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ClG Grant for Four Mounds ArcheologyTHE CITY OF DuB E ~-~-~ MEMORANDUM February 9, 2007 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: CLG Grant Agreement for Four Mounds Archeological Investigation Planning Services Manager Laura Carstens recommends City Council approval of an $8,200 grant agreement with the State Historical Society of Iowa for a FY07 Certified Local Government (CLG) grant to conduct the Phase I Four Mounds Archeological Investigation at the Four Mounds Estate and recommends approval of a subgrantee agreement with the Four Mounds Foundation. This project includes $5,722.66 in local funds and in-kind services. The Planning Services Department will contribute approximately $500 in staff time for grant administration as part of the local match. Part of the local match is $2,304.06 from the City Historic District Public Improvement Program. The Four Mounds Foundation will provide the remaining $2,918.60 for the local match. I concur with the recommendation and respectfully request Mayor and City Council approval. ,~ ~ /~~ Mic ael C. Van Milligen MCVM/jh Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Laura Carstens, Planning Services Manager THE CITY OF DUB E ~~,~..~ MEMORANDUM February 6, 2007 TO: Michael C. Van Milligen, City Manager ~°~ FROM: Laura Carstens, Planning Services Manager ~~`" J SUBJECT: CLG Grant Agreement for Four Mounds Archeological Investigation Introduction This memorandum transmits the grant agreement with the State Historical Society of Iowa (SHSI) for a FY07 Certified Local Government (CLG) grant to conduct the Phase I Four Mounds Archeological Investigation at the Four Mounds Estate, 4900 Peru Road. Background The City of Dubuque is a Certified Local Government registered with the SHSI. As a CLG, the City is eligible to apply for these federal pass-through grants to assist with the costs of architectural, historical, and archeological surveys. The City of Dubuque has successfully completed numerous historic preservation projects with funding from the SHSI in the last six years, and additional projects are underway. As a CLG, the City is required to conduct historic and architectural surveys on a regular basis. The City Council has committed matching funds for state grants to survey and evaluate the historical and architectural significance of 4,728 structures in the City's local historic districts and conservation districts. The Four Mounds Archeological Investigation reflects the City's commitment as a CLG to extend its periodic phased architectural/historic survey/evaluation process to archeological resources. Discussion The Archeological Investigation is the first part of a larger public access enhancement program for Four Mounds. Four Mounds has a phased plan to repave roads, expand parking, install sewer and water, improve trails, provide outdoor restrooms, improved onsite fire protection and increase accessibility for a variety of visitors. In addition, Four Mounds is working on a conservation plan (in conjunction with the road and parking project) to minimize storm water runoff. In order to accomplish the plan, Four Mounds needs to first identify and protect any archeological resources CLG Grant Agreement Page 2 throughout the Four Mounds cultured grounds. The project goal is to complete an intensive survey and evaluation of the cultured and immediate surrounding grounds of the National Register listed Four Mounds Estate which consists of approximately 59.76 acres. The archeological investigation is to occur on approximately 16.15 acres contained within the Four Mounds Estate. The project will require a professional with expertise in archival research and field work. The consultant must be an expert in subsurface testing to gather information about the extent of associated remains, their structure and composition. Budget Impact For the FY07 CLG Grant for Four Mounds, the City is the sponsor on behalf of the Four Mounds Foundation. The Foundation is the non-profit organization responsible for stewardship of the Four Mounds Estate, which is owned by the City. CLG grants are federal pass-through funds administered by the SHSI. The Planning Services Department will administer the CLG grant. The Four Mounds Foundation will act as project manager and local grant director for the archeological investigation. Students enrolled in the Archeology and Cultural Heritage Program at Loras College will be assisting with the archeological investigation. The total cost for the Phase I Four Mounds Archeological Investigation is estimated at $13,922.66. The sources of funding for this project include $5,722.66 in local funds and in-kind services and $8,200.00 in CLG grant funds. The Planning Services Department will contribute approximately $500 in staff time for grant administration as part of the local match for this grant. Part of the local match is $2,304.06 from the City's Historic District Public Improvement Program (HIDPIP). The Four Mounds Foundation will provide the remaining $2,918.60 of the local match. A subgrantee agreement with the Four Mounds Foundation is enclosed. The subgrantee agreement does not require the Foundation