1-RFP4361 - Walinko Place.pdf

REQUEST FOR PROPOSAL

Proposal No.: RFP4361

Subject: Walinko Place National Historic District National Register Nomination

Closing Date: Proposals must be received no later than 1:30 p.m. on March 10, 2026. Proposals should be submitted electronically through Bonfire.

Proposals will also be accepted at the following address with the bid number and subject indicated on the envelope:

Office of the Purchasing Agent City of Jefferson 320 E McCarty St Jefferson City, MO 65101

Purchasing Agent: Megan Stephenson

Mstephenson@jeffersoncitymo.gov 573-634-6324 mailto:Mstephenson@jeffersoncitymo.gov

REQUEST FOR PROPOSALS

Consultant for National Register of Historic Places nomination for the Walinko Place Historic District

FOR CITY OF JEFFERSON

1. REQUEST FOR PROPOSAL

A. Introduction

The City of Jefferson will hire a consultant who meets the Secretary of the Interior’s Professional Qualifications for a historian or architectural historian (herein referred to as “consultant”) to complete a National Register of Historic Places nomination for the Walinko Place Historic District see Exhibit 2. The nomination will be based upon the 2019 Rosin Preservation Historic Survey. Of the one hundred eleven resources within the recommended residential National Register Historic District, one hundred one were recommended eligible. The other ten resources would be included within the boundary of this proposed historic district but would be non-contributing due to age or lack of integrity. The nomination’s final National Register criteria and areas of significance will be determined in consultation with the State Historic Preservation Office (SHPO).

The City is soliciting sealed proposals for the services described in these specifications. The Request for Proposal (RFP) provides information concerning the objectives, scope, general methodology, conduct of the services, and instructions for submitting a proposal.

B. Notice to Proposers

Before submitting the response, each Proposer shall become fully informed as to the extent and character of the work required.

No consideration will be granted for any alleged misunderstanding of the equipment to be used or services to be required, it being understood that the submission of a proposal is an agreement to all items and conditions referred to herein.

C. Pre-Proposal Conference

There will be no pre-proposal conference.

If a Proposer would like to set up a meeting to clarify any information, please send a request to Megan Stephenson (mstephenson@jeffersoncitymo.gov). Any questions answered will be released as an addendum.

Questions regarding the RFP specifications must be directed to Megan Stephenson, mstephenson@jeffersoncitymo.gov, 573-634-6324.

2. SCOPE OF WORK

A. Consultant Selection Process mailto:mstephenson@jeffersoncitymo.gov mailto:mstephenson@jeffersoncitymo.gov

The City of Jefferson will hire a consultant that meets the Secretary of the Interior’s Professional Qualifications Standards for historian or architectural historian as described in Exhibit 1, to prepare a National Register Nomination for the Walinko Place Historic District. The City of Jefferson shall provide evidence to the Historic Preservation Fund (HPF) Grant Manager that a variety of qualified consultants were contacted via a written informal quotation process. The written informal quotation was sent to consultants shall include a copy of Attachment A: Scope, Purpose and Description of Grant Activities, the Milestone Schedule, and Exhibit 1 from the Grant Agreement with budgetary information removed. Pursuant to 2 CFR 200.331, the sub-recipient shall require the language of the certification and terms applicable to financial assistance awards to be included in sub-award documents at all tiers, and sub-recipients shall certify and disclose accordingly. City staff will serve as the primary point of contact for this project and will be expected to ensure milestones are submitted to the Historic Preservation Fund (HPF) Grant Manager on a timely basis. All contractual deadlines with the consultant shall not conflict with milestone deadlines set in the grant agreement.

A draft of the written informal quotation will be sent to the Historic Preservation Fund (HPF) Grant Manager prior to initiating the bid process. Documentation of the consultant selection process and a draft of the consultant contract shall be submitted to the HPF Grant Manager or their designee for approval before it is signed.

The RFP will be sent to, at a minimum, Firms with specialties in historic preservation listed in the Missouri Office of Equal Opportunity’s Minority & Women Owned Businesses database.

https://apps1.mo.gov/MWBCertifiedFirms/. It is also recommended, but not required, that the RFP be sent to:

1. Missouri Preservation for dissemination over their listserv.

2. Consultants inscribed on the Missouri SHPO’s consultants list who meets the relevant qualifications https://mostateparks.com/sites/mostateparks/files/CRM_CONSULTANTS.pdf

Proposals should be submitted electronically through Bonfire (https://jeffersoncitymo.bonfirehub.com).

