Old Town Neighborhood NRHP Nomination CLG Grant AgreementMasterpiece on the Mississippi
Dubuque
band
AI- America City
1
2007 • 2012 • 2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: Old Town Neighborhood NRHP Nomination CLG Grant Agreement
DATE: January 27, 2014
Planning Services Manager Laura Carstens is requesting City Council approval of the
Certified Local Government (CLG) grant and resolution. The City of Dubuque was
awarded a $4,500 CLG grant from the State Historical Society of Iowa to assist with
preparing a National Register of Historic Places (NRHP) nomination for the Old Town
Neighborhood.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
Mic ael C. Van Milligen
MCVM:sv
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
Teri Goodmann, Assistant City Manager
Laura Carstens, Planning Services Manager
Masterpiece on the Mississippi
Dubuque
*****
AII•AmericaCity
2007 • 2012 2013
TO: Michael C. Van Milligen, City Manager
FROM: Laura Carstens, Planning Services Manager kjrj --
SUBJECT: Old Town Neighborhood NRHP Nomination CLG Grant Agreement
DATE: January 14, 2014
Introduction
The State Historical Society of Iowa has awarded the City of Dubuque a $4,500 CLG
(Certified Local Government) grant to assist with preparing a National Register of
Historic Places (NRHP) nomination for the Old Town Neighborhood. Attached for City
Council review and approval is the CLG Grant agreement and resolution.
Background
A responsibility of the City of Dubuque Historic Preservation Commission (HPC) is to
conduct ongoing surveys to identify historically and architecturally significant properties
and to assist and encourage the nomination of such properties to the NRHP. These
survey and registration projects are the framework for the community's preservation
program. Since 1979, the City of Dubuque has surveyed and evaluated the historic and
architectural significance of 4,728 structures which resulted in registering many of our
local and NRHP districts.
The Old Town Neighborhood is an area within the Washington Neighborhood that was
identified as being eligible for listing on the NRHP during the City's third phase of its
ongoing survey and evaluation program in 2004. Enclosed is a map which depicts the
Old Town Neighborhood NRHP District in relation to the Washington Neighborhood.
NRHP district boundaries are determined by the contiguity of architecturally significant
buildings and shared historic contexts. Consequently, at the time the neighborhood was
surveyed not all buildings within today's Washington Neighborhood boundary were
determined eligible for listing. As part of the nomination process, the selected consultant
will conduct additional research and field work to determine if additional buildings can
be included within the district.
Discussion
NRHP districts are catalysts for many economic benefits such as State and Federal
Historic Tax Credits. These programs have had a profound impact in the revitalization of
Dubuque's downtown and historic neighborhoods. NRHP districts also support the
Old Town Neighborhood NRHP Nomination CLG Grant Agreement
Page 2
community's social and cultural vibrancy goals. Preserving and promoting Washington
Neighborhood's architecture is a key brand element of the Washington Neighborhood
Marketing Plan. Designating a historic district within the Washington Neighborhood is
also a strategy of the Washington Neighborhood Revitalize Initiative. NRHP districts do
not have any added regulatory impacts for City Staff or property owners.
The project cost is $7,517.32. The City is requesting 60% of the total project costs or
$4,500 in CLG grant funds. The City is contributing 40% of the total project cost or
$3,017.32 in local cash match from FY2014 CIP #102 -2432, Historic/ Architectural
Surveys and Evaluations.
Recommendation
I recommend that the City Council approve the attached resolution and request the
Mayor sign the enclosed Grant -In- Aid - Agreement. Planning Services Staff will return the
agreements to the State Historical Society of Iowa.
Attachments
cc Jennifer Larson, Budget Director
Alvin Nash, Housing & Community Development Director
Megan Starr, Economic Development Coordinator
Did Town Neighborhood
NRHP Eligible Historic Diistrict
..' . V t" \ V -4111
\ Iti‘
Washington Neighborhood
Proposed Old Town Neighborhood NRHP District
Prepared by: Laura Carstens, City Planner Address: City Hall, 50 W. 13th St Telephone: 589 -4210
Return to: Kevin Firnstahl, City Clerk Address: City Hall, 50 W. 13th St Telephone: 589 -4121
RESOLUTION NO. 25-14
RESOLUTION AUTHORIZING A CLG GRANT -IN- AID - AGREEMENT WITH THE STATE
HISTORICAL SOCIETY OF IOWA TO PREPARE THE OLD TOWN NEIGHBORHOOD NATIONAL
REGISTER OF HISTORIC PLACES NOMINATION.