to have the full grant amount in escrow due to the low project cost and the commitment of HDPIP funds and staff time as local match. Recommendation I recommend that the City Council approve the attached resolution authorizing the Mayor to sign the grant agreement with SHSI for $8,200 from the CLG Program and the subgrantee agreement with the Four Mounds Foundation for the Phase I Four Mounds Archeological Investigation. Enclosures Prepared by: Laura Carstens Citv Planner Address: Citv Hall. 50 W. 13th Street Telephone: 589-4210 RESOLUTION NO. 83 - 07 RESOLUTION AUTHORIZING GRANT AGREEMENT FOR ARCHEOLOGICAL INVESTIGATION AT FOUR MOUNDS ESTATE. Whereas, the State Historical Society (SHSI) of Iowa has awarded the City of Dubuque a Certified Local Government (CLG) Program grant to conduct the Phase I Archeological Investigation at Four Mounds Estate; and Whereas, the Four Mounds archeological site and the Four Mounds Estate are listed on the National Register of Historic Places and designated as a City landmark site. Whereas, the City is the sponsor for said Project on behalf of the Four Mounds Foundation, the subgrantee. 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 grant agreement with the SHSI for CLG funds to conduct the Phase I Archeological Investigation at Four Mounds Estate. Section 2. That the Mayor is hereby authorized to sign the subgrantee agreement with Four Mounds Foundation for said Project Section 3. That the Planning Services Manager is hereby authorized to administer and submit requests for reimbursements to the SHSI for said Project. Section 4. That the City of Dubuque agrees to abide by all local, state and federal requirements applicable to the proposed project. Passed, approved and adopted this 20th day of February , 2007. Roy D. Buol, Mayor Attest: Jeanne F. Schneider, City Clerk SUBGRANTEE AGREEMENT BY AND BETWEEN THE CITY OF DUBUQUE, IOWA AND FOUR MOUNDS FOUNDATION This Subgrantee Agreement is made and entered into effective the day of 2007 by and between the City of Dubuque, Iowa (City) and Four Mounds Foundation (Foundation). WHEREAS, Foundation is engaged in a Project involving a Phase I Archeological Investigation at Four Mounds Estate funded in part by a grant of $8,200.00 from the Certified Local Government (CLG) Program (Grant No. 2007-02) administered by the State Historical Society of Iowa (SHSI); and WHEREAS, City is the sponsor for said Project, for which the total project costs are estimated to be $13,922.66; and WHEREAS, City has committed $2,304.06 from the City's Historic District Public Improvement Program and approximately $500.00 in City staff time for grant administration as part of the $5,722.66 required local match for the CLG grant for said Project; and WHEREAS, Foundation is committed to providing the remaining local match of $2,918.60 for the CLG grant for said Project; and WHEREAS, City has signed Contract No. 2007-02 State Historical Society of Iowa Grant-In-Aid Agreement (SHSI Agreement) as the sponsor of said Project on behalf of Foundation; and WHEREAS, City proposes to have Foundation comply with the terms and conditions set forth in the SHSI Agreement as the subgrantee; and WHEREAS, City and Foundation desire to enter into this Subgrantee Agreement to set forth their respective responsibilities under the SHSI Agreement. NOW, THEREFORE, the parties hereto do mutually agree as follows: 1. Foundation hereby agrees to comply with all of the terms and conditions of the SHSI Agreement between City and SHSI for said Project, incorporated herein by reference. 2. City and Foundation shall be responsible under the SHSI Agreement to pay the project costs according to the procedure set forth therein as follows: SUBGRANTEE AGREEMENT CITY AND FOUNDATION Page 2 (a) Foundation hereby agrees to pay twenty percent (20%) of the total project costs, estimated to be $2,918.60, for said Project in accordance with the SHSI Agreement. (b) City hereby agrees to pay eighty percent (80%) of the total project costs, not to exceed $11,048.06 and including approximately $500.00 in City staff time for grant administration, for said Project in accordance with the SHSI Agreement, and then to request reimbursement of City payments from the SHSI. (c) Foundation hereby agrees to pay one hundred percent (100%) of the project costs that exceed the estimated total project costs of $13,922.66. IN WITNESS WHEREOF, the parities have hereunto set their hands by proper person duly authorized, the day and year first above written. CITY OF DUBUQUE, IOWA By Roy D Mayor Buol FOUR MOUNDS FOUNDATION By Christine Happ Olson Executive Director Date Date Contract No. 2007-02 STATE HISTORICAL SOCIETY OF IOWA GRANT-IN-AID AGREEMENT FOR: City of Dubuque, Iowa Archaeological Investigation, Intensive Survey and Evaluation Certified Local Government Grant Project This agreement is made and entered into by and between the City of 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 an archaeological investigation, intensive survey and evaluation; 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 fmancial 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 proj ect costs eligible under provisions stipulated by the