HomeMy WebLinkAboutRes.2836.09-09-2014BILL NO. 14-138
RESOLUTION NO.
A RESOLUTION AUTHORIZING THE CITY MANAGER TO
SUBMIT AN HISTORIC PRESERVATION CERTIFIED
LOCAL GOVERNMENT GRANT APPLICATION FOR THE
2015 MISSOURI PRESERVATION CONFERENCE, AND
TO EXECUTE ALL NECESSARY GRANT DOCUMENTS
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF CAPE
GIRARDEAU, MISSOURI, AS FOLLOWS:
ARTICLE 1. The City Manager, for and on behalf of the
City of Cape Girardeau, Missouri, is hereby authorized to
submit an Historic Preservation Certified Local Government Grant
Application for the 2015 Missouri Preservation Conference, in
the City of Cape Girardeau, Missouri. The City Manager is also
authorized hereby to execute allnecessary Grant Documents.
PASSED AND ADOPTED THIS DAY OF 2014.
--Z
Harry E. diger, Mayor
ATTEST:
&&a
Gay L. Conrad, City Clerk
April 1, 2015
Mr. Scott Meyer
City Administrator
City of Cape Girardeau
City Hall, 401 Independence
Cape Girardeau, MO 65703
RECEIVED APR D 1 201
Jeremiah W Qaq) Nixon, Governor . San Parker Patiley, Director
T OF NATURAL, RESOURCES
RE: Fiscal Year 2015 Historic Preservation Fund Grants
Statewide Preservation Conference
Grant Project Number 29-15-131224-009
Dear Mr. Meyer:
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We are pleased to inform you that the City of Cape Girardeau's application has been accepted for
a FY2015 Historic Preservation Fund grant in the amount of $30,500.00 to plan and host
Missouri's 2015 Statewide Historic Preservation Conference.
Enclosed please find two originals of your FY2015 Historic Preservation Fund (HPF) Grant
Agreement with the Missouri Department of Natural Resources (DNR). These originals have
been endorsed by the department and are ready for city approval and signature. Please review
these documents carefully. flay particular attention to Attachment A, which contains critical
project information such as scope of work, milestones and budget, and Attachment B, which
contains all terms and conditions pertaining to this grant award. Both originals of the Grant
Agreement must be endorsed with original signatures in three places, as follows:
❑the cover page ` I
❑ U.S. Department of the Interior Assurance of Compliance (Attachment B, Exhibit 1)
0U.S. Department of the Interior Certification Regarding Debarment, Suspension and Other
Responsibility Matters, Drug -Free Workplace Requirements and Lobbying; (Attachment B,
Exhibit 4). '
Upon endorsement of the grant agreement, return one original to the attention of Nancy Faerber
at the address listed below and retain the other original for the city's records.
Of
Rm W Nl—
Mr. Scott Meyer
Cape Girardeau, MO
Page two
Please use your project number (found on page 1 of the grant agreement) on all correspondence.
All billing materials and inquiries should be addressed to the attention of.
Nancy Faerber
Missouri Department of Natural Resources
State Historic Preservation Office
PO Box 176
Jefferson City, MO 65102
Phone 573-526-5026
Please note that the Missouri Department of Natural Resources has not yet received the final
allocation from the federal Historic Preservation Fund. No final grant awards or reimbursements
of allowable grant project costs will be made until the final allocation is approved by Congress
and signed by the President. Obligations of the State shall cease immediately if the Missouri
Legislature, the President or Congress fail to appropriate or otherwise make available funds for
this project.
Thank you for supporting the local historic preservation program. We appreciate the efforts of
the City of Cape Girardeau to protect your outstanding historic resources. If you have any
questions on grant products and milestones, please contact your grant monitor; Rebecca Rost,
Preservation Planner and Grants Manager, at 573-751-7958 or via e-mail at
rebecca.rost@dnr.mo.gov.
Sincerely,
MISSOURI STAT PARKS
- �? ^ ��
William J. Bryan
Director &
Deputy State Historic Preservation Officer
WJB:rr
Enclosures
c: Ms. Alyssa Lage, Chair, Historic Preservation Commission
Senator Wayne Wallingford, Missouri Senate
Representative Kathy Swan, Missouri House of Representatives
Promoting, Protecting and Enjoying our Natural Resources
To learn more about the Missouri Department of Natural Resources visa dnr mo gov.
I
Project Number: 29-15-131224-009
CFDA No. 15-904
HISTORIC PRESERVATION FUND GRANT AGREEMENT
Grantor: State of Missouri, Department of Natural Resources, Division of
State Parks, State Historic Preservation Office, P.O. Box 176,
Jefferson City, Missouri 65102, as the authorized representative of
the United States Department of the Interior, National Park
Service.
Grant Recipient: City of Cape Girardeau, Missouri
2015 Annual Statewide Historic Preservation Conference
Scope, Purpose and Description of Grant:
The Grant Recipient shall perform those activities and functions more
fully set forth in Attachment A to this Grant Agreement, the provisions
of which are expressly incorporated herein.
Term of Grant Agreement Cost Share
Beginning Date: 03/04/2015 Federal: $30,500.00
Closing Date: 08/30/2016' Local: $20,333.00
Total: $50,833.00
Attachments: The following Attachments are expressly incorporated
into this Grant Agreement and the Recipient
agrees to be bound by the contents thereof.
Attachment A - Scope, Purpose and Description of Grant Activities
Attachment B - Terms and Conditions
Attachment C - Excerpt from 36 CFR Part 61
Attachment D - Standards for Determining Eligibility
Attachment E - Listing of Eligible and Non -Eligible Expenditures
Attachment F - Examples of Non -allowable Costs
Attachment G - Procurement Standards
Execution: Approval as to form:
FOR THE GRANTOR FOR THE GRANT RECIPIENT
Mark A. Miles
Director, State Historic Preservation Office
& Deputy State Historic Preservation Officer
Da
lliam J. Bry
Director, Missouri State Parks
& Deputy State Historic Preservation Officer
Date
Date
Please be advised that the Missouri Department of Natural Resources has not as yet received the
final allocation from the federal Historic Preservation Fund. No final grant awards or
reimbursements of allowable grant project costs will be made until the allocation is approved by
Congress and signed by the President. Obligations of the State shall cease immediately if the
Missouri Legislature, the President or Congress fail to appropriate or otherwise make available
funds for this pro3ect.
ATTACHMENT A
SCOPE, PURPOSE AND DESCRIPTION
OF
GRANT ACTIVITIES
SCOPE, PURPOSE AND DESCRIPTION OF GRANT ACTIVITIES
City of Cape Girardeau, Missouri
2015 Annual Statewide Historic Preservation Conference
Project No. 29-15-131224-009
Beginning Date: March 4, 2015
Closing Date: August 30, 2016
I. SCOPE AND PURPOSE:
The purpose of this grant is to produce Missouri's only annual statewide historic preservation
conference. To this end, the City of Cape Girardeau will partner with Missouri Preservation, the
only statewide non-profit organization devoted to the preservation of Missouri's cultural resources,
to plan and produce the 2015 conference to be held in the fall of 2015, in Cape Girardeau,
Missouri. As in past conferences produced by Missouri Preservation, this one will be designed to
appeal to a broad range of preservation interests. It will feature a keynote speaker and 3 tracks of
educational sessions. (A draft agenda is attached as Exhibit A-1.) Additional educational
opportunities will include exhibits, tours, and networking receptions.
The grant funds will also be used to provide ten conference scholarships to members of Missouri's
Certified Local Governments for the purposes of enhancing the professional development of
commissioners and/or professional staff or individuals residing within an officially designated
Certified Local Government.
II. ACTIVITIES AND FUNCTIONS:
Conference: The content of the 2015 conference is outlined in the draft agenda, which is
attached, marked "Exhibit A-1" and hereby incorporated into this grant agreement. Products of
this grant will be as follows:
A. Prepare and distribute "Save the Date" cards 3-4 months prior to the event. (See
distribution list in product B.) Cards will include the funding acknowledgement referenced
in III. Special Condition C of this agreement.
B . Prepare and distribute conference brochure including registration form. Mailings A and B
will be sent to Missouri Preservation members, local preservation commissions in Missouri,
all of Missouri's major preservation and economic development organizations,
preservation -related businesses, Missouri state legislators and other interested
citizensaround the state. 65 copies of the conference brochure will be sent to the State
Historic Preservation Office. (See III. Special Condition C, below.)
c. Distribute media release publicizing the conference. (See III. Special Condition C, below.)
D. Conduct two-day conference to include a broad range of historic preservation topics.
E. Submit report of all income and a profit and/or loss statement.
Scope, Purpose and Description of Grant Activities
City of Cape Girardeau, Missouri
2015 Annual Statewide Historic Preservation Conference
Project No. 29-15-131224-009
Page Two
All printed materials must be approved in writing by the State Historic Preservation Office (SHPO)
monitor before any payments are released. Project work will be submitted and payments made per
the milestone/payment schedule and project budget on the following pages.
2. Scholarships: The City of Cape Girardeau will sponsor scholarships to ten individual
preservation commissioners and/or local preservation staff members or citizens residing within
an officially designated Certified Local Government to attend the 2015 Statewide Historic
Preservation Conference, to be held October 21-23, 2015, in Cape Girardeau, Missouri. The
scholarships are designed to pay the cost of the registration and hotel accommodations, where
they apply.
a. Missouri Preservation and the SHPO shall jointly develop application criteria,
promote the availability of scholarship funds, and select scholarship award recipients.
b. All scholarship recipients will be approved by the SHPO upon certification by the
Certified Local Government that the recipient is a member of the local historic
preservation commission, design review board, preservation advisory board,
commission liaison or city staff/official that supports the local historic preservation
program's CLG activities according to the National Historic Preservation Act or that
this individual resides within the Certified Local Government.
C. Scholarship recipients will work with Missouri Preservation to make all
arrangements to attend the conference including transportation, lodging and conference
registration fees.
d. Missouri Preservation will pay lodging and registration expenses for scholarship
recipients up -front subject to reimbursement by the city after submittal of time and
expense reimbursement documentation, including copies of receipts for expenses
claimed by scholarship recipients.
e. Scholarship recipients will document the hours spent in travel to and attending the
conference and will submit this documentation with their expense reimbursement
request. In order to receive the scholarship, scholarship recipients shall agree that their
time spent attending the conference and travel expenses not covered by the scholarship
(for example, mileage) will be used as match toward the conference grant.
f. Upon returning from the conference, scholarship recipients will provide to their
local commission, their local government and the SHPO a report on their experience at
the conference, including a summary of the training sessions they attended and how
their participation in the conference will improve their job performance and/or benefit
their community.
g. Scholarship recipients will complete and submit to Missouri Preservation, all travel
expenses and timesheets within 45 working days after returning from the conference.
Scope, Purpose and Description of Grant Activities
City of Cape Girardeau, Missouri
2015 Annual Statewide Historic Preservation Conference
Project No. 29-15-131224-009
Page Three
III. SPECIAL CONDITIONS:
A. Any profit (program income) resulting from this grant project will be used to enhance the
preservation of cultural resources in Missouri eligible for listing in the National Register of
Historic Places. Any unspent grant funds remaining after the above listed activities of this
project are concluded must be used for local preservation activities including, but not limited to,
public outreach and education projects, preservation publications, and training. All
expenditures of grant funds are subject to the approval of the grant monitor.
B. It is agreed that if the project should fall one (l) month behind the milestones, the Missouri
Department of Natural Resources (MDNR) has the right unilaterally to terminate or reduce the
dollar amount of this agreement. In addition, if MDNR determines that full termination is
warranted, MDNR shall be the sole authority in determining the amount of compensation owed.
C. Brochures and other printed materials must contain the following statements:
This conference is partially funded by a grant from the State Historic Preservation Office,
Missouri Department of Natural Resources and the National Park Service, U.S.