Whereas, the State Historical Society of Iowa has determined historic /architectural surveys and
evaluations are eligible for Certified Local Government (CLG) funds; and
Whereas, the City of Dubuque is a CLG in good standing and has approved a program to
encourage the nomination of landmarks, landmark sites and historic districts to the National Register
of Historic Places.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE,
IOWA:
Section 1. That the Mayor is authorized to sign and submit the Grant -In- Aid - Agreement to the
State Historical Society of Iowa for CLG Funds to prepare the Old Town Neighborhood National
Register of Historic Places Nomination.
Section 2. That the City of Dubuque agrees to abide by all local, state and federal requirements
applicable to the proposed budget.
Passed, approved and adopted this 3rd day of February, 2014.
Attest:
Kevin . irnstahl, i y Cler�f
Roy D. Buol, Mayor
Contract No. 2014 -05
STATE HISTORICAL SOCIETY OF IOWA
GRANT -IN -AID AGREEMENT FOR:
CLG Dubuque, Iowa
Certified Local Government Grant Project
This agreement is made and entered into by and between Dubuque, hereinafter referred to as the
RECIPIENT, and the STATE HISTORICAL SOCIETY OF IOWA, hereinafter referred to as the
STATE; WITNESSETH THAT:
WHEREAS, the STATE, is interested in broadening the role of local 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 National Register nomination;
NOW THEREFORE, it is agreed by and between the parties hereto as follows:
1. That the RECIPIENT is qualified to complete the attached Scope of Work (Exhibit C);
2. That the RECIPIENT will be responsible for overseeing all aspects of fiscal management;
3. That the RECIPIENT provide a 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 Interior for grants -in -aid. Project work
which does not meet Secretary of the Interior's 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;
S. 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, 2015;
10. That the RECIPIENT and the STATE mutually agree that the cost of this contract shall be
$4,500.00 (Exhibit D). All eligible costs necessary to carry out the project shall be initially
advanced by the RECIPIENT and then the STATE shall reimburse the RECIPIENT for
CLG 2014 -05 (Dubuque)
1
$4,500.00, upon receipt of all work products and as specified in the Scope of Work. The
final bill must be submitted with the final report by July 31, 2015. The agreement will end
on August 15, 2015.
11. Expenditures are to be according to the Budget, attached as Exhibit D. Adjustments
between budget categories are permissible following written mutual consent between the
RECIPIENT and the STATE;
12. The RECIPIENT will faithfully comply with all applicable Federal and State laws,
regulations and guidelines, including the Secretary of the Interior's Standards and
Guidelines for Archaeology and Historic Preservation as published in the Federal Register
on September 29, 1983;
13. The RECIPIENT shall hold the STATE and federal government harmless from damages in
any action arising from the performance of work described herein.
IN WITNESS WHEREOF, the parties hereto have executed this contract on the day and year last
specified below.
RECIPIENT
Roy Buol, Mayo City of Dubuque
February 3, 2014
Date
STATE
Steve King, AIA, State Historic Preservation Officer, State of Iowa
Date
CLG 2014 -05 (Dubuque) 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 provisions 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 II - 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 party in the United States or in any other country.
b. The U.S. Department of the Interior and the State Historical Society of Iowa shall reserve a
royalty -free, non - exclusive and irrevocable license to reproduce, publish (including in an
electronic format), or otherwise use, and to authorize others to use, any materials produced in
whole or in part under this Contract for government purposes. Any 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 of Iowa.
ARTICLE III - Accounts and Records:
a. Accounts - the RECIPIENT shall maintain books, records, documents and other evidence
pertaining to all costs and expenses incurred and revenues acquired under this Contract to the
extent and in such detail as will 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. 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 permit the STATE to audit, examine
and make excerpts from such records and all other matters covered by this Contract.
c. Retention of Financial Records - All records in the 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 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
CLG 2014 -05 (Dubuque)
3
utilization sheets, records, documents and other evidence in support of all costs and expenses
incurred for the performance of this Contract.
