32). The shift involved only the staff support
for the HPC. Section 106 reviews remained with the Associate Planner in CED
because this work requires staff at the Associate Planner level.
The City Council approved the reassignment of the HPC staWsupport and the 0.75 FTE
Assistant Planner position in 1999. The additional 0.25 FTE in funding was allocated
from the CDBG Program.
Reassiqnment of HPC
The Planning Services Department took over the support of the HPC in July 1998 prior
to filling the vacancy. One of the two full-time Assistant Planners in the Development
Services Activity was assigned to spend 25% of his time supporting the HPC. His 25%
time commitment was funded by CDBG.
His time commitment to Historic Preservation grew substantially after April 1999, when
the City Council directed the HPC to review and update the Historic Preservation
Ordinance. Correspondingly, his time commitment to the Development Services
Activity declined. His time was funded by CDBG only up to the 0.25 FTE budgeted.
The Development Services Activity funded the rest of his time committed to support
Historic Preservation for this Council priority from the General Fund.
The Planning Services Department struggled to fill the vacant part-time 0.75 FTE
Memo to Mike Van Milligen
Historic Preservation Workload
February 3, 2004
Page 3 of 7
Assistant Planner position. Finally, the position was filled in October 1999, but only at
0.50 FTE for the City Planning activity. The 0.25 FTE portion of this part-time position
for Historic Preservation has never been filled.
The CDBG program funded the 0.25 FTE of an Assistant Planner's time under CDBG
Administration per HUD regulations. In July 2002, this 0.25 FTE of funding was cut
from the Planning Services Department budget to help meet the 20% CDBG
Administration cap mandated by the U. S. Department of Housing. and Urban
Development (HUD). The last CDBG funding has never been replaced in the Planning
Services Department budget.
Staff Support for Historic/Architectural Surveys
Backqround
The City of Dubuque, as a recipient of federal funding from HUD, is required to perform
a Section 106 review for every rehabilitation or construction project receiving federal
funds. Specifically, projects that involve CDBG or HOME funds are required to have a
Section 106 review completed before beginning the project. The purpose of a Section
106 review is to assess the historic and architectural significance of the property being
impacted and to recommend any mitigation of the exterior historic features of the
property.
The City of Dubuque has a Memorandum of Agreement (MOA) with the State Historic
Preservation Office (SHPO) to conduct Section 106 reviews locally versus sending all
reviews to SHPO for review and approval. This process can take 30-90 days or more,
depending on the demand for reviews from across the State of Iowa. Currently, these
reviews are handled by ~he Associate Planner in the Economic Development
Department in less than one week.
The Advisory Council on Historic Preservation (ACHP) is the federal agency that
regulates MOAs between the State and local governments. In 1998, the ACHP
communicated to the SHPO that our MOA should include a component that commits
the City to conducting historic surveys on a more regular basis since it had been nearly
20 years since the last historic survey was completed in Dubuque in 1979. The criteria
for National Register Eligibility have changed since that time and the City needed to
update its information base with a new survey.
The State of Iowa has two grant programs that are potential sources of funding for a
portion of the costs of a historic survey. They are the Certified Local Government
(CLG) Grant Program and the Historic Resource Development Grant (HRDP) Program.
Both grants require matching funds. The City has received grants from both programs
for phases of the Historic/Architectural Survey of Dubuque.
Memo to Mike Van Milligen
Historic Preservation Workload
February 3, 2004
Page 4 of 7
Reassiqnment of Survevs
At the time that staff support for the HPC from the CED Department to the PSD was
approved, the CED staff had begun submitting CLG and HRDP grant requests to
initiate a phased Historic/Architectural Survey. A five-phase survey was presented to
the City Council and the State in 1998 (see enclosed map).
When the first grant was awarded in 1999, the decision was made that administration
of the grant and the survey would be transferred to the Planning Services Department
due to the CED Department's workload. At the time, the Neighborhood Development
Specialist was a part of the CED Department, and already had taken over the Historic
Preservation workload from the Associate Planner due to economic development
workload.
Administration of the phased Historic/Architectural Surveys was reassigned to the
Planning Services Department in 1999. No additional funding or staff resources were
provided with this reassignment.
The workload to administer the phased Historic/Architectural Surveys requires
approximately 0.40 FTE of one Assistant Planner's time. This work is split between
preparation and administration of the grant; serving as a liaison between the State, the
consultant, and the Planning Intern; and preparing GIS maps for the survey report.
The Assistant Planner assigned to provide staff support for the HPC was assigned the
administration of the Historic/Architectural Surveys. As noted above, this position is
budgeted to the Development Services Activity.
Consequently, the Development Services Activity is understaffed by an additional 0.40
FTE of the Assistant Planner's time, and is funding his salary while he administers the
surveys. With the loss of the CDBG funding for 0.25 FTE for HPC staff support
described above, the Development Services Activity is funding 0.65 FTE of an
Assistant Planner's time for the Historic Preservation Activity from the General Fund.
The Planning Services Department successfully applied for and administered grants for
Phases I through IV. In December 2003, the City was awarded à CLG grant for Phase
V of the Historic/Architectural Survey.
The Phase V area encompasses primarily residential structures in the Broadway, West
Locust Street, and Fenelon Place neighborhoods.
Budqet Impact
Assistant Planner Staff Support
The Planning Services Department has provided approximately 0.65 FTE of a full-time
Memo to Mike Van Milligen
Historic Preservation Workload
February 3, 2004
Page 5 of 7
Assistant Planner's time to support the Historic Preservation Activity since 1999. Staff
support to the Historic Preservation Activity has been divided between two main
activities:
0.25 FTE
0.40 FTE
0.65 FTE
Assistant Planner Staff Support for HPC
Assistant Planner Staff Support for Historic/Architectural Survevs
Assistant Planner Staff Support for Historic Preservation Activity
The Planning Services Department has provided this staff support by reducing the
service level of the Development Services Activity. The full-time Assistant Planner is
assigned to and funded by this activity. CDBG funding for HPC staff support was cut in
FY03.
Additional Planninq Services Staff Support
In addition to the 0.65.FTE of staff support by the Assistant Planner, the Planning
Services Department provides an additional 0.75 FTE in staff support for the Historic
Preservation Activity. This staff support is provided by the Planning Services Manager
(0.30 FTE), Planning Technician, (0.20 FTE), Secretary (0.05 FTE), Clerical Intern
(0.06 FTE), and Planning Intern (0.15 FTE). The enclosed chart shows the level of
Planning Services Department staff support for Historic Preservation.
Since 1999, the Planning Services Department has not had any existing workload
reassigned to another department or otherwise eliminated. The Planning Services
Department has had additional workload assigned since then. In addition, the
Development Services Activity has seen an increase in cases for the Zoning Board of
Adjustment (ZBA), the Zoning Advisory Commission (ZAC) and sign permit reviews
every year.
The ZBA and ZAC have expressed dissatisfaction with the reduced level of
Development Services staff support that they receive as a result of the staff support
given to the Historic Preservation Activity.
The ZBA has seen the effects of this reduced staff support. The amount and quality of the
infonmation provided with the staff reports has diminished. Board members have noted a
higher frequency of errors and omissions in the staff reports. The ZAC members also have
noticed that the Planning staff is not able to keep up with the workload of the Commission
or their customers.
Improvement Decision Packaaes
In February 2003, the Long Range Planning Advisory Commission, the Zoning Advisory
Commission, the Zoning Board of Adjustment and the Historic Preservation
Commission supported an improvement decision package in the Planning Services
Department budget to hire a full-time Associate Planner to staff Historic Preservation
and City Planning activities. The City Council postponed consideration of this
Memo to Mike Van Milligen
Historic Preservation Workload
February 3, 2004
Page 6 of 7
additional position until funds were available after the hiring freeze was lifted.
