Architect. Historic Survey CLGMEMORANDUM
January 15,2002
TO:
FROM:
SUBJECT:
The Honorable Mayor and City Council Members
Michael C. Van Milligen, City Manager
CLG Grant Agreement for Phase III of Dubuque's Architectural/Historic
Survey/Evaluation
Planning Services Manager Laura Carstens is recommending approval of the Certified
Local Government (CLG) grant agreement for Phase III of the Architectural/Historic
Survey/Evaluation to conduct an in-depth survey of downtown Dubuque.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
MCVM/jh
Attachment
cc: Barry Lindahl, Corporation Counsel
Cindy Steinhauser, Assistant City Manager
Laura Carstens, Planning Services Manager
CITY OF DUBUQUE, IOWA
MEMORANDUM
January 15, 2002
TO:
Michael C. Van Milligen, City Manager
FROM: Laura Carstens, Planning Services Manager
SUBJECT: CLG Grant Agreement for Phase III of Dubuque's Architectural/Historic
Survey/Evaluation
This memo transmits a Certified Local Government (CLG) grant agreement for Phase III
of Dubuque's Architectural/Historic Survey/Evaluation. The State Historic Preservation
Office has awarded the City a $18,000 CLG grant to match local funds to conduct an in-
depth survey of downtown Dubuque.
The City already has received two grants from the State Historic Preservation Office for
Phases I and I1 of the Architectural/Historic Survey/Evaluation ofthe community. Phase
I was completed in 2000. Phase II is underway. The Phase III project involves an in-depth
survey of Dubuque's oldest commemial, residential and industrial neighborhoods in and
around the central business district. A map of the phases for the Architectural/Historic
Survey/Evaluation is attached.
The total estimated cost of the Phase III project is $30,000. The major expense is a
consultant to conduct the survey/evaluation. The required 40% local match of $12,000 is
to come from CDBG funds in the Planning Services Department budgeted for a vacant
0.25 FTE Assistant Planner position and Planning Interns who will assist the selected
consultant.
I recommend that the City Council authorize the Mayor to sign the CLG grant agreement
for Phase III of the Architectural/Historic Survey/Evaluation, on behalf of the City of
Dubuque.
Attachments
Icarstens/MVM/clggrant. mem doc
Architectural Historical Survey
Phase I
Phase II
Phase III
Phase IV
Phase V
Phase VI
Comprehensive Survey Area
Contract No. 02-14
STATE HISTORICAL SOCIETY OF IOWA
GRANT-IN-AID AGREEMENT FOR:
CLG
City of Dubuque
In-Depth Architectural/Historic Survey/Evaluation of Dubuque's Oldest Commercial, Residential and industrial
Neighborhoods In and Around the Central Business District
This agreement is made and entered into by and between City of Dubuque, hereinafter referred to as the RECIPIENT,
and the STATE HISTORICAL SOCtETY OF IOWA, hereinafter referred to as the STATE; WlTNESSETH THAT:
WHEREAS, the STATE, is interested in broadening ~he role of local governments in historic preservation through the
Certified Lccal 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 bs interest in historic preservation by becoming a Certified Lccal
Govemment, and desires to complete In-Depth Architectural/Historic Survey/Evaluation of Dubuque's Oldest
Commercial, Residential and Industrial Neighborhoods in and Around the Central Business District;
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;
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 Interior Standards will not
be reimbursed for under this contract;
5. That the STATE monitor the project and provide input as called for in the at~ached Scope of Work (Exhibit C);
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 attera~dons 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 eligib{e costs under the terms of this Agreement;,
8. That the RECIPIENT and the STATE mutually agree to abide by the general and specific conditions attached hereto
as Exhibits A, B, C, and D;
9. That the RECIPIENT and the STATE mutually agree that all work performed under this contract witl be completed by
June 30, 2003:
10. That the RECIPIENT and the STATE mutually agree that the cest of this contract shall be City of Dubuque. 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 $t 8,000.00, upon receipt of alt work products and as specified in the Scope of Work.
The agreement will end on June 30, 2003. The final bill must be submitted with the final report by July 30, 2003.
11. Expenditures are to be according to the Budget, attached as Exhibit D. Adjust~nents between budget catagodes are
permissible following wr~en mutual consent between the RECIPIENT and the STATE;
12. The RECIPIENT will faithfully comply with ail 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 addon 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
Mayor Terrance M Duggan
Date
STATE
Lowell Soike, Deputy State Historic Preservation Officer
Date
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 wdting from
a duty 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 part in the
United States or in any other country.
b. The U.S. Depertment of the lntedor reserves a reyaity-free no-exclusive and irrevocable license to reproduce, publish,
or otherwise use, and to aut~horize 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 attended, 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 propedy reflect
ali costs, direct and indirect, of laber, materials, supplies, services, and ofher costs and expenses of whatever nature,
for which payment is claimed under this Contract.