Department of the Interior. Grant awards do not imply an endorsement of contents by
the grantor. Federal laws prohibit discrimination on the basis of race, religion, sex, age,
handicap or ethnicity. For more information, write to the Office of Equal Opportunity,
U.S. Department of the Interior, Washington D.C. 20240.
[The above must by federal law appear in any publication funded by federal monies, including
films, videos or slide shows. It may be printed in any size and placed in any location in the
publication.]
MILESTONE/PAYMENT SCHEDULE
City of Cape Girardeau, Missouri
2015 Annual Statewide Historic Preservation Conference
Project No. 29-15-131224-009
Beginning Date: March 4, 2015
Closing Date: August 30, 2016
Milestone Product
#1
Planning meeting. Submit
copy of agreement with
Missouri Preservation. Submi
draft conference agenda to
monitor for comment.
#2
Print & mail conference
Save the Date notices.
Draft to grant monitor
for approval prior to printing.
Develop scholarship
application criteria
and forms. Establish plan
to promote and receive
scholarship applications.
#3
Announce availability
of scholarships.
#4
Planning meeting.
Print & mail conference
brochure. Drafts to
grant monitor for approval
prior to printing.
#5
Planning meeting.
Distribute news releases
after SHPO approval. Submit
midterm budget report. Hold
meeting to select scholarship
winners. Notify winners.
#6
Host conference.
#7
Pay speaker expenses,
facilities, transportation, etc.
#8
Submit financial report &
final audit & billing data.
Date Due Federal Share Local Share
04/15/2015 $ -0- $ -0-
05/31/2015 $ -0- $ -0-
06/01/2015 $ -0- $ -0-
07/01/2015 $ -0- $ -0-
08/15/2015 $ -0- $ -0-
10/21-23/2015 $ -0- $ -0-
12/31/2015 $ -0- $ -0-
02/15/2016 $30,500.00 $20,333.00
TOTALS $30,500.00 $20,333.00
Note: The City of Cape Girardeau, Missouri has requested one reimbursement payment to be made at the end of the
project.
BUDGET
City of Cape Girardeau, Missouri
2015 Annual Statewide Historic Preservation Conference
Project No. 29-15-131224-009
Beginning Date: March 4, 2015
Closing Date: August 30, 2016
Federal Share Local Share Total
Personnel $13,500.00 $16,300.00 $29,800.00
Travel/Other/Equipment $17,000.00 $ 4,033.00 $21,033.00
TOTALS: $30,500.00 $20,333.00 $50,833.00
Exhibit A-1
2015 Statewide Preservation Conference Tentative Agenda
Wednesday, October 28, 2015
Advanced/Intensive Training Workshops
Possible Tours of Local Historic Sites
Opening reception in evening
Conference Begins, Thursday, October 29, 2015
Registration & Tradeshow - 8:30 a.m.
Keynote Address - 9:30 A.M., General Session
3 Tracks of Educational Sessions 11:00-12:15
Networking Luncheon 12:30-1:30 pm., General Session
3 Tracks of Educational Sessions/Local Tours 1:45-3:00 p.m.
3 Tracks of Educational Sessions/Local Tours 3:15-4:30 p.m.
Reception at Historic Site 5:30 p.m. -7 p.m.
Dinner on Your Own
Friday, October 30, 2015
Registration and Tradeshow - 8:00 a.m.
3 Tracks of Educational Sessions - 9:00 a.m.
3 Tracks of Educational Sessions -10:30 a.m.
Lunch with Local Awards Presentations 12:00 noon
Additional Tours/Special Clinics/Sessions 1:00-4:00
Conference Ends
ATTACHMENT B:
MISSOURI DEPARTMENT OF NATURAL RESOURCES
Federal Subgrants
General Terms and Conditions &
STATE HISTORIC PRESERVATION OFFICE
Additional Administrative Requirements/Survey & Planning Grants
Attachment B
MISSOURI DEPARTMENT OF NATURAL RESOURCES
Federal Subgrants
General Terms and Conditions
Administrative Requirements
These general terms and conditions highlight requirements which are especially pertinent to
federal Subgrants made by the Missouri Department of Natural Resources (MDNR). These
general terms and conditions do not set out all of the provisions of the applicable laws and
regulations, nor do they represent an exhaustive list of all requirements applicable to this award.
These terms and conditions are emphasized here because they are frequently invoked and their
violation is of serious concern.
In addition to these terms and conditions, the subgrantee must comply with all governing
requirements of their subgrant, including the federal Common Rule (adopted by federal agencies
and contained in specific Codes of Federal Regulation, for each federal agency, under the title
"Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments"). The Common Rule is fully incorporated by reference into these terms and
conditions. The common rule as codified by the federal granting agency can be found at
http://www.whitehouse.gov/omb/grants/chart.html
A. Method of Payment The subgrantee will be reimbursed by the MDNR for all allowable expenses incurred
in performing the scope of services. The subgrantee shall report project expenses and submit to the MDNR
original invoices for payment as required by division/program per the subgrant agreement. The form must be
completed with the MDNR invoiced amount and local share detailed Invoices must provide a breakdown of
project expenses by the budget categories contained in the subgrant budget. Invoices must be received by the
MDNR per the subgrant agreement. No reimbursements will be made for expenditures incurred after the
' closing budget date unless a budget time period extension has been granted by the MDNR prior to the closing
date.
Payments under non -construction grants will be based on the grant sharing ratio as applied to the
total project cost for each invoice submitted unless the subgrant specifically provides for advance
payments. Advance payments may only be made upon a showing of good cause or special
circumstances, as determined by the MDNR. Advance payments will only be made on a monthly
basis to cover estimated expenditures for a 30 -day period or as otherwise agreed The MDNR will
not advance more than 25% of the total amount of the grant unless the recipient demonstrates good
cause.
2. All reimbursement requests must have the following certification by the authorized subgrantee
official: I certify that to the best of my knowledge and belief the data above are correct and that all
outlays were made or will be made in accordance with the subgrant and that payment is due and has
not been previously requested.
B. Retention and Custodial Requirements for Records. The subgrantee shall retain financial records,
supporting documents, and other records pertinent to the subgrant for a period of three years starting from the
date of submission of the final financial status report. Authorized representatives of federal awarding
agencies, the Comptroller General of the United States, and the MDNR shall have access to any pertinent
books, documents, and records of subgrantees in order to conduct audits or examinations. The subgrantee
agrees to allow monitoring and auditing by the MDNR and/or authorized iepresentative. If any litigation,
claim, negotiation, audit, or other action involving the records has been started before the expiration of the 3 -
year period, the subgrantee shall retain records until completion of the action and resolution of all issues
which arise from it, or until the end of the regular 3 -year period, whichever is later.
2
C. Program Income.
Subgrantees are encouraged to earn income to defray program costs Program income means
income from fees for services performed, from the use or rental of real or personal property acquired
with grant funds, from the sale of commodities or items fabricated under the subgrant, and from
payments of principal and interest on loans made with subgrant funds. Program income does not
include items such as interest on grant funds, rebates, credits, discounts, or refunds
Program income shall be deducted from outlays, which may be both state and subgrantee unless the
MDNR, with approval of the federal awarding agency, as negotiated with the subgrantee, specifies
an alternative method in the subgrant. The default deductive alternative requires that program
income be deducted from total allowable costs to determine the net amount to which the respective
matching ratios are applied. For example. 50150 share ratio subgrant with total allowable costs of
$10,000 that earns $1.000 in program income would result in $4,500 net share and a $4,500 net sub -
grant share
D Match or Cost Share Funding. In general, match or cost sharing represents that portion of project costs not
borne by state appropriations. The matching share will usually be prescribed as a minimum percentage In-
kind (noncash) contributions are allowable project costs when they directly benefit and are specifically
identifiable to the project or program. Any in-kind match must be assigned a fair market value stated in
dollars and the rationale used to calculate the value must be provided. Neither costs nor the values of third
party in-kind contributions count towards satisfying a cost sharing or matching requirement of a grant
agreement if they have been or will be counted towards satisfying a cost sharing or matching requirement of
another federal subgrant agreement, a federal procurement contract, or any other award of federal funds.
Federal funds from another federal grant or subgrant shall not count towards satisfying a cost sharing or
matching requirement of a grant agreement.
Match or cost share funding will be established by the MDNR through negotiation with the
subgrantee. Signature by both the MDNR and subgrantee on the subgrant signature form firmly
affixes the match or cost sharing ratios Full expenditure of subgrantee match or cost share funding
is required over the life of the subgrant. Subgrantee must invoice the MDNR, as required by the
particular subgrant, and provide financial records for total expenditure of state and match or cost
share funding. The MDNR will reimburse the subgrantee for its percentage portion agreed to less
any negotiated withholding
2. Failure to provide 100% of the match or cost share ratio of total expenditures as identified in the
subgrant may cause the subgrantee to become ineligible to receive additional financial assistance
from the MDNR Failure to provide the required match may result in other enforcement remedies as
stated in Y. for non-compliance.
Financial Management Systems The financial management systems of subgrantees must meet the
following standards.
1 Financial Reporting. Accurate, current, and complete disclosure of financial results of financially
assisted activities must be made in accordance with the financial reporting requirements of the
subgrant;
2. Accounting Records. Maintain records which adequately identify the source and application of
funds provided for financially assisted activities. These records must contain information pertaining
to subgrant awards and authorizations, obligations, unobligated balances, assets, liabilities, outlays
or expenditures, and income;
3. Internal Control Effective control and accountability must be maintained for all subgrantee cash,
real and personal property, and other assets. Subgrantees must adequately safeguard all such
property and must assure that it is used solely for authorized purposes;
3
4. Budget Control. Actual expenditures or outlays must be compared with budgeted amounts for each
subgrant;
5. Allowable Costs. Applicable OMB cost principles, federal agency program regulations, and the
subgrant scope of work will be followed in determining the reasonableness, allowability, and
allocability of costs;
6. Source Documentation. Accounting records must be supported by such source documentation as
canceled checks, paid bills, payrolls, time and attendance records, contract, and subgrant award
document. The documentation must be made available by the subgrantee at the MDNR's request;
7. The subgrantee shall have procedures in place to minimize the time lapsed between money
disbursed by the MDNR and money spent by the subgrantee.
Reporting of Program Performance. Subgrantee shall submit to the MDNR a performance report for each
program, function, or activity as specified by the subgrant or at least annually and/or after completion of the
project Performance report requirements, if not expressly stated in the scope of work, should include, at a
minimum, a comparison of actual accomplishments to the goals established, reasons why goals were not met,
including analysts and explanation of cost overruns or higher unit cost when appropriate, and other pertinent
information. Representatives of the MDNR shall have the right to visit the project site(s) during reasonable
hours for the duration of the contract period and for three years thereafter.
G Budget and Scope of Work Revisions. Subgrantees are permitted to rebudget within the approved direct
cost budget to meet unanticipated requirements. However, subgrantee must request approval in writing to
revise budgets and scopes of work under the following conditions:
For non -construction grants, subgrantees shall obtain the prior approval of the
MDNR, unless waived by the MDNR, for cumulative transfers among direct cost
categories, or, if applicable, among separately budgeted programs, projects,
functions or activities when the accumulative amounts of such transfers exceed or
are expected to exceed 10% of the current total approved budget whenever the
MDNR's share exceeds $100,000.
2. For construction and non -construction projects, subgrantees shall obtain prior written approval from
the MDNR for any budget revision which would result in the need for additional funds.
3. For combined non -construction and construction projects, the subgrantee must
obtain prior written approval from the MDNR before making any fund or budget
transfer from the non -construction to construction or vice versa.
4. Subgrantees under non -construction projects must obtain prior written approval from the MDNR
whenever contracting out, subgranting, or otherwise obtaining a third party to perform activities
which are central to the purpose of the award.