This year, an improvement decision package has been submitted to hire a full-time
Assistant Planner to replace the 0.50 FTE Assistant Planner position that supports the
Long Range Planning Advisory Commission and City Planning Activity. The new full-
time position would support the Historic Preservation and City Planning activities. This
new position would allow reallocation of the current Assistant Planner's time back to
Development Services.
Thi~ year's improvement decision package also recommends that the Planning
Services Department would no longer apply for nor administer grants related to the
phased Historical/Architectural Survey. Although the State Historic Preservation Office
requires the City to conduct periodic surveys, the amount of survey work completed to
date should be sufficient for a number of years. The five-phase survey presented to the
City Council and the State in 1998 would be completed with the Phase V grant.
This new position would allow reallocation of 0.65 FTE of the current Assistant
Planner's time back to the Development Services Activity, restoring this activity back to
the full staffing level.
This year's improvement decision package has not been recommended because it
would require a property tax increase to fund.
Recommendation for CLG Grant
The Planning Services Department annually has $10,000 budgeted to provide the local
match needed for State grants to conduct the phased Historical/Architectural Survey.
In December, 2003, the City was awarded a $14,437.50 CLG grant for Phase V of the
Historic/Architectural Survey. The Department's local match budgeted for the CLG
grant for the Phase V survey is $7,500. This leaves a balance of $2,500 that can be
used to hire a third party to assist with grant administration.
Benefits of Surveys
The primary beneficiaries of Phases I through IV of the Historic/Architectural Survey
have been the Housing and Community Development Department, the Economic
Development Department, private developers, the Historic Preservation Commission,
and the citizens of Dubuque in general. Rehabilitation projects for housing and
commercial projects in a surveyed area have more streamlined review. Private
developers also are able to apply for federal and state tax credits more easily.
The Phase V area includes the last remaining demolition districts not yet surveyed.
Completion of the Phase V survey will mean that all historic areas regulated by the City
Memo to Mike Van Milligen
Historic Preservation Workload
February 3, 2004
Page 7 of 7
will have been surveyed. Review of permit requests in the surveyed areas, which
encompass historic districts and demolition districts, is easier for City staff and the
HPC.
Grant Administration
Planning Services staff contacted ECIA about administering the Phase V CLG grant.
Their estimated cost is $5,000. Their cost is split about equally between administration
of the grant and preparing GIS maps for the survey report.
The Planning Services Department has a balance of $2,500 in remaining local match
for survey grants. We recommend that this money be used to contract with ECIA to
provide the GIS support needed for the Phase V grant.
The Planning Services Department has recently hired a Planning Intern to assist with
completion of the Phase IV survey, which also was funded with a CLG grant. This
intern has substantial work experience at the Telegraph Herald Archives and at the
Center for Dubuque History at Loras College. We believe that she is capable of
assuming the majority of the grant administration tasks for the Phase V CLG grant. We
would provide her with training during the completion of the Phase IV survey, so that
she would be ready to take over administration for the Phase V grant. The workload of
the Assistant Planner currently assigned to the grant administration of these surveys
would be reduced substantially.
Requested Action
By contracting with ECIA for the GIS mapping and training the Planning Intern to
administer the CLG grant for Phase V, we will be able to free up 0.40 FTE of the
Assistant Planner's time for the Development Services Activity. The 0.25 FTE of the
Assistant Planner's time commitment for HPC staff support will continue.
The requested action is to accept the CLG grant for the Phase V survey, authorize
hiring ECIA to provide GIS support at a cost of $2,500 by using the remaining balance
budgeted for local match of survey grants, and enable the Planning Services
Department to train the Planning Intern to handle the grant administration
responsibilities for the Phase V CLG grant.
Attachments
( Arch ita tu rat
r
N Streets
!-"AI Phase I
- Phase 2
Phase 3
D Phase 4
. Phase 5
N
A
PLANNING SERVICES DEPARTMENT
ZONING BOARD OF ADJUSTMENT
Staff Assignment:
Planning Services Manager
Associate Planner
Assistant Planner
Assistant Planner
Planning Technician
Secretary
Budgeted Actual
0.03 FTE 0.03 FTE
0.20 FTE 0.10 FTE
0.40 FTE 0.30 FTE
0.10 FTE 0.30 FTE
0.25 FTE 0.35 FTE
0.15FTE 0.20 FTE
Budgeted Actual
0.125 FTE 0.125 FTE
0.00 FTE 0.10FTE
0.15 FTE 0.10FTE
0.10FTE 0.05 FTE
Budgeted Actual
0.10 FTE 0.10 FTE
0.35 FTE 0.45 FTE
0.40 FTE 0.30 FTE
0.10 FTE 0.00 FTE
0.25 FTE 0.25 FTE
0.20 FTE 0.25 FTE
0.00 FTE 0.06 FTE
Budgeted Actual
0.00 FTE 0.30 FTE
0.00 FTE 0.00 FTE
0.00 FTE 0.65 FTE
0.00 FTE 0.20 FTE
0.00 FTE 0.05 FTE
0.00 FTE 0.06 FTE
0.00 FTE 0.15 FTE
Budgeted Actual
0.35 FTE 0.35 FTE
0.25 FTE 0.10FTE
0.05 FTE 0.05 FTE
LONG RANGE PLANNING ADVISORY COMMISSION
Staff Assignment:
Planning Services Manager
Assistant Planner (0.50 FTE)
Planning Technician
Secretary
ZONING ADVISORY COMMISSION
Staff Assignment:
Planning Services Manager
Associate Planner
Assistant Planner
Assistant Planner
Planning Technician
Secretary
Clericallntem (0.19 FTE)
HISTORIC PRESERVATION ACTIVITY
Staff Assignment:
Planning Services Manager
Associate Planner
Assistant Planner
Planning Technician
Secretary
Clerical Intern (0.19 FTE)
Planning Intem (0.19 FTE)
DEVELOPMENT REVIEW COMMITTEE
Staff Assignment:
Associate Planner
Assistant Planner
Secretary
"
Contract No. 2004-07 .
STATE HISTORICAL SOCIETY OF IOWA
GRANT-IN-AID AGREEMENT FOR:
City of Dubuque
Intensive Architectural and Historical, Survey and Evaluation
This agreement is made and entered into by and between City of Dubuque, hereinafter referred to as
the RECIPIENT, and the STATE HISTORICAL SOCIETY OF IOWA, hereinafter referred to as the
STATE; WITNESSETH TIIAT:
WHEREAS, the STATE, is interested in broadening the role oflocal governments in historic
preservation through the Certified Local Government program; and
WHEREAS, the STATE, in accordance with the National Historic Preservation Amendments of 1980,
is providing 10% of its annual federal Historic Preservation Fund appropriation to Certified Local
Governments; and
WHEREAS, the RECIPIENT has demonstrated its interest in historic preservation by becoming a
Certified Local Government, and desires to complete a futensive Survey Evaluation Architectural
Historical;
NOW THEREFORE, it is agreed by and between the parties hereto as follows:
1. That the RECIPIENT is qualified to complete the attached Scope of Work (Exh1òit C);
2. That the RECIPIENT will be responsible for overseeing all aspects of fiscal management;
3. That the RECIPIENT 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;
4. That the STATE provide for only project costs eligible under provisions stipulated by the
National Park Service, U.S. Department of the futerior for grants -in-aid. Project work which
does not meet Secretary offuterior Standards will not be reimbursed for under this contract;
5. That the STATE monitor the project and provide input as called for in the attached Scope of
Work (Exhibit C);
6. That the Recipient and the STATE mutually agree that if, during the duration of the contract, it is
deemed necessary by either party to make alterations to or amendments to this Agreement, such
changes shall be incorporated into this contract upon mutual agreement and shall be in effect as
of the date of the amendment unless otherwise specified within the amendment;
7. That the STATE agrees to pay the project eligible costs under the terms of this Agreement;
8. That the RECIPIENT and the STATE mutually agree to abide by the general and specific
conditions attached hereto as Exhibits A, B, C, and D;
9. That the RECIPIENT and the STATE mutually agree that all work performed under this contract
will be completed by June 30, 2005:
10. That the RECIPIENT and the STATE mutually agree that the cost of this contract shall be
$14,437.50 (Exhibit D). All eligible costs necessary to carry out the project shall be initially
advanced by the RECIPIENT and then the ST ATE shall reimburse the RECIPIENT for
$14,437.50, upon receipt of all work products and as specified in the Scope of Work The
agreement will end on June 30, 2005. The final bill must be submitted with the final report by
June 30,2005.