Proposals may also be submitted via hard-copy to the following address. Hard-copy proposals should have the proposal number (RFP4361) indicated on the outside of the envelope.

City of Jefferson Purchasing Agent 320 E. McCarty Street Jefferson City, MO 65101

Regardless of submittal method, proposals must be received no later than 1:30 p.m. on March 10, 2026. Proposals received after this date and time will not be considered.

B. National Register Nomination

The consultant will be responsible for completing the National Register Registration form and all other materials necessary to nominate the property; the consultant is also responsible for completing https://apps1.mo.gov/MWBCertifiedFirms/ https://mostateparks.com/sites/mostateparks/files/CRM_CONSULTANTS.pdf https://mostateparks.com/sites/mostateparks/files/CRM_CONSULTANTS.pdf https://jeffersoncitymo.bonfirehub.com/ additional research, documentation, and revisions as necessary. Final criteria and areas of significance will be determined in consultation with the State Historic Preservation Office (SHPO).

The nomination will be prepared in accordance with the instructions contained in National Register Bulletin 16A: How to Complete the National Register Registration Form. In addition, the nomination form will meet the standards outlined in the Missouri State Historic Preservation Office’s The Missouri Guide to the National Register Process (MO NR Guide).

The consultant shall submit nomination materials to the SHPO by deadlines that correspond to the March 2027 or similarly scheduled Missouri Advisory Council on Historic Preservation (MOACHP) meeting unless the consultant determines that an earlier MOACHP meeting date is feasible. The consultant shall also submit a revision and a post-MOACHP final copy of the nomination by designated deadlines.

Prior to the initial submission the consultant shall submit a draft Section 8 Summary for review.

Submission materials for the initial submission and any revisions will be submitted in one packet and will include the following products:

1. A complete National Register of Historic Places Registration form prepared in accordance with National Register Bulletin 16A: How to Complete the National Register Registration Form and the MO NR Guide. The nomination shall be submitted in Microsoft Word 2010 or Microsoft Word 2010-readable format. A .pdf of the form is not acceptable. It is not acceptable to email the form. The nomination must be substantially complete for the initial submission as outlined in the MO NR Guide.

2. Digital color photographs provided in TIFF format and properly labeled according to National Park Service standards. Each digital image must be at least 1600 X 1200 pixels and at least 300 dpi. Photos must be recent, being no older than 12 months by the time they are submitted to the National Park Service.

3. Property owner information shall be submitted in accordance with the guidance outlined in the MO NR Guide.

SHPO comments for any products will be provided to the consultant in a timely manner. The City of Jefferson and the HPF Grant Manager or their designee will be copied in correspondence with the consultant at all points during the nomination process. The consultant is responsible for addressing SHPO comments and submitting revisions by established deadlines.

Additionally, the consultant shall prepare and present a PowerPoint presentation illustrating the character of the property at the March 2027 or similarly scheduled MOACHP meeting. The consultant will be required to incorporate any final SHPO or MOACHP comments into a final version of the nomination for submission to the SHPO approximately 30 days after the March 2027 MOACHP meeting.

C. Public Meetings

The grant recipient will conduct a minimum of two public meetings in Jefferson City to inform the interested public about the goals and scope of the National Register nomination process as it relates to Walinko Place Historic District. Meetings will be held as near to the beginning of the nomination preparation process as possible and at the conclusion of the nomination’s preparation to present the final nomination to the community. Meetings should be primarily informative in nature but may also be used to solicit information from knowledgeable members of the public.

The documentation required for the public meeting will include a copy of the public meeting notice, the agenda, and the sign-in sheet.

D. Evaluation and Award

Award will be made to the lowest and best responsible offeror whose proposal conforms to the solicitation that will be most advantageous to the City. In determining lowest and best, the following criteria will be considered.