National Pazk Service, U.S. Department of the Interior for grants -in-aid. Project work which does not meet Secretary of Interior Standazds 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 RECIPIENTand the STATE mutually agree to abide b~ the general and specific conditions attached hereto as Exhibits iA, B, C, .and D; 9 That the RECIPIENT and the STATE mutually agree that all work performed under this ' contract will ije completed by June 30„2008: 10. That the RECIPIENT and the STATE mutually agree that the c¢st of this contract shall b CLG 2007-02 {Dubuque) $8,200.00 (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 $8,200.00, upon receipt of all work products and as specified in the' Scope of Work. The agreement will end on June 30, 2008. The final bill must be submitted with the final report by June 30, 2008. 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 Honorable Roy Buol, Mayor, City of Dubuque Date STATE Lowell J. Soike, Deputy State Historic Preservation Officer, State of Iowa Date CLG 2007-02 (Dubuque) 2 EXHIBIT A GENERAL CbNDITIONS 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 iii 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 RECII'IENT 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 phis Contract is issued. All records shall be retained beyond the three; (3) year period if audit fi~idings have not been resolved within that period. d. The STATE s~lall reimburse the RECIPIENT for actual, necessary and eligible costs incurred by the RECIPIENTin the conduct of this project. All claims shall include copies of time utilization CLG 2007-02 (Dubuque) sheets, records, documents and other evidence in support of all costs and expenses incurred for the performance of this Contract. ARTICLE IV - Terminatlon 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 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 pmperty, and the RECIPIENT shall be entitled to reiceive just and equitable compensation fqr any satisfactory work completed on the project. CLG 2007-02 (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; Z.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 contractingis required. Project prir}cipal investigators must meet the minimum professional standards as outlir}ed in the Code of Federal Regulations, Volume 36 Part 61. CLG 2007-02 (Dubuque) 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. CLG 2007-02 (Dubuque} 6 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. He (She) may designate a member of his (her) staff to negotiate, on behalf of the State, any changes to the Contract. b. RECIPIENT 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 anon-profit organization, public college or university, audits shall be made in accordance with statutory requirements and the provision of Circulaz 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 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 ~ cost incurred, non-profit basis. . i b. Requisition for Payment -All payments to the RECIPIENT shall be subject to the receipt by the STATE o~ a Request for Reimbursement. This request shall be made according to the format CLG 2007-02 (Dubuque) 7 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 the Mill in type of material/publicationJ has been financed in part with Federal funds from the National Park Service, U.S. Department of 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 S04 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 qr 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 i CLG 2007-02 (Dubuque) 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 Standazd 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-awazds 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 regazd 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. i 4 The RECIPIENT will comply with all relevant provisions of the Iowa Civil Rights Act of 1965 as amended, Iowi; Executive Order #15 ofd 1973, Federal ExecutiveOrder 11246 of CLG 2007-02 (Dubuque) 9 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 famish 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. In the event of the RECIPIENTS noncompliance clauses of this contract or with any of the aforesaid rules, regulations or requests, this contract maybe canceled, tenminated, or suspended in whole or in part and the RECIPIENT maybe declazed ineligible for further contracts with the STATE. In addition, the STATE may take such further action, and such other sanctions maybe 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 prof ect 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 fmancial 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 awazd; and will establish a proper accounting system in accordance with generally accepted accounting standazds or agency directives. 3. Will establish safeguazds to prohibit employees from using their positions for a purpose that constitutes or presents the appeazance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 X42 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 Standazds for a 1VLerit System of Personnel Administration (5 C.F.R. 900, Subpart F). ; CLG 2007-02 (Dubuque) 10 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 rack, 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. §276c and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327,333), regarding labor standards for federally-assisted construction sub-agreements. 