ARTICLE IV - Termination of Contract
a. Termination for Cause - The STATE or the RECIPIENT may terminate this 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. The 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 incurred by the RECIPIENT
prior to termination. The STATE shall terminate the contract if it determines that the
RECIPIENT is not following cost eligibility as outlined in the Secretary of the Interior
Standards, 36 CFR; OMB Circular A -87; and OMB Circular A -102.
b. Termination 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
of Iowa to appropriate funds or discontinuance 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, terms and conditions as
the original award. In the event of termination 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.
CLG 2014 -05 (Dubuque)
4
ARTICLE V - Interest of Officials and Others:
a. STATE - No officer, employee or advisor of the STATE including a member of the State
Historical Society of Iowa Board of Trustees or the State Nominations Review Committee, shall
participate in any decisions relating to this Contract which affect his personal interest or the
interest of any corporation, partnership or association in which he is directly or indirectly
interested or have any interest, direct or indirect, in this Contract or the proceeds thereof. A
person has a conflict of interest with 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:
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 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 VI - Assignment of Interest:
Neither this Agreement or any interest therein, no claim hereunder, shall be assigned or
transferred 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 VIII - Procurement of Professional Services and Equipment:
The RECIPIENT shall procure professional services by competitive negotiation, or small
purchase procedures. This requires solicitations from at least three sources to permit reasonable
competition consistent with the nature and requirements or the procurement. "Cost- plus -a-
percentage -of- cost" contracting is 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 Regulations, Volume 36 Part 6L
CLG 2014 -05 (Dubuque)
5
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.
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EXHIBIT B
SPECIAL CONDITIONS
ARTICLE I - Identification of Parties:
This Contract is entered into by and between the State Historical Society of Iowa, hereinafter
called the STATE, and the city of Dubuque, hereinafter called the RECIPIENT.
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. She (he) may
designate a member of her (his) staff to negotiate, on behalf of the State, any changes to the
Contract.
b. Mayor Roy Buol or the local Project Director (Exhibit C) is authorized to execute any
changes in the terms, conditions, or amounts as specified in this contract.
ARTICLE III - Additional Special Conditions:
a. Audit Requirements - The RECIPIENT shall annually have performed, on a timely basis,
independent financial and compliance audits of the historic preservation funds received from the
STATE. All such audits shall be conducted in accordance with applicable auditing standards set
forth in OMB Circular A -128, "Audits of State and Local Governments ", pursuant to the Single
Audit Act of 1984. Costs associated with such audits are the responsibility of the RECIPIENT.
A copy of this audit must be submitted to the STATE.
If the RECIPIENT is a non - profit organization, public college or university, audits shall be made
in accordance with statutory requirements and the provision of Circular A -110 a copy of this
audit must be submitted to the STATE.
b. General Obligations - All work performed under this Contract shall be carried out in a lawful,
proper and satisfactory manner in accordance with appropriate Federal, State and Local
regulations, including OMB Circular A -102 and Historic Preservation Fund Grants Manual,
October 1997; and any circular, policies, procedures and requirements as may from time to time
be prescribed by the U.S. Department of the 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 Contract shall be on a cost
incurred, non - profit basis.
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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 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 National Register nomination has been financed in
part with Federal funds from the National Park Service, U.S. Department of the
Interior. However, the contents and opinions do not necessarily reflect the view or
policies of the Department of the Interior, nor does the mention of trade names or
commercial products constitute endorsement or recommendation by the Department
of the Interior"
ARTICLE VI - Equal Opportunity Acknowledgment:
Publications, films, 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 receives Federal financial assistance for identification and protection of
historic properties. Under Title VI of the Civil Rights Act of 1964, Section 504 of the
rehabilitation Act of 1973, and the Age Discrimination Act of 1975, as amended, the
U.S. Department of the Interior prohibits discrimination on the basis of race, color
national origin, disability or age in its federally assisted programs. If you believe you
have been discriminated against in any program, activity, or facility as described above
or if you desire further information, please write to:
Office of Equal Opportunity
National Park Service
1849 C Street, N.W.
Washington, D.C. 20204"
ARTICLE VII - Certification Regarding Lobbying:
This certification is required by Section 1352, Title 31, U.S. Code. The sub - grantee certifies, to
the best of his or her knowledge and belief that:
(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
CLG 2014 -05 (Dubuque)
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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 connection with this Federal contract, grant, loan or cooperative agreement, the
undersigned shall complete and submit Standard Form 1963 "Disclosure Form to Report
Lobbying," in accordance with instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all sub - awards at all tiers (including subcontracts, sub - grants, and contracts under
grants, loans, and cooperative agreements) and that all sub - recipients 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.