CRITERIA POINTS

Project Team:

• Qualification, experience, and ability to perform the work;

• Experience, Education, and certifications including availability of personnel who meet 36 CFR 61, professional qualifications

• Unique qualification to perform the work

Capability of Consultant:

• The ability to produce the required documentation within a timely manner

References:

• Consideration of references from current or prior clients for work similar to the work described in this RFP

Cost

• All cost must be included and itemized within the response and shall contain a not-to-exceed total cost

Total 100

Under the provisions of City Code, Section 26A-40, the City reserves the right to conduct negotiations of the proposals received or may award a contract without negotiations.

The City may conduct interviews with Proposers as deemed necessary by the City. The City will provide ample time for scheduling the interviews. Interviews may be held in-person or via video conference.

Upon selection of awardee, the City will issue a formal contract with the selected vendor. A sample contract can be found in Attachment C – Sample Contract.

E. Contract Period

The contract period will be for the time needed for completion as indicated in the proposal, but the work must be completed no later than May 1, 2027.

MILESTONE/PAYMENT SCHEDULE

City of Jefferson, Missouri

Walinko Place National Historic District National Register Nomination Project No. P25AF17080-006

Milestone

Product

Date Due Federal Share

Non-Federal Share

#1 Email draft written draft RFP to the HPF Grant Manager or their designee for review and approval before the bid process is initiated.

1/9/2026 $0 $0

#2 Email documentation of the consultant selection process and a draft of the consultant contract prior to signature to the HPF Grant Manager or their designee for review and approval.

4/3/2026 $0 $0

#3 Email a copy of the signed consultant contract to the HPF Grant Manager or their designee.

4/17/2026 $0 $0

#4 Email Documenting the kick-off meeting between the HPF grants manager, the city, and the consultant

5/1/2026

#5 Consultant submits draft of Section 8 Summary to the National Register Section of the State Historic Preservation Office for review and approval. Email submission of documentation for the first of two public information meetings to the HPF Grant Manager or their designee.

7/10/2026 $0 $0

#6 Consultant submits substantially complete draft nomination in 2010 Word format, TIF images in color to the National Register Section of the State Historic Preservation Office.

Mid-term budget report due to HPF Grant Manager or their designee.

9/4/2026 Estimated 50% of expenses

Estimated 50% of expenses

#7 Consultant submits revised nomination and any revised materials incorporating SHPO staff comments, and owner information to the National Register Section of the State Historic Preservation Office for review and approval.

12/4/2026 $0 $0

#8 Submits documentation from the second public information meeting to the HPF Grant Manager or their designee for review and approval.

2/1/2027 $0 $0

#9 Consultant presents nomination to the Missouri Advisory Council on Historic Preservation.

3/31/2027 $0 $0

#10 Consultant submits final revisions, incorporating SHPO and MOACHP comments, to the National Register Section of the State Historic Preservation Office for review and approval.

4/16/2027 $0 $0

#11 Final fiscal report submitted to the HPF Grant Manager or their designee.

6/30/2027 Remaining balance of expenses

Remaining balance of expenses

3. GENERAL INFORMATION

A. Subcontractors

Subcontractors may be used by the Offeror in performing any portion of the services requested in this RFP; however, the Offeror will be the sole point of contact, including payment of all charges resulting from the contract, and will be responsible for all services whether or not the Offeror performs them. If subcontractors are used, a statement from each subcontractor must be included in the proposal, signed by an individual authorized to legally bind the subcontractor, and stating the following:

• The subcontractor’s name, mailing address, telephone number, email address, and contact person.

• The general scope of work to be performed by the subcontractor.

• The subcontractor’s willingness to perform for the indicated.

B. Changes in Personnel

The Offeror will notify the City of any changes to the management and professional staff identified in the proposal. The City’s approval will be required before assigning any other management or professional staff to this engagement.

C. Withdrawal of Bids

Proposers may withdraw their bid after depositing with the Purchasing Agent at any time prior to the stipulated time for opening of such bids. Proposals submitted after the opening date may only be withdrawn through submission of a written request due to a significant error(s) or if exposure of proposal information may cause irreparable harm to the proposer.

D. Right to Accept or Reject Bids

The right is hereby reserved to accept or reject all or part of any bid, to waive informalities and to request new bids as the interest of the City may require.

E. Tax Exempt Status

The City of Jefferson is tax-exempt by law. Do not include tax in bidding. A federal tax-exempt certificate will be furnished when requested.

