Eagle Point Park - Certified Local Government (CLG) Grant Amendment Copyright 2014
City of Dubuque Consent Items # 12.
ITEM TITLE: Eagle Point Park- Certified Local Government(CLG) Grant
Amendment
SUMMARY: City Manager recommending approval of an amendment to
Certified Local Government (CLG) Grant No. 2015-03 with
the State Historic Preservation Office for Eagle Point Park
that removes the requirement to complete the second part
of the project, the National Register of Historic Places
nomination, as part of the grant contract.
RESOLUTION Authorizing amendment to CLG Grant-in-
Aid-Agreement with State Historical Society of Iowa to
remove National Register of Historic Places Nomination for
Eagle Point Park
SUGGESTED DISPOSITION: Suggested Disposition: Receive and File; Adopt
Resolution(s)
ATTACHMENTS:
Description Type
Eagle Point Park NRHP Grant-MVM Office City Manager Memo
Staff memo Staff Memo
CLG Grant Agreement Supporting Documentation
CLG Grant Amendment Supporting Documentation
Resolution Resolutions
THE CITY OF Dubuque
UBE I
erica .i
Masterpiece on the Mississippi 2007-2012-2013
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: CLG Grant Amendment — Eagle Point Park National Register of Historic
Places Nomination
DATE: May 9, 2016
Planning Services Manager Laura Carstens recommends City Council approval of an
amendment to Certified Local Government Grant No. 2015-03 with the State Historic
Preservation Office for Eagle Point Park.
The grant contract was for a two-part project: 1) a Phase 1 Archeological Survey and
2) an Intensive Survey/Evaluation and a National Register of Historic Places
Nomination. The amendment will remove the requirement to complete the second part
of the project, the National Register of Historic Places nomination, as part of the grant
contract.
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
Teri Goodmann, Assistant City Manager
Laura Carstens, Planning Services Manager
THE MY OF Dubuque
DUB E AmericaCily
Masterpiece on the Mississippi
2007•2012•2013
MEMORANDUM
TO: Michael Van Milligen, City Manager
FROM: Laura Carstens, Planning Services Manager`W°�
SUBJECT: CLG Grant Amendment - Eagle Point Park NRHP Nomination
DATE: May 10, 2016
Introduction
This memo transmits for City Council review and approval, an amendment to Certified
Local Government (CLG) Grant No. 2015-03 with the State Historic Preservation Office
(SHPO) for Eagle Point Park. A resolution and related documents are enclosed.
The grant contract is for a two-part project: 1) a Phase 1 Archeological Survey and 2) an
Intensive Survey/Evaluation and a National Register of Historic Places (NRNP)
Nomination. The amendment is to remove the requirement to complete the second part
of the project, the NRHP nomination, as part of the grant contract.
Background
The City Council approved submission of a $15,000 CLG grant application for the Eagle
Point Park project on September 2, 2014. The Leisure Services Department provided
the $10,000 cash match to cover the $25,000 budget for the Archeological Survey.
A former member of the City's Historic Preservation Commission, Dr. Julie Schlarman
offered to undertake the Intensive Survey/Evaluation and NRHP Nomination for Eagle
Point Park as an in-kind donation of professional services she valued at $12,000. The
Eagle Point Park project was a mutually beneficial arrangement for her to build a
resume as a preservation consultant, and for the City to receive the NRHP nomination.
The City Council accepted her in-kind donation as part of the local match for the grant.
Discussion
After the grant was awarded, the City Council approved the enclosed CLG Grant
Contract No. 2015-3 with the SHPO on January 20, 2015 by Resolution 11-15.
1
The City contracted with Wapsi Valley Archeology to conduct the Phase 1 Archeological
Survey. Their report was approved by the SHPO, satisfying this part of the Contract
deliverables and meeting all cash match requirements of the CLG Contract.
The Intensive Survey/Evaluation and NRHP Nomination for Eagle Point Park had been
proceeding well. Dr. Schlarman transmitted a preliminary draft of the NRHP nomination
in November 2015 and a revised draft nomination in March 2016 in accordance with the
review schedule. Regrettably Dr. Schlarman was not able to make the edits for the final
draft in time for the June 2016 State Committee meeting. She informed us that the
nomination will be ready for their October 2016 meeting.
Recommendation
Since the nomination was not prepared by the grant deadline, Planning Services staff
was concerned with maintaining the City's good standing in the CLG program. Staff
recommended removing the NRHP nomination from the CLG Contract deliverables,
with a good faith commitment to submit a completed nomination for the October State
Committee meeting. The SHPO agreed, providing the enclosed amendment.
Planning Services staff has reviewed the CLG Contract and the amendment with City
Attorney Barry Lindahl, who found the amendment to be appropriate. Planning Services
staff recommends approval of the amendment removing the NRHP nomination from the
CLG Contract. The cash match portion of the contract has been satisfied with SHPO
acceptance of the archeological survey report.
Requested Action
The requested action is for City Council approval of the resolution authorizing the Mayor
to sign the enclosed CLG Contract amendment on behalf of the City of Dubuque.
Enclosures
cc: Barry Lindahl, City Attorney
Marie Ware, Leisure Services Manager
David Johnson, Assistant Planner
F VU SER SVDjohnsonAHPCAEagle Point Park\City Adomey\Memo MVM Eagle Point Park CLG amendment.do
2
Prepared by: Laura Carstens, City Planner Address: City Hall, 50 W. 13th St Telephone: 589-4210
Return to: Kevin Firnstahl, City Clerk Address: City Hall, 50 W. 13th St Telephone: 589-4121
RESOLUTION NO. 184-16
RESOLUTION AUTHORIZING AMENDMENT TO CLG GRANT -IN -AID -AGREEMENT
WITH STATE HISTORICAL SOCIETY OF IOWA TO REMOVE NATIONAL REGISTER OF
HISTORIC PLACES NOMINATION FOR EAGLE POINT PARK
Whereas, the State Historical Society of Iowa (SHSI) has determined the City of
Dubuque is eligible for Certified Local Government (CLG) funds as a CLG in good
standing; and
Whereas, the City of Dubuque has entered into a CLG grant -in -aid -agreement with SHSI
to prepare a Phase 1 archeological survey and an intensive survey and evaluation and
National Register of Historic Places (NRHP) nomination for Eagle Point Park; and
Whereas, the City of Dubuque's consultant has completed a Phase 1 archeological
survey for Eagle Point Park and the final report has been approved by SHSI; and
Whereas, the City of Dubuque's volunteer consultant has been unable to complete the
NRNP nomination in accordance with the grant schedule.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
DUBUQUE, IOWA:
Section 1. That the Mayor is authorized to sign and submit the amendment to the CLG
Grant -In -Aid -Agreement to the SHSI to remove preparation of a NRHP Nomination.