ARTICLE VIII - Equal Opportunity: Code of Fair Practices
1. The RECIPIENT will not discriminate against any employee or applicant for employment
because of race, creed, color, religion, national origin, sex, age or physical or mental disability.
The RECIPIENT will take affirmative action to insure that applicants are employed and that
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.
2. The RECIPIENT will, in all solicitations or advertisements for employees placed by or on
behalf of the RECIPIENT, state that all qualified applicants will receive consideration for
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. The RECIPIENT will send to each labor union or representative of workers with which he has
a collective bargaining agreement or other contract or understanding, a notice advising the labor
union or worker's representative of the RECIPIENT commitments under this nondiscrimination
clause and shall post copies of the notice in a conspicuous place available to employees and
applicants for employment.
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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 Order 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 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 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 of Iowa 1973, as heretofore and hereinafter
amended, or by the rules and regulations of the State or as otherwise provided by law.
6. ARTICLE IX - OMB Approval No. 0348 -0040, Assurances - Non - Construction
Programs
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. Has the legal authority to apply for Federal assistance and the institutional, managerial and
financial capability (including funds sufficient to pay the non - Federal share of project cost) to
ensure proper planning, management and completion of the project described in this application.
2. Will give the awarding agency, the Comptroller General of the United States and, if
appropriate, the State, through any authorized representative, access to and the right to examine
all records, books, papers, or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting standards or agency
directives.
3. Will establish safeguards to prohibit employees from using their positions . for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable time frame after receipt of approval
of the awarding agency.
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5. 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).
6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not
limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits discrimination on the
basis of race, color or national origin;
(b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § §1681-'
1683, and 1685- 1686), which prohibits discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps;
(d) The Age Discrimination Act of 1975, as amended (42 U.S.C. § §6101- 6107), which prohibits
discrimination on the basis of age;
(e) The Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255), as amended, relating to
nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation
Act of 1970 (P.L. 91 -616), as amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism;
(g) §§523 and 527 of the Public Health Service Act of 1912
(42 U.S.C. § §290 dd -3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug
abuse patient records;
(h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § §3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing;
(i) Any other nondiscrimination provisions in the specific statute(s) under which application for
Federal assistance is being made; and
(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.
9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. § §276a to
276a -7), the Copeland Act (40 U.S.C. §276e and 18 U.S.C. §874), and the Contract Work Hours
and Safety Standards Act (40 U.S.C. § §327 - X333), regarding labor standards for federally -
assisted construction sub - agreements.
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10 Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of
the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which requires recipients in a special
flood hazard area to participate in the program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be prescribed pursuant to the
following: (a) institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive Order (EO) 11514; (b)
notification of violating facilities pursuant to BO 11738; (c) protection of wetlands pursuant to
EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e)
assurance of project consistency with the approved State management program developed under
the Coastal Zone Management Act of 1972 (16 U.S.C. § §1451 et seq.); (f) conformity of Federal
actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of
1955, as amended (42 U.S.C. § §7401 et seq.); (g) protection of underground sources of drinking
water under the Safe Drinking Water Act of 1974, as amended (P.L. 93 -523); and, (h) protection
of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93-'205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. § §1271 et seq.) related
to protecting components or potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and
protection of historic properties), and the Archaeological and Historic Preservation Act of 1974
(16 U.S.C. § §469a -1 et seq.).
14. Will comply with P.L. 93 -348 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89 -544, as amended, 7
U.S.C. § §2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals
held for research, teaching, or other activities supported by this award of assistance.
16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § §4801 et seq.)
which prohibits the use of lead -based paint in construction or rehabilitation of residence
structures.
17. Sub - grantees expending more than $300,000 in federal funds, 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."
18. Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations, and policies governing this program.