F. Invoicing and Payment

The Contractor shall submit invoices for services to the Planning and Protective Services Department, 320 East McCarty Street, Jefferson City, Missouri 65101. The City shall only be liable for charges as indicated in the final contract. The Contractor may determine the frequency of the billing but shall not be paid more than as indicated in the contract.

G. Restrictive Clause

Proposers must contact the Office of the Purchasing Agent at least five (5) days prior to the bid opening if any of the specification contains restrictive language or requirements that render him unable to bid.

H. Proprietary Products

Any piece of equipment described herein that is a proprietary product, or the use of a manufacturer’s or vendor’s brand name, is referenced with the intent to indicate a standard of design desired by the buyer and shall not be construed to exclude other manufacturer’s products of comparable quality. The buyer reserves the right to determine the quality of the equipment offered.

I. American’s with Disabilities Act

Individuals should contact the ADA Coordinator at (573) 634-6570 to request accommodations or alternative formats as required under the Americans with Disabilities Act. Please allow three business days to process the request.

J. Federal Work Authorization Program

Proposers that meet the definition of a business entity as defined in section 285.525, RSMo, pertaining to section 285.530, RSMo, providing services exceeding $5,000, shall maintain enrollment and participation in a federal work authorization program with respect to the employees hired after enrollment in the program who are proposed to work in connection with the contracted services included herein. If the Proposer’s business status changes during the life of the contract to become a business entity as defined in section 285.525, RSMo, pertaining to section 285.530, RSMo, then the Proposer shall, prior to the performance of any services as a business entity under the contract enroll and participate in a federal work authorization program such as E-Verify.

Proposers must, by sworn affidavit and provision of documentation (copy of the E-Verify Memo of Understanding Electronic Signature Page), affirm their enrollment and participation in a federal work authorization program. Proposers shall sign an affidavit affirming that it does not knowingly employ any person who is an unauthorized alien in connection with the contracted services. See Attachment B – Affidavit of Compliance with E-Verify document.

For vendors that are not already enrolled and participating in a federal work authorization program, E-Verify is an example of this type of program. Information regarding E-Verify is available at https://www.e-verify.gov/.

K. Federal Clauses

The City is a recipient of federal grant funds through the Historic Preservation Fund, administered by the National Park Service, Department of the Interior and Missouri Department of Natural Resources, State Historic Preservation Office. Therefore, the grant requirements in Attachment A – Exhibit 3, shall be fully considered in preparing responses and performing work under any resulting award.

K. Insurance Requirements/Contract https://www.e-verify.gov/

Contractors shall provide certificate of insurance in accordance with all requirements shown in the sample contract. See Attachment C - Sample Contract.

Upon acceptance of bid, the contractor shall enter into a contract for this work as outlined by the City. See Attachment C – Sample Contract.

M. Protest Procedure

For all bids not exempted from the competitive bidding procedures, the City will provide a tabulation of bids and recommendation for award by email to all responding bidders. Bidders wishing to challenge the award decision shall have a specified time, as listed on the recommendation for award, to file a bid protest with the purchasing agent.

The protest must be filed in writing to the purchasing agent and must specify the grounds upon which the protest is based. A valid protest must 1) come from an actual bidder or offeror for the request, and 2) who claim to be the rightful award. That is, protest is not valid if filed by a bidder who cannot show they would be awarded the contract if their protest were accepted.

The purchasing agent will review the protest and issue a written decision. If the bidder disagrees with the decision of the purchasing agent, the decision may be appealed to the finance director.

The request for appeal must be filed within a specified time, as listed on the protest decision, with the purchasing agent. The request must describe the specific reason for the appeal and is limited to those matters that were raised in the original protest letter.

The finance director will review the protest and issue a written decision. If the bidder is not satisfied, they may ask that their protest be considered by the City Administrator if the award is less than $25,000.00 or the City Council if the award is $25,000.00 or more. Any decision regarding the matter made by the City Administrator or City Council is final.

N. Preference for U.S. Manufactured Goods

On purchases in excess of $25,000, the city shall select products manufactured, assembled or produced in the United States, if quantity, quality, and price are equal. Every contract for public works construction or maintenance in excess of $25,000 shall contain a provision requesting the contractor to use American products in the performance of the contract.