Passed, approved and adopted this 16th day of May, 2016
(;)
Roy D. Bug1 Mayor
Attest:
Kevin S. F�rristahl, CitynClerk'
F:\USERS\Djohnson\HPC\Eagle Point Park CL Grant\CLG Grant Amendment Resolution.doc
Contract No. 2015-03 (AMENDMENT)
STATE HISTORICAL SOCIETY OF IOWA
GRANT-IN-AID AGREEMENT FOR:
CLG Dubuque, Iowa
Certified Local Government Grant Project
This amendment to contract no. 2015-03 is made and entered into by and between Dubuque,
hereinafter referred to as the RECIPIENT, and the STATE HISTORICAL SOCIETY OF IOWA,
hereinafter referred to as the STATE.
The purpose of this amendment is to remove a National Register nomination for Eagle Point Park
from the scope of work (Exhibit C). This amendment removes the following products from the
contract:
Three (3) copies of final National Register nomination form on archival, 25% cotton acid -
free paper, including appropriate maps on continuation sheets.
One (1) original USGS 7.5' (minute) topographical map, with property location marked in
pencil;
Three (3) finished sets of photographs, showing at least four sides of buildings and
representative photographs of the district. Photos will meet National Park Service
specifications. Digital photographs will be provided on a CD -R.
PowerPoint presentation for the State Nominations Review Committee meeting.
CD -R Submittals (one gold Archival CD -R, one regular CD -R).
IN WITNESS WHEREOF, the parties hereto have executed this amendment on the day and year
last specified below.
/774
Date
STATE
Steve King, AIA, Deputy State Historic Preservation Officer, State of Iowa
Date
CLG 2015-03 (AMENDMENT) (Dubuque) 1
IOWA DEPARTMENT OF ANISTAo,GOVERNOR
CULTURAL AFFAIRS ` `""' S'.Lf.GOVERNOR
January 30,zols FEB 1116, 210,151,62015 D
Mayor Roy D. Buol
PRODUCE City of Dubuque CITY Of DUBUQUE
City Hall PLANNING SERVICES DEPARTMENT
50 West 13th Street
Dubuque, Iowa 52001
STATE HISTORICAL
}, Dear Mayor Buol,
SOCIETY OF 10
Please find enclosed a fully executed Grant-In-Aid Agreement for your Certified Local
Government ICLG)project. The purpose of this letter is to provide an official notice-to-proceed
STATE HISTORICAL for this project.
MUSEUM OF 004A
We look forward to working with the Dubuque Historic Preservation Commission on this project.
'TATE HISTORICAL Sincerely,
LIBRARY&ARCHIVES
TC
HISTORIC
SITES Paula A. Mohr
Certified Local Governments Coordinator
S A-E HISTORIC
PRESERVATION Cc: David Johnson
OFFICE OF 10''tA
)1os
HISTORICAL
FOUNDATION
STATE HISTORICAL BUILDING • w00 E LOCUST ST. + DES MOINES, 7A 50319 - P'. 51S"281.511; CULT-URALA£PAIRS.ORG 1
Contract No. 2015-03
STATE HISTORICAL SOCIETY�OF IOWA
GRANT-IN-AID AGREEMENT FOR:
CLG Dubuque, Iowa
Certified Local Government Grant Project
This agreement is made and entered into by and between Dubuque, hereinafter referred to as fhe
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 survey and
nomination;
NOW THEREFORE, it is agreed by and between the parties hereto as follows:
1. That the RECIPIENT is qualified to complete the attached Scope of Work(Exhibit C);
2. That the RECIPIENT will be responsible for overseeing all aspects of fiscal management;
3. That the RECIPIENT provide a permanent copy of financial records suitable for State and
Federal audit as directed under the Single Audit Act of 1984,P.L. 98-502, if required;
4. That the STATE provide for only project costs eligible under provisions stipulated by the
National Park Service, U.S. Department of the Interior for grants -in-aid. Project work
which does not meet Secretary of the Interior's Standards will not be reimbursed for under
this contract;
5. That the STATE monitor the project and provide input as called for in the attached Scope of
Work(Exhibit C);
6. That the Recipient and the STATE mutually agree that if, during the duration of the contract,
it is deemed necessary by either party to make alterations to or amendments to this
Agreement, such changes shall be incorporated into this contract upon mutual agreement
and shall be in effect as of the date of the amendment unless otherwise specified within the
amendment;
7. That the STATE agrees to pay the project eligible costs under the terms of this Agreement;
8. That the RECIPIENT and the STATE mutually agree to abide by the general and specific
conditions attached hereto as Exhibits A, B, C, and D;
9. That the RECIPIENT and the STATE mutually agree that all work performed under this
contract will be completed by June 30,2016;
10. That the RECIPIENT and the STATE mutually agree that the cost of this contract shall be
CLG 2015-03 (Dubuque) 1
$15,000.00 (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
$15,000.00, upon receipt of all work products and as specified in the Scope of Work. The
final bill must be submitted with the final report by July 31,2016. The agreement will end
on August 15,2016.
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
Da P. n"el ef,Dubuque Karla A. Braig , Mayor Pro Tem
January 20, 2015
Date
STATE
Steve King,AIA,Deputy State Historic Pre e ation Officer, State of Iowa
70 tot
Date
CLG 2015-03 (Dubuque) 2
EXHIBIT A
GENERAL CONDITIONS
ARTICLE I-Amendment of Contract:
The RECIPIENT or the STATE may, during the duration of the Contract, deem it necessary to
make alterations to the provisions of this agreement. Any changes, which shall be mutually
agreed upon by both parties, shall be incorporated into this Contract. The provisions of the
amendment shall be in effect as of the date of the amendment unless otherwise specified within
the amendment. A waiver of any conditions of this Contract must be in writing from a duly
authorized official of the STATE.
ARTICLE 1I -Patent and Copyright:
a. No material or product in whole or in part under this Contract shall be subject to patent or
copyright by either party in the United States or in any other country.
b. The U.S. Department of the Interior and the State Historical Society of Iowa shall reserve a
royalty-free,non-exclusive and irrevocable license to reproduce,publish(including in an
electronic format), or otherwise use, and to authorize others to use, any materials produced in
whole or in part under this Contract for government purposes. Any publication by the
RECIPIENT must bear in an appropriate place an acknowledgment of grant support under the
National Historic Preservation Act of 1966, as amended, from the U.S. Department of the
Interior and the State Historical Society of Iowa.