5. Changes to the scope of services described in the subgrant must receive prior
approval from the MDNR. Approved changes in the scope of work or budget shall
be incorporated by written amendment to the subgrant.
6. Extending the grant past the original completion date requires approval of the
MDNR.
H. , Equipment Use. Subgrantee agrees that any equipment purchased pursuant to this agreement shall be used
for the performance of services under this agreement during the term of this agreement The equipment shall
4
not be moved from the State of Missouri without approval from the MDNR. The following standards shall
govern the utilization and disposition of equipment acquired with subgrant funds -
Title to equipment acquired under this subgrant will vest with the subgrantee on acquisition
Equipment means an article of nonexpendable, tangible personal property having a useful life of
more than one year and an acquisition cost $5,000 and greater
Equipment shall be used by the subgrantee in the program or project for which it was
acquired as long as needed, whether or not the project or program continues to be
supported by MDNR funds. When no longer needed for the original program or project, the
equipment may be used in other activities currently or previously supported by the MDNR
or the federal agency If the MDNR puts subgrantee on notice that it believes grant assets
are not being used for the intended purpose, subgrantee shall not sell, give away, move or
abandon the assets without the MDNR's prior written approval.
b. The subgrantee shall also make equipment available for use on -other projects or programs
currently or previously supported by the MDNR, providing such use will not interfere with
the work on the projects or program for which it was originally acquired. First preference
for other use shall be given to other programs or projects supported by the MDNR User
fees should be considered if appropriate.
The subgrantee must not use equipment acquired with MDNR funds to provide services for
a fee to compete unfairly with private companies that provide equivalent services, unless
specifically permitted or contemplated by state or federal law. This fee may be considered
program income under Section C above.
When acquiring replacement equipment, the subgrantee may use the equipment to be
replaced as a trade-in or sell the property and use the proceeds to offset the cost of the
replacement property, subject to the approval of the MDNR
Equipment Management Subgrantee's procedures for managing equipment, whether acquired in
whole or in part with subgrant funds, will, at a minimum, meet the following requirements until
disposition takes place:
a. Subgrantee must maintain property records that include a description of the equipment, a
senal number or other identification number, the source of property, the acquisition date,
cost of the property, percentage of federal or state participation in the cost of the property,
and the location, use and condition of the property.
b. A physical inventory of the property must be taken and the results reconciled with the
property records at least once every two years
A control system must be developed to ensure adequate safeguards to prevent against loss,
damage, or theft of the property. Any loss, damage, or theft shall be reported to and
investigated by local authorities The subgrantee shall procure and maintain insurance
covering loss or damage to equipment purchased with a sub -grant award, with financially
sound and reputable insurance companies or through self-insurance, in such amounts and
covering such risks as are usually carried by companies engaged in the same or similar
business and similarly situated.
Subgrantee must develop adequate maintenance procedures to keep the property in good
condition.
e. If the subgrantee is authorized or required to sell the property, proper sales procedures must
be established to ensure the highest possible return.
5
Disposition. When original or replacement equipment acquired under a subgrant is
no longer needed for the original project or program or for other activities currently
or previously supported by the MDNR, subgrantee shall dispose of the equipment
as follows:
a. Items of equipment with a current per-unit fair market value of less than $5,000 may be
retained, sold or otherwise disposed of with no further obligation to the MDNR.
b. For items of equipment with a current per unit fair market value of $5,000 or more, the
MDNR shall have a right to an amount calculated by multiplying the current market value
or proceeds from sale by the MDNR's share of the equipment.
C. In cases where a subgrantee fails to take appropriate disposition actions, the MDNR may
direct the subgrantee how to dispose of the equipment.
d. If the MDNR puts subgrantee on notice that it believes grant assets are not being used for
the intended purpose, subgrantee shall not sell, give away, move or abandon the asset
without MDNR's written approval.
Supplies. Title to supplies acquired under a subgrant will vest, upon acquisitions, in the subgrantee.
If there is a residual inventory of unused supplies exceeding $5,000 in total aggregate fair market value upon
termination or completion of the award, and if the supplies are not needed for any other federally sponsored
programs or projects, the subgrantee shall compensate the department for its share.
Inventions and Patents. If any subgrantee produces subject matter, which is or may be
patentable in the course of work sponsored by this subgrant, subgrantee shall promptly and
fully disclose such subject matter in writing to the MDNR. In the event that the subgrantee
fails or declines to file Letters of Patent or to recognize patentable subject matter, the
MDNR reserves the right to file the same. The MDNR grants to the subgrantee the
opportunity to acquire an exclusive license, including the right to sublicense, with a royalty
consideration paid to the MDNR. Payment of royalties by subgrantee to the MDNR will
be addressed in a separate royalty agreement.
K Copyrights. Except as otherwise provided in the terms and conditions of this subgrant, the author or the
subgrantee is free to copyright any books, publications, or other copyrightable material developed in the
course of this subgrant; however, the MDNR and federal awarding agency reserve a royalty -free,
nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use,
with the approval of MDNR, the work for government purposes
Prior Approval for Publications. The subgrantee shall submit to the MDNR two draft copies of each
publication and other printed materials which are intended for distribution and are financed, wholly or in
part, by subgrant funds The subgrantee shall not print or distribute any publication until receiving written
approval by the grant manager.
M Mandatory Disclosures. Subgrantee agrees that all statements, press releases, requests for proposals, bid
solicitations, and other documents describing the program/project for which funds are now being awarded
will include a statement of the percentage of the total cost of the program/project which is financed with
federal and state money, and the dollar amount of federal and state funds for the program/project
N. Procurement Standards. Subgrantees shall use their own procurement procedures provided that
procurement conforms to standards set forth in the "Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments."
No work or services, paid for wholly or in part with state or federal funds, will be
u
contracted without the written consent of the MDNR. See GA.
Subgrantee agrees that any contract, interagency agreement, or equipment to be procured under this
award which was not included in the approved work plan must receive formal MDNR approval
prior to expenditure of funds associated with that contract, interagency agreement, or equipment
purchase.
O. Audit Requirements. The MDNR has the right to conduct audits of recipients at any
time. The subgrantee shall arrange for independent audits as prescribed in OMB Circular
A-133, Single Audit Act Amendments of 1996, as applicable. Audits must confirm that
records accurately reflect the operations of the subgrantee, the internal control structure
provides reasonable assurance that assets are safeguarded, and subgrantee is in compliance
with applicable laws and regulations. When the subgrantee has its yearly audit conducted
by a governmental agency or private auditing firm, the relevant portion(s) of the audit
report will be submitted to the MDNR. Other portions of the audit shall be made available
at the MDNR's request.
P. Allowability of Costs. Allowability of costs shall be determined in accordance with cost principles
contained in OMB Circular No A-87 for state and local governments, and Circular No. A-122 for nonprofit
organizations.
Q Conflicts of Interest No party to this subgrant, nor any officer, agent, or employee of either party to this
subgrant, shall participate in any decision related to such subgrant which could result in a real or apparent
conflict of interest, including any decision which would affect their personal or pecuniary interest, directly or
indirectly.
The subgrantee is advised that, consistent with Chapter 105, RSMo, no state employee shall perform any
service for consideration paid by the subgrantee for one year after termination of the employee's state
employment by which the former state employee attempts to influence a decision of a state agency. A state
employee who leaves state employment is permanently banned from performing any service for any
consideration in relation to any case, decision, proceeding, or application in which the employee personally
participated during state employment.
R. State Appropriated Funding The subgrantee agrees that funds expended for the purposes of this subgrant
must be appropriated and made available by the Missouri General Assembly for each fiscal year included
within the subgrant period, as well as being awarded by the federal or state agency supporting the project.
Therefore, the subgrant shall automatically terminate without penalty or termination costs if such funds are
not appropriated and/or granted In the event that funds are not appropriated and/or granted for the subgrant,
the subgrantee shall not prohibit or otherwise limit the MDNR's right to pursue alternate solutions and
remedies as deemed necessary for the conduct of state government affairs. The requirements stated in this
paragraph shall apply to any amendment or the execution of any option to extend the subgrant
Eligibility, Debarment and Suspension. By applying for this award, the subgrantee verifies that it, its
board of directors, and all of its principals are currently in compliance with all state and federal
environmental laws and court orders issued pursuant to those laws, and that all environmental violations have
been resolved (for example, no pending or unresolved Notices of Violation (NOV)) at the time of
application If compliance issues exist, subgrantee shall disclose to the MDNR all pending or unresolved
violations noted in an NOV, administrative order, or civil and criminal lawsuit, but only where those alleged
violations occurred in the past two years in the State of Missouri The MDNR will not make any award at
any time to any party which is debarred or suspended, under federal or state authority, or is otherwise
excluded from or ineligible for participation in federal assistance under Executive Order 12549, "Debarment
and Suspension " Subgrantee shall complete a Debarment/Suspension form when required by the MDNR.
Furthermore, subgrantee is also responsible for written debarment/suspension certification of all
subcontractors receiving funding through a federally funded grant.
7
T. Restrictions on Lobbying. No portion of this award may be expended by the recipient to pay any person for
influencing or attempting to influence the executive or legislative branch with respect to the following
actions: awarding of a contract; making of a grant; making of a loan; entering into a cooperative agreement;
or the extension, continuation, renewal, amendment or modification of any of these as prohibited by Section
319, Public Law 101-121 (31 U.S.C. 1352).
In accordance with the Byrd Anti -Lobbying Amendment, any recipient who makes a prohibited expenditure
under Title 40 CFR Part 34 or fails to file the required certification or lobbying forms shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure
U. Recycled Paper. Consistent with Federal Executive Order 13101 and 13423 and EPA Executive Order
1000.25, the subgrantee shall use recycled paper consisting of at least 30% post consumer fiber and double
sided printing for all reports which are prepared as a part of this grant award and delivered to the MDNR.
The subgrantee must use recycled paper for any materials that it produces and makes available to any parties.
The chasing arrows symbol representing the recycled content of the paper will be clearly displayed on at least
one page of any materials provided to any parties.
V. Contracting with Small and Minority Firms, Women's Business Enterprise, and Labor Surplus Area
Firms. In accordance with Missouri Executive Order No 05-30 and federal administrative provisions, all
subgrantees shall make every feasible effort to target the percentage of goods and services procured from
certified minority business enterprises (MBE) and women business enterprises (WBE) to 10% and 5%,
respectively, when utilizing subgrant funds to purchase supplies, equipment, construction and services related
to this subgrant.
1. The subgrantee agrees to take all necessary affirmative steps required to assure that small and
minority firms and women's business enterprises are used when possible as sources when procuring
supplies, equipment, construction and services related to the subgrant. The subgrantee agrees to
include information about these requirements in solicitation documents. Affirmative steps shall
include:
a. Placing qualified minority business and women's business enterprises on solicitation lists;
b. Ensuring that minority business and women's business enterprises are solicited whenever
they are potential sources;
C. Dividing total requirements, when economically feasible, into small tasks or quantities to
permit maximum participation by minority business and women's business enterprises,
d. Establishing delivery schedules, where the requirements of work will permit participation
by minority business and women's business enterprises;
e. Using the services of the Small Business Administration and the Minority Business
Development Agency of the U.S. Department of Commerce, and;
f Requiring any prime contractor or other subgrantee, if subgrants are to be allowed, to take
the affirmative steps in subparagraphs a. through e of this section
2. For EPA subgrants, the subgrantee agrees to submit to the MDNR grants manager a completed
Form 5700-52A, U. S. Environmental Protection Agency MBE/WBE Utilization Under Federal
Grants, Cooperative Agreement, and Interagency Agreements within 30 days after the end of each
federal/state fiscal year or as determined by the MDNR.
3. For EPA subgrants, the subgrantee agrees to include disadvantaged
business enterprises in the affirmative steps indicated above.