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 flo©d 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. i 11.Wi11 comply with environmental standards which;,may be prescribed pursuant to the following: {a) institution of environmental quality control measdres under the National Environmental Policy CLG 2007-02 (Dubuque) 11 Act of 1969 {P,L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended {42 U.S.C. §§7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93'-523); and, (h} protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93,205). 12. 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 pf 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. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TYPED NA11~ AND TITLE , Roy Buol, Mayor, City of Dubuque DATE i i CLG 2007-02 (Dubuque) 12 ARTICLE X - U.S. DEPARTMENT OF THE INTERIOR CERTIFICATIONS REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS, DRUGFREE 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 CERTIFICATIONIS FOR A PRIMARY COVERED TRANSACTIONAND IS APPLICABLE. (1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency; (b) Have not within athree-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; CLG 2007-02 (Dubuque) 13 (c) Are not presently indicted for or otherwise criminally or civilly chazged 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 athree-yeaz 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 ~I IF THIS CERTIFICATIONIS FOR A LOWER TIER COVERED TRANSACTION AND IS APPLICABLE. (1) The prospective lower tier participant certifies, lay 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-I+~ee Workplace Requirements CHECK ~I 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 adrug-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 ofmaintaining adrug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (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 pazagraph (a); (d) Notifying the employee in the statement required by pazagraph (a) that, as a condition of employment under the grant, the employee will -- (1) Abide by the terms of the statement;. and (2) Ngtify the employer in writing of his or her conviction for a violation of a crioainal drug statute occurring in the workplace no later than five calehdaz days after such conviction; CLG 2007-02 (Dubuque) 14 (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. Ennployers 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 adrug-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 CERTIFICATIONISFOR ANAPPLICANT WHO ISANINDIVIDUAL. 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; (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 CLG 2007-02 (Dubuque) 15 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 $1 S0, 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 contrast,: the malting 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. SIGNATURE OF AUTIiORIZED CERTIFYING OFFICIAL TYPED NAME AND TITLE DATE of CLG 2007-02 (Dubuque) 16 EXHIBIT C SCOPE OF WORK A. WORK ELEMENTS This project will undertake an intensive survey and evaluation of the cultured and immediate surrounding grounds of the National Register listed Four Mounds Estate which consists of approximately 59.76 acres. The purpose of the project is to allow Four Mounds to plan for multiple projects over the next five to ten years. This survey will identify significant resources so that these areas can be avoided when planning future work. The archeological investigation is to occur on approximately 16.15 acres contained within the Four Mounds Estate. This is roughly defined by the following boundaries: at the west side of the project area by the edge of the cultured (or landscaped) grounds at the farm campus (Barn, yellow houses, hog shed, chicken house, etc); at the south side of the project area along the south border of the property; at the east side of the project area about, 75 feet beyond both the White House and the Wood Shop; and at the north side of the project area extending to the edge of the cultured (landscaped) grounds beyond the White and Grey Houses, running along the south west side the burial mounds (along the south west edge of the road to the cabin, but not including the burial mounds), and the entire Cabin/Marvin Gardens property. The winding lane leading from Peru Road to the estate is also included, with the south property border being the south border of the project area, and approximately 30 feet north of the lane as the north project area definition along this part of the project. This project includes the grounds around all the buildings and other structures (root cellar, rock garden, rock walls) at Four Mounds. The project area is covered with grass, prairie, buildings, roads, formal landscaping and trees. The project consists of systematic shovel excavation at intervals no greater than 15 meters or in judgmentally-placed locations. All tests will be screened through'/4"mesh with profiles noted and described. All tests are to be mapped using handheld