ARTICLE III-Accounts and Records:
a. Accounts -the RECIPIENT shall maintain books, records, documents and other evidence
pertaining to all costs and expenses incurred and revenues acquired under this Contract to the
extent and in such detail as will properly reflect all costs, direct and indirect, of labor,materials,
supplies, services, and other costs and expenses of whatever nature, for which payment is
claimed under this Contract.
b. Audit and Inspection - At all times during normal business hours and as frequently as is
deemed necessary, the RECIPIENT shall make available to the STATE all of its records,
pertaining to all matters covered by this Contract and shall permit the STATE to audit, examine
and make excerpts from such records and all other matters covered by this Contract.
c. Retention of Financial Records -All records in the possession of the RECIPIENT pertaining to
this Contract shall be retained by the RECIPIENT for a period of three (3)years beginning with
the date upon which final payment under this Contract is issued. All records shall be retained
beyond the three (3) year period if audit findings have not been resolved within that period.
d. The STATE shall reimburse the RECIPIENT for actual, necessary and eligible costs incurred
by the RECIPIENT in the conduct of this project. All claims shall include copies of time
CLG 2015-03 (Dubuque) 3
I
utilization sheets, records, documents and other evidence in support of all costs and expenses
incurred for the performance of this Contract.
ARTICLE IV-Termination of Contract
a. Termination for Cause - The STATE or the RECIPIENT may terminate this Contract in whole
or in part, at any time before the date of completion, whenever it is determined that the other
party has failed to comply with the conditions of the Contract. The STATE or RECIPIENT shall
promptly notify the other party in writing of the determination and the reasons for the
termination, together with the effective date. The RECIPIENT shall not incur new obligations
for the terminated portion after the effective date, and shall cancel as many outstanding
obligations as possible. The STATE shall allow full credit to the RECIPIENT for no-cancelable
obligations up to the amount of, if said obligations are properly incurred by the RECIPIENT
prior to termination. The STATE shall terminate the contract if it determines that the
RECIPIENT is not following cost eligibility as outlined in the Secretary of the Interior
Standards, 36 CFR; OMB Circular A-87; and OMB Circular A-102.
b. Termination for Convenience -The STATE and the RECIPIENT may terminate this Contract
in whole or in part, when both parties agree that the continuation of the project would not
produce beneficial results commensurate with the future expenditure of funds. The two parties
shall agree upon the termination conditions, including the effect date and, in the case of partial
termination,the portion to be terminated. The RECIPIENT shall not incur new obligations for
the terminated portion after the effective date, and shall cancel as many outstanding obligations
as possible. The STATE shall allow full credit to the RECIPIENT for non-cancelable
obligations up to the amount of award, if said obligations are properly incurred by the
RECIPIENT prior to termination.
c. Termination due to Non-Appropriation-Notwithstanding any other provisions of this
Contract, if funds anticipated for the continued fulfillment of the Contract are at any time not
forthcoming or insufficient, either through the failure of the Federal Government or of the State
of Iowa to appropriate funds or discontinuance or material alteration of the program under which
funds were provided, then the STATE shall have the right to terminate this Contract without
penalty by giving not less than thirty(30) days written notice documenting the lack of funding,
discontinuance or program alteration. Unless otherwise agreed to by the parties,the Contract
shall become null and void on the last day of the fiscal year for which appropriations were
received, except that if an appropriation to cover the costs of this Contract becomes available
within sixty(60) days subsequent to termination under this clause, the STATE agrees to re-enter
a Contract with the terminated RECIPIENT under the same provisions,terms and conditions as
the original award. In the event of termination of this Contract due to non-appropriation,the
exclusive, sole and complete remedy of the RECIPIENT shall be payment for service completed
prior to termination.
d. Right in Incomplete Products - In the event the Contract is terminated, all finished or
unfinished portions of the work prepared by or for the RECIPIENT under this Contract shall, at
the option of the STATE, become its property, and the RECIPIENT shall be entitled to receive
just and equitable compensation for any satisfactory work completed on the project.
CLG 2015-03 (Dubuque) 4
ARTICLE V- Interest of Officials and Others:
a. STATE-No officer, employee or advisor of the STATE including a member of the State
Historical Society of Iowa Board of Trustees or the State Nominations Review Committee, shall
participate in any decisions relating to this Contract which affect his personal interest or the
interest of any corporation,partnership or association in which he is directly or indirectly
interested or have any interest, direct or indirect, in this Contract or the proceeds thereof. A
person has a conflict of interest with respect to a sub-grant, contract subcontract, or any
agreement supported with state or federal assistance if the person or any of the following has a
financial interest in that application:
1. The person,the person's spouse, minor child, or partner, or;
2. Any organization in which the person is serving as an officer, director,trustee,partner or
employee or;
3. Any person or organization with whom the person is negotiating or has any arrangements
concerning prospective employment;
Benefit or remuneration other than a fee in accordance with applicable statewide procedures
includes,without exception, royalty, commission, contingent fee,professional services contract,
brokerage fee, or other payment accruing to the person or any member of his immediate family.
b. RECIPIENT- The RECIPIENT covenants that it presently has no interest and shall not
acquire any interest, direct or indirect,which would conflict in any manner or degree with the
performance of services required to be performed under this Contract.
ARTICLE VI-Assignment of Interest:
Neither this Agreement or any interest therein, no claim hereunder, shall be assigned or
transferred by the RECIPIENT to any other party or parties.
ARTICLE VII- Subcontract:
None of the work or services required under this Agreement shall be subcontracted by the
RECIPIENT without prior written approval to subcontract by the STATE.
ARTICLE VIII-Procurement of Professional Services and Equipment:
The RECIPIENT shall procure professional services by competitive negotiation, or small
purchase procedures. This requires solicitations from at least three sources to permit reasonable
competition consistent with the nature and requirements or the procurement. "Cost-plus-a-
percentage-of-cost" contracting is strictly forbidden. Rather, cost reimbursement or fixed price
contracting is required.
Project principal investigators must meet the minimum professional standards as outlined in the
Code of Federal Regulations, Volume 36 Part 61.
CLG 2015-03 (Dubuque) 5
The purchase of any equipment under this agreement over$300 may not occur without prior
written permission of the STATE. The STATE will not approve such purchases until the same
are approved in writing by the National Park Service.
CLG 2015-03 (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 Dubuque,hereinafter called the RECIPIENT.
ARTICLE II-Designation of Officials:
a. STATE - The Deputy State Historic Preservation Officer is the State Official authorized to
execute any changes in the terms, conditions, or amounts specified in this Contract. She (he)
may designate a member of her(his) staff to negotiate, on behalf of the State, any changes to the
Contract.
b. Mayor Roy D. Buol or the local Project Director (Exhibit C) is authorized to execute any
changes in the terms, conditions, or amounts as specified in this contract.