Audit and Inspection - At ail times during normal business hours and as frequently as is deemed necessary, the
RECIPIENT shall make avallab~ 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. Retentk~n 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 projecL All claims shall include copies of time utilization sheets, records, documents and other
evidence in support of all costs and expenses incurred for the performance of this Contract.
ARTICLE IV - Termination of Contract
a. Termination for Cause - The STATE or the RECIPIENT may terminate this 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 poYdon after the effective date, and shall caocel as many outstanding obligations as possible. The
STATE shall allow full credit to the RECIPIENT for no-cancelable obligations up to the amount of $8,524.00, if said
obligations are properly incurred by the RECIPIENT prior to termination. The STATE shall terminate the contract if it
determines that the RECIPIENT is nat 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 vchole 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 effectfve date, and shall cancel as many outstanding obligations as possible. The
STATE shall allow full credit to the RECIPIENT for nomcancelabte obligations up to the amount of award, if said
obligations are properly incurred by the RECIPIENT pdor 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 S'cate of Iowa to appropriate funds or discontinuance or matedal alteration of the'
program under which funds were provided, then the STATE shall have the rigl~ 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. Untees 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 odginal
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 - tn 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 proper[y, and
the RECIPIENT shall be entitled to receive just and equitable compensation for any satisfacten/work completed on
the project.
ARTICLE V - Interest of Officials and Others:
a. STATE - No officer, employee or advisor of the STATE including a member of the State Historical Society of Iowa
Board of Trustees or the State Nominations Review Committee, shall participate in any decisions relating to this
Contract which affect his personal interest or the interest of any corporation, partnership or association in which he is
directly or indirectly interested or have any interest, direct or'indirect, in this Contract or the proceeds thereof. A
person has a conflict of interest with respect to a subgranf, 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 perther, 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 sewices contract, brokerage fee, or other payment accruing to the
person or any member of his immediate family.
b. RECIPIENT - The RECIPIENT convenants that it presently has no interest and shall not acquire any interest, direct or
indirect, which would conflict in any manner or degree with the performance of se~ces required to be performed
under this Contract.
ARTICLE VI - Assignment of Interest:
Neither this Agreement or any interest therein, no claim thereunder, shall be assigned or transferred by the RECIPIENT to
any other party or parties.
4
ARTICLE VII - Subcontract:
None of the work or services required under this Agreement shall be subcontracted by the RECIPIENT without prior
writlen 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. "Coat-plus-a-percerr~ge-of~coat" contracting is strictly forbidden. Rather, cut
reimbursement or fixed price cont3'acting is required.
Project principal investigators must meet the minimum professional standards as outlined in We Cede of Federal
Regulations, Volume 38 Par~ 61.
The purchase of any equipment under this agreement over $300 may not occur wfr. hout prior wdtten permission of the
STATE. The STATE wilt not approve such purchases until the same are approved in writing by the National Park
Service.
EXHIBIT B
SPECIAL CONDITIONS
ARTICLE t - 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 Qfficer 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 beha f of the State, any changes to the Contract.
b. RECIPIENT - City of Dubuque, 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
comp ance audits of the hi¢~edc preservation funds received from the STATE. All such audits shall be conducted in
accordance w~h appiicaMe auditing standards set forth in OMB Circular A-128, !'Audi~s of State and Local
Governments", pursuant to the Single Audit Act of 1984. Coats esseciated wi~ such audits are the rssponsibitib- o~
the RECIPIENT. A copy of this audit must be submitl~d to the STATE.
if the RECiPiENT is a non-profit organization, public college or university, audits shall be made in eccord~nce
statutory requirements and the provision of Ci, rcu~ar A-1 I0 a copy of this sud t must be subm t~ed [o ~e STATE
b. Genera~ Obtigstions - ~] work pedor.med under ttlis Contract shaJ! be carded out in a la.l, proper and s~;sP'~ctory
manner in accordance wi['h appropriate Feoera, State and ~_ocal regu~ons, ndud ng OMB C ~-cuiar A-102 and NPS
49; and any circula;~, pol~ies, procedures and requirements as may from time to time be p~escribed by the U,S~
Dep~r~ment of Interior.