GPS units and/or measured base map. The results of the field investigation will be summarized in draft and final reports that will be completed in the format of a Multiple Property Document Form for the National Register of Historic Places. The project will require a professional with expertise in archival research and field work. The consultant will be an expert in subsurface testing to gather information about the extent of associated remains, their structure and composition. To satisfy these requirements, the City of Dubuque will seek out and hire a consultant who is qualified in prehistoric and historic archaeology according to the Secretary of the Interior's Qualifications for Professional Archaeologists. The City of Dubuque will administer the grant. The Four Mounds Foundation will act as project manager and local grant director for the archeological investigation. Students enrolled in the Archeology and Cultural Heritage Program ate Loras College will assist with the archeological ! investigation. ' i i ~ CLG 2007-02 (Dubuque) 17 Four. Mounds will coordinate with Shirley Schermer of the UI-OSA Indian Advisory Council (IAC) and will defer to the IAC for guidance for undertaking activities neaz sensitive azeas. The project manager will: • Provide the IAC with a copy of the CLG application, the project area map (with the mounds clearly defined) • Inform the IAC when a consultant is hired • Have the consultant continually update the IAC on results of their work B. PRODUCTS The STATE will furnish the followine: 1. Copy of How to Complete the Iowa Site Inventory Forms; 2. Copies of Iowa Site Inventory form; 3. University of Iowa -Office of the State Archaeologist (OSA) Site Record form; 4. Print File preserver sleeves for 35 mm black and white negatives, contact prints and prints; 5. Print File preserver sleeves for 35 mm color slides; 6. Photo & Slide Catalogue Sheets; 7. National Archaeological Database (NADB) encoding form; 8. Iowa Archaeological Guidelines; 9. Copies of the National Register Bulletins and the Multiple Property Document Form; 10. A grant project director's manual; 1 1. Monthly progress reporting forms; 12. Forms for documentation of match. The RECIPIENT will prepaze and distribute the following products: General requirements: The RECIPIENT will be responsible for furnishing the STATE and the public with draft copies of the project report for review and comment. The draft report must be complete when submitted for review. The STATE may request, and the RECIPIENT will supply, additional revised draft products (report, site inventory forms, etc.) for review and comment at no additional cost to the STATE. If additional, revised draft products are required, each will be due 30 days after the STATE requests the revisions. The final grant products will incorporate all of the changes requested by STATE. Comments made by the public will be incorporated in an appendix in the final report. All black and white and/or color photographs, color slides, negatives and contact sheets that are subm}tted to the STATE must be filed in Print File preserver sleeves. Each Prim File preserver sleeve must be labeled so that it can be associated with its corresponding completed Photo & Slide Catalogue Sheet. All slides should be individually labeled with the property name, inventory numlxer, roll and frame number. Photo & Slide Catalogue Sheets should be attached to the corresponding Print File sleeves. Please do this by stapling the sheet to the plastic portion of the sleev$, not through an enclosefl photograph or slide. Digital photographs may be substituted if CLG 2007-02 (Dubuque) lg prepared in accordance with National Register Nominations: How.to Submit Digital Photographs, which can be found at httn:/lwww.iowahistory.org[preservation/national register/nr~ublications html. Additionally, commercial production of digital prints is acceptable for this survey project. Please consult with the STATE's project manager for more information. 1. 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. 2. Two (2) copies of the draft Request for Proposals (RFP) and two (2) copies of the draft subcontract agreement; one (1) copy of each will be sent to the STATE for review and comment; one (1) copy of each will be retained by the RECIPIENT for its files. 3. Five (5) final copies of the RFP; the final RFP will be'aent to a minimum of three (3) qualified consultants; one (1) copy will be sent to the STATE (along with a list of consultants to whom it was sent) and the RECIPIENT will retain one (1) copy for its files. 4. Three (3) copies of the fully executed subcontract agreement with the Consultant: one (1) copy will be sent to the Consultant, one (1) copy will be sent to the STATE, and the RECIPIENT will retain one (1) copy for its files. 5. Two (2) copies of a research design that meets the Secretary of the Interior's Standazds and Guidelines for Identification and Evaluation. One (1) copy of the research design will be sent to the STATE for review and comment and the RECIPIENT will retain one (1) copy for its files. 