W. Disputes. Subgrantee and the MDNR should attempt to resolve disagreements concerning the administration
or performance of the subgrant. If an agreement cannot be reached, the MDNR program director will
provide a written decision. Such decision of the program director shall be final unless a request for review is
submitted to the division director within ten (10) business days after the program director's decision. Such
request shall include: (1) a copy of the program director's final decision. (2) a statement of the amount in
dispute; (3) a brief description of the issue(s) involved, and (4) a concise statement of the objections to the
final decision. A decision by the division director shall constitute final MDNR action.
X. Termination
Termination for Cause. The MDNR may terminate any subgrant, in
whole or in part, at any time before the date of completion whenever it is
determmed that the subgrantee has failed to comply with the terms and conditions
of the subgrant. The MDNR shall promptly notify the subgrantee in writing of
such a determination and the reasons for the termination, together with the effective
date. The MDNR reserves the right to withhold all or a portion of grant funds if the
subgrantee violates any term or condition of this subgrant.
2. Termination for Convenience. Both the MDNR and subgrantee may terminate the
subgrant, in whole or in part, when both parties agree that the continuation of the
project would not produce beneficial results commensurate with the further
expenditure of funds.
This agreement is not transferable to any person or entity.
Y. Enforcement; Remedies for Noncompliance. If a subgrantee falsifies any award
document or materially fails to comply with any term of a grant, award, or subgrant, the
MDNR may take one or more of the following actions, as appropriate:
Suspend or terminate, in whole or part, the current award or grant.;
2. Disallow all or part of the cost of the activity or action not in compliance;
Temporarily withhold cash payments pending subgrantee's correction of the
deficiency;
4. Withhold further awards from the subgrantee;
Order subgrantee not to transfer ownership of assets purchased with grant money
without prior MDNR approval; or
Take other remedies that may be legally available, including cost recovery, breach
of contract, and suspension or debarment.
Z. Subgrantee's Signature. The subgrantee's signature on the application and the award
documents signifies the subgrantee's agreement to all of the terms and conditions of the
award.
AA. Human Trafficking. This requirement applies to non-profit recipients or
subrecipients. The subgrantee, their employees, subrecipients under this award, and
subrecipients employees may not engage in severe forms of trafficking in persons during
the period of time that the award is in effect; procure a commercial sex act during the
E
period of time that the award is in effect; or use forced labor in the performance of the
award or subawards under the award. The department has the right to terminate
unilaterally: (1) implement section 106(g) of the Trafficking Victims Protection Act of
2000 (TVPA), noncompliance that are available to the subgrantee under this award.
BB. Illegal Immigration. As per HB 1549, 1771, 19395 & 2366 - Section 67.307 2. Any
municipality that enacts or adopts a sanctuary policy will be ineligible for moneys
provided through grants administered by any state agency or department until the policy is
repealed or is no longer in effect.
CC. Illegal Immigration — Missouri Statutes — RSMo 285.525 — 285.550 Effective January
1, 2009. Effective January 1, 2009 and pursuant to RSMo 285.530 (1), no business entity
or employer shall knowingly employ, hire for employment, or continue to employ an
unauthorized alien to perform work within the state of Missouri.
DD. Management Fees. Management fees or similar charges in excess of the direct costs and
approved indirect rates are not allowable. The term "management fees or similar charges"
refers to expenses added to the direct costs in order to accumulate and reserve funds for
ongoing business expenses, unforeseen liabilities, or for other similar costs which are not
allowable under this agreement. Management fees or similar charges may not be used to
improve or expand the project funded under this agreement, except to the extent the
authorized as a direct cost of carrying out the scope of work.
I1. Statutory Requirements
Subgrantees must comply with all federal state and local laws relating to employment,
construction, research, environmental compliance, and other activities associated with
grants from the MDNR. Failure to abide by these laws is sufficient grounds to cancel the
award. For a copy of state and federal laws that typically apply to grants from the MDNR,
contact the MDNR grants manager.
Any subgrantee, in connection with its application for financial assistance, shall include a certification that the
subgrantee, its board of directors and principals are in compliance with the specific federal and state laws set out
below. Further, the subgrantee shall report to the MDNR any instance in which the subgrantee or any member of its
board of directors or principals is determined by any administrative agency or by any court in connection with any
judicial proceeding to be in noncompliance with any of the specific federal or state laws set forth below. Such report
shall be submitted within ten (10) working days following such determination. Failure to comply with the reporting
requirement may be grounds for termination of this subgrant or suspension or debarment of the subgrantee
A. Laws and regulations related to nondiscrimination:
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;
Title VII of the Civil Rights Act of 1964 found at 42 U.S.C. §2000(e) et.seq. which prohibits
discrimination on the basis of race, color, religion, national origin, or sex:
Title IX of the Education Amendments of 1972, as amended (U S.0 §§ 1681-1683 and 1685-1686)
which prohibits discrimination on the basis of sex;
10
4. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S C § 794), which prohibits
discrimination on the basis of disability;
5. Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 621-634), which prohibits
discrimination on the basis of age;
6 Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse,
7. 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;
8 Sections 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,
9. Title Vlll 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;
10. Chapter 213 of the Missouri Revised Statutes which prohibits discrimination on the basis of race,
color, religion, national origin, sex, age, and disability.
IL The Amencans with Disabilities Act (P. L. 101-336), 42 U. S. C §12101 et seq., relating to
nondiscrimination with respect to employment, public services, public accommodations and
telecommunications.
12 Any other nondiscrimination provisions in the specific statute(s) and regulations under which
application for federal assistance is being made
13 The requirements of any other nondiscrimination statute(s) and regulations which may apply to the
application.
B. State and Federal Environmental Laws
1 The Federal Clean Air Act, 42 U.S.0 § 7606, as amended, prohibiting award of assistance by way
of grant, loan, or contract to noncomplying facilities
2 The Federal Water Pollution Control Act, 33 U S.C. § 1368, as amended, prohibiting award of
assistance by way of grant, loan, or contract to noncomplying facilities.
3 The National Environmental Policy Act of 1969, 42 U.S.C. § 4321 et seq , as amended, particularly
as it relates to the assessment of the environmental impact of federally assisted projects.
4 The National Historic Preservation Act of 1966, 16 U.S.C. § 470 et seq., as amended, relating to the
preservation of historic landmarks.
5. Earthquakes - Seismic Building and Construction Ordinances, §§ 319.200 - 319 207, RSMo (Cum.
Supp 1990), relating to the adoption of seismic design and construction ordinances by certain cities,
towns, villages and counties
6. The Missouri Clean Water Law, Sections 644.006 to 644.141. RSMo
7 The Missouri Hazardous Waste Management Law, Section, 260.350 to 260 430, RSMo.
8 The Missouri Solid Waste Management Law, Sections 260.200 to 260.245. RSMo
9. The Missoun Air Conservation Law, Sections 643.101 to 643 190, RSMo.
11
C. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S C. §§ 4601 and
4651 et seq., relating to acquisition of interest in real property or any displacement of persons, businesses, or
farm operations.
D. The Hatch Act, 5 U.S.C. § 1501 et seq., as amended, relating to certain political activities of certain State and
local employees.
E. The Archaeological and Historic Preservation Act of 1974 (Public Law 93-291) relating to potential loss or
destruction of significant scientific, historical, or archaeological data in connection with federally assisted
activities
F. 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.
G The flood insurance purchase requirements of § 102(a) of the Flood Disaster Protection Act of 1973 (Public
Law 93-234) which requires Subgrantees 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.
H. The Privacy Act of 1974, P.L. 93-579, as amended prohibiting the maintenance of information about any
individual in a manner which would violate the provision of the Act.
I. Public Law 93-348 regarding the protection of human subjects involved in research, development and related
activities supported by this award of assistance
J. The Laboratory Animal Welfare Act of 1966 (P. L. 89-544), 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.
K The following additional requirements apply to projects that involve construction•
1. The Davis -Bacon Act, as amended, 40 U.S.C. § 276a et seq., respecting wage rates for federally
assisted construction contracts in excess of $2000.
2. The Copeland (Anti -Kickback) Act, 18 U.S.0 § 874, 40 U.S.C. § 276c
3 The Contract Work Hours and Safety Standards Act, 40 U.S.C. § 327 et seq.
4 Convict labor shall not be used on construction projects unless by convicts who are on work release,
parole, or probation
5 The Lead -Based Paint Poisoning Prevention Act (42 U. S. C. §
4801 et seq.) which prohibits the use of lead paint in construction or rehabilitation of residence
structures.
L. Trafficking Victims Protection Act of 2000, Section 106, as amended (22 U.S.C. 7104(g) relating to
termination of contract award based should any employee of the department, recipient or subrecipient violate
this act.
M. Missouri House Bill 1549, 1771, 1395 & 2366— Illegal Aliens and Immigration Status Verification —This
bill change the laws regarding illegal aliens and immigration status verification. Effective January 1, 2009,
no business entity or employer shall knowingly employ, hire for employment, or continue to employ an
unauthorized alien to perform working within the state of Missouri.
N. Federal Funding Accountability and Transparency Act of 2006 (S. 2590) — Required information on federal
awards be made available to the public via a single searchable website. Federal awards include grants,
subgrants, loans, awards, cooperative agreements and other forms of financial assistance.
12
STATE HISTORIC PRESERVATION OFFICE
Additional Administrative Requirements/Survey & Planning Grants
III. Additional Administrative Requirements
The Grant Recipient shall apply the standards contained in State statutes, the National Register Program
Guidelines (NPS -49), and the federal Common Rule (Adopted by 29 federal agencies and contained in the
specific Codes of Federal Regulations, for each federal agency, under the title, "Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments" or OMB Circular
A-110 for Institutions of Higher Education, Hospitals, and other Nonprofit Organizations) in the
administration of this grant and in particular those standards paraphrased as follows:
A. Commencement of Work. The Grant Recipient shall commence work on the project
within sixty (60) calendar days from the Grant Agreement obligation date. Failure to meet the
sixty-day work commencement requirement may result in the termination of the grant in
accordance with subsection I -X.
B. Applicable Preservation Standards. All project work, if applicable, must meet the
Secretary of the Interior's "Standards and Guidelines for Archeology and Historic Preservation "
C. Professional Standards for HPF Work. All persons employed or retained by the Grant
Recipient to perform or supervise project work that must conform with the Secretary of the
Interior's "Standards and Guidelines for Archeology and Historic Preservation", shall meet federal
36 CFR Part 61 qualifications for preservation professionals, wluch appears as Attachment C to
the Grant Agreement.
D. Hiring of Project Contractor Time Line. If applicable, within thirty days of the date of
this Grant Agreement, the Grant Recipient shall have hired a project contractor meeting the
requirements of 36 CFR 61.
E. Failure to Meet Milestones. Failure to meet any milestone shall be considered cause, at
the discretion of MDNR, for the termination of the grant in accordance with subsection I -X.
Furthermore, if a project is behind a milestone by 30 calendar days, MDNR can, at its discretion,
unilaterally terminate a Grant Agreement unless the required "notification of problems"
procedures have been followed.
F. Required Notification of Problems. The Grant Recipient, as an obligation of this Grant
Agreement, must immediately inform the MDNR of any problems which may lead to amendment
of this grant action to include a 10% overall budget change, change in personnel, change in scope
of work and any actions that may cause the Grant Recipient to fail to meet any milestone. Not
informing MDNR of problems shall be considered cause, at the discretion of the MDNR, for the
termination of the grant in accordance with subsection I -X.
G. Required Conferences. Upon one week's notice, a representative(s) of the Grant
Recipient shall be available to confer with a representative(s) of the Missouri Department of
13
Natural Resources regarding project work and/or Grant Agreement administration so as to ensure
work progress in accordance with this Grant Agreement.