5
A~TICLE P~ - C~n .... n~ of,, a,,, ........
a. ~ax~rnum Paymen~ - tt is e×pressiy unaerstood and agreed to that the ma)dmum amounts to be paid to the
RECIPIENT by the STATE ~r any item of work or services shall be the amourrL specified herein~ Alt payments for
wor~ arid ~rvi~ ur~der this ""' ~ ~'"- "~ '
~.or¢.~c~ s,~,~l, ~,e on a cost incurred, nee-p,-o;it bssJs.
b. Requisition for Payment - All payments to the RECIPIENT shall be subject to the recei¢ by the STATE of a Request
for Reimbursement. This request shall be made accel-ding to the format specified bY the STATE with reimburse~ment
to the RECiPiENT occumng at inter~!s no more .~.an si~_%, (60) days aiter approva!'o¢ request_
ARTICLE V - REQUIRED ACKNOWLEDGMENTS:
Pubi~a~on, fiims, exhibits, etc. developed as ~ part ~ this Cat.act sha't ackno~¥~edge Fedem!
foiicc¢~ng s~a~ement ~ ~ of the Ti~e or AcKn~w1~gment ~c~on ~itn ~cb ~em pr~uc~d.
%h~ proie~ has ~n ~unded ~th the ~ of 8 ~tch ng
Nat~o~a H star c Pr~rva~on A~ of ~ ~ ~e opinions expressed hemm are not n~e~an~y
Depa~ment of the interior."
ARTICLE V~ - Equal Opportunity Acknmc4edgment:
Pubi~a~ons, liim, s, exhibit, ~c. de~ioped as a part of~e Contract shaJt acknc~Medge equal ~po¢_m~¢ and
nonusc mr~oF~p~:..~ces~¢.dud~gthel=oowlngstatementasnar~o~h=~-~ n ~ n ~,~-, ~,=- -' -
"This prr¢gram received Federal ~ands ff~m ~e Nationat Park Sauce. Regulations of the U.S. Dep~rtm, ent of the ~ntedor
strict, prohib~ un~aw~j d~dmi~a~o~ i~ F~e~}iy A~ Pr~ on ~e basis ¢ race, c~or, nst~a! oriqim a;e
or handicap. A~y ~son who ~[e~s he or she has been d~cdminate~ against ~n ~r,y ~ro~rem, aadv~¢, or ¢~c~
of the ~nterior, Nationai ~rk ~Mce: I849 C Sb'eet, WasMngb~, D.C. ~24D.'
ARTICLE Vii - Certification
This ceadfication is required by. Seo~on 1352. TPde 3% U.S. Code.
kn~¥1edge and belief that
~,~¢~ No federa~ appropriated .flJnds hsve been p-id er ',.M~! be_ paid, by or on behalf of the u..r~dereig..~ed, to any' person for
(2) ~ any funds other than Federai a~propria.~d f%'nds have been paid or wi!i be psid to any ,~ ',,, ~ .....
Lobbying/' in s~ords~e with mst~d~.
(3) ~r.,e unde~igned ~ha~! require ~at ~e' ' ' '= ' '
~ ~ ~" l ,~e., h U.S. Code. Any person who fails b file the required cer~iP, ca~Jc~, shall be subi~ to dv~l
pen8 ~ of not i~s ~an $i0;0~ and not ~re ~an $1~,C~0 for e~ch such ~a~tu~e.
The RECIPIENT, ~-.,i~ --~wi!i,~',~.n~ di~dminate aDi~t any employ~ or ao~ cant for ~ng!ovmect b~ause of i'~c~, crud., color,
~r
Public repodf~g burden tot' this callection of ioformation i~ estimated to average 15 minutes Der response, including time lot reviewn-'~
instruc~ons, searching exis~ng data s~c:es, g~therleg and ~in~ning ~e ~ ~, ~d ~mple~ng and re,~ng the colte~ion of.
iofo~atyn. Se~ ~ reD.leg ~ b~en e~e ~ ~ ~r ~ of ~ ~Zt~on ~ ~fo~Qon. in~ng suggestions for~
reduces b~en. to ~e ~ of ~g~ ned BudgeL P~0~ R~u~on Pmj~ (0~). W~¢on. DC 20503. ,,
PL~SE DO NOT R~ ~ URN YOUR COMP~ ~ ~ FORM TO ~E OF~CE OF MANAGE~E~ AND BUDGe. ~
SEND ~ TO ~E ADDRESS PRODDED BY ~E SPONSORING AGENCY. ~
NOTE: Ce~tais of these ass~ranoes may not be applicable to your project or pmgrem. If you have questions, please contact the
awarding agency. Further. cec2._in Federal awarding agencies may require applicants to Cattily to add~ona! assurances. If such
is the case. you wilt be notified. . .
As the duly authorized representative of the applicard, I cer~y that the applicant:
1. Has the legal aofhodty to apply for Federal assistance
and the institutional, managerial and flnanslal capability
(inoluding funds sufficient to p~y the non-Federal share
of project cost} to ensure proper planning, m~r~gement
and completion of Ihe project described in this
application.