11. Expenditures are to be according to the Budget, attached as Exhibit D. Adjustments between
budget categories are permissible fonowing written mutua! consent between the RECIPIENT and
the STATE;
12. The RECIPIENi win faithfuny comply with an applicable Federal and State laws, regulations
and guidelines, including the Secretary of the Interior's Standards and Guidelines for
Archaeology and Historic Preservation as published in the Federal Register on September 29,
1983;
13. The RECIPIENT shan hold the STATE and federal government harmless from damages in any
action arising from the performance of work described herein.
IN WITNESS WHEREOF, the parties hereto have executed this contract on the day and year last
specified below.
RECIPIENT
Terrance M. Duggan, Mayor, City of Dubuque
Date
STATE
Lowen Soike, Deputy State Historic Preservation Officer, State ofIowa
Date
2
EXHIBIT A
GENERAL CONDITIONS
ARTICLE I - Amendment of Contract:
The RECIPIENT or the STATE may, during the duration of the Contract, deem it necessary to make
alterations to the provisiom of this agreement. Any changes, which shall be mutually agreed upon by
both parties, shall be incorporated into this Contract. The provisions of the amendment shall be in
effect as of the date of the amendment unless otherwise specified within the amendment. A waiver of
any conditions of this Contract must be in writing from a duly authorized official of the STATE.
ARTICLE n - Patent and Copyright:
a. No material or product in whole or in part under this Contract shall be subject to patent or
copyright by either part in the United States or in any other country.
b. The U.S. Department of the Interior reserves a royalty-free no-exclusive and irrevocable license to
reproduce, publish, or otherwise use, and to authorize others to use, any materials produced in whole
or in part under this Contract for government purposes. My publication by the RECIPIENT must
bear in an appropriate place an acknowledgment of grant support under the National Historic
Preservation Act of 1966, as amended, from the U.S. Department of the Interior and the State
Historical Society ofIowa.
ARTICLE III - Accounts and Records:
a. Accounts - the RECIPIENT shall maintain books, records, documents and other evidence
pertaUring 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 expemes of whatever nature, for which pàyment is claimed under this
Contract.
b. Audit and Inspection - At all times during normal business hours and as frequently as is deemed
necessary, the RECIPIENT shall make available to the STATE all of its records, pertaining to all
matters covered by this Contract and shall pennit the STATE to audit, examine and make excerpts
from such records and all other matters covered by this Contract.
c. Retention of Financial Records - All records in the possession of the RECIPIENT pertaining to this
Contract shall be retained by the RECIPIENT for a period oftbree (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 STATE shall reimburse the RECIPIENT for actual, necessary and eligible costs incurred by
the RECIPIENT in the conduct of this project. All claims shall include copies of time utilization
sheets, records, documents and other evidence in support of all costs and expenses incurred for the
performance of this Contract.
ARTICLE IV - Termination of Contract
a. Ternrination for Cause - The STATE or the RECIPIENT may terminate this Contract in whole or
in part, at any time before the date of completion, whenever it is determined that the other party has
failed to comply with the conditions of the Contract. Tne STATE or RECIPIENT shall promptly
notify the other party in writing of the determination and the reasons for the termination, together with
the effective date. The RECIPIENT shall not incur new obligations for the terminated portion after
the effective date, and shall cancel as many outstanding obligations as possible. The STATE shall
allow full credit to the RECIPIENT for no-cancelable obligations up to the amount of, if said
obligations are properly incUITed by the RECIPIENT prior to termination. The STATE shall
terminate the contract if it determines that the RECIPIENT is not following cost eligibility as outlined
in the Secretary of Interior Standards, 36 CPR; OMJ3 Circular A-87; and OMJ3 Circular A-JO2.
b. Tennination for Convenience - The STATE and the RECIPIENT may terminate this Contract in
whole or in part, when both parties agree that the continuation of the project would not produce
beneficial results commensurate with the future expenditure of funds." The two parties shall agree
upon the termination conditions, including the effect date and , in the case of partial termination, the
portion to be terminated. The RECIPIENT shall not incur new obligations for the terminated portion.
after the effective date, and shall cancel as many outstanding obligations as possible. The STATE
shall allow full credit to the RECIPIENT for non-cancelable obligations up to the amount of award, if
said obligations are properly incurred by the RECIPIENT prior to termination.
c. Termination due to Non-Appropriation - Notwithstanding any other provisions of this Contract, if
funds anticipated for the continued fulfillment of the Contract are at any time not forthcoming or
insufficient, either through the failure of the Federal Government or of the State ofIowa to
appropriate funds or discontiÌmance or material alteration of the program under which funds were
provided, then the STATE shall have the right to terminate this Contract without penalty by giving not
less than thirty (30) days written notice documenting the lack of funding, .discontinuance or program
alteration. Unless otherwise agreed to by the parties, the Contract shall become null and void on the
last day of the fiscal year for which appropriations were received, except that if an appropriation to
cover the costs of this Contract becomes available within sixty (60) days subsequent to termination
under this clause, the STATE agrees to re-enter a Contract with the terminated RECIPIENT under the
same provisions, tenns and conditions as the original award. In the event ofternrination of this
Contract due to non-appropriation, the exclusive, sole and complete remedy of the .RECIPIENT shall
be payment for service completed prior to termination.
d. Right in 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
STATE, become its property, and the RECIPIENT shall be entitled to receive just and equitable
compensation for any satisfactory work completed on the project.
ARTICLE V - Interest of Officials and Others:
a. STATE - No officer, employee or advisor of the STATE including a member of the State
Historical Society ofIowa 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.
2
1. The person, the person's spouse, minor child, or partner, or;
2. Any organization in which the person is serving as an officer, director, trustee, partner or
employee or; .
3. Any person or organization with whom the person is negotiating or has any arrangements
concerning prospective employment. .
Benefit or remuneration other than a fee in accordance with applicable 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. RECIPIENT - The RECIPIENT convenants that it presently has no interest and shall not acquire
any interest, direct or indirect, which would conflict in any manner or degree with the performance of
services required to be perfonned under this Contract.
ARTICLE VI - Assignment of Interest:
Neither this Agreement or any interest therein, no claim thereunder, shall be assigned or transfeITed
by the RECIPIENT to any other party or parties.
ARTICLE VII - Subcontract:
None of the work or services required under this Agreement shall be subcontracted by the
RECIPIENT without prior written approval to subcontract by the STATE.
ARTICLE vm - Procurement of Professional Services and Equipment:
The RECIPIENT shall procure professional services by competitive negotiation, or small purchase
procedures. This requires solicitations ITom at least three sources to permit reasonable competition
consistent with the nature and requirements or the procurement. "Cost-plus-a-percentage-of-cost"
contFacting is strictly forbidden. Rather, cost reimbursement or fixed price contracting is required.
Project principal investigators must meet the minimum professional standards as outlined in the Code
of Federal Regnlations, Volume 36 Part 61.
The purchase of any equipment under this agreement over $300 may not occur without prior written
permission of the STATE. The STATE will not approve such purchases until the same are approved
in writing by the National Park Service.
EXHIBIT B
SPECIAL CONDITIONS
ARTICLE I - Identification of Parties:
This Contract is entered into by and between the State Historical Society ofIowa, hereinafter called
the STATE, and theCity of Dubuque, hereinafter called the RECIPIENT.