H. Acknowledgments. Any publication based on activities supported by this grant assistance
must contain the following acknowledgment or a portion of this statement, as appropriate,
depending upon the content of the publication:
(1) Publications
The activity that is the subject of this (type of publication) has been financed (in
part/entirely) with federal funds administered by the State Historic Preservation
Office, Division of State Parks, Missouri Department of Natural Resources, and the
(Federal Awarding Agency). However, the contents and opinions do not
necessarily reflect the views or policies of the (Federal Awarding Agency) or the
Missouri Department of Natural Resources, nor does the mention of trade names or
commercial products constitute an endorsement or recommendation.
(2) Equal Opportunity Statement for Publication
This program received Federal funds from the National Park Service. Regulations
of the U.S. Department of the Interior strictly prohibit unlawful discrimination in
departmental Federally Assisted Programs on the basis of race, color, national
origin, age or handicap. Any Person who believes he or she has been discriminated
against in any program, activity, or facility operated by a recipient of Federal
assistance should write to: Director of Equal Opportunity Program, U.S.
Department of the Interior, National Park Service, P.O. Box 37127, Washington,
D.C. 20013-7127.
(3) Other Statements
When issuing statements, press releases, requests for proposals, bid solicitations,
and other documents describing projects or programs funded in whole or in part
with this grant assistance, all Grant Recipients, shall clearly state (1) the percentage
of the total cost of the program or project which will be financed with Historic
Preservation Fund monies, and (2) the dollar amount of Federal funds for the
project or program.
I. Reporting of Program Performance. A Final Project Report, which appears as Exhibit 3
to Attachment B, shall be submitted at the end of the grant period. This report should include a
comparison of actual accomplishments to the goals established, reasons why goals were not met,
and other pertinent information. In addition, if a project is more than 45 days in arrears with
regard to a given milestone, an interim report must be prepared to include both a report on the
advancement toward completion of project work as well as expenses incurred to date. It must also
include a timeline for expense closeout. Additionally, all Grant Recipients must submit a
crossover form in September of the year funded to assess expenditure for that fiscal year unless
otherwise directed by the MDNR.
14
J. Ownership of Project Materials. Unless stated elsewhere in this Grant Agreement, all
products identified in Attachment A shall be the property of MDNR with the exception of
photographic negatives, which may be retained by the Grant Recipient. Negatives retained must
either be placed in public repositories or be maintained in such a way that the public will have
access. Upon 24 hours notice, materials gathered pursuant to this agreement shall be available for
inspection by MDNR.
K. Political Activities. Grant Recipients shall not allow the use of grant funds, equipment, or
premises for political purposes; sponsor or conduct candidate meetings; or engage in voter
registration, transportation activity, or other partisan political activities.
L. Contingent Fees. No person, agency or organization may be employed or retained to
solicit or secure a grant or Grant Agreement upon agreement or understanding for a commission,
percentage, brokerage, or contingent fee. The MDNR may withdraw the grant or deduct the
contingent fee in full from any grant with respect to a Grant Recipient determined to be in
violation of this section.
M. Dual Compensation. In the event the Grant Recipient, its employees, grantees, or agents
are involved in multiple projects involving federal funding, and compensation is based upon the
percentage of time allocated to the federal project, MDNR will not compensate the Grant
Recipient for more than one hundred percent (100%) of such time.
N. Succession. By executing the Grant Agreement, the Grant Recipient expressly binds himself,
his partners, successors, assigns, executors, and administrators.
15
ATTACHMENT B
EXHIBIT 1
U. S. Department of Interior
Assurance of Compliance
(Title VI, Civil Rights Act of 1964)
16
U.S. DEPARTMENT OF THE INTERIOR
ASSURANCE OF COMPLIANCE
(TITLE VI. CIVIL RIGHTS ACT OF 1964)
(hereinafter called "Applicant -Recipient")
(Name of Applicant -Recipient)
HEREBY AGREES THAT IT will comply with Title VI of the Civil Rights Act of 1964 (P.L. 88-352) and all
requirements imposed by or pursuant to the department of the Interior Regulation (43 CFR 17) issued pursuant to
that title, to the end that, in accordance with Title VI of that Act and Regulation, no person in the United States
shall, on the ground of race, color, or national origin be excluded from participation in, be denied the benefits of, or
be otherwise subjected to discrimination under any program or activity for which the Applicant -Recipient receives
financial assistance from the Missouri Department of Natural Resources and hereby gives assurance that it will
immediately take any measures to effectuate this agreement.
If any real property of structure thereon is provided or improved with the aid of Federal financial assistance
extended to the Applicant -Recipient by the Missouri Department of Natural Resources, this assurance obligates the
Applicant -Recipient, or in the case of any transfer of such property, any transferee for the period during which the
real property or structure is used for a purpose involving the provision of similar services or benefits. If any
personal property is so provided, this assurance obligates the Applicant -Recipient for the period during which the
Federal financial assistance is extended to it by the Missouri Department of Natural Resources.
THE ASSURANCE is given in consideration of and for the purpose of obtaining any and all Federal grants, loans,
Grant Agreements, property discounts or other Federal financial assistance extended after the date hereof to the
Applicant -Recipient by the Missouri Department of Natural Resources, including installment payments after such
date on account of arrangements for Federal financial assistance which were approved before such date The
Applicant -Recipient recognized and agrees that such Federal financial assistance will be extended in reliance on the
representations and agreements made in this assurance, and that the United States shall reserve the right to seek
judicial enforcement of this assurance. This assurance is binding on the Applicant -Recipient, its successors,
transferees, and assignees, and the person or persons whose si ure alypears below are authorized to sign this
assurance on behalf of the Applicant -Recipient. /
DATED
APPLICANT -RECIPIENT'S MAILING ADDRESS
ENT
(President, Chairman of the Board or
Comparable Authorized Official)
17
ATTACHMENT B
EXHIBIT 2
Mid -Term Budget Report
18
INSTRUCTIONS FOR HPF GRANT
AGREEMENT MID-TERM BUDGET REPORT
1. Use as many sheets as necessary to list all costs associated with the grant activity.
2 Enter the project name and assigned project grant number.
I List expenditures by COST CATEGORY
A. Person nel/Friuge: list each person on the payroll paid as a consultant, indicating name,
date, check number. Attach time sheets if necessary.
B Travel/Other/Equipment: provide a short description of expenditures,
bills, check numbers, check dates, and amounts.
C. Supplies: same as for travel/other/equipment
D Contractor: list costs paid under grant agreement with contractor Include copies of
contractor invoices and verification of payment made to contractor.
E. Indirect Cost: indicate mathematical computation used to arrive at the dollar amount,
then indicate dollar amount
Special note: With regards to donated goods, services or equipment, such costs should be treated as
follows for the purpose of listing expenditures:
Donated time should be listed in category A. Therefore, all time records should be included as
proof of expenditures in that section.
Donated equipment should be listed only in category B All proofs and forms necessary to verify
this type of donation should be inserted into this section.
Donated goods should be listed in either category B or C All proofs and forms necessary to
verify these types of donations should be inserted into those sections.
If The HPF GRANT AGREEMENT amount is the same amount as in the original Grant Agreement
Budget federal or nonfederal share.
III. MID-TERM SHARE AMOUNTS list how much was actually spent to date for each share type:
federal or nonfederal
IV. TOTAL EXPENDITURES is the combined amount of both mid-term federal and nonfederal
expenditures.
3. Sign and date the completed form.
19
Historic Preservation Fund Grants
GRANT AGREEMENT MID-TERM BUDGET REPORT
Project Name: ProjectNumber:
COMMENTS:
Authorized Signature
Date
20
>' NPF GRANT
MID-TERM
' =HPF GRANT
MID-TERM
AGREMENT
REPORT
AGREEMENTS
REPORT
COST
FEDERAL,,
FEDERAL
NONFEDERAL
NONFEDERAL
TOTAL MID -
CATEGORIES
SHARE TOTAL -6
SHARE TOTAL
,SHARE TOTAL
SHARE TOTAL
TERM
EXPENDITURES
Personnel/
Fringe:
Travel/Other/
a
Equipment;
Supplies:
Contractor:
a=
Indirect Cost:
COMMENTS:
Authorized Signature
Date
20
ATTACHMENT B
EXHIBIT 3
Final Project Report
21
Department of Natural Resources
Division of State Parks, State Historic Preservation Office
FINAL PROJECT REPORT
Project No.: 29 -
Project Title:
Total Project Cost: $
Amendments with
Approval Dates:
MAJOR
WORK ITEMS PLANNED AMENDED ACTUAL
Major Cost Items: (See Attached)
Publication Name.
Date:
Additional
Information:
No. Copies.
CERTIFICATION:
I certify professionally qualified program and grants management staff of my organization have confirmed, through
site visits and/or review of financial and performance reports, that work under this subgrant (or Grant Agreement) has
been accomplished according to applicable laws, regulations, Secretary of the Interior's Standards, other program
standards, grant management requirements specified in NPS -49, National Register Programs Guideline, and the
terms and conditions of the applicable HPF grant.
Deputy State Historic Preservation Officer
National Park Service
Approval Date
Date
22
Major Cost Categories
Project Number: 29 -
Project Title :
Cost Category—Exhibit 1
Final Expenditures
Original
Budget
Amended
Amount
Actual
Amount
A.
$
$
$
B.
$
$
$
C.
$
$
$
D.
$
$
$
E.
$
$
$
F.
$
$
$
G.
$
$
$
H.
$
$
$
I.
$
$
$
J.
$
$
$
K.
$
$
$
L.
$
$
$
M.
$
$
$
N.
$
$
$
O.
$
$
$
P.
$
$
$
Q.
$
$
$
R.
$
$
$
S.
$
$
$
TOTAL (S)
$
$
$
23
ATTACHMENT B
EXHIBIT 4
U. S. Department of the Interior
Certification Regarding
Debarment, Suspension, and Other Responsibility Matters
Drug -Free Workplace
Requirements and Lobbying
24
U.S. Department of the Interior
Certifications Regarding Debarment, Suspension and
Other Responsibility Matters, Drug -Free Workplace
Requirements and Lobbying
Persons signing this form should refer to the regulations
referenced below for complete Instructions
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters - Primary Covered Transactions - The
prospective primary participant further agrees by
submitting this proposal that it will include the clause
titled, "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion - Lower Tier Covered
Transaction," provided by the department or agency
entering into this covered transaction, without
modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions. See
below for language to be used or use this form certification
and sign (See Appendix A of Subpart D of 43 CFR Part 12 )
Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion - Lower Tier Covered Transactions -
(See Appendix B of Subpart D of 43 CFR Part 12 )
Certification Regarding Drug -Free Workplace Requirements
- Alternate I (Grantees Other Than Individuals) and
Alternate II (Grantees Who are Individuals) - (See Appendix
C of Subpart D of 43 CFR Part 12)
Signature on this form provides for compliance with
certification requirements under 43 CFR Parts 12 and 18
The certifications shall be treated as a material
representation of fact upon which reliance will be placed
when the Department of the Interior determines to award the
covered transaction, grant, cooperative agreement or loan
PART A: Certification Regarding Debarment, Suspension, and Other Responsibility Matters -
Primary Covered Transactions
CHECK IF THIS CERTIFICATION IS FORA PRIMARY COVERED TRANSACTION ANO 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 IF THIS CERTIFICATION IS FOR A LOWER TIER COVERED TRANSACTION AND IS APPLICABLE
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither It nor Its principals Is presently
debarred, suspended, proposed for debarment, declared Ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal
This form was electronically produced by Elite Federal Forms. Inc DI -2010
June 1995
(This form replaces DI -1953, DI -1954,
DI -1955, DI -1956 and DI -1963)
PART C: Certification Regarding Drug -Free Workplace Requirements
CHECK IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS NOT AN INDIVIDUAL
Alternate I (Grantees Other Than Individuals)
A The grantee certifies that It will or continue to provide a drug-free workplace by
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or
use of a controlled substance Is prohibited In the grantee's workplace and specifying the actions that will be taken
against employees for violation of such prohibition,
(b) Establishing an ongoing drug-free awareness program to Inform employees about --
(1) The dangers of drug abuse In the workplace,
(2) The grantee's policy of maintaining a drug-free workplace,
(3) Any available drug counseling, rehabilitation, and employee assistance programs, and
(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 numbers) of each affected grant,
(f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with
respect to any employee who Is so convicted --
(1) Taking appropriate personnel action against such an employee, up to and Including termination, consistent
with the requirements of the Rehabilitation Act of 1973, as amended, or
(2) Requiring such employee to participate satisfactorily In a drug abuse assistance or rehabilitation program
approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency,
(g) Making a good faith effort to continue to maintain a drug-free workplace through Implementation of paragraphs (a) (b),
(c), (d), (e) and (f)
B The grantee may Insert In the space provided below the site(s) for the performance of work done In connection with the
specific grant.