~/'~J give the awarding agency, the Comptroller General
of the United States and. if apprepdate, the State.
throngh any authorized representatiYe, access to a~d
~e right to examine all records, books, papers, gr
do(Tuments related to the award; .a~d w~il eslablish a
proper acoouating s3~etem ia accords~lca ~ generally
accepted ac~oon~,ng state.ds or agenny directives.
3o
W~II establish safeguards th prohibit employees from
using their positions for a purpose that constitutes or
presents ti~e appearance of personal or organizational
conflict of interest, or personal gain.
Will initiate'and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Dischmicafion Act of 1975, as amended (42
U.S.C..~6101~6107), which prohibits discrimination
on the basis of age; (e) the Drug /sJ3ase Office and
Tremment Act of 1972 (P.L 92-255), as amended,
reining to nondiscrimination on the basis of drug
at)use; (t) the Comproherksive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L 91-616), as amended, relating to
nondisci&mication 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 rid-3 and 290
3), as amended, relating to coofidentiality of alcohol
and drug abuse patient records; (h) Title VIII o! the
Ci,a'I Rights Act of 1968 (42 U.S.C. §§3601 et s~q.), as
amended, relating to ~ondiscrimination in the sale,
rental or financing ' of housing: fi) any other
nondiscrimination provisions in the speciti<~ 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
appii~tion.
5. Wilt 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 ol
PeCsoneal Administration (5 C.F.R. 900, Subpa~t F-).
Will. comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L 88-352)
which prohibits discrimination on the basis of race. color
or national origin; {b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C_ §§168'J-
1683, and 1685-1686), which prohibits discrimination On
the basis of sex; lc) Section 504 of the Rehabilitation
Will comply, or has already complied, with the
reqtcirements of Titles Il and Tit of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L 91-646) which prowde tor
fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or
federally-asslated programs. These requirements apply
to all interests in real property anqu~red for project
purposes regardless of. Federal participation in
purchases.
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 lunded m whole or
in par~ wKh Federal funds.
Authorized for Local Reproduction
8
Will comply', as applicable, with the provisions of the Dayis-
· 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 S~fety Standards Act (40 U.S.C. ~;32.7-
333), regarding labor standards for federally-assisted
const~ruetion subagreements.
10. Will comply, if applicable, with flood ir~surance puC'm-se
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 ('P.L 93-234-) whic~ requires
recipients in a special flood hazard a~ea to participate in the
· program and to purchase flood insurance if the total cost of
insurable conal~-uctJon 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
Er~ironmental Policy Act of 1969 (P.L 91-190) and
Ex~e 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
fioodptains 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 U4S.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
Ddnking Water Act of 1974, as amended (P,L_ 93-523);
and, (h) protecaon 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 et
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 Histodc Preservation
Act of 1966, as amended (16 U.S.C. ~470}, EO 11593
(identification and protection of histodc properties), and
the Archaeological and Histodc Preservation ACt of
1974 (16 U.S.C. §,~469a-1 et seq.).
14. W~I comply with P.L 93-348 regarding the protection of
human subjects involved in research, development, and
related activities suppe~ted by this award of assistance.
15,
Will comply with the Laberato~j Animal We[fare Act of
1966 (P.L 89-544, as amended, 7 U.S.C. §§2131 et
seq.) pertaining to the cam, handling, and treaa'nent of
warm blooded animals held for research, teaching, or
o~er acth, itins supported by this award of assistance.
16.
Will comply with the Lead-Bssed Paint Poisoning
Prevention Act (42 U.S.C. §,~01 et seq.) which
prohibits the use of lead-besed paint in construction or
rehabirC~flon of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the SingJe Audit
Act Amendments of 1996 and OMB Circolar No. A-133,
'Aud'~s of States, Local Govemmeets, and Non-Profit
Organizations."
18. Will comply with all applicable requirements of 'all other
Federal laws, executive orders, regu[atlens, and policies
governing this program.
SIGNATURE OFI AUTHORIZED CERTIFYING OFFICIAL
APPLICANT ORGANIZATION
City of Dubuque
T!TLE
Mayor
DATE SUBMITTED
Standard Fern3 424B (Rev. 7-97) eack
Certifications Regarding Debarment, Suspension and
Other Responsibility Matters, Drug-Free Workplace
Requirements and Lobbying
Persons signing this form should refer to the reguiaf~ons
referenced below for complete instrucfior~:
Certification Regarding Debarment, Suspension, and Other
· Respensibility Matters - Primary Covered Transactions - The
prospective pdmary participant further agrees by
submitting this propesa! that it will include the clause
rifled, "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
ail solicitations for lower tier covered fl-ausactions. See
below for language to be used or use this form for
cer~cation and sign. (See Appendix A of Subpert D of 43
CFR Part.12.)