6. For archaeological sites, color slides and photographs should be taken during the survey to illustrate the survey and evaluation methodology used and to document the appearance and condition of each site, associated features, profiles, topography, and disturbances. 7. The title page of the draft and final reports and any other publications produced for this grant project will carry the following acknowledgments: "This project has been funded with the assistance of a matching grant-in-aid from the State Historical Society of Iowa, State Historic Preservation Office, 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. 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. Departmient of the Interior strictly prohibits 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 i CLG 2007-02 (Dubuque) 19 any program, activity, or facility operated by a recipient of Federal assistance should write to: Director, Equal Opportunity Program, U.S. Department of the Idterior, National Park Service, P. O. Boz 37127, Washington, D.C. 20013- 7127." 8. Consultant will prepare one (1) copy of a draft survey report for review and comment by the Historic Preservation Commission (HPC); the draft report will follow the format of a Multiple Property Cover Document and comply with the Guidelines for Archaeological Investigations in Iowa, 1999. This draft will be accompanied by completed and typed Iowa Archaeological Site Record forms for identified azchaeological sites. 9. Following the review of the draft survey report by the HPC, prepare three (3) revised draft copies of survey report; the report will follow the format of a Multiple Property Cover Document and comply with the Guidelines for Archaeological Investigations in Iowa, 1999. This draft will be accompanied by completed and typed Iowa Archaeological Site Record forms for identified sites. One (1) copy of draft report and archaeological record site forms will be sent to the STATE for review and comment; one (1) copy will be available for public review and comment; and one (1) copy will be retained by the RECIPIENT for its files. 10. Each color slide should be duplicated and labeled. The original one (1) set of color slides, placed in Print File preserver sleeves, should be submitted to the STATE. The duplicate one (1) set of colored slides should be retained by the RECIPIENT. 11. Two contact sheets and one set of negatives for each roll of black and white or color film used during the survey; place one (1) contact sheet in a Print File preserver sleeve and the negatives for each roll of film in Print File preserver sleeves and submit these to the STATE. The RECIl'IENT will retain one (1) contact sheet for each roll of black and white or color film for its inventory. 12. Color slides taken during the project should be on 35mm Kodachrome slide film. Each color slide should be duplicated and labeled. The original one (1) set of color slides, placed in Print File preserver sleeves, should be submitted to the STATE. The duplicate one (1) set of colored slides should be retained by the RECIPIENT. 13. Two (2} typed copies of Photograph & Slide Catalogue sheets for each roll of black and white or color film and color slide film used in the project. The STATE will-receive one (1) set and the RECIPIENT will retain one (1) set for its files. 14. For azchaeological sites, three (one original and two copies} finished sets of typed University of Iowa -Office of State Archaeologist site record forms for each new site located. For previously reported sites, an updated site record form will be prepared. One (1) set of completed typed UI-OSA :site record forms will be submitted to the University of Iowa - Office of the State Archaeologist. One (1) set will be submitted to the STATE and the RECIPIENT will retain orie (1) set for its property inventory. CLG 2007-02 (Dubuque) 20 15. A minimum of twelve (12) copies of the final project report, to include eleven (11) bound copies and one (1) unbaund, print-ready master copy; six (6) bound copies and one (1) unbound, print-ready master copy will be submitted to the STATE; five- (5) bound copies will be kept by the RECIPIENT. 16. Three (3) copies of one page report summarizing project results. Two (2) copies will be sent to the STATE and one (1) copy will be retained by the RECIPIENT for its files. 17. The final report will also include a results section which states the following information: a. types of previous investigations conducted at Four Mounds Estate b. types and numbers of historic resources previously identified on the Four Mounds Estate (i.e., prior to this contract) c. types and number of historic resources newly identified (i.e., not already in the Iowa Site Inventory or the Archaeological Site Records) d. number of acres Surveyed 18. A completed, typed National Archaeological Database {NADB) encoding form summarizing site information will be'sent to the STATE. 