Place of Performance (Street address, city, county, state, zip code)
Check—if there are workplaces on files that are not Identified here
PART D: Certification Regarding Drug -Free Workplace Requirements
CHECK IF THIS CERTIFICATION IS FOR AN APPLICANT WHO IS AN INDIVIDUAL
Alternate II (Grantees Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he or she will not engage In the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled substance In conducting any activity with the grant,
(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
DI -2010
June 1995
(This form replaces 0I-1953, 0I-1954,
DI -1955, DI -1956 and DI -1963)
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 S100,000 A FEDERAL GRANTOR COOPERATIVE AGREEMENT,
SUBCONTRACT, OR SUBGRANT UNDER THE GRANTOR COOPERATIVE AGREEMENT
CHECK—IF CERTIFICATION FOR THE AWARD OF A FEDERAL
LOAN EXCEEDING THE AMOUNT OF $150,000, ORA 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 appropnated 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
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all
subrecipients 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
TYPED NAME AND TITLE C
DATE
DI -2010
June 1995
(This form replaces DI -1953, 0I-1954
DI -1955, DI -1956 and DI -1963)
ATTACHMENT C
Excerpt from 36 CFR Part 61
Qualifications for Preservation Professionals
25
EXCERPT FROM 36 CFR PART 61
(Qualifications for Preservation Professionals)
In the following definitions, a year of full-time professional experience need not consist of a
continuous year of full-time work but may be made up of discontinuous periods of full-time or
part-time work adding up to the equivalent of a year of full-time experience.
(a) HISTORY. The minimum professional qualifications in history are a graduate degree in
history or closely related field; or a bachelor's degree in history or closely related field plus one
of the following: (1) At least two years of full-time experience in research, writing, teaching,
interpretation or other demonstrable professional activity with an academic institution; or (2)
Substantial contribution through research and publication to the body of scholarly knowledge in
the field of history.
(b) ARCHEOLOGY. The minimum professional qualifications in archeology are a graduate
degree in archeology, anthropology, or closely related field plus- (1) At least one year of
full-time professional experience or equivalent specialized training in archeological research,
administration, or management; (2) At least four months of supervised field and analytic
experience in general North American Archeology; and (3) Demonstrated ability to carry
research to completion. In addition to these minimum qualifications, a professional in
prehistoric archeology shall have at least one year of full-time professional experience at a
supervisory level in the study of archeological resources of the prehistoric period. A
professional in historic archeology shall have at least one year of full-time professional
experience at a supervisory level in the study of archeological resources of the historic period.
(c) ARCHITECTURAL HISTORY. The minimum professional qualifications in
architectural history are a graduate degree in architectural history, art history, historic
preservation, or closely related field, with coursework in American architectural history; or a
bachelor's degree in architectural history, art history, historic preservation, or closely related field
plus one of the following: (1) At least two years of full-time experience in research, writing, or
teaching in American architectural history or restoration architecture with an academic
institution, historical organization or agency, museum, or other professional institution; or (2)
Substantial contribution through research and publication to the body of scholarly knowledge in
the field of American architectural history.
(d) ARCHITECTURE. The minimum professional qualifications in architecture are a
professional degree in architecture plus at least two years of full-time professional experience in
architecture; or a State license to practice architecture.
(e) HISTORIC ARCHITECTURE. The minimum professional qualifications in historic
architecture are a professional degree in architecture or a State license to practice architecture,
plus one of the following: (1) At least one year of graduate study in architectural preservation,
American architectural history, preservation planning, or closely related field; or (2) At least one
year of full-time professional experience on historic preservation projects. Such graduate study
or experience shall include detailed investigations of historic structures, preparation of historic
structures research reports, and preparation of plans and specifications for preservation projects.
26
ATTACHMENT D
Standards for Determining Eligibility
27
Standards For Determining Eligibility
CONCEPT OF LOCAL MATCHING SHARE:
Historic Preservation Fund grant awards are federal monies that are made available through the Missouri
State Historic Preservation Office in support of a wide range of administrative, direct and indirect costs
incurred in conducting eligible historic preservation survey and planning activities.
A fundamental principle of these grants is that they are only partially funded with federal money and must
be matched by the Grant Recipient with a local cost share. In general the matching ratio must be 60/40,
that is, forty percent of the project cost must be provided by the Grant Recipient.
GENERAL RULES FOR MATCHING SHARES:
The local matching share of a Historic Preservation Fund project may include:
• charges incurred by the Grant Recipient as project costs during the project period;
• project costs financed with cash contributions or donations to the Grant Recipient by other
non -Historic Preservation Fund sources, including public agencies, institutions, and private
organizations and individuals;
• project costs represented by services or real and personal property (or the use of these) contributed
or donated by non-federal third parties during the project period. Where such in-kind
contributions are made by the Federal government, they may be included in the Grant Recipient's
matching share only if Federal legislation authorizes such inclusion.
All costs, whether cash or in-kind, will be accepted as contributing to part of the Grant Recipient's
matching share only when such contributions meet all of the following criteria:
1.)are verifiable from the Grant Recipient's records;
2.) are not included as matching contributions for any other federally assisted program or any federal
contract;
3.) are necessary and reasonable for proper and efficient accomplishment of approved project
objectives;
4.)are contributed within the project period;
5.)are types of costs which are allowable under the applicable Federal and state regulations;
6.)are not derived from the federal government directly or indirectly under another assistance
agreement unless authorized under the other agreement and the laws and regulations to which the
other agreement is subject;
7.) are provided for in the approved Grant Agreement;
8.) and conform to all other provisions listed in this guide.
GENERAL RULES FOR DETERMINING ALLOWABILITY:
General guidelines for establishing the allow ability of a matching share contnbution is outlined below:
1.)Although the Missouri Department of Natural Resources prefers and encourages Grant Recipients
to make required contributions in cash, either cash or in-kind contributions can qualify.
2.) In-kind contributions must be fairly valued and must be of such nature that if the federal share
had been used to pay for the contribution, the Grant Recipient would have incurred an allowable
cost. In-kind contributions are eligible only to the extent that they represent actual costs for
which Histonc Preservation Funds could be applied for project objectives. Any grant funds
applied in excess of actual cost would constitute an unallowable profit to the Grant Recipient.
3.) Following project approval and signing of the Grant Recipient's Grant Agreement, non-federal
share expenditures of cash will be recorded as they occur. All in-kind contributions must be
recorded in the ledger accounts as grant costs when the in-kind services or goods are received.
Records, including required supporting documentation, of in-kind services performed or goods
received must be maintained on a current basis.
4.)Non-federal share contributions need not be made in exact time concurrence and proportion with
withdrawal and expenditure of Historic Preservation Funds. During the first months of project
operation, Grant Recipients may be authorized to expend a greater proportion of matching Historic
Preservation Funds to meet project expenses than is required by the applicable matching ratio.
However, the full matching share must be contributed by the end of the project period. This
applies to all survey and planning activities.
5.)The local matching share is subject to audit, as is the federal share.
6.) Documentation of the basis for applying allowable indirect cost rates as matching share must be
readily available.
7.) The basis for determining the matching share charges for personal services, materials, equipment,
buildings, and land must be documented.
8.) Matching share costs will not be allowable if incurred prior to the effective date of the project
grant award, whether or not the cost would have been allowable if incurred after such date, with
one exception:
It is recognized that some costs must be incurred before a proposed project can be submitted to the
Grantor with required descriptive and cost data. Therefore, such costs that are directly related to
development of survey and planning projects may be considered eligible with the Grantor's concurrence.
GENERAL RULES FOR VALUATION OF IN-KIND CONTRIBUTIONS:
General rules for establishing the value of in-kind contributions as an element of the local matching share
are outlined below:
Donated Services:
29
1.) Volunteer services may be furnished by professional and technical personnel, consultants, and
other skilled and unskilled labor. Volunteered services may be counted as matching share if they
are integral and a necessary part of the approved grant project.
2.) Rates for volunteer services must be consistent with those regular rates paid for similar work in
other activities of state government. In instances where the skills required for the Historic
Preservation Fund assisted project are not found in the state government, rates used must be
consistent with those rates paid for similar work in the labor market in which the grantor competes
for the type of services involved.
3.) If a volunteer performs services outside his profession or trade, this volunteer time must be valued
at the federal minimum wage rate. Unless a higher rate can be documented, all rates are subject to
the Grantor's approval.
4.) Volunteers employed by other organizations are treated as follows: when an employer, other than
the Grant Recipient or a university, furnishes the services of an employee to the grant project,
these services will be valued at the employee's regular rate of pay (exclusive of fringe benefits and
overhead cost), provided the services volunteered are in the same skill range for which the
employee is normally paid.
5.) Review board contributions are treated as follows: only to the extent that items of cost would be
allowable under state and local laws, regulations, and practices applicable to persons performing
comparable duties and services, can such contributions be applied as matching share.
Time spent by a review board or any other advisory body member who is directly related to the
development, conduct or administration of a Grant Recipient's project is allowable as matching
share contribution to the extent that the contributed time is spent solely in the member's capacity
as a member of the board. Time spent in meetings directly relating to approved program
objectives which is chargeable as matching share must be documented by agenda, minutes of the
meeting, and a separate time record, for each member. Travel time must be reasonable and
meetings must be held in an easily accessible place. Unreasonable or undocumented donations of
time will be subject to audit review and possible adjustment or disallowance.
6.)All volunteer services claimed as non-federal share must be substantiated by time cards or records
that are signed by both the volunteer and his supervisor, dust as are required for all salaried
employees. Such records must show the actual hours worked and the specific duties performed.
The records should also show the basis for determining the rate of the volunteer's contribution and
such documentation must be available for audit.
Donated Property:
Valuation of Donated Expendable Personal Property:
Expendable personal property includes such items as expendable equipment, office supplies, or
workshop supplies. Values assessed to donated or contributed personal property included as
matching share must be reasonable and must not exceed the fair market value at the time of donation.
The basis for determining the valuation must be documented and available for audit.
Valuation of Donated Non -expendable Personal Property and Buildings and Land, or Use of These Types
of Property:
30
Generally, as stipulated in the Federal Office of Management and Budget, Circular A-122, the rules
used for charging matching share for donated non -expendable property, buildings and land are as
follows.
1.) If the purpose of the grant is to furnish equipment, buildings, or land to the Grant Recipient
or otherwise to provide a facility, the total value of the donated property may be claimed as
matching share.
2.) If the purpose of the grant is to support activities that require the use of equipment,
buildings, or land on a temporary or part-time basis, depreciation or use charges for
equipment and buildings may be made. The full value of equipment or other capital assets
and fair rental charges for space may be made provided the Grantor has approved the
charges.
3.) The valuation of donated non -expendable personal property shall not exceed fair market
value of equipment and property of the same age and condition at the time of donation.
4.) If the donor transfers title to the property, the amount allowable as matching share is
determined as if the Grant Recipient had purchased the property and paid the fair market
value of the property at the time the property was transferred.