3
ARTICLE II - Designation of Officials:
a. STATE - The State Historic Preservation Officer is the State Official authorized to execute any
changes in the terms, conditions, or amounts specified in this Contract. He (She) may designate a
member of his (her) staff to negotiate, on behalf of the State, any changes to the Contract.
b. RECIPIENT - Honorable Terrance Duggan, Mayor, is authorized.to execute any changes in the
terms, conditions, or amounts as specified in this con1ract.
ARTICLE III - Additional Special Conditions:
a. Audit Requirements - The RECIPIENT shall annually have perfoTIIled, on a timely basis,
independent fmancial and compliance audits of the historic preservation funds received from the
STATE. All such audits shall be conducted in accordance with applicable auditing standards set forth
in OMB Circular A-l28, "Audits of State and Local Governments", pursuant to the Single Audit Act
of1984. Costs associated with such audits are the responsibility of the RECIPIENT. A copy of this
audit must be submitted to the STATE.
If the RECIPIENT is a non-profit organization, public college or university, audits shall be made in
accordance with statutory requirements and the provision of Circular A-llO a copy of this audit must
be submitted to the STATE.
b. General Obligations - All work perform.ed under this Con1ract shall be carried out in a lawful,
proper and satisfactory manner in accordance with appropriate Federal, State and Local regulatious,
including OMB Circular A-I02 and NPS 49; and any circular, policies, procedures and requirements
as may from time to time be prescribed by the U.S. DepartInent of Interior.
ARTICLE IV - Conditions of Payment:
a. Maximum Payment - It is expressly understood and agreed to that the maximum amounts to be
paid to the RECIPIENT by the STATE for any item of work or services shall be the amount specified
herein. All payments for work and services under this Con1ract shall be on a cost iuc=d, non-profit
basis.
b. Requisition for Payment" All payments to the RECIPIENT shall be subject to the receipt by the
STATE of a Request for Reimbursement. This request shall be made according to the format
specified by the STATE with reimbursement to the RECIPIENT occurring at intervals no more than
sixty (60) days after approval of request.
ARTICLE V - REQUIRED ACKNOWLEDGMENTS:
Publication, films, exhibits, etc. developed as a part of this Contract shall aclmowledge Federal aid by
including the following statement.as part of the Title or Aclmowledgment Section with each item
produced.
"This project has been funded with the assistance of a matching grant-in-aid from the State
Historical Society of Iowa, Commnnity Programs Bnrean, through the Department of the
4
Interior, National Park Service, under provisions of the National Historic Preservation Act of
1966; the opinions expressed herein are not necessarily those of the Department of the Interior."
ARTICLE VI - Equal Opportunity Acknowledgment:
Publications, mms, exhibits, etc. developed as a part of the Contract shall acknowledge equal
opportunity and nondiscrimination practices by including the following statement as part of the Title
or Acknowledgment Section with each item produced.
"This program received Federal funds from the National Park Service. Regulations of the U.S.
Department of the Interior strictly prohibit unlawful discrimination in Federally Assisted
Programs on the basis of race, color, national origin, age or handicap. Any person who believes
he or she has been discriminated against in any program, activity, or facility operated by a
recipient of Federal assistance should write to: Director, Equal Opportunity Program, U.S.
Department ofllie Interior, National Park Service, P. O. Box 37127, Washington, D.c. 20013-
7127."
ARTICLE V1I - Certification Regarding Lobbying:
This certification is required by Section 1352, Title 31, U.S. Code. The sub-grantee certifies, to the
best of his or her knowledge and belief that:
(1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,
to any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, any officer or employee of Congress; or an employee of a Member of Congress
in connection with the awarding of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connectim1 'with this
Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit
Standard Fonn 1963 "Disclosure Fonn to Report Lobbying," in accordance with instructions.
(3) TIle undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants,
loans, and cooperative agreements) and that all subrecipients shall certify accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
5
ARTICLE VITI - Equal Opportunity: Code of Fair Practices
I. The RECIPIENT will not discriminate against any employee or applicant for employment because
of race, creed, color, religion, national origin, sex, age or physical or mental disability. The
RECIPIENT will take affirmative action to insure that applicants are employed and that 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 indude but be not limited to the following; employment, upgrading, demotion or
transfer, recruitment or recruitment advertising; layoff or tennination; rate of payor other forms of
compensation; and selection for training, induding apprenticeship. The RECIPIENT agrees to post in
conspicuous places, available to employees and applicants for employment, notices setting forth
provisions of this nondiscrimination dause.
2. The RECIPIENT will, in all solicitations or advertisements for employees placed by or on behalf
ofthe 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.
3. TIl~ 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 dause and
shall post copies of the notice in a conspicuous place available to employees and applicants for
employment.
4. The RECIPIENT will comply with all relevant provisions of the Iowa Civil Rights Act of 1965 as
amended, Iowa Executive Order #15 of 1973, Federal Executive Order 11246 of 1965 as amended by
Federal Executive Ordèr 11275 of 1967, the Equal Employment Opportunity Act of 1972, and all
provision relevant to fair employment of the rules and regulations of the STATE. The RECIPIENT
will furnish all information and reports requested by the STATE or required by or pursuant to the
rules and regulations thereof and will permit access to payroll and employment records by the STATE
for purposes of investigation to ascertain compliance with such rules, regulations or requests, or with
this nondiscrimination clause.
5. In the event of the RECIPIENTS noncompliance dauses 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
STATE. In addition, the STATE 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 ofIowa 1973, as heretofore and hereinafter amended, or by the rules and
regulations of the State or as otherwise provided by law.
6
Public reporting burden for 1his coüedon of m;at;nalion is estímaled 10 averag<> 15 ""mItes per respar.se. includmo bme for, -
insnudians. searching -g data soorœs. gathenngand maintaining the da'" needed. and completing and revie";¡ng the COI~e"ewm"
ir¡farmatijJ": Send comments regan:1ing the burden estimate or any ather aspect of this collection of ",formation, including sugges~:::,n i~; ~
reducing this burden, to the Offiœ of Management and Budget, Paperwork Reduc!fan Project (0348-1)040), Washington. DC 20503. i
¡>LEASE DO NOT RETURN YOUR COMPLET""cl) FORM TO THE 'OFFICE OF MANAGEME.\\!T AND BUDGET.
SEND IT TO TrlE ADDRESS PROVIDED BY TrlE SPONSORING AGENCY-
NOTE: Certain of these assuranœ,nnay not be applicable to your project or p"'g",m. tl you have questions. please cantacl the
awarding agency. Further, œrtãin Federal awarding agencies may require applicants to certify to additional assu",nces. tl such
is !he case, you will be notified.
As the duly authorized representative of the applicant. I ceitny that the app6cant:
4. 'Wiüinitiateand complete the work withIn the applicable
time frame after receipt of approval of the awarding
agency. '
Act of 1973. as amended, (29 V.S.C. §794). which
prohibits discrimination an the basis of handicaps; (d)
the Age Piscrimination Act of 1975. as amended (42
U.8.C. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (PL 92-255). as amended.
relating to noncfiSCrimination on the basis of drug
abuse; (I) the Comprebensive Alcohol Abuse and
,Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L 91-616), as amended. relatin9 to
nondiscrimination on the basis of alcohol abuse or ..
alcohorlSm; (g) §§523 and 527 of the Public Healih ~
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) Tille Vilt of the
Civil Rights Act of 1968 (42 U.8.C. §§3601 el sèq.). as
amended. retating to nandis<:riminalion in the sale.
rental or financing' of housing; (I) any other
nondiscrimination provisions in the specilic staMefs)
under which application for Federal assistance is bein9
made; and. m the requirements of any other
noncflScriminatian statuteis) which may apply to the
application.
