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HomeMy WebLinkAboutHistoric Preservation Fund Grant-1/2/2018IOWA DEPARTMENT OF CULTURAL AFFAIRS CHRIS KRAMER, ACTING DIRECTOR KIM REYNOLDS, GOVERNOR ADAM GREGG, LT. GOVERNOR IOWA ARTS COUNCIL_ IlRiljWICE IOWA STATE' HISI'NO"2I.°s. AL SOCIETY OE IOWA STATE HISTORICAL MUSEUM 0E10 \NA STATE IIISTRICAL LIBRARY Y8 ARCHIVES STATE. STAFL IB P TIESEI�AT(O OFFICE 1. I IOWA HISTORICAL FOHNO/VIIION January 18, 2018 Mayor Quentin M. Hart City of Waterloo 715 Mulberry Street Waterloo, IA 50703 Dear Mayor Hart, Please find enclosed the fully executed Grant -In -Aid Agreement for Waterloo's Certified Local Government (CLG)-funded project. The purpose of this letter is to provide an official notice -to -proceed for this project. For this project, we have obligated Historic Preservation Funds, as authorized by the National Historic Preservation Act and subsequent amendments. The minimum non- federal matching share required will be 40% of the total project cost. The project must be administered in accordance with all applicable regulations and procedures governing Historic Preservation Fund grants and the terms of the contract. The next step is for the historic preservation commission to draft a Request for Proposal to send to prospective consultants. I look forward to helping the commission get this project underway. Meanwhile, if you have questions, please do not hesitate to contact me at (515) 281- 6826 or by e-mail at paula.mohr@iowa.gov. Sincerely, Paula Mohr CLG Coordinator Enclosure STATE HISTORICAL BUILDING 600 E. LOCUST ST. • DES MOINES, IA 50319 515.281.5111 0 IOWACULTURE.GOV Contract No. 2018-15 STATE HISTORICAL SOCIETY OF IOWA GRANT-IN-AID AGREEMENT FOR: CLG Waterloo Iowa Certified Local Government Grant Project This agreement is made and entered into by and between Waterloo hereinafter referred to as the RECIPIENT, and the STATE HISTORICAL SOCIETY OF IOWA, hereinafter referred to as the STATE; WITNESSETH THAT: WHEREAS, the STATE, is interested in broadening the role of local governments in historic preservation through the Certified Local Government program; and WHEREAS, the STATE, in accordance with the National Historic Preservation Amendments of 1980, is providing 10% of its annual federal Historic Preservation Fund appropriation to Certified Local Governments; and WHEREAS, the RECIPIENT has demonstrated its interest in historic preservation by becoming a Certified Local Government, and desires to complete an intensive survey; 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, 2019; 10. That the RECIPIENT and the STATE mutually agree that the cost of this contract shall be CLG 2018-15 (Waterloo intensive survey) 1 $10,000.00 (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 $10,000.00, 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 June 30, 2019. The agreement will end on August 1, 2019. 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 Quentin M. Hart, Mayor, City of Waterloo /— /? Date ( -�v-€'1z /( STATE Steve King, AIA, De. uty State Historic Preserv. ion Officer, State of Iowa 201& Date CLG 2018-15 (Waterloo intensive survey) 2 EXHIBIT A GENERAL CONDITIONS ARTICLE I - Amendment of Contract: The RECIPIENT or the STATE may, during the duration of the Contract, deem it necessary to make alterations to the provisions of this agreement. Any changes, which shall be mutually agreed upon by both parties, shall be incorporated into this Contract. The provisions of the amendment shall be in effect as of the date of the amendment unless otherwise specified within the amendment. A waiver of any conditions of this Contract must be in writing from a duly authorized official of the STATE. ARTICLE II - Patent and Copyright: a. No material or product in whole or in part under this Contract shall be subject to patent or copyright by either party in the United States or in any other country. b. The U.S. Department of the Interior and the State Historical Society of Iowa shall reserve a royalty -free, non-exclusive and irrevocable license to reproduce, publish (including in an electronic format), or otherwise use, and to authorize others to use, any materials produced in whole or in part under this Contract for government purposes. Any publication by the RECIPIENT must bear in an appropriate place an acknowledgment of grant support under the National Historic Preservation Act of 1966, as amended, from the U.S. Department of the Interior and the State Historical Society of Iowa. ARTICLE III - Accounts and Records: a. Accounts - the RECIPIENT shall maintain books, records, documents and other evidence pertaining to all costs and expenses incurred and revenues acquired under this Contract to the extent and in such detail as will properly reflect all costs, direct and indirect, of labor, materials, supplies, services, and other costs and expenses of whatever nature, for which payment is claimed under this Contract. b. Audit and Inspection - At all times during normal business hours and as frequently as is deemed necessary, the RECIPIENT shall make available to the STATE all of its records, pertaining to all matters covered by this Contract and shall permit the STATE to audit, examine and make excerpts from such records and all other