Certific~/on Regarding Debarment, Suspension, Ineligibility
and Volonta~, E. xc~usion - Lower Tier Covered TransacfJons -
(See Appendix B of Subpart D of 43 CFR Part 12.)
Certi~catiee Regarding Drug-Free Workplace Requirements -
Alternate I. (Grantees Other Than Individuals) and AJtemate
Il. (Grantees Who are Individuals) - (See Appendix C of
Subpart D of 43 CFR Part 12)
Signature on this form provides for comptiance
cerfificat/on requirement~ 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 Intedor determines to award the
covered bansacfion, grant, cooperative agreement or loan.
PART A: Certiffc~tion Regarding Debarment, Suspension, and Other Responsibility Matters -
Primary Covered Transactions
CHECK_..fF.THI$ CERTIFICATION iS FOR A PRIMARy COVERED TRANSACTION AND I$ APPLICABI..E.
(1 } The prospective pdmary participant cert~es to the best of its knowledge and belief, that it and its principals:
ia) Are not presen'~y deban-ed, suspended, proposed for debarment~ declared ineligible, or voluntarily excluded by any
Federat department or agency;
(b} Have not within a three-year pedod precedlog this proposal been convicted of or had a ci~li judgment rendered against
them for commission of fTaud or a criminal offense in connection ~ obtaining, attempting to obtain, or performing a
public (Federal, State or local) transaction or contract under a public transaction; violati~m of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery, bdbery, fats[fication or destruction of records, making false
statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or c~iily charged by a governmental entity (Federal, State or loc. al)
with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and
id) Have not within a three-year period preceding this application/preposat had on? or more pubilo transactions (Federal,
State or local) terminated for cause or datault.
(2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective
participant snail attach an explanation to this pmpocaL
PART B: Certification Regarding Debarment. Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions
CHECK, IF TTfflS CERTIFICATION IS FOR A LOWER TIER COVERED 7"P, ANSACTION AND IS APPLICA~3LE.
(1) The prospective lower tier participant certes, by submission of this pmpesal, that neither it nor its principals is presently
debarred, suspendedl -proposed for debarmenL declared ineligible, or voluntarily excluded from participation in this transaction
by any Federal department or agency.
(2) Where the p~spective lower tier participant is unable to cer',~y to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
l0
CHECK~IF TH{S ~.F~TIFICATiON I~ FOR ~{ APPUCAN~ WHO {~ NOT AN iNDIVIDUAl_
Alternate L (Grantees Other Than Individuals)
A. The grantee certifies that it will or continue to provide a drag-free workplace by:
la) Publishing a statement nolETing employees that the unlawful manufacture, disttlbu~on, dispensing, possession, or use
of a controlled substance is prohibited in the granfee's workplace and specifying the actions that will be taken against
employees for violation of such prohibition;
lb) Establishing an ongoing drug-free awareness program to inform employees abeut- (1) The dangers of drug abuse in the workplace;
(2) The grantee's poi*my of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties IAat may be imposed upon empinyees 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 g~vee a copy of the
statement required by paragraph
(d) Nofffying the emPk)yee in the statement required by paragraph (a} that, as a condition of employment under the grant,
the employee wifi -
-- (1) Abide by the terms of the statement; and
· ' (2) Nof~y the employer in wdtlng of his or her conviction for a violation of a criminal ~lrug statute occurring in the
workplace no later than five c~lendar days after such conviction;
(e) Notifying the agency in writing, wff~hin ten calend~r days after receiving notice under subparagraph (d)(2) from
employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide
notice, including pos~Eon ti~e, to ever~ grant office[ on whose grant activity the convicted empkiyee was working, unless
the Federal agency has designated a central point for the receipt uf such notices. Notice ~hall include the identification
numbers(s) of each affected grant;
(0 Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respec~
to any employee who is so convicted
(1) Taking appropriate personnel act/on 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 pedJcipate satisfactorily in a drug abuse assistance or rehab~ita~Jon program approved
for such purposes by a Federal, State, or local health, law enforcement, or other appmpifate 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 file that are not identified here.
PART D: CertfficatJon Reg. ardin9 Drug-Free Workplace Requirements
CHECK__IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS AN INDIVIDUAL,
Alternate Il. (Grantees Who Are Individuals)
(a) The grantee ced/ties that. as a condition of the grant, he or she will not engage in the unlawful manufacture, disthbution,
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 dudng the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days of the conviction, to the grant officer or other designee,
unless the Federal agency designates a central point for the receipt of such notices. When notice is made to such a
central point, it shall include the identification number(s) of each affected grant.
11
PART E: Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Coope~tlve Agreements
CHECK__iF CERTIFICATION IS FOR THE AWARD OF ANY OF THE FOLLOWING AND
THE AMOUNT EXCEEDS $100,000: A FEDERAL GRANT OR COOPERATIVE AGREEMEI~',.