19. Final report will saved to a CD will be sent to the STATE; this document shall be a Word document converted into Adobe Acrobat PDF format. The CD and its case will be labeled with name of the survey report, city and state, CLG grant number, consultant's name and date. C. SCHEDULE: ACTIVITIES AND PRODUCT SUBMISSION Upon receipt of the Notice to Proceed and aGrant-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. The Agreement will end on or before June 30, 2008. Early completion of contract activities and submission of contract products is encouraged. Deadlines for contract activities are as follows: February 15, 2007 RECIPIENT will submit three (3) fully signed copies of the CLG-Grant-In-Aid Agreement to the STATE. February 26, 2007 The STATE will return one Agreement with original signatures and one copy of the Agreement, the Notice to Proceed, and the Local Project Director's Manual to the RECIPIENT. The Agreement with original signatures and the Notice to Proceed wild be filed by the RECIPIENT. The Local Project Director will keep the copy of the Agreement and the Local Project Director's Manual. ! i CLG 2007-02 (Dubuque) 21 March 7, 2007 RECIPIENT will submit draft Request for Proposal (RFP) and consultant subcontract to STATE for review and comment. March 15, 2007 STATE will return drab RFP and consultant subcontract with recommended revisions, if needed. March 26, 2007 RECIPIENT will send final RFP to a minimum of three consultants. Apri130, 2007 RECIPIENT will select consultant. If consultant is not on the STATE's Consultant list, RECIPIENT will submit the Consultant's vita to the STATE for review. RECEPIENT will notify unsuccessful bidders that another consultant has been selected for the project. May 1, 2007 RECIPIENT and consultant will sign subcontract and submit signed a copy of the fully signed subcontract to STATE. Project Director, Consultant, and volunteers begin work on project. RECIPIENT schedules a public meeting to discuss project. May 18, 2007 Consultant and RECIl'IENT meet with STATE project manager to discuss project and schedule for work. June 1, 2007 RECIPIENT submits project research design and schedule for work for STATE review, comment and approval. June 8, 2007 STATE provides RECIPIENT with comment on research design, if needed. June 15, 2007 Training, fieldwork and research begin. January 15, 2008 Consultant submits draft report and sample inventory sheets and photographs to the Historic Preservation Commission for review and comment. February 15, 2008 RECIPIENT sends consultant HPC's review comments. February 28, 2008 Consultant revises report based on comments provided by Historic Preservation Commission. Consultant submits draft report and sample inventory sheets and photographs to the STATE for review and comment. CLG 2007-02 (Dubuque} 22 April 1, 2008 STATE sends the RECIPIENT review comments on draft products and indicates whether another draft will be required. May 1, 2008 If requested, RECIPIENT submits additional draft report(s) incorporating STATE comments for review and comment. June 2, 2008 If necessary, STATE sends the RECIPIENT review comments on any additional draft reports. Comments must be incorporated into the final report. June 30, 2008 RECIPIENT submits final products including report, inventory forms, NADB form, contact sheets, photographs, color slides, Photograph 8c Catalogue sheets, one page summary report, and CD to the STATE. The RECIPIENT retains copies of the final report, contact sheets, color slides, Photograph & Catalogue sheets, and one page summary report for its files. RECIPIENT submits Request for Reimbursement with documentation to the STATE. 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 Paula Mohr, State Historical Society of Iowa, New Historical Building, 600 East Locust, Des Moines, Iowa 50319-0290, (515) 281-6826; paula.mohr@iowa.gov. The following payment schedule will be used: Approval of draft products Approval of all products up to 70% of grant 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, C}aristine Olson, Director, hour Mounds Foundatibn, 4900 Peru Road, Dubuque, IA 52001, (563) 557-7292, Chris@fourmouuds.org and the STATE will be represented by Doug Jones, State Historical Society of Iowa, New Historical Building; 600 East Locust, Des Mbines, Iowa 50319-0290~at (515) 281-4358, doug Jones@iowa.gov. Doug Jones will provide routine in#'ormation and technical guidance. CLG 2007-02 (Dubuque) 23 The RECIPIENT's Project Director, Chris Olson will maintain continuous coordination with the STATE's Project Manager, Doug Jones, during the course of the contract. This will consist of written monthly progress report due on the 5th of each month. These reports will keep the STATE abreast of contract progress and serve as a vehicle for assessing performance of the contract. Pro~'ess reports shall be directed to the STATE's Project Manager. Doug Jones. The project manager is encoura eg d to send these reports via email CLG 2007-02 (Dubuque} 24 EXHIBIT D BUDGET PROJECTED COSTS NUMBER RATE PER CLG GRANT APPLICANT'S MATCH ROW TOTALS OF HOUR REQUEST HOURS Four Mounds Project 60 $25.07 $1,504.20 $1,504.20 Management City Grant 20 $25.00 $500.00 $500.00 Administration Loras Student 324 $5.15 ', $1,668.60 $1,668.60 Volunteers (18) Loras Professorial '' S0 $25.00 $1,250.00 $1,250.00 Assistance (2) Archeologist 130 $60.00 $7,800.00 $7,800.00 Mileage 1515 $0.33 $499.95 $499.95 Artifact Curation $400.00 $400.00 Supplies/Postage $100.00 $100.00 Reproduction/Copies $100.00 $100.00 Photograph Processing $100.00 $100.00 & Duplication i CLG 200?-02 (Dubuque) 25