ARTICLE III -Additional Special Conditions:
a. Audit Requirements - The RECIPIENT shall annually have performed, on a timely basis,
independent financial and compliance audits of the historic preservation funds received from the
STATE. All such audits shall be conducted in accordance with applicable auditing standards set
forth in OMB Circular A-128,"Audits of State and Local Governments", pursuant to the Single
Audit Act of 1984. Costs associated with such audits are the responsibility of the RECIPIENT.
A copy of this audit must be submitted to the STATE.
If the RECIPIENT is a non-profit organization,public college or university, audits shall be made
in accordance with statutory requirements and the provision of Circular A-110 a copy of this
audit must be submitted to the STATE.
b. General Obligations -All work performed under this Contract shall be carried out in a lawful,
proper and satisfactory manner in accordance with appropriate Federal, State and Local
regulations, including OMB Circular A-102 and Historic Preservation Fund Grants Manual,
October 1997; and any circular, policies,procedures and requirements as may from time to time
be prescribed by the U.S. Department of the Interior.
ARTICLE IV- Conditions of Payment:
a. Maximum Payment- It is expressly understood and agreed to that the maximum amounts to be
paid to the RECIPIENT by the STATE for any item of work or services shall be the amount
specified herein. All payments for work and services under this Contract shall be on a cost
incurred, non-profit basis.
CLG 2015-03 (Dubuque) 7
b. Requisition for Payment-All payments to the RECIPIENT shall be subject to the receipt by
the STATE of a Request for Reimbursement. This request shall be made according to the format
specified by the STATE with reimbursement to the RECIPIENT occurring at intervals no more
than sixty(60) days after approval of request.
ARTICLE V-REQUIRED ACKNOWLEDGMENTS:
Publication, films, exhibits, etc. developed as a part of this Contract shall acknowledge Federal
aid by including the following statement as part of the Title or Acknowledgment Section with
each item produced.
"The activity that is the subject of a historic preservation summit has been financed in
part with Federal funds from the National Park Service,U.S. Department of the
Interior. However,the contents and opinions do not necessarily reflect the view or
policies of the Department of the Interior, nor does the mention of trade names or
commercial products constitute endorsement or recommendation by the Department
of the Interior"
ARTICLE VI -Equal Opportunity Acknowledgment:
Publications, films, exhibits, etc. developed as a part of the Contract shall acknowledge equal
opportunity and nondiscrimination practices by including the following statement as part of the
Title or Acknowledgment Section with each item produced.
"This program receives Federal financial assistance for identification and protection of
historic properties. Under Title VI of the Civil Rights Act of 1964, Section 504 of the
rehabilitation Act of 1973, and the Age Discrimination Act of 1975,as amended,the
U.S. Department of the Interior prohibits discrimination on the basis of race, color
national origin,disability or age in its federally assisted programs. If you believe you
have been discriminated against in any program, activity, or facility as described above
or if you desire further information, please write to:
Office of Equal Opportunity
National Park Service
1849 C Street,N.W.
Washington,D.C.20204"
ARTICLE VII- Certification Regarding Lobbying:
This certification is required by Section 1352, Title 31, U.S. Code. The sub-grantee certifies,to
the best of his or her knowledge and belief that:
(1)No federal appropriated funds have been paid or will be paid,by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, any officer or employee of Congress, or an employee of a
CLG 2015-03 (Dubuque) 8
Member of Congress in connection with the awarding of any Federal contract,the making of any
Federal grant,the making of any Federal loan,the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan or cooperative agreement,the
undersigned shall complete and submit Standard Form 1963 "Disclosure Form to Report
Lobbying," in accordance with instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under
grants, loans, and cooperative agreements) and that all sub-recipients shall certify accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by Section 1352,Title 31, U.S. Code. Any
person who fails to file the required certification shall be subject to civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
ARTICLE VIII-Equal Opportunity: Code of Fair Practices
1. The RECIPIENT will not discriminate against any employee or applicant for employment
because of race, creed, color, religion,national origin, sex, age or physical or mental disability.
The RECIPIENT will take affirmative action to insure that applicants are employed and that
employees are treated during employment without regard to their race, creed, color, religion,
national origin, sex, age or physical or mental disability except where it related to a bona fide
occupational qualification. Such action shall include but be not limited to the following;
employment, upgrading, demotion or transfer, recruitment or recruitment advertising; layoff or
termination; rate of pay or other forms of compensation; and selection for training, including
apprenticeship. The RECIPIENT agrees to post in conspicuous places, available to employees
and applicants for employment,notices setting forth provisions of this nondiscrimination clause.
2. The RECIPIENT will, in all solicitations or advertisements for employees placed by or on
behalf of the RECIPIENT, state that all qualified applicants will receive consideration for
employment without regard to race, creed, color, religion, national origin, sex, age or physical or
mental disability except where it relates to a bona fide occupational qualification.
3. The RECIPIENT will send to each labor union or representative of workers with which he has
a collective bargaining agreement or other contract or understanding, a notice advising the labor
union or worker's representative of the RECIPIENT commitments under this nondiscrimination
clause and shall post copies of the notice in a conspicuous place available to employees and
applicants for employment.
CLG 2015-03 (Dubuque) 9
4. The RECIPIENT will comply with all relevant provisions of the Iowa Civil Rights Act of
1965 as amended, Iowa Executive Order#15 of 1973,Federal Executive Order 11246 of
1965 as amended by Federal Executive Order 11275 of 1967,the Equal Employment
Opportunity Act of 1972, and all provision relevant to fair employment of the rules and
regulations of the STATE. The RECIPIENT will furnish all information and reports
requested by the STATE or required by or pursuant to the rules and regulations thereof and
will permit access to payroll and employment records by the STATE for purposes of
investigation to ascertain compliance with such rules, regulations or requests, or with this
nondiscrimination clause.
5. In the event of the RECIPIENTS noncompliance clauses of this contract or with any of the
aforesaid rules,regulations or requests,this contract may be canceled,terminated, or
suspended in whole or in part and the RECIPIENT may be declared ineligible for further
contracts with the STATE. In addition,the STATE may take such further action, and such
other sanctions may be imposed and remedies invoked, as provided by the Iowa Civil Rights
Act of 1965 as amended, Chapter 601A, Code of Iowa 1973, as heretofore and hereinafter
amended, or by the rules and regulations of the State or as otherwise provided by law.