SUBCOf~J'RACT. OR SUBG~ UNDER THE GRANT OR COOPERATIVE AGREEMENT.
CHECK IF CERTIFICATION IS FOR THE AwARD OF A FEDERAL
LOAN ~XCEEDING THE AMOUNT OF $1E0,0~0, ORA SUBGRANT OR
SUBCONTRACT ~C,CI=I3ING $100J3{~0, 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 file 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 Gongre:ss. or
: .an employee ora Member of Congress in.cennec~on with the awarding of any Federal centz'act, the making of any Federal grant,
the making of any Federal. loan; the entedng into of any cooperative agreement, and the extension, cerdJnuation, renewal,
amendment, or mod~cation of any Federal cenfuraCt, grant, loan. or cooparaflve agreement.
(2) If any funds other than Federal appropriated'funds have been paid or will be paid to any person for influencing or a~tempdng
to influence an oflceror employee of any agensy; a Member of Congress, an o~cer or employee of Congress, or an employee of
a Member of Congress in connection with this Federal conbact, grant, loan, o¢ cooperative' agreement, the undersigned shall
complete and submit Standard ForrmLLL "Disclosure Form to Report Lobbying," in~ceerdance with its instructions.
(3) The undersigned shall require that the language of this certificetlon be indeded in the:award d6cements for ail subawards at
ail tiers .(including subcontracts, subgrants; and contracts under.grants, loans, and cooperative-agreements) and that all
subredpients shall certify accordingly.
This certiticetion 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 entedng into this transaction imposed by Sec'don 1352, title 31,
U.S. Code. Any person who fails to file the required cer[fficafien shall be subject to advil permlb/of not'less than $10,000 and not
more than $100,000 for each such failure.
As the auth0dzed ce~fying official, I hereby certify that the above specified cer[ifi~ations are true.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
Terrance M. Duggan, Mayor
TYPED NAME AND IITLE
DATE
12
EXHIBIT C
SCOPE OF WORK
CLG 02-14 City of Dubuque
A. WORK ELEMENTS
The City of Dubuque will complete an in-depth architectural/historic survey/evaluation of Dubuque's
oldest commercial, residential and industrial neighborhoods in and around the central business district.
This project represents Phase I11 in an architectural/historic survey/evaluation of the community, as
shown on the enclosed map.
Dubuque is a community well known for its historic beauty and, in particular, the Victorian architecture
that makes up much of the existing five historic districts. This architectural theme was documented in
the 1977 Kriviskey survey of the community. However, there are a great many other influences in
Dubuque that are recorded in Craftsman, Colonial Revival and Classical building styles, among others.
Dubuque's many architectural themes and historic contexts are recorded in the 2000 community
assessment described in a multiple property document entitled "Dubuque The Key City; The
Architectural and Historical Resources of Dubuque, Iowa, 1837-1955".
Following this assessment, the City began a phased architecturallhistodc survey/evaluation of areas of
the community. Completed in 2000, Phase I encompassed the Washington/Jackson/Elm neighborhood.
Begun in 2000, and currently underway, Phase II involves the Lincoln/Rhomberg/Garfield neighborhood.
The Phase Ill area was selected based on a number of factors:
The 1977 Kriviskey survey and the 2000 community assessment both identified
potentially significant properties in the downtown area.
Section 106 reviews often are required for proper[les in this area for the City's programs
for facade renovation, commercial and residential rehabilitation, and lead-based paint
abatement.
The creation.of a comprehensive downtown plan is underway for the Phase III area, and
an inventory of the area's historic and architectural resources will enhance this planning
process.
This area is linked with the City's recent Vision Iowa grant for redevelopment of the
riverfront, and the City's existing programs for downtown revitalization, and encompasses
the Dubuque Main Street service area.
The City Council now has the al~ility to review and approve (or deny) demolition requests
in the area based, in part on the property's historical or architectural significance. A
historic property inventory would evaluate the level of significance, and help the City
Council make these decisions.
Project objectives are:
Identification of historic and architecturally significant properties is undertaken to the
degree required to make decisions about eligibility.
Results of identification activities are integrated into the preservation planning process.
Identification of activities includes explicit procedures for record keeping and distribution
of information.
Architectural themes and historic contexts are identified.
Evaluation of the significance of historic properties is accomplished using established
criteria.
Evaluation of significance applies the criteria within identified historic contexts and
architectural themes.
Evaluation results in an inventory of historic properties that are consulted in assigning
registration and treatment priorities.
Evaluation results are made available to the public, to enhance and increase knowledge
of and appreciation for the community's historical, architectural and cultural resources.