CLG 2014 -05 (Dubuque)
12
SIGNAT OF AUTHORIZED CERTIFYING OFFICIAL
TYPED N AND TITLE
Roy Buol, Mayor, City of Dubuque
DATE February 3, 2014
ARTICLE X - U.S. DEPARTMENT OF THE INTERIOR CERTIFICATIONS
REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY
MATTERS,
DRUG -FREE WORKPLACE REQUIREMENTS AND LOBBYING
1. Persons signing this form should refer to the regulations referenced below for complete
instructions:
Certification Regarding Debarment, Suspension, and Other Responsibility Matters - Primary
Covered Transactions -The prospective primary participant further agrees by submitting
this proposal that it will include the clause titled, "Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction,"
provided by the department or agency entering into this covered transaction, without
modification, in all lower tier covered transactions and in all solicitations for lower tier
covered transactions. See below for language to be used or use this form certification and sign.
(See Appendix A of Subpart D of 43 CFR Part 12.)
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower
Tier Covered Transactions - (See Appendix B of Subpart D of 43 CFR Part 12.)
Certification Regarding Drug -Free Workplace Requirements - Alternate I. (Grantees Other Than
Individuals) and Alternate II. (Grantees Who are Individuals) - (See Appendix C of Subpart D of
43 CFR Part 12)
Signature on this form provides for compliance with certification requirements under 43 CFR
Parts 12 and 18. The certifications shall be treated as a material representation of fact upon
which reliance will be placed when the Department of the Interior determines to award the
covered transaction, grant, cooperative agreement or loan.
PART A: Certification Regarding Debarment, Suspension, and Other Responsibility
Matters - Primary Covered Transactions
CHECK IF THIS CERTIFICATION IS FOR A PRIMARY COVERED TRANSACTION AND IS
APPLICABLE.
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it
and its principals:
CLG 2014 -05 (Dubuque) 13
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded by any Federal department or agency;
(b) Have not within a three -year period preceding this proposal been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction
or contract under a public transaction; violation of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three -year period preceding this application/proposal had one or more
public transactions (Federal, State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
PART B: Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion —Lower Tier Covered Transactions -
CHECK_ IF THIS CERTIFICATION IS FOR A LOWER TIER COVERED TRANSACTION
AND IS APPLICABLE.
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it
nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from participation in this transaction by any Federal department or
agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in
this certification, such prospective participant shall attach an explanation to this proposal.
PART C: Certification Regarding Drug -Free Workplace Requirements
CHECK_ IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS NOT AN
INDIVIDUAL.
Alternate I. (Grantees Other Than Individuals)
A. The grantee certifies that it will or continue to provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance is prohibited in the grantee's
workplace and specifying the actions that will be taken against employees for violation of
such prohibition;
(b) Establishing an ongoing drug -free awareness program to inform employees about- -
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
CLG 2014 -05 (Dubuque)
14
(4) The penalties that may be imposed upon employees for drug abuse violations occurring
in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant
be given a copy of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of
employment under the grant, the employee will --
(1) Abide by the terms of 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;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under
subparagraph (d)(2) from an employee or otherwise receiving actual notice of such
conviction. Employers of convicted employees must provide notice, including position title,
to every grant officer on whose grant activity the convicted employee was working, unless the
Federal agency has designated a central point for the receipt of such notices. Notice shall
include the identification number(s) of each affected grant;
(f) 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 to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local health, law
enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free workplace through
implementation of paragraphs (a) (b), (c), (d), (e) and (f).
B. The grantee may insert in the space provided below the site(s) for the performance of work
done in connection with the specific grant:
Place of Performance (Street address, city, county, state, zip code):
Check if there are workplaces on files that are not identified here.
PART D: Certification Regarding Drug -Free Workplace Requirements
CHECK IF THIS CERTIFICATION IS FOR AN APPLICANT 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;
CLG 2014 -05 (Dubuque)
15
(b) If convicted of a criminal drug offense resulting from a violation occurring during the
conduct of any grant activity, he or she will report the conviction, in writing, within 10 calendar
days of the conviction, to the grant officer or other designee, unless the Federal agency
designates a central point for the receipt of such notices. When notice is made to such a central
point, it shall include the identification number(s) of each affected grant.
PART E: Certification Regarding Lobbying Certification for Contracts, Grants, Loans,
and Cooperative Agreements
CHECK IF CERTIFICATION IS FOR THE AWARD OF ANY OF THE FOLLOWING AND
THE AMOUNT EXCEEDS $100,000: A FEDERAL GRANT OR COOPERATIVE AGREEMENT;
SUBCONTRACT, OR SUBGRANT UNDER THE GRANT OR COOPERATIVE AGREEMENT.