6. ARTICLE IX -OMB Approval No. 0348-0040,Assurances-Non-Construction
Programs
NOTE:Certain of these assurances may not be applicable to your project or program. If you have
questions,please contact the awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is the case, you will be notified.
As the duly authorized representative of the applicant,I certify that the applicant:
1. Has the legal authority to apply for Federal assistance and the institutional, managerial and
financial capability(including funds sufficient to pay the non-Federal share of project cost) to
ensure proper planning,management and completion of the project described in this application.
2. Will give the awarding agency, the Comptroller General of the United States and, if
appropriate,the State, through any authorized representative, access to and the right to examine
all records, books, papers, or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting standards or agency
directives.
3. Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable time frame after receipt of approval
of the awarding agency.
CLG 2015-03 (Dubuque) 10
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§4728-4763)
relating to prescribed standards for merit systems for programs funded under one of the 19
statutes or regulations specified in Appendix A of OPM's Standards for a,Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not
limited to:
(a)Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the
basis of race, color or national origin;
(b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681-
1683, and 1685-1686),which prohibits discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794),which
prohibits discrimination on the basis of handicaps;
(d) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits
discrimination on the basis of age;
(e)The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism;
(g) §§523 and 527 of the Public Health Service Act of 1912
(42 U.S.C. §§290 dd-3 and 290 ee 3), as amended,relating to confidentiality of alcohol and drug
abuse patient records;
(h)Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing;
(i)Any other nondiscrimination provisions in the specific statute(s)under which application for
Federal assistance is being made; and
Q)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.
CLG 2015-03 (Dubuque) 11
10 Will comply, if applicable,with flood insurance purchase requirements of Section 102(a) of
the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special
flood hazard area to participate in the program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be prescribed pursuant to the
following: (a) institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b)
notification of violating facilities pursuant to 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 of 1966, as amended(16 U.S.C. §470), EO 11593 (identification and
protection of historic properties), and the Archaeological and Historic Preservation Act of 1974
(16 U.S.C. §§469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7
U.S.C. §§2131 et seq.)pertaining to the care, handling, and treatment of warm blooded animals
held for research,teaching, or other activities supported by this award of assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C. §§4801 et seq.)
which prohibits the use of lead-based paint in construction or rehabilitation of residence
structures.
17. Sub-grantees expending more than$300,000 in federal funds,will cause to be performed the
required financial and compliance audits in accordance with the Single Audit Act Amendments
of 1996 and OMB Circular No. A-133, "Audits of States,Local Governments, and Non-Profit
Organizations."
18. Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations, and policies governing this program.
CLG 2015-03 (Dubuque) 12
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
TYPED NAME AND TITLE
,Dubuque Karla A. Brai ' Mayor Pro Tom
DATE January 20 , 2015
ARTICLE X-U.S. DEPARTMENT OF THE INTERIOR CERTIFICATIONS
REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY
MATTERS,
DRUG-FREE WORKPLACE REQUIREMENTS AND LOBBYING
1. Persons signing this form should refer to the regulations referenced below for complete
instructions:
Certification Regarding Debarment, Suspension, and Other Responsibility Matters -Primary
Covered Transactions-The prospective primary participant further agrees by submitting
this proposal that it will include the clause titled, "Certification Regarding Debarment,
Suspension,Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction,"
provided by the department or agency entering into this covered transaction,without
modification, in all lower tier covered transactions and in all solicitations for lower tier
covered transactions. See below for language to be used or use this form certification and sign.
(See Appendix A of Subpart D of 43 CFR Part 12.)
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower
Tier Covered Transactions - (See Appendix B of Subpart D of 43 CFR Part 12.)
Certification Regarding Drug-Free Workplace Requirements -Alternate L (Grantees Other Than
Individuals) and Alternate II. (Grantees Who are Individuals) - (See Appendix C of Subpart D of
43 CFR Part 12)
Signature on this form provides for compliance with certification requirements under 43 CFR
Parts 12 and 18. The certifications shall be treated as a material representation of fact upon
which reliance will be placed when the Department of the Interior determines to award the
covered transaction, grant, cooperative agreement or loan.
PART A: Certification Regarding Debarment, Suspension, and Other Responsibility
Matters-Primary Covered Transactions
CHECK IF THIS CERTIFICATION IS FOR A PRIMARY COVERED TRANSACTIONAND IS
APPLICABLE.
(1) The prospective primary participant certifies to the best of its knowledge and belief,that it
and its principals:
CLG 2015-03 (Dubuque) 13
(a)Are not presently debarred, suspended,proposed for debarment, declared ineligible, or
voluntarily excluded by any Federal department or agency;
(b)Have not within a three-year period preceding this proposal been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State or local)transaction
or contract under a public transaction; violation of Federal or State antitrust statutes or
commission of embezzlement,theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c)Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State or local)with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more
public transactions (Federal, State or local)terminated for cause or default.
(2) Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
PART B: Certification Regarding Debarment, Suspension,Ineligibility and Voluntary
Exclusion Lower Tier Covered Transactions
CHECK_4-1F THIS CERTIFICATION IS FOR A LOWER TIER COVERED TRANSACTION
AND IS APPLICABLE.
(1)The prospective lower tier participant certifies, by submission of this proposal,that neither it
nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from participation in this transaction by any Federal department or
agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in
this certification, such prospective participant shall attach an explanation to this proposal.
PART C: Certification Regarding Drug-Free Workplace Requirements
CHECK 4 IF THIS CERTIFICATIONIS FOR ANAPPLICANT WHO IS NOT AN
INDIVIDUAL.
Alternate I. (Grantees Other Than Individuals)
A. The grantee certifies that it will or continue to provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing,possession, or use of a controlled substance is prohibited in the grantee's
workplace and specifying the actions that will be taken against employees for violation of
such prohibition;
(b)Establishing an ongoing drug-free awareness program to inform employees about--
(1)The dangers of drug abuse in the workplace;
(2)The grantee's policy of maintaining a drug-free workplace;
(3)Any available drug counseling, rehabilitation, and employee assistance programs; and
CLG 2015-03 (Dubuque) 14
(4)The penalties that may be imposed upon employees for drug abuse violations occurring
in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant
be given a copy of the statement required by paragraph (a);
(d)Notifying the employee in the statement required by paragraph(a)that, as a condition of
employment under the grant, the employee will --
(1)Abide by the terms of the statement; and
(2)Notify the employer in writing of his or her conviction for a violation of a criminal
drug statute occurring in the workplace no later than five calendar days after such
conviction;
(e)Notifying the agency in writing, within ten calendar days after receiving notice under
subparagraph(d)(2) from an employee or otherwise receiving actual notice of such
conviction. Employers of convicted employees must provide notice, including position title,
to every grant officer on whose grant activity the convicted employee was working, unless the
Federal agency has designated a central point for the receipt of such notices. Notice shall
include the identification number(s) of each affected grant;
(0 Taking one of the following actions,within 30 calendar days of receiving notice under
subparagraph(d)(2), with respect to any employee who is so convicted --
(1)Taking appropriate personnel action against such an employee,up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
(2)Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local health, law
enforcement, or other appropriate agency;
(g)Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (a) (b), (c), (d), (e) and(f).