The Phase Ill area includes 647 structures in the central business district, transitional mixed-use
neighborhoods north and east of downtown, and a substantial industrial district east of downtown
between the Dubuque County Courthouse and the U.S. 61/151 freeway. The subject area
encompasses 285 acres in the heart of Dubuque. This area contains many commercial, industrial,
vernacular and architecturally significant buildings. Many of the early downtown buildings are found in
this area. The industrial zone is a cluster of large red brick factories and warehouses that represent
the industrial heritage of Dubuque.
The types of buildings in the Phase Ill area reflect a variety of architectural styles and materials.
Structures range from single-stoW offices, restaurants and gas stations to multi-stoW offices,
warehouses and factories built at many different periods in Dubuque's history. Brick and naive stone
are the predominant buildfng materials. Many of the buildings are in good or fair condition.
The Phase Iit area encompasses ti~e historic downtown neighborhoods, with some two-and three stoW
residential buildings still fully residential. Other buildings house a mix of uses, with first floor
retail/office use and dwelling units on the upper floors. For these residential structures, both wood and
bdck are the predominant building materials.
The Phase III area includes a number of landmark structures in the central business district, such as
the Dubuqu8 County Courthouse, City Hall, Carnegie Stout Public Library, Grand Opera House, Five
Flags Theater, U:S. Post Office, Ryan House, Masonic Temple, and the Town Clock.
The Phase III architectural/historic survey evaluation will include an inventory, evaluation and data entry
on the properties within the project area. The project consultant will use previous studies, archives at the
Dubuque County Historical Society and the Center for Dubuque History at Loras College, and County
records to gather data on the 647 properties in the Phase III area.
Data will be collected and analyzed on property ownership, dates of construction, architects or
contractors used, physical integrity and other relevant items that relate to the properties' significance
as a National Register eligible property or district. Particular emphasis will be placed on the pre-1 950
structures. This data will then be used for the evaluation portion of the project.
This project will require a professional with expertise in the field of archival survey and documentation.
The consultant to be hired must meet the professional qualification standards as established by the
Secretary of the Interior and the State Historical Society of iowa for history and architectural history. The
consultant must have either a master's degree in American History, American Studies or a closely related
field, or a bachelor's degree plus either two years full-time experience in research and writing, or teaching
or substantial contribution to the field.
In addition, the Cityls historic preservation staff person, historic preservation interns, and GIS (geographic
information system) intern will be involved in the Phase ill project by assisting the consultant with project
management, data collection, research, photography, data entry and map making.
B. PRODUCTS
The STATE will furnish the followinq: Please note some information is available on the Web
1. Copies of How to Complete the iowa Site Inventory Forms
2. Copies of Iowa Site Inventory Forms
3. Print File preservers for 35mm black and white negatives and prints
4. Print File preservers for 35mm color slides
5. Photograph/Catalog Field Sheets
6. One Historic-Architectural database (HADB) encoding form
The CITY OF DUBUQUE will prepare the followinq products:
1. Two copies of the draft Request for Proposals (RFP) to be sent to qualified consultants
2. Two copies of the draft subcontract agreement with the consultant
3. Three copies of the fully executed subcontract agreement with the consultant
4. Three draft copies of the survey report; for historical and architectural survey projects, the report will
follow the format of a Multiple Property Cover Document
5. Two copies of a project research design outlining the schedule of project activities and deadlines
6. The title page of the draft and final report 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, Community Programs Bureau, through the Department of the Interior, National Park
Service, under provisions of the National Historic Preservation Act of 1966; the opinions e~pressed herein
are not necessarily those of the Department of the Interior."
'This program received Federal funds from the National Park Service. Regulations of the U.S.
Department of the Interior strictly prohibit unlawful discrimination in Federally Assisted Programs on the
basis of race, color, national origin, age or handicap. Any person who believes he or she has been
discriminated against in any program, activity, or facility operated by a recipient of federal assistance
should write to: Director, Equal Opportunity Program, U.S. Department of the Interior, National Park
Service, 1849 C Street NW, Washington, DC 20240."
7. Two finished sets of typed Iowa Site Inventory forms, each set with at least one black and white
photographic print enclosed in a Print-File type plastic sleeve
8. At least one black and white photograph will be taken of each surveyed proper[y; two contact sheets
and one set of negatives for each roll of black and white film used during the survey
9. For any colored slides taken for the survey, prepare a copy
10. Two typed copies of "Photograph/Catalog Field Sheet" for each roll of black and white or colored slide
film
11. A minimum of eleven copies of the final project report, to include five bound copies and one unbound,
print-ready master copy
12. Two copies of one-page report summarizing project results
13. A completed Historic-Architectural Data Base (HADB) encoding form for summarizing report
information
The CITY OF DUBUQUE will distribute the products as follows:
1. One draft copy of the RFP to the STATE, for review, comment and approval; the CITY OF DUBUQUE
will retain one copy for its file
2. One draft copy of the consultant subcontract to the STATE, for review, comment, and approval; the
CITY OF DUBUQUE will retain one copy for its file.