1. Has the legal authority to apply for Federal assistance
and the institutional, managerial and financial capabir¡ty
~nciudiog funds suffICient 10 pay the nan-Federal share'
of project cost) to ensure proper planning. management
and completion of !he project described in this
application.
2. Will give the awarding agency, the Comptroller General
of the United StaleS and. ñ appropriate, the State,
through any authorized representative" access to and
the right to examine all records. books. papelS, or
documents related to the award; and wñl establish a
proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from
using their positions for a pulpOse !hat constitutes or
presents the appearance of personal or organizational
conflict of interest. or pelSanai 9ain.
6. Will, comply with all Federal staMes, relating to
nondiscrimination. These include btIt are not limited to:
(a) Trtle" VI of the Civil Rights Act of 1964 (P.L 88-352)
which prohibits discrimination on the basis of race. color
or national ongin; (b) Tolle IX of the Education
Amendments of 1972. as amended (20 U.S.C. §§168i.
1683. and 1685-1686). which prohibits discrimination ..an
the,basis of sex; (c) Section 504 of the Rehabilitation
7. Will comply. or has already complied. with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real, Properly ACQUisition
Policies Ad of 1970 (P.L 91-646) wh.ch provide for
fair and equitable treatment of persons displaced or
whose propeny is acquired as a result of Federal or
federally-assisted programs. These requ,,"rnents apply
to all interests in real prapeny ,aCQuired for project
purposes regardless, of. Federal partic,patlan in
purchases.
'5. Will comply with the Intergovernmental PelSonnei Act of
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit Systems for programs funded under
one of the 19 stattItes orre9ulations specified in
Appencfc: A of QPM's Standards for a Merit System of
PelSannel Administration (5 C.ER. 900. Subpart FJ.
8. .. Wili comply. as applicable. with provisions 01 Ihe
Hatch Ad (5 U.S.C.§§150H508 and 7324.7328)
which limit the political activities 01 employeeS whose
principal employment adivitles aie funded ,n whole or
in part with Fede",1 funds. .
Previous Edition Usable
Authorized for Local Reproduction
Sian,,"'" Fonn 4248 (Rev. 7-'
Prescribed by OMS CÙ'cutar "'-1
8
9. Will comply. as applicable. wiih the provisions. of the Pavis-
. 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. §§3Z7-
333). regarding labor standards for federafly-assisted
construction subagreements. '
10. Wúl èomply, "applicable, wiih lIood insuranCe purchase
requirements of Section 102(a) of the Flood pis.aster
Protection Act of 1973 (P.L 93-234) which requires
recipients in a speci.alllood hazard area to participate in the
program and to purchasa flood insurance" the total cost of
insurable construction and acquisition is $10,000 or more.
11. Wi11 comply with environmental standards which may be
prescnbed pursuant to the following: (a) institution of
environmental quaIity control measures under the NationaI
Environmental poncy Act of 1969 (P.L 91-190) and
Executive Order (EO) 11514; (b) notification of violating
faCIlities pursuant to EO 11738; (c) protection of weUands
pursuarit to EO 11990; Cd) evaluation of flood hazards in
floodplaIns in accordance with EO 11988.; (e) assurance 01
project consistency with the approved State management
program developed under the Coastal 'Zone Management
Act of 1972 (16 U.S_C. §§1451 et seq.); (I) conformity of
Federaf actions to State (Clean Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955, as
amended (42 V.S.C. §§7401 et seq.); (g) protection of
underground sources Of' drinking water under th~ Safe
Prinking 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. Win comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271 et seq.) related to protecting
comþonerlts or potential ""mponents of the national
'wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. §470). EO 11593
~dentification and protection of historic properties). and
the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 etseq.).
14. Will ""mply with P.L 93-348 regarding the protection of
human subjects involved in research. development, and
related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Wellare Act of
1966 (P.L 89-544. as amended. 7 U.S.C. §§2131 et .
seq.) pertaining to the care, handnng, and treatment of
warm blooded animals held for research.' teaching. or
other activities supported by this award of, assistance.
16. Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which
'prohibits the use of lead--based paint in construction or
rehabilitation of residence structures.
17. Will cauSe to be performed the required finan!'ial and
compliance audits in accordance with the Single Audit
Act Amendments of 1996 and OMBCircuiar No. A-133.
"Auérts of States. Local Governments. and Non-Profrt
Organizations."
18. Will comply with all applicable requirements of 'all other
Feder<il laws. executive orders. regulations. and policies
governing this program. .
SIGNATURE OF¡ AUTHORIZED CERTIFYING OFFICIAL
TITLE
APPLICANT ORGANIZATION
DATE SUBMITTED
Stand.,d Fa,", 4248 (Rev. 7-97) 8ac'
9
Certifications Regarding Debarment, Suspension and
Other Responsibility Matters, Drug-Free Workptace
Requirements and Lob~ng
Persons signing this foml should refer to the regulations
referenced below for complete inslructions:
Certification Regarding Debarment, Suspension. and Other
Responsibffity Matters - Primary Covered T r:msactions - The
prospective primary participant further agrees by
submitting this proposal that it wIlIlnc!ude the clause
titled, .Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary exclusion - Lower Tier
Covered Transaction,. provided by the department or
agency entering into this covered transaction, without
modification, In all lower tier covered transactions and In
all solicitations for lower tier covered transactions. See
below for language to be used or use this form for
certification and sign. (See Appendix A of Subpart D of 43
CFR Part.12.)
Certiiica!ion Regarding Debarment, Suspension. Ineligibility
and Voluntary Exdusion - Lower TIer Covered Transactians-
(See AppenálX B of Subpart D of 43 CFR Part 12.)
Certificaüoo Regarding Drug-Free Workplace Requirements -
Altemate L (Grantees Other Than InálViduais) and Alternate
II. (Grantees Who are Individuals) - (See Appendix C af
Subpart D of 43 CFR Part 12)
, SignabJre an this form provides for compliance with
certification requirementS under 43 CFR Parts 12 and 18.
The certifica!ions shall be treated as a material
representation of tact upon which retiance WIll be placed
when the Department of the Interior determines to award the
covered transaction, grant, cooperative agreement ar loan.
PART A:.
Certification Regarding Debarment, Suspension, and Other Responsibility Matters -
Primary Covered Transactions
, CHECK_IF THIS ŒRTIFICA TlON IS FOR A PRIMARY COVERED TRANSACTION AND IS APPUCABLE.
(1) The prospective primary participant certifies to the best of Its knowledge and betief, that it and Its p~ncipals:
Are not presently debarred. suspended. proposed for debarment, declared ineligible, ar voluntarily exduded by any
Federal department or agency:
Have not within a three-year period prêœding this propoSal œen convicted of ar had a ciVil judgment rendered against
them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain. ar performing a
public (Federal. State or local) transaction or contract under a public transaction: violation of Federal or State antitrust
statutes ar cammis,;ion of embezzlement, theft. forgery. bribery, falsification or destruction of records. making false
statements. arreceiving stolen property:
(a)
(b)
Are not presently indicted for arothefWise criminally or civilly charged by a governmental entity (Federal. State or local)
with commission af any of the offenses enumerated in paragraph (1)(b) of this certification: and
Have not within a three-year period preceding this application/proposal had one ar more public transactions (Federal.
State or local) telTT1inated for cause or defaulL .
(c)
(d)
(2) Where the prospective primary participant is unable to certify ta any of the statements in this certification. such prospective
participant snail attach an explanation to this proposal.
PART B: Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-
Lower TIer Covered Transactions.
CHECk,¡]F THIS CERTlFICA nON IS FOR A LOWER TIER COVERED TRANSACTION AND IS APPLICABLE.