B. The grantee may insert in the space provided below the site(s)for the performance of work
done in connection with the specific grant:
Place of Performance (Street address, city, county, state, zip code):
Check if there are workplaces onfiles that are not identified here.
PART D: Certification Regarding Drug-Free Workplace Requirements
CHECK—IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS ANINDIVID UAL.
Alternate II. (Grantees Who Are Individuals)
(a)The grantee certifies that, as a condition of the ant he or she will not engage in the
g �'
unlawful manufacture, distribution, dispensing,possession, or use of a controlled substance in
conducting any activity with the grant;
CLG 2015-03 (Dubuque) 15
(b) If convicted of a criminal drug offense resulting from a violation occurring during the
conduct of any grant activity, he or she will report the conviction, in writing,within 10 calendar
days of the conviction,to the grant officer or other designee,unless the Federal agency
designates a central point for the receipt of such notices. When notice is made to such a central
point, it shall include the identification number(s) of each affected grant.
PART E: Certification Regarding Lobbying Certification for Contracts, Grants, Loans,
and Cooperative Agreements
CHECK IF CERTIFICATION IS FOR THE AWARD OF ANY OF THE FOLLOWING AND
THE AMOUNT EXCEEDS$100,000:A FEDERAL GRANT OR COOPERATIVE AGREEMENT;
SUBCONTRACT, OR SUBGRANT UNDER THE GRANT OR COOPERATIVE AGREEMENT.
CHECK IF CERTIFICATIONFOR THE AWARD OFA FEDERAL LOAN EXCEEDING
THE AMOUNT OF$150,000, OR A SUBGRANT OR SUBCONTRACT EXCEEDING$100,000,
UNDER THE LOAN.
The undersigned certifies,to the best of his or her knowledge and belief,that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned,to any person for influencing or attempting to influence an officer or employee of
an agency, a Member of Congress, and officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan,the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement,the
undersigned shall complete and submit Standard Form-LLL, 'Disclosure Form to Report
Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all sub awards at all tiers (including subcontracts, sub grants, and contracts under
grants, loans, and cooperative agreements) and that all sub recipients shall certify accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by Section 1352,title 31, U.S. Code. Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
As the authorized certifying official, I hereby certify that the above specified certifications are
true.
CLG 2015-03 (Dubuque) 16
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
TYPED NAME AND TITL
Dubuque Karla A. Braig , Mayor Pro Tem
DATE January 20, 2015
CLG 2015-03 (Dubuque) 17
EXHIBIT C
SCOPE OF WORK
A. WORK ELEMENTS
The project is multifaceted including an Intensive Survey &Evaluation and NRNP Nomination
of Eagle Point Park. The 164 acre park, opened in 1909, overlooks the Mississippi River and
Lock and Dam#11. In the 1930s the City received a WPA grant to make park improvements and
hired noted landscape architect Alfred Caldwell as Park Superintendent. Caldwell's use of native
construction materials, craftsmanship and unique designs in the prairie style buildings and
gardens make Eagle Point Park one of the most outstanding parks in the Midwest.
Significance of historic resource: In 1973, the National Park Service determined that Eagle Point
Park was eligible for the National Register. The park has multiple attributes that contribute to its
significance. The idea for the park was conceived in 1907 when Charles M. Robinson, a noted
eastern park specialist, visited Dubuque.After touring scenic locations in the city, Robinson
made this comment to his hosts: "I have never seen a place where the Almighty has done more
and mankind less,than Dubuque." In the 1930s,the City hired the gifted landscape architect
Alfred Caldwell as Park Superintendent with a$200,000 Works Progress Administration grant.
His love of Frank Lloyd Wright prairie architecture is very recognizable in the buildings and
gardens. Caldwell's exceptional use of native construction materials, craftsmanship and unique
designs make the park one of the most beautiful in the Midwest.
A large Native American burial mound group was documented in the late 19th century in the
park, but its condition and location are unknown.A 2013 Phase IA archeological survey
identified park areas with the highest potential for mound remnants, and revealed that there is an
early historic component. The Office of State Archeologist prepared the Archival and
Archaeological Investigation of Eagle Point Park, Including Sites 13DB I and 13DB363, City of
Dubuque, Dubuque County, Iowa in 2013. The Mound Remnant Survey and Phase I
Archeological Investigation of the Eagle Point Group, 13DB1, is the result of recommendation
set forth in the report.
The project activities include an intensive survey and evaluation of the park's historic themes
and contexts, historical and architectural significance of park buildings and structures, and
significance of the park's landscape and cultural resources. The project includes a Remnant
Mound Survey and a Phase 1 Archeological Survey to create an inventory of all cultural
properties within the area of concern, both previously documented and undocumented, and to
provide recommendations regarding the potential eligibility of cultural properties for listing in
the National Register. These activities will inform a National Register nomination for Eagle
Point Park.
All project activities will adhere to the Secretary of the Interior's Standards and Guidelines for
Archaeology and Historic Preservation.
COORDINATION:
CLG 2015-03 (Dubuque) 18
The project will be managed by the City of Dubuque in cooperation with the State. The City of
Dubuque will be represented by the Local Project Director, Laura Carstens, City Planner, The
Local Project Director will maintain continuous coordination with the State's Project Managers
during the course of the contract. This will consist of emailed monthly progress report due on the
15th of each month. These reports will keep the State abreast of contract progress and serve as a
vehicle for assessing performance of the contract. Progress reports will be emailed to the State's
Project Manager(s). The State Project Manager(s)will represent the State in the administration of
the awarded grant projects; serve as the primary point of contact with the Local Project Director
and consultants; answer questions,provide technical information on the project, and review and
comments on grant products.
There will be multiple consultants working on the project. The project will require a professional
with expertise in the field of history and/or architectural history. Dr. Julie Schlarman has
volunteered her time and expertise to prepare the National Register Nomination. Dr. Julie
Schlarman meets the Secretary of the Interior's Professional Qualification Standards for History
and Architectural History. The project will also require a professional with expertise in the field
of archeology. The City of Dubuque will hire an archeologist that meets the Secretary of the
Interior's Professional Qualification Standards for Archeology.