CHECK IF CERTIFICATION FOR THE AWARD OF A FEDERAL LOAN EXCEEDING
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 appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
an agency, a Member of Congress, and 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 connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all sub awards at all tiers (including subcontracts, sub grants, and contracts under
grants, Loans, and cooperative agreements) and that all sub recipients 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 a civil penalty of not less 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.
CLG 2014 -05 (Dubuque)
16
SIGNAT RE OF AUTHORIZED CERTIFYING OFFICIAL
iy_ 0
TYPED N/AME AND TITLE
Roy Buol, Mayor, City of Dubuque
DATE
February 3, 2014
CLG 2014 -05 (Dubuque) 17
EXHIBIT C
SCOPE OF WORK
A. WORK ELEMENTS
This project is to prepare a National Register of Historic Places (NRHP) nomination for the Old
Town Neighborhood Historic District. The Old Town Neighborhood Historic District is one of
the oldest residential neighborhoods in the City of Dubuque and located downtown. It was
identified as an eligible NRHP district during the City's third phase of its ongoing survey and
evaluation program.
A consultant who meets the Secretary of the Interior's Professional Qualifications for History
and/or Architectural History and approved by the Iowa Historic Preservation Office will prepare
the NRHP nomination for the Old Town Neighborhood Historic District. The consultant will
require two visits to Dubuque to conduct archival research and fieldwork to not only fully
document historic resources and develop historic contexts to the degree necessary for a NRHP
nomination but also document any changes to the district since the time the Site Form was
prepared. The research will yield sufficient information to recommend proposed significance or
non - significance of the investigated properties and further develop the historic contexts. The
consultant will prepare a National Register Form consistent with National Register of Historic
Places Bulletin 16A. The document will be presented with proper content, form and order to the
State Nominations Review Committee for consideration and recommendation to the National
Park Service.
This project will be managed by the City in cooperation with the State. The City will be
represented by the Project Director, David Johnson, Assistant Planner for the City of Dubuque,
The City's Project Director David Johnson will maintain continuous coordination during the
course of the contract.
B. PRODUCTS
The STATE will furnish the following.
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 fully signed CLG Grant -in -Aid Agreement, the
Project Director will complete and submit a progress reporting form to the STATE by the fifth of
each month. The Project Director is encouraged to submit these monthly reports electronically.
The following grant products will be submitted to the STATE:
1) Draft of the Request for Proposals and a list of consultants to whom it will be sent
CLG 2014 -05 (Dubuque)
18
2) Final Request for Proposals for distribution to consultants with list of consultants to whom
it was sent
3) Draft of the subcontract agreement with the consultant
4) Fully executed subcontract agreement with the consultant
5) Monthly reports
6) One (one) copy of the project research design from the selected consultant outlining project
activities, methodology and proposed schedule
7) Three (3) hard copies of the draft National Register nomination and photographs and one
(1) copy of the USGS map. Draft nomination and ancillary materials will meet requirements for
the National Register program in Iowa as set forth at http://www.iowahistorv.org/historic-
preservation/national- register -of- historic- places / national - register- process.html
8) Two (2) hard copies of the final National Register nomination for review by the State
Nominations Review Committee (SNRC)
9) Three (3) hard copies of the National Register nomination with SNRC revisions for SHPO
review .
10) Two (2) hard copies of the final National Register nomination form on archival, 25% cotton
acid -free paper
11) A one -page report, summarizing the project results and the value of the project to the
Dubuque community
12) Request for Reimbursement with attached documentation for expenses paid for with this
grant and match documentation (in kind and cash). Donated time shall be documented with
signed timesheets. Alternatively, the local project manager may elect to summarize all of the
donated time in a single document which he /she will certify with their signature.
SPECIAL CONDITIONS OF THIS GRANT:
The Local Project Manager, Consultant, State project manager will participate in a kick off
conference call after the consultant is selected. The purpose of this call is to review the research
design and schedule and answer any questions.
The following acknowledgments will be included in all work products created as part of this
grant:
"The activity that is the subject of this National Register nomination has been financed in
part with Federal funds from the National Park Service, U.S. Department of the Interior.
However, the contents and opinions do not necessarily reflect the view or policies of the
Department of the Interior, nor does the mention of trade names or commercial products
constitute endorsement or recommendation by the Department of the Interior."