5.) If the use of property is donated as a loan, the amount allowable as matching share shall be
determined as if the Grant Recipient had rented the property and paid the fair rental value at
the time of the donation.
6.) The value of donated land and buildings may not exceed its fair market value at the time of
donation to the Grant Recipient as established by an independent certified real property
appraiser.
7.) The value of donated space shall not exceed the fair rental value of space as established by
an independent appraiser of comparable space and facilities in a privately owned building in
the same locality.
31
ATTACHMENT E
Eligible and Noneligible Expenditures
Listing of Eligible and Noneligible Expenditures
Standards for determining the allow ability of individual items of cost are based on federal management
circulars; rules and regulations; and the National Park Service grant manual for this program. Listed
below are examples of costs which are typically allowable, but the absence of a particular type of cost in
the list is not intended to imply that it is either allowable or unallowable.
Accounting: The cost of establishing and maintaining accounting and other information systems
required for the management of the grant project.
Advertising: Advertising media including newspapers, magazines, radio and television programs,
direct mail, trade papers, and the like. These advertising costs are allowable when they are solely for
recruitment of personnel necessary for the grant assisted project; for solicitation of bids for
procurement of goods and services required for the performance of the Historic Preservation Fund
assisted project; notices required by the federal government, state, or local agencies pertaining to the
Historic Preservation Fund program, and other purposes specifically provided for in the Grant
Agreement.
Audit services: The cost of audits necessary for the administration and management of functions
related to the grant project.
Bonding: Costs of premiums on bonds covering employees who handle Historic Preservation Fund
grant monies.
Budgeting: Costs incurred for the development and preparation of budgets, if such actions occur
after an applicant has been selected for funding.
Building Lease: The administrative costs for lease management of Grant Recipient office space.
Communications: Communication costs incurred for telephone calls or special phone systems
directly related to grant program operations.
Compensation for Personal Services: Compensation includes all current or accrued payment for
services rendered during the period of performance under the Grant Agreement, including, but not
limited to, wages, salaries, and supplementary compensation and benefits. The costs of such
compensation are allowable to the extent that total compensation for individual employees is:
1.) reasonable for the services rendered;
2.) supported by payroll documentation and time distribution records. Note: amounts charged
to Grant Recipient projects.for personal services, regardless of whether treated as direct or
indirect cost, will be based oil payrolls documented and approved in accordance with
generally accepted practices ofstate or' local government. Payrolls must be supported by
time and attendance records or equivalent records for individual employees Time
distribution records are not required for frill- or part-time employees whose entire time is
charged to one grant project or activity. The tnethod used should produce a clear record of
distribution of time and effort, federal and matching shares assigned to personnel. A system
33
that only tracks effort is not acceptable. Time should be accounted for in units of work days
and include a brief description linking work performed to a specific approved project
Depreciation and Use Allowances: Grant Recipients may be compensated for the use of buildings
or equipment as capital improvements. The computation used will exclude any portion of the cost of
the building or equipment donated or borne directly or indirectly by the federal government. Before
any grantor may utilize Use Allowance, a formal request must be made to the Grantor to insure its
eligibility.
Employee Fringe Benefits: Costs identified under 1 and 2 below are allowable to the extent that
total compensation for Grant Recipient employees is reasonable.
1.) employee benefits in the form of regular compensation paid to employees during periods of
authorized absence from the job such as annual leave, sick leave, court leave, military leave,
and the like if they are:
a.) provided pursuant to an approved leave system; and
b.) the cost thereof is equitably allocated to all related activities including grant programs.
2.) employee benefits in the form of employers' contributions or expenses for social security,
employee's life and health insurance plans, unemployment insurance coverage, and
workman's compensation, provided such benefits are granted under approved plans and are
distributed equitably to grant programs and all other activities.
Emplovee Morale, Health and Welfare Costs: Costs of health or first-aid clinics and/or infirmaries,
recreational facilities, and employees' counseling services, incurred in accordance with general state
or local government policies.
Equipment and Other Capital Expenses: An article of non -expendable tangible property that has a
useful life of more than one year and an acquisition cost of $300 or less is allowable without prior
approval of the Grantor when deemed necessary for grant project operation.
Exhibits: Costs of exhibits relating specifically to grant program processes, accomplishments, or
results. (cf. unallowable costs for ineligible exhibit purposes under "Museums").
Furnishings: Costs of project furnishings are allowable when such are original pieces of furniture or
are permanently attached items that are integral to the building.
Indirect Costs: Indirect costs when specifically authorized by the Grantor.
Legal Expenses: Costs of legal expenses required in the administration of the grant, if directly
related to program activities.
Maintenance and Repair: Costs incurred for necessary maintenance, repair, and upkeep of Grant
Recipient administrative offices and non -expendable property in support of grant assisted activities
which neither add to the permanent value of the property nor appreciably prolong its useful life, but
do keep it in an efficient condition.
34
Materials and Supplies: Costs of materials and supplies necessary to carry out the grant project.
Purchases made specifically for the grant project should be charged at their actual price after
deducting all discounts, trade discounts, cash discounts, rebates, and allowances received by the
grantee.
Meetings and Conferences: Costs are allowable when the primary purpose of the meeting is
dissemination of information relating to grant activities.
Memberships, Subscriptions, and Professional Activities: The cost of memberships in civic,
business, technical, and professional organizations is allowable, provided:
l.) the benefit from the membership is directly related to achieving grant program objectives;
2.) the expenditure is for agency membership;
3.) the cost of the membership is reasonably related to the value of services or benefits received;
4.) the expenditure is not for membership in organizations which devote a substantial amount of
time in lobbying either the Congress of the United States or the General Assembly of
Missouri.
Motor Pools: Costs of service organizations which provide automobiles to user Grant Recipient
agencies at mileage or fixed rate and/or provide vehicle maintenance, inspection, and repair service.
Payroll Preparation: Costs of preparing payrolls and maintaining necessary related wage records.
Personnel Administration: Costs for recruitment, examination, certification, classification, training,
establishment of pay standards, and related activities for grant programs.
Printing and Reproduction: Costs of printing and reproduction services necessary for grant
administration, including, but not limited to, forms, reports, manuals, and informational literature.
Publication costs of reports or other materials relating to grant program accomplishments or results
are allowable when provided for in the Grant Agreement.
Procurement Service: The costs of procurement of services including solicitation of bids,
preparation and award of Grant Agreements, and all phases of Grant Agreement administration.
Publications: Publication charges are eligible if the papers report work supported by the Historic
Preservation Fund grant and acknowledge the source of the grant. The publication must not be for
profit or the program income from the publication must be shown to further extend grant activities. It
must be proved that there will be a significant and direct benefit to the achievement of grant program
objectives.
Public Information Service Costs: Public information service costs include the costs associated
with newsletters, pamphlets, news releases, and other forms of program related informational
services.
1.) Allowable costs are those normally incurred to:
35
a.) inform or instruct individuals, groups, or the general public about statewide and local
historic preservation accomplishments, problems and issues directly related to Historic
Preservation Fund grant supported activities;
b.) interest individuals and organizations in participating in Historic Preservation Fund grant
supported programs with special emphasis on Missouri Department of Natural Resources
objectives;
c.) provide necessary stewardship reports to state and local government agencies contributing to
the project;
d.) disseminate the results of grant -sponsored activities to preservation professionals, interested
organizations and the general public.
2.) Publication service costs necessary to comply with grant project requirements, such as
completion reports, publications undertaken at the written direction of the Grantor, or other
publications necessary for program administration, are allowable.
Reference Materials: Costs of books and subscriptions to civic, business, professional and technical
periodicals when such materials are necessary to accomplish grant program objectives.
Research: Costs of historical, architectural, and archaeological research necessary for project
accomplishments. Note: purely archival research is ineligible.
Review Commissions: Costs incurred by local review boards or commissions created to carry out
grant objectives. Members of the commission may receive subsistence, travel allowances, and
compensation while serving the commission, in accordance with state law, regulations, and practices
applicable to persons performing comparable duties and services.
Supplies and Services: The cost of maintaining and operating a central store for supplies, equipment
and materials used either directly or indirectly for the purpose of a specific project activity.
Taxes: In general, taxes or payments in lieu of taxes which the Grant Recipient is legally required to
pay are allowable, subject to adjustments for applicable credits.
Training and Education: Costs of in-service training customarily provided for employee
development when directly or indirectly benefiting grants objectives.
Transportation: Costs incurred for freight, cartage, express postage, and other transportation costs
relating to goods either purchased, delivered, or moved from one location to another are allowable
when necessary and directly related to the grant project.
Travel: Travel costs are allowable for expenses for transportation, lodging, subsistence, and related
items incurred by employees who are in travel status on official business incident to a grant project.
Such costs may be charged on an actual basis, or on a per diem or mileage basis in lieu of actual costs
incurred, or on a combination of the two, provided the method used is applied to an entire trip and
results in charges consistent with those normally allowed in like circumstances in state sponsored
activities. The difference between coach and first class airfare is not allowable unless coach
accommodations are not reasonably available.
36
The following types of costs may be allowable, but prior approval of the Grantor will be required:
Automatic Data Processing: Costs of automatic data processing services to grant projects. These
costs may include rental of equipment; the acquisition of equipment by outright purchase;
rental -purchase agreement; or other methods of purchase, but purchase cost is allowable only upon
prior Grantor approval.
Building Space and Related Facilities: The cost of space in privately owned or publicly owned
buildings used for the benefit of the grant project is allowable, subject to the conditions stated below.
(Note: the total cost of space, whether in a privately or publicly owned facility, may not exceed the
rental cost of comparable space and facilities in the private sector in the same locality).
1.) Maintenance and Repair: The cost of utilities, insurance, security, janitorial services, normal
repairs and alterations, and the like are allowable to the extent they are not otherwise
included in rental or other charges for space.
2.) Rearrangements and Alterations: Costs incurred for extraordinary rearrangements and
alterations of facilities required specifically for the grant project are allowable with prior
approval by the Grantor.
3.) Occupancy of Space Under Rental -Purchase Agreement or a Lease with
Option -to -Purchase: The cost of space procured under such arrangements is allowable with
prior approval by the Grantor.
4.) Non -Occupancy: The cost of space procured for the grant project may not be charged to the
project for periods of non -occupancy without prior Grantor authorization.
Capital Expenditures: The cost of facilities, equipment, other capital assets, and repairs which
materially increase the value or useful life of capital assets is allowable when such procurement is
specifically justified in writing and specifically approved by the Grantor in advance. When assets
acquired with federal grant funds are sold, no longer available for use in the federally sponsored
program, or used for purposes not authorized by the Grantor, federal equity in the assets will be
refunded in the same proportion as the federal participation in its cost. In case any assets are traded
on new items, only the net cost of the newly acquired assets is allowable.
Equipment: Articles with a unit cost of more than $300 and useful life of more than one year are
allowable when specifically approved by the Grantor in advance as a direct cost.
Insurance and Indemnification: Costs of hazard and liability insurance to cover personal property
directly connected with federally assisted projects and maintained pursuant to the Grant Agreement,
during the grant project period.
Costs of other insurance in connection with the general conduct of activities are allowable subject to
the following limitations:
1.) Type, extent and cost of coverage must be in accordance with general state government
policies and sound business practices.
37
2.) Costs of insurance or of contributions to any reserve covering the risk of loss of, or damage
to, federal government property are not allowable except when written approval is granted
by the Grantor.
3.) Contributions to a reserve for a self-insurance program approved by the Grantor are
allowable to the extent that the type of coverage, and the risk and premiums would have
been allowed had insurance been purchased to cover the risks.
Professional and Consultant Service Costs: Costs of professional and consultant services are
allowable subject to the general conditions ruling federal grants, state and local laws, and the
following.