(1) The prospective lower tier participant certifies. by submission of this proposal. that neither it nor its principals is presently
debalTed. suspended. proposed far debannenL de<:1ared inerogible. or voluntarily excluded from participation in this transaction
by any Federal department or agency. '
(21 Where the prospective lower tier participar.t is unable to certify to any of the statements in this certification. such prospective
participant shall attach an explanation to this proposal.
01.2'"
ju~ ,-
n- f~ A_bon 01."". 01...".
01-"". 01-"""'" OI."")
10
CH£cxd..IF THIS CERTIFICA nON IS FOR ~ APPUCANT WHO IS NOT AN INDIVIDUAL.
AJtemate I. (Grante<'..5 Other Than Individuals)
A The grantee œrtiiies that it will or continue to provide a drug-fræ workplace by:
(a)
Publishing a statement notifying employees that the unlawful manufacture, dis!ribution, dispénsing, possession, or Use
of a controlled substanœ is prohibited in the grantee's workplace and specifying the actions that will be taken against
employees for violation at such prohibition; ,
Establishing an ongoing drug-free awareness program to infonn employees about-
(1) The dangers of drug abuse in the wort<place;
(2) The grantee's pOlicy of maintaining a drug-free workplace;
(3) Arry available drug counseling. rehabilitation. and employee assistance programs; and
(4) The penalties that'may be imposed upon employe<'..5 for drug abuse violations occurring in the workplace;
(b)
(c)
Making it a requirement that each employee to be engaged in the perfonnance of the grant 'be given"a copy,of the
statement required by paragraph (a);
Notifying the employæ in the statement required by paragraph (a) that, as a condition of employment under the grant,
the employee will -
.. (1) Abide by the terms at the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such conviction;
(d)
(e)
Notifying the agency in writing. v;ithin ten calendar days after receiving notice under subparagraph (d)(2) from' an
employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide
notice. induding position title. to every grant officer on whose grant activity the convicted emplOYee was wort<ïi,g. unless
the Federal agency has designated a central point for the receipt of such notices. 'Notice snail include the identification
numbers(s) of each affected grant;' '..,- ,~ '
Taking one of the following actions. within 30 ,calendar days of receiving notice under subparagraph (d)(2), with respect
to any employee who is so convicted -
(1) Taking appropriate personnel action 'against such an employee. up 10 and including tennination. consistent v;ith
the requirements of the Rehabilitation Act of 1973. as arriended; or
(2) Requiring such employee to participate satisfactoriJy in a drug abuse assistance or rehabilitation program approved
for such purposes by a Federal. State. or local health. law enforcement. or other appropriate agency;
(t)
(g)
Making a good faith effort to continue to maintain a drug-free wort<place through implementation of paragraphs (a) (b).
(c), (d). (e) and (t).
B. The grantee may insert in the space proviped below the site(s for the performance of wort< done in connection 'v;ith the specific
grant
Place of Performance (Street address. city. county. state. zip code)
Check_if there are workplaces on file that are not identified here.
PART 0: Certification Reqarding Druo-Free Wor1<place Requirements
CHECK_IF THIS CERTIFICATION IS FOR AN APPUCANT WHO IS AN INDIVIDUAL.
Alternate II. (Grantees Who Are Individuals)
(a)
The grantee certifies that as a condition of the grant. he or she will not engage in the unlawful manufacture. distribution.
dispensing. possession, or use of a controlled substance in conducting any activity with the grant;
If convíded of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity. he or
she v;ill report the conviction. in writing. within 10 calendar days of the conviction. to the grant officer or other designee.
unless the Federal agency designates a central point "for the receipt of such notices. When notice is made to such a
central point. it shall include the identification number(s) of each affected grant.
(b)
01.11310
JuM ,..,
(ThIo loon ....c- 01-1>53. 01.1"".
01-110'.01."" and 01-10<3)
11
. PART E: Cartlfication Regarding Lobbying
Cartification for Contr.~, Grantz. Loans, and Cooperative Agreements
CHECK_IF CERTIFICATION IS FOR THE AWARD OF ANY OF rrlE FOLLOWING AND
THE AMOUNT EXCEEDS $100.000: A FEDERAL GRANT OR COOPERATIVE AGREEMENT'
SUBCONTRACT. OR SUBGRANT UNDER THE GRANT OR COOPERATIVE AGREEMENT:
CHECK IF CERT1FICA T10N IS FOR THE AWARD OF A FEDERAL
LOAN EXŒEDING THE AMOUNT OF $150,000. OR A SUBGRANT OR
SUBCONTRACT EXCEEDING $100.000. UNDER THE LOAN.
The undersigned certifies, to the best of his or her knowledge and belief. that
(1) No Federal apprnpriatedfunds rnNe been paid or win be paid. by or on behalf of the undersigned. to ,any person for influencing
or attempting to iniluence an officer or employee of an agency. a Member of Congress, and officer or employee of Congress, or
, 'an employee of.a Member of Congress incconnection with the awarding of any Federal contract, the making'of any Federal grant.
the making of any Federal. loan'. the entering into of any cooperative agreement, and the extension. continuation, renewal,
amendment, or modification of any Federal contract, grant, loan. or cooperative agreement.
(2) If any funds other than Federal appropriated'funds have been paid or will be paid to any person for iniluencing or attempting
to iniluence an officer or employèe of any ageflC'j, a Member of Congress, an officer or employee,of Congress, or an employee of
a Member of Congress in connection with this Federal contract, grant. loan. or cooperative' agreement. the undersigned shall
complete and submit Standard Form-LLL "Disdosure Form to Report Lobbying.~ in..acrordance with,jts,instructions.
(3) The, undersigned shall ,require that the language of this certification be,induded in the ,award-document$ for all subawards at
all tiers ,(including subcontracts, subgrants; and contracts under .grants. Joans.,and cooperative-agreements) and that all
subrecipient$ shall certify accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered
__,_into--Submission,ofthis certification is a prerequisite for making or entering into this transaction imposed by Section 1352; title 31. .
U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of notless than $10.000 and not ',..
more than $100,000 for each such failure. '
As the authorized certifying official. I hereby certify that the above specified certifications are true.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
TYPED NAME AND TITLE
DATE
CI.%O1O
JUM ,."
"tri. f~ ...b~ CI."". "",.".
CI.,.,s. CI.,....nd CI.1O"1
12
EXHIBIT C
SCOPE OF WORK
A. WORK ELEMENTS
The City of Dubuque (RECIPIENT) will conduct an intensive architectural survey and
evaluation project of Dubuque's oldest residential neighborhoods adjacent to the downtown.
This will be the fifth (V) Phase of the City's on going survey and evaluation. The Phase V
area was selected for the following reasons:
1. The 1977 Kriviskey Survey and the 2000 community assessment both identified
potentially ~ignificant properties in the project area.
2. Section106 reviews often are required for properties in this area for the To qualify for
the City's residential rehabilitation and 1ead"based paint abatement programs, the
proposed rehabilitation and/or lead-based paint abatement project may require Section
106 review.
3. The City Council now has the ability to review and approve (or deny) demolition
requests in the area, based in part on the property's historical or architectural
signÎficance. This project will generate Iowa Site Inventory forms, containing
evaluations of the potential significance of historic properties that will become part of
the City's historic property inventory and be used to assist the City in making informed
decisions.
4. There has been interest by some of the property owners in the Phase V area to be
designated as a historic district. This project report and the Iowa Site Inventory forms
will provide the basis for preparing nominations to the City's list of historic properties
as well as to the National Register of Historic Places.
The objects for the Phase V project are:
1. Identification of historically and architecturally significant properties is undertaken to
the degree to make recommendations about the potential eligibility to the National
Register of Historic P1ace~.
2. Integrate the results of identification activities into the preservation planning process.
Identification activities will include explicit procedures for record keeping and
distribution of information.
3. Architectural themes and historic contexts are developed and refined.
4. The potential significance of historic properties is evaluated using National Register of
Historic Places criteria.