"This program receives Federal financial assistance for identification and protection of
historic properties. Under Title VI of the Civil Rights Act of 1964, Section 504 of the
rehabilitation Act of 1973, and the Age Discrimination Act of 1975, as amended, the U.S.
Department of the Interior prohibits discrimination on the basis of race, color national
origin, disability, or age in its federally assisted programs If you believe you have been
CLG 2014 -05 (Dubuque)
19
discriminated against in any program, activity, or facility as described above or if you
desire further information, please write to:
Office of Equal Opportunity
National Park Service
1849 C Street, N.W.
Washington, D.C. 20204"
C. SCHEDULE: ACTIVITIES AND PRODUCT SUBMISSION
Upon receipt of the Notice to Proceed and a Grant -in -Aid Agreement that has been signed by the
RECIPIENT and the STATE, 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 fully executed Grant -in -Aid Agreement. All work performed under this contract will be
completed by June 30, 2015 and the final bill must be submitted with the final report by July 31,
2015. The Agreement will end on or before August 15, 2015. Early completion of contract
activities and submission of contract products is encouraged.
D REIMBURSEMENT SCHEDULE
Payments by the STATE shall be made upon receipt of billing invoices from the RECIPIENT
that relate expenses being billed to budgeted expenses identified in Exhibit D. Each payment
request will be audited by the STATE to insure 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
to Kristen Vander Molen, State Historical Society of Iowa, New Historical Building, 600 East
Locust, Des Moines, Iowa 50319 -0290, (515) 281 - 4228; Kristen.vandermolen @iowa.gov.
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
E. COORDINATION
This project will be managed by the RECIPIENT in cooperation with the STATE. The
RECIPIENT will be represented by the Project Director, David Johnson and the STATE 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; paula.mohr @iowa.gov.
The RECIPIENT's Project Director will maintain continuous coordination with the
STATE's Project Manager, during the course of the contract. This will consist of written
monthly progress report due on the 5ch of each month. These reports will keep the
CLG 2014 -05 (Dubuque)
20
STATE abreast of contract progress and serve as a vehicle for assessing performance of
the contract. Progress reports shall be directed to the STATE's Project Manager. The
project manager is encouraged to send these reports via email.
CLG 2014 -05 (Dubuque)
21
EXHIBIT D
Please note that volunteer time should be calculated using tlae rate or$1 . �onr as
established by the Independent Sector.
* CLG Grant = the total amount must not exceed 60% OF TOTAL PROJECT COSTS
** Applicant Match (cash + in -kind) must equal a minimum of 40% OF TOTAL PROJECT
COSTS
CLG 2014 -05 (Dubuque)
22
PROJECTED COSTS
CLG GRANT
REQUEST
APPLICANT'S MATCH
ROW
TOTALS
Cash
In Kind
Consultant Services
Professional Services (Archival
Research, Fieldwork, Form
Preparation) 165 hrs. @ $42 /hr.
$4,500.00
$2,365.78
-
$6,865.78
Mileage $0 39 /mile x 386
miles /trip (2 trips)
$150.54
$150.54
Per Diem Basis (meals and
lodging): (2 days @ $103 /day)
$206.00
$206.00
Nine (9) draft copies of National
Register nomination forms (three
separate submittals as described in
schedule)
$60.00
$60.00
Three (3) copies of final National
Register nomination forms on
archival, 25% cotton acid -free
$60.00
$60.00
paper
One (1) original USGS 7.5'
(minute) topographical map
$15.00
$15.00
Three (3) finished sets of
photographs representative of the
district
$160.00
$160.00
Subtotals
$4,500.00
Cash
$3,017.32
In -Kind
$0
$7,517.32
TOTALS
CLG GRANT*
$4,500.00 (60 %)
APPLICANT
MATCH **
$3,017.32 (40 %)
TOTAL
PROJECT
COST
$7,517.32
i55 /I
Please note that volunteer time should be calculated using tlae rate or$1 . �onr as
established by the Independent Sector.
* CLG Grant = the total amount must not exceed 60% OF TOTAL PROJECT COSTS
** Applicant Match (cash + in -kind) must equal a minimum of 40% OF TOTAL PROJECT
COSTS
CLG 2014 -05 (Dubuque)
22