O. Disadvantaged Business Enterprise Statement

Contractors bidding on City contracts funded in whole or in part by assistance from a federal agency shall take the following affirmative steps to assure that small, woman owned, and minority businesses are utilized when possible as sources of supplies, services and construction items.

a. Contractors will submit the name and other information, if any, about their DBE sub-contractors along with their bid submissions.

b. Sufficient and reasonable efforts will be made to use qualified DBE sub-contractors when possible on City contracts.

c. Qualified small, woman owned, and minority businesses will be included on solicitation lists as sub-contractors for City supplies, services, and construction.

d. Qualified small, woman owned, and minority businesses will be solicited whenever they are potential sources.

e. When economically feasible, contractors will divide total requirements into smaller tasks or quantities so as to permit maximum small, woman owned, and minority business participation.

f. Where the requirements permit, contractors will establish delivery schedules which will encourage participation by small, woman owned and minority businesses.

Contractors will use the services and assistance of the Small Business Administration, the Office of Equal Opportunity, and the Community Services Administration.

P. Changes to Bid Documents

Changes to contract documents prior to bidding will be by addendum issued by the city.

Prospective Proposers shall acknowledge receipt of all addenda on bid forms.

Q. Termination

The City reserves the right to terminate the contract at any time, for the convenience of the City, without penalty or recourse, by giving written notice to the Contractor at least thirty (30) calendar days prior to the effective date of such termination. The Contractor shall be entitled to receive compensation for services and/or supplies delivered to and accepted by the City pursuant to the contract prior to the effective date of termination.

R. Laws and Regulations

The Contractor shall perform services in accordance with all applicable state, local and federal statutes and legal requirements in his performance of this contract. In addition, the Proposer’s attention is directed to City Code, Chapter 17 – Licenses, Taxation and Miscellaneous Business Regulation.

The Contractor must obtain a Jefferson City Business License and be registered and in good standing with the Missouri Secretary of State’s Office.

4. BACKGROUND

The National Historic Preservation Act of 1966, as amended, directs the federal government to assist the States in carrying out historic preservation activities. The Act authorized the establishment and funding of State Historic Preservation Offices to carry out comprehensive state surveys of historic properties and to nominate significant properties to the National Register of Historic Places. In Missouri, the State Historic Preservation Office is located within the Department of Natural Resources. Due to limitations in staff size, the Department of Natural Resources carries out survey and nomination activities primarily through a program of federal Historic Preservation Fund (HPF) grant awards to organizations, agencies, local governments, and other parties throughout the state. In concert with federal regulations governing the use of HPF monies, the Department of Natural Resources requires that grant-funded survey and nomination activity be carried out by qualified professionals.

While many organizations, agencies, and local governments may have in-house professional staff qualified to carry out survey and nomination activities, other project sponsors may need to contract with professional historians or architectural historians for those services on a case-by-case basis.

To assist project sponsors in the task of locating qualified historians and architectural historians this Request for Proposal (RFP) has been developed to identify qualified individuals capable of carrying out this type of work.

5. SPECIAL CONDITIONS

A. It is agreed that if the project should fall one (1) month behind the milestones, the Missouri

Department of Natural Resources has the right unilaterally to terminate or reduce the dollar amount of this agreement. In addition, if the Department determines that full termination is warranted, the Department shall be sole authority in determining the amount of compensation owed.

B. All work related to this project will either be supervised or completed by personnel who meet the Secretary of the Interior’s Professional Qualifications.

C. The Jefferson City Historic Preservation Commission will have an opportunity to review and comment on milestone products before they are submitted to the HPF Grant Manager or their designee. Any Commission comments will be submitted with the corresponding milestone to the HPF Grant Manager or their designee.

D. All nomination materials will be submitted according to the guidance provided by the State Historic Preservation Office. All documents, aside from photography, will be submitted in Microsoft 2010 (or 2010-readable) Word format.

E. MoDNR will issue reimbursement upon acceptance of a filled-out reimbursement packet (Exhibit 3) and, for the final reimbursement, a Final Project Report (Exhibit 4). MoDNR will not issue final reimbursement until the National Park Service lists Walinko Place in the National Register of Historic Places or, if property owners do not permit listing, issues a determination of eligibility.