5. Evaluation of significance applies the criteria within the framework of architectural
themes and historic contexts. .
6. Evaluation results in an inventory of historic properties that is consulted when
assigning registration and treatment priorities.
7. To enhance and increase public Imowledge and appreciation of the City's architectural,
cultural and historic resources, the evaluation results will be available for public use
and viewing.
13
The Phase V area includes 452 properties (135 being secondary) in several olderresidential
neighborhoods adjacent to the downtown. The subject area encompasses 107 acres in the
heart of Dubuque.
The types of buildings in the Phase V area reflect a variety of architectural styles and
materials. Structures range from small single family homes to large multifamily structures.
Brick and native stone are the primary building materials. Many of the buildings are in
good or fair condition.
The Phase V area encompasses the historic neighborhoods adjacent to the downtown, with
some two-and-three story residential buildings still fully residential. For these residential
structures, both wood and brick are the predominant building materials.
The Phase V architecturaVhistoric survey evaluation will include an inventory, evaluation
and data entry on the 452 properties within the project area. The project consultant will use
previous studies, archives at the Dubuque County Historical society and the Center for
Dubuque History at Loras College, and County as well as records from other archives, such
as those in Des Moines and Iowa City.
Data will be collected and analyzed on property ownership, dates of construction,
associated architects and/or contractors, physical integrity and other items that relate to the
properties' significance as a National Register eligible property or part of a historic district.
Particular emphasis will be placed on the pre-1950 structures.
Historic contexts will be researched, developed, and refined, using information gathered
during the project. Each resource will be evaluated in terms of both architectural and
historical significance. A local determination of National Register eligibility will be made for
each property (either individually or as part of a district). If it is determined that a historic
district exists, boundaries will be clearly defined. No National Register nominations will be
prepared as a part of this survey and evaluation phase; nominations will be prepared as a part
of a later phase
All work on the project will conform to the "Secretary of the Interior's Standards for Identification and
Evaluation", Federal Register, dated 9/29/83; to the guidelines outlined in National Register Bulletins #
IGa, 24 and 39; to the Fiscal Year 2004 Grants Manual for Certified Local Govermnents; and to the grant
application submitted by the Dubuque in September 2003.
This project will require a professional with expertise in the field of architectural-historical, survey and
evaluation. Through a competitive bidding process, the City will hire a professional consultant. The
consultant to be hired must meet the professional qualification standards, established by the Secretary of
the Interior and the State Historic Preservation Office, for history and architectural history. The
consultant must have either a master's degree in American History, American Studies or closely related
field, or a bachelor's degree plus two years full-time experience in research and writing, teaching or have
made substantial contribution to the field.
In addition, the City's project director and a historic preservation intern will be involved in the Phase V
project by assisting the consultant with project management, data collection, research, photography, data
entry, and map making.
14
The COI1Bultant will be respoI1Bible for the quality and completion of the work perfonned as well
as organizing and ,coordinating project activities including research, evaluation, and
preparation of the final report and recommendations. In addition, the consultant will train
and direct volunteers and staff in completing fieldwork. Volunteers and staff will be
involved with photography, recording data on the Iowa Site Inventory forms, preparing'
maps, archival research, detennininglegal descriptions, and collation of the final products.
The Historic Preservation Commission will be responsible for furnishing the STATE and the public with
a draft copy of the report for review and comment. The draft report must be complete when submitted for
review. In the event that major revisions are required, the STATE may request, and the RECIPIENT will
supply, a revised, ,draft report for review at no additional cost to the STATE. In the event that a revised
draft is required, it will be due 30 days after the STATE requests the revised draft. Changes directed by
the STATE shall be made prior to submission of the final report for the project. Comments made by the
RECIPIENT will also be incorporated in the final report.
B. PRODUCTS
The STATE will furnish the following:
L Copies of How to Complete the Iowa Site Inventory Fonns,
2. Copies ofIowa Site Inventory forms,
3. Print File preservers for 35 mID black and white negatives and prints,
4. Print File preservers for 35 mID color slides,
5. Photograph/Catalogue Field Sheets,
6. One Historic-Architectural database (HABD) encoding fonn,
7. Copies of National Register Bulletins l6b, 24, 39 and the Multiple Property Document Fonn,
8. A Grant Project Director's Manual,
9. Monthly progress reporting forms,
10. Forms for documentation of match.
The RECIPIENT will prepare the following products:
L
2.
3.
4.
5.
6.
Two (2) copies of the draft Request For Proposals (RFP) to send to consultants;
A minimum of five (5) fmal copies of the RFP;
Three (3) copies of the draft subcontract agreement with the consultant;
Three (3) copies of the fully executed subcontract agreement with the consultant;
Two (2) copies of a research design outlining the project activities and schedule;
The title page of the draft and final reports and any other publications produced for this grant project
will carry the following aclmowledgments:
"This Project has been funded with the assistance of a matching grant-in-aid from the State
Historical Society onowa, Community Programs Bureau, through the department of the Interior,
National park Service, under provisions of the National Historic Preservation Act of 1966; the
opinions expressed herein are not necessarily those of the Department of the Interior"
"This program received Federal funds from the National Park Service. Regulations of the U.S.
Department of the Interior strictly prohibit unlawful discrimination in Federally Assisted Programs
on the basis of race, color, national origin, age or handicap. !illy person who believes he or she has
been discriminated against in any program, activity, or facility operated by a recipient of federal
15
assistance should write to: Director, Equal Opportunity Program,.V.S. Department of the Interior,
National Park Service, 1849 C Street NW, D.C. 20240."
7. Three (3) draft copies of survey report; the report will follow the format of a Multiple Property
Cover Document and
8. Five (5) to ten (10) draft sets of completed, typed Iowa Site Inventory foImS for 5 to 10 recorded
properties. At least one, black and white, photographic print of the property, enclosed in a Print-File
type plastic sleeve, should be attached to each to each set.
9. A minimum of twelve (12) copies of the final project report, to include eleven (11) bound copies and
one (1) unbound, print-ready master copy;
10. Two (2) fmished sets of completed, typed Iowa Site Inventory foImS for each recorded property,
each set with at least one black and white photographic print enclosed in a Print-File type plastic
sleeve;
II. One (1) black and white photograph will be taken of each surveyed property;
12. Two (2) contact sheets and one set of negatives for each roll of black and white film used during the
survey;
13. Use 35 mm, kodacbrome film for any colored slides. Prepare a copy of each colored slide, talcen for
the survey.
14. Two (2) typed copies of "Photograph/Catalog Field Sheet" for each roll of black and white and each
roll of colored slide film;
IS. Two (2) copies of one page report, summarizing project results;
16. One (I) completed, typed Historic-Architectural Data Base (HABD) encoding form for summarizing
report information.
The RECIPIENT will distribute the products as follows:
I.
One (I) draft copy of the RFP be sent the STATE for review, comment and approval; the
RECIPIENT will retain one copy for its file;
A minimum of five (5) copies of the final RFP: One (1) copy of the fmal RFP will be sent to the
STATE, the RECIPIENT must send copies to a minimum of three (3) different, qualified
consultants, and the will keep one (I) copy for its file;
One (1) draft copy of the consultant subcontract will be sent to the selected Consultant forreview,
comment and prior to execution; one (1) draft copy of the consultant subcontract, incorporating
consultant comments, will be sent to the STATE for review and approval; the RECIPIENT will
retain one (1) copy for its file;
One (1) copy of the fmal, fully executed consultant subcontract will be sent to the STATE, one (1)
copy will be sent to the consultant, the RECIPIENT will retain one (1) copy for its file.
One (1) copy of a research design outlining the project activities and schedule will be submitted tò
the STATE for comment and approval, the RECIPIENT will retain one (1) copy for its file;
The STATE will receive one (1) draft copy of the project report and a sample of five to ten (5 to 10),
completed Iowa Site Inventory fOImS.The RECIPIENT will make two copies of the draft report
available for review and comment to the Historic Preservation Commission and to the public,
respectively.