3. One copy of the fully executed consultant subcontract will be sent to the STATE, one copy will be sent
to the consultant, the CITY of DUBUQUE will retain one copy for its
4. One copy of the project research design will be submitted to the STATE for review and approval; the
CITY OF DUBUQUE will retain one copy for its file
5. One contact sheet and negatives for each roll of black and white film, filed in a Print File print and
negative preserver will be sent to the STATE; the CiTY OF DUBUQUE will keep the second contact
sheet
6. A copy of all color slides taken, filed in Print File slide preservers, will be submitted to the STATE; the
CITY OF DUBUQUE will keep the originals
7. A typed "Photographic/Catalog Field Sheet" accompanying each roll of black and white and color film
will be submitted to the STATE; the CITY OF DUBUQUE will keep a copy of each completed sheet for
its file
8. A draft copy of the survey report accompanied by a letter from the historic preservation commission
indicating they have received a draft copy for review will be submitted to the STATE; one copy of the
draft survey report should be reviewed by the CITY OF DUBUQUE (historic preservation commission,
city council/board of supervisors, other related city/county departments or commissions); one copy
should be made available for public review and comment
9. A sample of five to ten completed Iowa Site Inventory forms will be submitted to the STATE when the
draft survey report is submitted for review
10. One finished set of typed Iowa Si.te Inventory forms with black and white photos in Print-File plastic
sleeves will be submitted to the STATE; the CITY OF DUBUQUE will keep one set of Iowa Site
Inventory forms for its inventory
11. Eleven copies of the final report; the CITY OF DUBUQUE will keep one print-ready, unbound copy
and four bound copies for its inventory; the STATE will receive six bound copies
12. One copy of the one-page report, summarizing the project results, as required for all grant-funded
activities will be submitted to the STATE; the CITY OF DUBUQUE will keep one copy for its file.
13. A completed Historic-Architectural Date Base (HADB) encoding form for summarizing report
information will be given to the STATE.
14. Opportunity for training and/or public education for the Historic Preservation Commission and/or the
general public in survey and evaluation, through volunteer assistance, project workshop, and one or
more public presentations at the end of the project summarizing project work and findings.
C. SCHEDULE
January 2002
February 2002
Mamh 2002
ApfiI2002
May 2002
June 2002
'July-Dec. 2002
Jan-Mar. 2003
Apd12OO3
May 2003.
June 2003
Contract signed by City and State; City Project Review Team formed.
Draft request for proposals (RFP) submitted to State Historical Society for
review.
Issue RFP for project consultant.
Review proposals, interview short list, and select consultant.
Subcontract signed by City and consultant.
Review resource material and begin windshield survey of project area; begin
property research and data collection.
Intensive site survey and on-site evaluation with photography in the project
area; literature/archival research to develop historic contexts and
architectural themes of project area; collection of specific neighborhood
information.
Analysis of data and sites; report drafted for review and comment.
Review of draft report and public presentation.
Iowa Site Inventory Forms completed; photography completed and attached
to site forms.
Final report submitted; public presentation.
D. REIMBURSEMENT SCHEDULE
Payments by the State shall be made upon receipt of billing invoices from the CLG that relate
expenses being billed to budgeted expenses identified in Exhibit E. Each payment request will
be audited by the State to insure that sufficient progress has been made in support of the
invoice. Timety submission of products is essential for reimbursement.
Claims for reimbursement must be accompanied by a progress report. Claims must be
submitted to Cynthia Nieb, Director, SHSI Grant Programs & Community Development, State
Historical Society of Iowa, New Historical Building, 600 East Locust, Des Moines, iowa 50319-
0290.
The following payment schedule will be used:
Approval of draft report up to 70% of grant
Approval of all products 100% of the grant
EXHIBIT D BUDGET
Expenditure ~ A* Federal **B Applicant Applicant Cash Match in-Kind Match
Projection
Consultants Fees $8,750.00 $10,000.00 $10,000.00
375 hours at $50 per
hour
Consultant per Diem $2,000.00
20 days at $100 per
day
Consultant mileage $975.00
3000 miles at $.325
per mile
Historic Preservation $1,500.00 $1,500.00
and GIS Interns 200
hours at $7.50 per
hour
Film/developing $2,500.00
Photocopying/pdntin $2,500.00
g of draft and final
reports
Telephone/fax $400.00
Supplies $750.00
Postage $125.00
City staff Project $500.00 $500.00
Management 20
hours at $25 per
hour
Totals $18,000.00 $12,000.00 $10,000.00 $2,000.00
Grant Project Total $18,000.00 $12,000.00
$30,000.00