F. All grant funded publications, books, brochures and all public meeting notices regarding this grant project (including the app) shall include the following acknowledgement statement:

Attachment A: Exhibit 1

This material was produced with assistance from the Historic Preservation Fund, administered by the National Park Service, Department of the Interior and Missouri Department of Natural Resources, State Historic Preservation Office.

Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the Department of the Interior or the Department of Natural Resources, State Historic Preservation Office, nor does the mention of trade names or commercial products constitute endorsement or recommendation.

[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.]

G. City Responsibilities

The City shall:

1. Assign a representative who will be the main point of contact and oversee the project.

2. Provide access to data, GIS files, reports and staff.

3. Respond timely to information requests.

4. Assist in public engagement coordination.

6. EXHIBITS AND ATTACHMENTS

• Attachment A o Exhibit 1 - The Secretary of the Interior’s Professional Qualifications o Exhibit 2 - Map of the Potential Walinko Place National Register Historic District o Exhibit 3 – Federal Clauses

Missouri Department Natural Resources – Federal Financial Assistance Agreements General Terms and Conditions

National Park Service Terms and Conditions

• Attachment B – Cost Form

• Attachment C – Sample Contract

• Attachment D – References

• Attachment E – Affidavit of Compliance with E-Verify

• Attachment F – Authority to Execute form

• Attachment G – Anti-Collusion Affidavit

• Attachment H – Certification Regarding Lobbying

• Attachment I – Disadvantaged Business Utilization Agreement

Attachment A: Exhibit 1

The Secretary of the Interior’s Professional Qualifications Published in 48

FR 44738-44739 (1983)

The following requirements are those used by the National Park Service and have been previously published in the Code of Federal Regulations, 36 CFR Part 61. The qualifications define minimum education and experience required to perform identification, evaluation, registration, and treatment activities. In some cases, additional areas or levels of expertise may be needed, depending on the complexity of the task and the nature of the historic properties involved. In the following definitions, a year of full-time professional experience need not consist of a continuous year of fulltime 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.

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, historic 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 history.

Archaeology 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.

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.

Architecture The minimum professional qualifications in architecture are a professional degree in architecture plus at least two years of full-time experience in architecture; or a State license to practice architecture.

Historic Architecture The minimum professional qualifications historic in 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.

Attachment A: Exhibit 2

Map of the Potential Walinko Place National Register Historic District

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Attachment A: Exhibit 3 Revised: 5/22/2025

Federal FAA Terms and Conditions

MISSOURI DEPARTMENT OF NATURAL RESOURCES

Federal Financial Assistance Agreements

General Terms and Conditions

These general terms and conditions highlight requirements which are especially pertinent to federal assistance agreements made by the Missouri Department of Natural Resources. 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.

Pursuant to 2 CFR 200.331, the sub-recipient shall require the language of the certifications and terms applicable to financial assistance awards to be included in sub-award document at all tiers and all sub-recipients shall certify and disclose accordingly. This “flow down” requirement imposed on the sponsoring agent by the Department is to ensure the financial assistance agreement is used in accordance with Federal statues, regulations and the terms of the agreement.

The sponsoring agent is accountable to the Department for compliance with Federal requirements. In turn, the Department is responsible to federal agency for ensuring sponsoring agents comply with Federal requirements and with federal General Terms and Conditions:

In addition to these terms and conditions, the recipient must comply with all governing requirements of their financial assistance agreement, including the Title 2 Grants and Agreements, Chapter II Part 200 of the Code of Federal Regulation, under the title "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.”

The regulations can be found at http://www.ecfr.gov/cgi-bin/text-idx?SID=da74e925e27b89e7f8625019850377cf&tpl=/ecfrbrowse/Title02/2tab_02.tpl.

I. Administrative Requirements

A. Method of Payment. The recipient will be reimbursed by the Department for all allowable expenses incurred in performing the scope of services. The recipient shall report project expenses and submit to the Department original payment requests as required by division/program per the financial assistance agreement. The form must be completed with the Department payment request amount and local share detailed, if applicable. Payment requests must provide a breakdown of project expenses by the budget categories contained in the financial assistance agreement budget. Payment requests must be received by the Department per the financial assistance agreement.

No reimbursement will be made for expenditures prior to award unless approval for pre-award costs has been granted. No reimbursements will be made for expenditures incurred after the closing budget date unless a budget time period extension has been granted by the Department prior to the closing budget date.