The City of Dubuque will adhere to all State and Local Procurement Standards in soliciting
professional services for Archeology. The consultants will work directly with the Local Project
Director and will channel all communication to the State through the Local Project Director.
B. PRODUCTS
The STATE will famish the followine:
CLG Grant Project Director's Manual
Forms for documentation of match
The RECIPIENT will produce and distribute the following grant products:
Draft of the Request for Proposals and a list of consultants to whom it will be sent
Final Request for Proposals for distribution to consultants
jDraft subcontract agreement with the consultant
Executed subcontract agreement with the consultant
Monthly reports
Request for Reimbursement with attached documentation for expenses paid for with this grant
and match documentation(in-kind and cash). Donated time shall be documented with signed
CLG 2015-03 (Dubuque) 19
timesheets. Alternatively, the local project manager may elect to summarize all of the donated
time in a single document which he/she will certify with their signature.
For Archaeological Survey and Evaluation Project:
Project research design discussing project activities and methodology.
Three (3) copies of the draft survey report with sample draft Office of State Archaeologist site
record forms.
A minimum of six(6) bound copies of the final survey report with final Office of State
Archaeologist site record forms, for each new site located. For previously reported archeological
sites, an updated site record form will be prepared.
One unbound,print-ready master copy of final survey report with the above site forms single
sided.
The consultant will submit the archaeological record forms online to the Iowa Office of the State
Archaeologist through I-Sites
Three (3) CDs with a PDF file of the final survey report with site forms.
A completed,typed National Archaeological Database (NADB) encoding sheet, summarizing
site information.
For the National Register Nomination:
Project research design discussing project activities and methodology.
Four(4) copies of draft National Register nomination forms, including appropriate maps on
continuation sheets.
Three (3) copies of final National Register nomination form on archival, 25%cotton acid-free
paper, including appropriate maps on continuation sheets.
One (1) original USGS 7.5' (minute)topographical map, with property location marked in pencil;
Three (3) finished sets of photographs, showing at least four sides of buildings and representative
photographs of the district.Photos will meet National Park Service specifications. Digital
photographs will be provided on a CD-R.
PowerPoint presentation for the State Nominations Review Committee meeting.
CD-R Submittals (one gold Archival CD-R, one regular CD-R).
CLG 2015-03 (Dubuque) 20
SPECIAL CONDITION OF THIS GRANT:
The following acknowledgments will be included in all work products created as part of this
grant:
"The activity that is the subject of the Preserve Iowa Summit has been financed in
part with Federal funds from the National Park Service, U.S. Department of the
Interior. However,the contents and opinions do not necessarily reflect the view
or policies of the Department of the Interior, nor does the mention of trade names
or commercial products constitute endorsement or recommendation by the
Department of the Interior."
"This program receives Federal financial assistance for identification and
protection of historic properties. Under Title VI of the Civil Rights Act of 1964,
Section 504 of the rehabilitation Act of 1973, and the Age Discrimination Act of
1975, as amended,the U.S. Department of the Interior prohibits discrimination on
the basis of race, color national origin, disability, or age in its federally assisted
programs. If you believe you have been discriminated against in any program,
activity, or facility as described above or if you desire further information, please
write to:
Office of Equal Opportunity
National Park Service
1849 C Street,N.W.
Washington, D.C. 20204"
C. SCHEDULE: ACTIVITIES AND PRODUCT SUBMISSION
Upon receipt of the Notice to Proceed and a Grant-in-Aid Agreement that has been signed by the
RECIPIENT and the STATE, the RECIPIENT may begin work on the project. The RECIPIENT
is expected to begin work on the project within 20 days of receiving the notice and the copy of
the fully executed Grant-in-Aid Agreement. All work performed under this contract will be
completed by June 30,2016 and the final bill must be submitted with the final report by July 31,
2016. The Agreement will end on or before August 15,2016. Early completion of contract
activities and submission of contract products is encouraged.
Tentative Schedule:
Archeology:
-December 2014: City notified of the grant award.
-January 2015: City receives grant contract from State.
-February 16, 2015: The City submits three fully signed copies of the contract to the State.
-March 2, 2015: State returns one contract with original signatures, one copy of the contract,the
notice to proceed, and the Local Project Director's Manual to the City.
CLG 2015-03 (Dubuque) 21
-March 9, 2015: City submits draft RFP and consultant subcontract to the State.
-March 23, 2015: State returns the draft RFP and consultant subcontract with recommended
revisions, if any,to the City.
-March 30, 2015: City solicits proposals.
-April 10,2015: Consultant proposals are due.
-May 4, 2015: City selects consultant.
-May 112015: City provides a copy of the fully executed subcontract agreement to the State.
-May 18, 2015: City submits the research design and schedule of activities to the State.
-May 25, 2015: Tele-conference with the State project manager and consultant to discuss the
project,research design, and schedule for work.
-June 1, 2015: Evaluation of the Richard Herrmann archaeological collections from 13DB 1.
-June 8, 2015: GPR survey of areas identified in the Phase IA survey as having the highest
potential for intact mound remnants.
-June 29, 2015: Soil coring of any anomalies found during GPR survey that may correspond to
archaeological
features, and additional coring of the site area as a whole.
-July 6, 2015: Phase I Archaeological Survey to include auger or shovel testing the bluff top,
avoiding any sensitive areas identified by the GPR and soil coring.
-July 20, 2015: City submits three copies of the draft report with sample draft OSA site record
forms.
-September 8, 2015: State will return comments.
-September 14, 2015: City submits final survey report with final OSA site record forms, one
unbound print-ready master copy of final survey report,the archaeological record forms through
I-Sites,three CDs with a PDF file of the final survey report with site forms, and a completed
NADB encoding sheet summarizing site information will be submitted.
NRHP Nomination:
-December 2014: City notified of the grant award.
-January 2015: City receives CLG contract from State.
-February 16,2015: City submits three fully signed copies of the contract to the State.
March 2, 2015: State returns one contract with original signatures, one copy of the agreement,
the notice to proceed, and the Local Project Director's manual to the City.
-March 9, 2015: City submits the research design and schedule of activities to the State.
-March 23, 2015: Tele-conference with the State and consultant to discuss the project,research
design, and schedule for work.
-August 3, 2015: Consultant submits three draft copies of nomination and technical materials to
SHPO for preliminary review.Requested revisions are sent to the Consultant.
-November 20, 2015: Consultant submits revisions to SHPO Staff for review. Additional
revisions are sent to the Consultant.