matters covered by this Contract. c. Retention of Financial Records - All records in the possession of the RECIPIENT pertaining to this Contract shall be retained by the RECIPIENT for a period of three (3) years beginning with the date upon which final payment under this Contract is issued. All records shall be retained beyond the three (3) year period if audit findings have not been resolved within that period. CLG 2018-15 (Waterloo intensive survey) 3 d. The STATE shall reimburse the RECIPIENT for actual, necessary and eligible costs incurred by the RECIPIENT in the conduct of this project. All claims shall include copies of time utilization sheets, records, documents and other evidence in support of all costs and expenses incurred for the performance of this Contract. ARTICLE IV - Termination of Contract a. 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 non -cancelable obligations 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 effective 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. CLG 2018-15 (Waterloo intensive survey) 4 d. Right in Incomplete Products - In the event the Contract is terminated, all finished or unfinished portions of the work prepared by or for the RECIPIENT under this Contract shall, at the option of the STATE, become its property, and the RECIPIENT shall be entitled to receive just and equitable compensation for any satisfactory work completed on the project. ARTICLE V - Interest of Officials and Others: a. STATE - No officer, employee or advisor of the STATE including a member of the State Historical Society 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: CLG 2018-15 (Waterloo intensive survey) 5 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. 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 2018-15 (Waterloo intensive survey) 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 Waterloo, 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 Quentin M. Hart 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 2018-15 (Waterloo intensive survey) 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 this intensive survey 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 CLG 201845 (Waterloo intensive survey) 8 any agency, a Member of Congress, any officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in 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. CLG 2018-15 (Waterloo intensive survey) 9 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. 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. CLG 2018-15 (Waterloo intensive survey) 10 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. 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 (Pl. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) Any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) The requirements of any other nondiscrimination statute(s) which may apply to the application. 7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Pl. 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. CLG 2018-15 (Waterloo intensive survey) 11 8. Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C.§§1501-1508 and 7324- 7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally - assisted construction sub -agreements. 10 Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special 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 (Pl. 91-190) and Executive Order (E0) 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. CLG 2018-15 (Waterloo intensive survey) 12 17. Sub -grantees expending more than $300,000 in federal funds, will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, "Audits of States, Local Governments, and Non -Profit Organizations." 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, and policies governing this program. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL OM K( TYPED NAME AND TITLE Quentin M. Hart, Mayor, City of Waterloo DATE / g C_r-s„c-,)- '/zA ARTICLE X - U.S. DEPARTMENT OF THE INTERIOR CERTIFICATIONS REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS, DRUG-FREE WORKPLACE REQUIREMENTS AND LOBBYING 1. Persons signing this form should refer to the regulations referenced below for complete instructions: Certification Regarding Debarment, Suspension, and Other Responsibility Matters - Primary Covered Transactions -The prospective primary participant further agrees by submitting this proposal that it will include the clause titled, "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. See below for language to be used or use this form certification and sign. (See Appendix A of Subpart D of 43 CFR Part 12.) Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions - (See Appendix B of Subpart D of 43 CFR Part 12.) Certification Regarding Drug -Free Workplace Requirements - Alternate I. (Grantees Other Than Individuals) and Alternate II. (Grantees Who are Individuals) - (See Appendix C of Subpart D of 43 CFR Part 12) CLG 2018-15 (Waterloo intensive survey) 13 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 1S FOR A PRIMARY COVERED TRANSACTION AND IS APPLICABLE. (1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: (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_V_IF THIS CERTIFICATION IS FOR A LOWER TIER COVERED TRANSACTION AND I5 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 CLG 2018-15 (Waterloo intensive survey) 14 CHECK / IF THIS CERTIFICATION 15 FOR AN APPLICANT WHO IS NOT AN INDIVIDUAL. Alternate I. (Grantees Other Than Individuals) A. The grantee certifies that it will or continue to provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an ongoing drug-free awareness program to inform employees about -- (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will -- (1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; (f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted -- (1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a) (b), (c), (d), (e) and (f). B. The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant: Place of Performance (Street address, city, county, state, zip code): CLG 2018-15 (Waterloo intensive survey) 15 Check if there are workplaces on files that are not identified here. PART D: Certification Regarding Drug -Free Workplace Requirements CHECK IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS AN INDIVIDUAL. Alternate II. (Grantees Who Are Individuals) (a) The grantee certifies that, as a condition of the grant, he or she will not engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any activity with the grant; (b) If convicted of a criminal drug offense resulting from a violation occurring during the conduct of any grant activity, he or she will report the conviction, in writing, within 10 calendar days of the conviction, to the grant officer or other designee, unless the Federal agency designates a central point for the receipt of such notices. When notice is made to such a central point, it shall include the identification number(s) of each affected grant. PART E: Certification Regarding Lobbying Certification for Contracts, Grants, Loans, and Cooperative Agreements CHECK IF CERTIFICATION IS FOR THE AWARD OF ANY OF THE FOLLOWING AND THE AMOUNT EXCEEDS $100,000: A FEDERAL GRANT OR COOPERATIVE AGREEMENT; SUBCONTRACT, OR SUBGRANT UNDER THE GRANT OR COOPERATIVE AGREEMENT. CHECK IF CERTIFICATION FOR THE AWARD 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. CLG 2018-15 (Waterloo intensive survey) 16 (3) The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including subcontracts, sub grants, and contracts under grants, loans, and cooperative agreements) and that all sub recipients shall certify accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. As the authorized certifying official, I hereby certify that the above specified certifications are true. SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TYPED NAME AND TITLE Quentin M. Hart, Mayor, City of Waterloo DATE 1/ Z 1 CLG 2018-15 (Waterloo intensive survey) 17 EXHIBIT C SCOPE OF WORK A. WORK ELEMENTS The goal of this project is to undertake an intensive survey and evaluation of the Smokey Row neighborhood in Waterloo. Smokey Row was settled by African-Americans and European immigrants starting in the early 1900's. During a strike the Illinois Central railroad brought in workers many of them from Holmes County, Mississippi. Before 1911 the city of Waterloo had an African-American population of just 22 but by the end of 1911 it had grown to almost 400. Today the population of Waterloo is 67,934 and 15.5% of that is African- American which makes Waterloo the most racial diverse city in the state. At first the railroad housed those incoming workers in box cars but over time families began looking elsewhere for housing. The group immediately faced discrimination as realtors lobbied the city council to pass an ordinance that would limit where African Americans could live. The city council refused to pass the ordinance so instead protective covenants were instituted to prevent African Americans from buying property in certain neighborhoods. For most of the last century there have been two Waterloos with the Cedar River acting as a barrier between to the two. The west side was largely the white section of town and the east side was black along with poor immigrants from countries such as Ireland and Germany. During the post -World War 11 period the Smokey Row neighborhood was where "redlining" was practiced and bankers refused to write mortgages. Due to an extended period of disinvestment, absentee ownership and red -lining, large sections of the neighborhood have deteriorating and many buildings have been demolished. This project consultant will survey the extant resources in the neighborhood, develop a historical context and evaluate the properties for National Register eligibility. The consultant will also identify any potential historic district(s). All work undertaken for this project will be done in accordance with the Secretary of the Interior's Secretary of the Interior's Standards for Identification and Evaluation. Coordination The city of Waterloo will hire a consultant who meets the Secretary of the Interior's Professional Qualifications for historian and/or architectural historian. The consultant will be responsible for organization and coordination of the project activities including taking the lead on research efforts, training, and preparing the Iowa site inventory forms and survey report. The consultant will assign work tasks to the Commission members and volunteers. It is anticipated that while the consultant will