1.) the nature and scope of the service rendered in relation to the service required;
2.) the necessity of contracting for the service considering the Grant Recipient organization's
capability in a particular area;
3.) the impact of government grants on the Grant Recipient organization;
4.) the qualifications of the individual or concern rendering the service and the customary fee
charged, especially on non-government Grant Agreements and grants; and
5.) the adequacy of the contractual agreement for the service (e.g., description of the service,
estimate of time required, rate of compensation, and termination provisions).
However, it should be noted that:
6.) Retainer fees to be allowed must be reasonably supported by evidence of services actually
rendered;
7.) Costs of legal, accounting, and consulting services, and related costs incurred in the
prosecution of claims against the government are unallowable; and
8.) No person employed as a consultant, or by firms providing consultant services, shall receive
more than a reasonable rate of compensation for personal services paid with Historic
Preservation Funds. Where audit and monitoring reviews indicate that the rates of
compensation were not reasonable or exceeded the maximum daily rate, the Grantor may
determine such costs to be unallowable.
Proposal Costs: Proposal costs are allowable when the cost of preparing proposals for potential
federal government grants are specifically provided for in the Grant Agreement.
'CU.,
ATTACHMENT F
Examples of Nonallowable Costs
39
Examples of Costs Which Are Not Allowed
Standards for determining the allow ability of individual cost items as a part of the local matching share
are based on federal management circulars; rules and regulations; and the National Park Service grant
manual for this program. Listed below are examples of costs which are typically not allowable, but the
absence of a particular type of cost in the list should not be taken to mean that it necessarily is allowable.
Where questions of eligibility are involved, grantees should request a Grantor determination prior to
making such expenditures.
Archival Research: Costs of purely archival research.
Archaeological Salvage: Costs of salvage archaeology unrelated to increasing and understanding
knowledge of a National Register property. (There are special circumstances that may allow
archaeological salvage, and applicants that propose such actions must, in writing, inform the Grantor
of their proposed methods and any special circumstances. Allow ability will be decided on a case by
case basis.)
Bad Debts: Any losses arising from uncollectible accounts and other claims and related collection
costs.
Bonus Payments: Bonus payments of any kind.
Conditional Donations: Any donation or contribution containing a reversionary provision to the
donor which can be exercised during the term of the project.
Contingencies: Contributions to a contingency reserve or any similar provision for unforeseen
events.
Contributions and Donations: Charitable contributions and donations are unallowable as follows:
1.) charitable contributions and donations of grant funds;
2.) the value of services donated by employees or other persons paid with grant funds; and
3.) Donated goods (i.e., expendable personal property, supplies, and donated use of space) may
be furnished to a subgrantee, or grant supported grantee. The value of such goods and space
is not reimbursable as direct or indirect cost. (However, the value of the donations may be
used to meet matching share requirements following HPP review to determine eligibility on
a case by case basis).
Curation: Costs of curation or exhibition of artifacts or other materials after the project end date.
Damage Judgements: Damage judgements arising out of acquisition, construction, or equipping of a
grant assisted program or project site, whether determined by judicial decision or arbitration or
otherwise.
Entertainment: Costs of amusements, social activities, and related incidental costs such as meals,
beverages, lodging, rentals, transportation and gratuities.
40
Equipment: Equipment and other capital expenditures are unallowable as indirect costs. (Although
they may be allowable under the rules regarding Use Allowances or Depreciation, the Grantor must
decide allow ability on a case by case basis).
Fines and Penalties: Costs resulting from violations of, or failure to comply with, federal, state, and
local laws and regulations.
Fund raising: Expenses and costs of organized fund raising, including financial campaigns,
endowment drives, solicitations of gifts and bequests, and similar expenses incurred solely to raise
capital or obtain contributions.
Indirect Cost to Individuals: Indirect costs to individuals under Grant Recipient Grant Agreements.
Interest and Other Financial Costs: Interest on borrowing, however represented, is unallowable.
Interpretive Expenses: Interpretive expenses, such as staff salaries or maintenance of interpretive
devices, with the exception of purchase and installation costs for such devices.
Legislative Expenses: Salaries and other expenses of local governmental units such as county
supervisors, city councils, school boards, etc., whether or not incurred for purposes of legislation or
of executive direction.
Lobbying: Costs associated with activities or any communication designed to influence in any
manner a member of Congress to favor or oppose any legislation or appropriation.
Meals: Costs of meals for Grant Recipient employees or Review Board members, including any
oversight or advisory boards, are unallowable except when such persons are on travel status in
conjunction with activities eligible for Historic Preservation Fund assistance.
Maintenance and Administration: Costs of ongoing maintenance and administration of properties
following a Historic Preservation Fund assisted project.
Mitigative Expenses: Costs applied to mitigation activities performed as a condition or precondition
for obtaining a federal permit or license or funding by other federal programs.
Museums: Costs of museum exhibits, museum staff salaries, and other museum administrative
expenses, including maintenance, are unallowable.
Overdrafts or Deficits: Bank charges for overdrafts or deficits.
Taxes: Taxes or tax penalties which the organization involved would not have been liable to pay
under prudent management are not allowable, this includes payroll tax penalties or interest paid on
late charges.
41
ATTACHMENT G
Procurement Standards
42
Procurement Standards
The types of procurement Grant Agreements which are allowable under the fund are cost
reimbursement firm fixed-price Grant Agreements, fixed-price incentive Grant Agreements, or cost -plus -
a -fixed -fee Grant Agreements. Other types of Grant Agreements may be acceptable depending upon
individual circumstances However, cost -plus -a -percentage -of- cost -Grant Agreements may not be used
under any circumstances.
All procurement transactions, regardless of whether by sealed bid or by negotiation, and without
regard to dollar value, shall be conducted in a manner that provides maximum open and free competition.
The Recipient shall have written selection procedures which shall provide, at a minimum, the procedural
requirements; incorporate a clear and accurate description of the technical requirements for the material,
product, or service to be procured; clearly set forth all requirements which offerors must fulfill and other
factors to be used in evaluating bids or proposals. Grant Agreement awards shall be made only to
responsible grantees that possess the potential ability to perform successfully under the terms and
conditions of the proposed procurement. Consideration shall be given to such matters as grantee integrity,
compliance with public policy, record of past performance, and financial and technical resources. Grant
Agreement procedures are as follows:
A. Formal Bidding: The Grant Recipient must formally advertise, with adequate purchase
description, sealed bids and public openings unless negotiation is necessary to accomplish sound
procurements. However, procurements under $25,000.00 need not be formally advertised. Formal
advertisements should be placed in a major newspaper that covers the area affected by the project. Notice
should be published at least three times in this publication or once in three different publications. Use of
pre -selected bid lists, posting in public places, and publication in trade journals, and magazines are
deemed legitimate steps to ensure free and open competition. The Grant Recipient must, at a minimum,
submit the following documentation to the Grantor if this method is chosen: A copy of the actual
advertisement and an invoice showing the dates published. The advertisement must state that federal
funds are involved, and that compliance with all applicable federal, state, and local laws, rules, and
regulations is required. After bids are received, they should be tabulated and summarized in a manner that
will facilitate comparison. In award Grant Agreements that include additive and deductive bid items, the
award procedures should include a disclosure of the selection priority for those items. The bid tabulation
must be signed and dated. If no bid or no acceptable bids are received, a Grant Agreement can be
negotiated for the same scope of work if each bidder is given notice of this intent and reasonable
opportunity to negotiate.
B. Competitive Negotiation: If conditions do not lend themselves to formal advertising, the Grant
Recipient may use competitive negotiation. In this type of procurement, the Grant Recipient must solicit
an adequate number to be determined by the Grantor, of qualified sources to permit reasonable
competition consistent with nature and requirements of theprocurement. The request for bids need not be
published: it does, however, have to be publicized - normally, proposals are distributed to several
prospective grantees. The Grant Recipient must honor reasonable requests by outside grantees to the
maximum extent possible. The Recipient must identify all significant evaluative factors, including price
or cost where required and their relative importance.
The Grant Recipient must provide mechanisms for technical evaluation of the proposals received,
determinations of responsible offerors for the purpose of written or oral discussion and selection for Grant
Agreement award. The Grant Recipient may award to the most responsible offeror whose proposal will
be most advantageous. Unsuccessful offerors must be notified promptly.
C. The Grant Recipient must utilize competitive negotiation or small purchase procedures for
procurement of professional services valued under $25,000.00. The Recipient should consider the
competitors' qualifications and select the most qualified; taking cost and timin& into consideration. The
Grant Recipient should evaluate resumes, past experience, and references at minimum to determine
qualifications.
D. Record keeping for procurements: The Grant Recipient must maintain records sufficient to detail
the significant history of the procurement. These records must include the rationale for the method of
procurement, selection of Grant Agreement type, grantee selection or rejection, and the basis for cost or
price.
E. Minimum federal provisions needed in Grant Recipient subgrant agreements: The Grant
Recipient must include, at a minimum, the following items:
43
Provisions or conditions which will allow for administrative, contractual, or legal remedies in
the instances where subcontractors violate or breach the Grant Agreement arrangement;
Provision for a method of termination to include both default and circumstances beyond
the control of the subcontractor: and
Provision(s) which access the right of the National Park Service and the Grantor to grantee
records demand the grantee maintain records for a minimum of three years or more if there are
audit concerns.
F. The written agreement should contain the following provisions:
(1),A grantee should not use his/her position for the actual or apparent purpose of private gain
other than payment for services rendered for himself/herselpor another person,
particularly one with whom he/she has family, business, or financial ties. (2)
(2) A grantee shall not convey inside information that has not become part of the body of
public information and not become available upon public request, directly to any person
for private gain for himself/herself or another person, particularly one with whom he/she
has family, business, or family ties.
(3) A grantee shall not either for or without compensation, engage in teaching, lecturing, or
writing that is dependent on information obtained as a result of his/her employment with
the Grant Recipient, except when that information has been made available to the general
public or will be made available upon public request, or when the Grantor gives written
authorization for the use of non-public information on the basis that the information is for
public good.
44
Attachment 3
SUBRECIPIENT INFORMATIONAL FORM
Federal Fundine Accountabilitv and Transnarenev Act 2006
Subrecipient Name.
Address.
City State:
Zip + 4: Congressional District:
DUNS #. CCR Expiration Date:
Name of Parent Entity:
Parent Entity DUNS #:
Primary Location of Performance.
Address:
City: State:
Zi + 4: Congressional Distnct-
Subrecipient's annual gross revenues exceed 80% or more in
F-1 Yes F-1 No
Federal funding
Subrecipient's annual gross revenues equal or exceed $25,000,000
ri Yes rl No
in federal funding
Public does not have access to information about the compensation
F-1 Yes No
of the senior executive through periodic reports filed under section
13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C.
78m(a) or section 6104 of the Internal Revenue Code of 1986.
If the answer to all the above was "Yes", provide the five most highly compensated officers' names and compensation for the
calendar year in which this sub -agreement is being made Compensation is defined as the cash and noncash dollar value earned
by the executive during the sub -recipient's preceding fiscal year and includes the following (for more information see 17 CFR
229 402(c)(2))
(1) salary and bonus
(2) awards of stock, stock options, and stock appreciation rights (use the dollar amount recognized for financial statement
reporting purposes with respect to the fiscal year in accordance with FAS 123R)
(3) earnings for services under non -equity incentive plans (this does not include group life, health, hospitalization or medical
reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees)
(4) change in pension value (this is the change in present value of defined benefit and actuarial pension plans)
(5) above -market earnings on deferred compensation which are not tax -qualified
(6) other compensation (examples severance, termination payments, value of life insurance paid on behalf of the employee,
perquisites or ro erty if th aggregate value for the executive exceeds $10,000)
Officer's Names Officer's Compensation
Subrecipient's Highly
1.
2.
Compensated Officers
3
4.
5
Comments:
Prepared by:
Name:
Title -
Email .urc
Phone Number: s73_
Authorized Signature
Date.
Printed Name.