Twelve (12) copies of the final report: the RECIPIENT will keep five (5) bound copies for its
inventory and the STATE will receive one (I) print-ready, unbound, master copy and six (6) bound
copies.
One (I) finished set of typed, completed Iowa Site Inventory foImS with black and white photos in
Print-File plastic sleeves will be submitted to the STATE with the final report; the RECIPIENT will
keep the one (1) set ofIowa Site Inventory forms for its property inventory file.
2.
3.
4.
5.
6.
7.
8.
16
9. The STATE will receive one set, consisting ofa contact sheet, negati'Ves, and typed
Photographic/Catalog Field Sheet, for each roll of black and white film. The contact sheets and
negatives will be in "Print File print and negative preservers". The RECIPIENT will keep one set of
contact ,sheets and typed Photographic/Catalog Field Sheet for each ron or black and white film for
its property inventory file.
10. The STATE ,win receive copies of an color slides taken, filed in "Print File, slide preservers", and a
set of typed Photographic/Catalog Field Sheets, completed for each roll of color film. The
RECIPIENT win keep the original color slides and a set of completed typed Photographic/Catalog
Field sheets for its file.
11. One (1) copy of the one-page report, evaluating the project, win be submitted to the STATE; the
RECIPIENT will keep one copy for its file.
12. A completed Historic - Architectural Database (HABD) encoding fonn, summarizing report
information, will be given to the STATE.
C. SCHEDULE
Work under this contract will begin upon receipt ofthe Notice to Proceed and a Grant-in-Aid Agreement
that has been signed by the RECIPIENT and the State. The RECIPIENT is expected to begin work on the
project within 20 days of receiving a copy of the funy executed contract, signed by the RECIPIENT and
the STATE. The contract will end on or bèfore June 30, 2005. Early completion of contract activities
and submission of contract products is encouraged. Deadlines for contract activities are as follows:
March 1,2004
TIle RECIPIENT will return all three copies of the contract, bearing the chief elected-official's signature,
to the STATE no later than March 1, 2004.
March 15, 2004
STATE will return one fully executed copy to RECIPIENT no later than March 15, 2004.
April 15, 2004
RECIPIENT will submit Request for Proposal (RFP) and draft consultant subcontract to STATE for
review and comment.
April 30, 2004
STATE will return RFP and subcontract with recommend.ed revisions, if needed.
May 30, 2004
Request bids ftom consultants. RECIPIENT will select consultant, sign contract and submit signed
contract to STATE.
June 15,2004
Project Director, Consultant, and volunteers begin work on project.
July 15,2004
RECIPIENT will submit project research design for STATE review, comment and approval.
August 1,2004
STATE will provide RECIPIENT with comment on research design.
August-December, 2004
Undertake field recording and archival research.
17
. .
January-February, 2005
Prepare draft report, Iowa Site Inventory foTITIS, label photographs and slides, and photo-catalogues.
March 1, 2005
Consultant submits draft report and sample inventory sheets and photographs to the STATE for review
and comment. RECIPIENT provides the public with a copy of the draft report for review and comment.
April 1,2005
STATE sends the RECIPIENT review comments on draft products.
June 30, 2005
RECIPIENT submits the fonowing final products: copies of the final report, site sheets, photographic
record sheets, photographs and slides, one page project report, completed HADB form and Request for
Reimburs=ent with documentation
D. REJMBURSEMENT SCHEDULE
Payments by the STATE shan be made upon receipt ofbi]]ing invoices ITom the RECIPIENT that
relate expenses being biI1ed to budgeted expenses identified in Exhibit D. Each payment request
wi]] be audited by the STATE to insure compliance with federal guidelines, the grant application
and grant-in-aid agreement. Timely submission of products is essential for reimbursement.
Claims for reimbursement must be accompanied by a progress report and have supporting
documentation attached. Claims must be submitted to Kerry C. McGrath, RECIPIENT
Coordinator, State Historic Preservation Office, State Historical Society ofIowa, New Historical
Building, 600 East Locust Street, Des Moines, Iowa 50319-0290.
The fo]]owing payment schedule wi]] be used:
Approval of draft report and sample of site inventory forms. up to 50% of grant
Approval of an final products 100% orremaining balance of the grant
E. COORDINATION
This project win be managed by the RECIPIENT in cooperation with the STATE. The
RECIPIENT win be represented by the Project Director, Wany Wernimont, Plmming Services
Department, 50 W. 13th St, Dubuque]A 52001-4805, (563) 589-4210,
ww=imo@cityofdubuque.org and the STATE win be represented by Ralph Christian, State
Historical Society ofIowa, New Historical Building, 600 East Locust, Des Moines, Iowa 50319-
0290 at (515) 281-8697, ralph.christian@iowa.gov. Routine information and technical guidance
win be provided by Ralph Cbristian. All accounting matters and payments shall be handled by
Kerry McGrath, 515-281-6826.
The RECIPIENT's Project Director, Wany Wernimont, wi]] maintain continuous coordination
with the STATE's Project Manager, Ralph Cbristian, during the course of the contract. This wi]]
consist of written monthly progress report due on the 5th of each month. These reports win keep
the STATE abreast of contract progress and serve as a vehicle for assessing performance of the
contract. Progress reports shan be directed to the STATE's Proiect Manager. Ralph Christian.
18
EXHIBIT D
BUDGET
Projected Costs CLG Applicant Match Project Subtotals
Grant
(Federal) Cash In-Kind
Consultant 354 $10,000.00 $7,500.00 $17,500.00
hours at $50/hr
Consultant $487.50 $487.50
Mileage 1500 at
$.325/mile
Per Diem 17 days at $1,700.00 $1,700.00
$100 (room and
meals)
Historic $1,500.00 $1,500.00
Preservation Intern
200 hours (Q)$7.50/hr
Project Director $625.00 $625.00
25 hours at
$25.00/hour '
Photography mm, $1,000.00 $1,000.00
developing and
printinG
Office Supplies $75.00 $75.00
Phone, fax $75.00 $75.00
PostaGe $100.00
Photocopies, $1,000.00 $1,000.00
printinG '
Total Applicant Match
Totals CLG Grant $7,500.00 $2,125.00 Total Project Cost
$14,437.50 $9,625.00 $24,062.50
19
~ .'
. .
Prepared by: Laura Carstens. City Planner Address: City Hall. 50 W. 13th Street Telephone: ~
RESOLUTION NO. 104-04
RESOLUTION APPROVING A CERTIFIED LOGAL GOVERNMENT (CLG)
GRANT AGREEMENT TO CONDUCT AN ARCHITECTURAL/HISTORIC
SURVEY
Whereas, the State Historical Society of Iowa has awarded the City of Dubuque
$14,437.50 in Certified Local Government Program (CLG) grant funds to conduct Phase V
of the architectural/historic survey of the community; and
Whereas, the State Historical Society has advised that an architectural/historic
survey is necessary for the renewal of a Memorandum of Agre~ment between the State
and City for the purposes of conducting local Section 106 reviews; and
Whereas, the City of Dubuque Historic Preservation Commission has reviewed and
endorsed Phase V of the architectural/historic survey; and
Whereas, the City of Dubuque has budgeted the required local match of $9,625.00.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA
Section 1. That the Mayor is hereby authorized to sign the CLG grant agreement
with the State Historical Society for Phase V of the architectural/historic survey.
Section 2. That the Planning Services Manager is authorized to utìlize budgeted
funds and to submit reimbursement requests for the project.
Section 3. That the City of Dubuque agrees to abide by all local, state and federal
requirements applicable to the project. .
Passed, approved and adopted this 15th
day of March, 2004.
Terrance M. Duggan, Mayor
Attest:
Jeanne F. Schneider, City Clerk
,2004.
Attest:
ayor