lead on all research activities, the consultant will delegate background research, photography, mapping, and other such tasks to volunteers, commissioners and city staff. CLG 201845 (Waterloo intensive survey) 18 The local project manager will be responsible for financial matters including processing payments to the consultants and requesting reimbursements. In addition the local project manager will work directly on the project providing assistance with mailings, preparing the RFP, and submitting all final documents to the State Historic Preservation Office. The local project manager will provide coordination between the consultant, the Historic Preservation Commission, city departments, and volunteers and will ensure that the project stays on time. Members of the Waterloo Historic Preservation Commission will work as volunteers for the project and will be responsible for promoting the project in the community. The commission members will need to work with the neighborhood association and other groups such as the local churches who can assist in making connections with community members. B. PRODUCTS The STATE will furnish the following: CLG Grant Project Director's Manual Forms for documentation of match The RECIPIENT will produce and distribute the following grant products: Following receipt of the Notice to Proceed and fully signed CLG Grant -in -Aid Agreement, the Project Director will complete and submit a progress reporting form to the STATE by the fifth of each month. The Project Director is encouraged to submit these monthly reports electronically. Tangible work products include (unless otherwise noted, these are the responsibility of the Recipient): Draft Request for Proposals (RFP), draft subcontract and a list of consultants to whom the RFP will be sent Final Request for Proposals (RFP) and subcontract for distribution to consultants Signed and executed subcontract agreement with the selected consultant Monthly reports Project research design discussing project activities and methodology [Consultant] Draft intensive survey report that includes information typically found in a Multiple Property documentation form, site inventory forms for each eligible property (5-10 sample forms) and photographic documentation; 3 copies and digital file [Consultant] CLG 2018-15 (Waterloo intensive survey) 19 Final intensive survey report that includes information typically found in a Multiple Property documentation form, site inventory forms for each eligible property (including potential districts)and photographic documentation; 6 copies and 3 CDS with PDF of final survey report [Consultant] 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 this intensive survey 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, 2019 and the final bill must be submitted with the final report by June 30, 2019. The Agreement will end on or before August 1, 2019. Early completion of contract activities and submission of contract products is encouraged. Tentative Schedule: CLG 2018-15 (Waterloo intensive survey) 20 January, 2018 February, 2018 March -April, 2018 April 30, 2018 May 15, 2018 scheduled June 15, 2018 July 2018 Execute CLG Contract Submit a draft RFP, electronically to SHPO Distribute RFPs and accept proposals. Proposals Due Consultant is selected and kick-off meeting with state, city and consultant Subcontract is executed and submitted to SHPO Public Information meeting held July 2018 -March 2019 Research Activities, photographing, preparing Iowa State Inventory Forms, publicity efforts, draft report prepared February 2019 Draft of report and products submitted to State March 2019 State provides comments on draft products May 2019 Consultant and Waterloo HPC presents process, findings, final report, and discussing next steps in a public meeting June 2019 Final products due to State, request for reimbursement submitted to State D. REIMBURSEMENT SCHEDULE Payments by the STATE shall be made upon receipt of billing invoices from the RECIPIENT that relate expenses being billed to budgeted expenses identified in Exhibit D. Each payment request will be audited by the STATE to insure that sufficient progress has been made in support of the invoice. Timely submission of products is essential for reimbursement. Claims for reimbursement must be accompanied by a progress report. Claims must be submitted to Paula Mohr, State Historical Society of Iowa, New Historical Building, 600 East Locust, Des Moines, Iowa 50319-0290, (515) 281-6826. 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 Local Project Director Jessica Bristow and the STATE will be represented by Paula Mohr, State Historical Society of Iowa, New Historical Building, 600 East Locust, Des Moines, Iowa 50319-0290 at (515) 281-6826; paula.mohr@iowa.gov. The RECIPIENT's Project Director will maintain continuous coordination with the STATE's Project Manager, during the course of the contract. CLG 2018-15 (Waterloo intensive survey) 21 EXHIBIT D: BUDGET Expense Detail Grant Request ($) Cash Match ($) In -Kind Match ($) Total ($) Consultant Fees 10000 10000 Planner 1150 Hours 3900 3900 @ $26.00 Volunteers 100 Hours 2295 @22.95 Printing/Photocopies 500 500 CLG 201845 (Waterloo intensive survey) 22 CLG 2018-15 (Waterloo intensive survey) 23