-December 1, 2015: Consultant submits three final draft copies of the nomination and technical
materials to SHPO for final review. The State schedules the nomination for the 2/12/16 SNRC
meeting. SHPO sends CLG a copy of the nomination.
-January 1, 2016: SHPO sends property owners and CLG contact notification of SNRC meeting.
SHPO sends committee packets to SNRC members. SHPO sends CLG National Register Review
Form.
CLG 2015-03 (Dubuque) 22
-January 21, 2016: City HPC considers the nomination at their regularly scheduled meeting.
-February 1, 2016: City Council considers the nomination at their regular meeting.
-February 12, 2016: SNRC meeting.
-March 4, 2016:Notice of revisions and editing requests provided by SNRC members are sent to
Consultant by SHPO.
-March 14, 2016: Consultant submits three single-sided revised draft copies of nomination.
-May 16, 2016: Consultant submits three single-sided final copies of the nomination on 25%
cotton, acid free paper to State and required technical materials. Completed nomination signed
by the Deputy SHPO and sent to the NPS.
-June 30, 2016: District is listed on the NRHP.
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.
The following payment schedule will be used:
Approval of draft products up to 70% of grant
Approval of all products remaining balance of the grant
E. COORDINATION
This project will be managed by the RECIPIENT in cooperation with the STATE. The
RECIPIENT will be represented by the Project Director, Laura Carstens and the STATE will be
represented by Paula Mohr, State Historical Society of Iowa,New Historical Building, 600 East
Locust, Des Moines, Iowa 50319-0290 at(515) 281-6826; paula.mohrna iowa.gov.
The RECIPIENT's Project Director will maintain continuous coordination with the
STATE's Project Manager, during the course of the contract. This will consist of
monthly conference calls (written monthly progress report are optional for this grant due
to the close coordination required).
CLG 2015-03 (Dubuque) 23
Exhibit D
total
Projected DetaillExpla CLG Grant Match Cash In-Kind Match Total Project
Costs nation Request Category Match Match Cost
Mound
Remnant&
Phase
Archeologic
Consultant' at Survey $13,661.00 Cash $10,000.00 $0.00 $10,000,00 $23,661.00
s fees (field-work,
writing:272
bra.@
$86.98/hr.)
NRHP
Nomination
Consultant' •$60/hr @ Donated
sfees 183 hours $0.00 labor $0.00 $11,000.00 $11,000.00 $11,000.00
(research,
field-work,
writing)
NRHP
Nomination
daily per
diem-3
trips:
Research
Consultant' (Ames IA, $0.00 Other $0.00 $309.00 $309.00 $309.00
s travel
Champaign
IL)SNRC
Meeting
(Des
Moines IA)
@$103/day
NRHP
Nomination
Consultant' research Donated
s travel SNRC $0'00 mileage $0.00 $497.64 $497.64 $497.64
meeting-
1276 miles
@ 0.39/mile
Mound
Remnant&
Phasel
Archeologic
at Survey
Consultant' per diem:5 $1,339.00 Other $0.00 $0.00 $0.00 $1,339.00
s travel days,1
person @
$103/day);4
days,2
people @
$1031day)
$15,000.00 $10,000.00 $11,806.64 $21,806.64 $36,806.64
CLG 2015-03 (Dubuque) 24
Prepared by: LauraCarstens,CitvPlanner Address: CityHa11,50W.13thSt Telephone: 589-4210
Return to: Kevin Firnstahl.CitvClerk Address: CitvHa11,50W.13 St Telephone: 589-4121
RESOLUTION NO. 11-15
AUTHORIZING A CLG GRANT-IN-AID-AGREEMENT WITH THE STATE HISTORICAL
SOCIETY OF IOWA TO PREPARE AN INTENSIVE SURVEY AND EVALUATION AND
NATIONAL REGISTER OF HISTORIC PLACES NOMINATION FOR EAGLE POINT PARK.
Whereas, the State Historical Society of Iowa has determined historic/architectural
surveys and evaluations are eligible for Certified Local Government(CLG)funds; and
Whereas, the City of Dubuque is a CLG in good standing and has approved a
program to encourage the nomination of landmarks, landmark sites and historic districts
to the National Register of Historic Places.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. That the Mayor is authorized to sign and submit the Grant-In-Aid-
Agreement to the State Historical Society of Iowa for CLG Funds to prepare an Intensive
Survey and Evaluation and National Register of Historic Places Nomination.
Section 2. That the City of Dubuque agrees to abide by all local, state and federal
requirements applicable to the proposed budget.
Passed, approved and adopted this 20th day of January, 2015.
Karla A. Braig, Mayors ro Tem
Attest:
J
Kevir�S. Firnstahl;City(Cerk
CERTIFICATE of the CITY CLERK
STATE OF IOWA )
SS:
COUNTY OF DUBUQUE )
I, Kevin S. Firnstahl, do hereby certify that I am the duly appointed, qualified, City Clerk
of the City of Dubuque, Iowa, in the County aforesaid, and as such City Clerk, I have in
my possession or have access to the records of the proceedings of the City Council. I
do further state that the hereto attached Resolution No. 11-15 is a true and correct
copy of the original.
In Testimony Whereof, I hereunto set my hand and official seal of the City of Dubuque,
Iowa.
Dated at Dubuque, Iowa, on this 21 st day of January, 2015.
Ke in`S. Firnstahl, CM6, City Clerk
(SEAL)
CERTIFIED LOCAL GOVERNMENT GRANT PROJECT REQUEST FOR REIMBURSEMENT
City or County: City of Dubuque
Federal ID # (use only last four digits) 4596 Grant # 2015-03
Mailing Address: 50 W. 13th Street, Dubuque, IA 52001
Expenditure or activity
Expense funded by the
CLG Grant (an expense
documented with an
invoice)
CLG Match
Cash (expense
funded with money
other than the CLG
grant and
documented with an
invoice)
In -Kind (the value
of donated time,
materials,
mileage, space,
etc)
Consultant Services - Phase I Intensive
Archaeological Survey of Eagle Point Park
$15,000
$10,000
-
Subtotals
CLG grant total
$15,000
Cash match total
$10,000
-
TOTALS
CLG GRANT
$15,000
APPLICANT
MATCH TOTAL
(CASH + IN-KIND
MATCH)
$10,000
**Supporting Documentation for all cost and match claimed must be attached and labeled**
I certify that this Request for Reimbursement represents actual expenditures carried out within the
period of the project. This needs to be signed by your elected official (mayor or chair of the Board of
Supervisors). 1)
Signature
4,,(2i
Roy D. Buol, Mayor
Date
(Please type name and title)