1. Payments under non-construction grants will be based on the grant sharing ratio as applied to the total agreed project cost for each invoice submitted unless the financial assistance agreement specifically provides for advance http://www.ecfr.gov/cgi-bin/text-

Revised: 5/22/2025 payments. Advance payments may only be made upon a showing of good cause or special circumstances, as determined by the Department and must be as close as is administratively feasible to the actual disbursement.

Advance payments will only be made to cover estimated expenditures as agreed. The Department will not advance more than 25% of the total amount of the grant unless the recipient demonstrates good cause.

2. All payment requests must have the following certification by the authorized recipient official: By signing this report, I certify to the best of my knowledge and belief the report is true, complete and accurate and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the financial assistance agreement. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise.

B. Retention and Custodial Requirements for Records. The recipient shall retain financial records, supporting documents, statistical records and all other records pertinent to the financial assistance agreement for a period of five years starting from the date of submission of the final payment request. Authorized representatives of federal awarding agencies, the Federal Inspectors General, the Comptroller General of the United States, the State Auditor’s Office, the Department or any of their designees shall have access to any pertinent books, documents, and records of recipient in order to conduct audits or examinations. The recipient agrees to allow monitoring and auditing by the Department and/or authorized representative. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the five year period, the recipient shall retain records until all litigations, claims or audit findings involving the records have been resolved and final action taken.

C. Program Income.

1. The recipient is encouraged to earn income to defray program costs.

Program income means gross income earned that is directly generated by a supported activity or earned as a result of the financial assistance agreement during the period of performance. Program income includes but is not limited to income from: fees for services performed, the use or rental of real or personal property acquired with financial assistance funds, the sale of commodities or items fabricated under the financial assistance agreement, license fees and royalties on patents and copyrights and payments of principal and interest on loans made with financial assistance funds. Program income does not include items such as rebates, credits, discounts, or refunds and interest earned.

2. Program income shall be deducted from total allowable outlays to determine net allowable costs. With prior approval of the federal awarding agency, program income may be added to the federal award or used to meet cost sharing or matching requirements. The default deductive alternative requires that program income be deducted from total allowable costs to determine the net allowable amount to which the respective matching ratios are applied. For example, 50/50 share ratio agreement 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 financial assistance 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 necessary and reasonable for the accomplishment of the project or program objectives. Any in-kind match must be assigned a fair market value consistent with those paid for similar work in the labor market and be documented and verifiable. 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 financial assistance agreement, a federal procurement contract, or any other award of federal funds. Federal funds from another federal grant or financial assistance agreement shall not count towards satisfying a cost sharing or matching requirement of a grant agreement.

1. Match or cost share funding will be established by the Department through negotiation with the recipient. Signature by both the Department and recipient on the financial assistance agreement form firmly affixes the match or cost sharing ratios. Full expenditure of recipient match or cost share funding is required over the life of the financial assistance agreement. Recipient must submit payment requests to the Department, as required by the financial assistance agreement, and provide financial records for total expenditure of state and match or cost share funding. The Department will reimburse the recipient 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 financial assistance agreement may cause the recipient to become ineligible to receive additional financial assistance from the Department. Failure to provide the required match may result in other enforcement remedies as stated in Y. for noncompliance.

E. Financial Management Systems. The financial management systems of the recipient 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 financial assistance agreement;

2. Accounting Records. Maintain records which adequately identify the source and application of funds provided for financially assisted activities to include the CFDA title and number, Federal Award Identification Number (FAIN) and year, name of the federal agency and pass-thru entity. These records must contain information pertaining to financial assistance awards and authorizations, obligations, unobligated balances, assets, liabilities, outlays or expenditures, and income;

3. Internal Control. Effective written internal controls and accountability must be maintained for all recipient cash, real and personal property, and other assets. The recipient must adequately safeguard all such property and must assure that it is used solely for authorized purposes. These internal controls should be in compliance with guidance in the “Standards for Internal Control in the Federal Government” and the “Internal Control Integrated Framework”;

4. Budget Control. Actual expenditures or outlays must be compared with budgeted amounts for each financial assistance agreement;

5. Allowable Costs. OMB cost principles, applicable federal agency program regulations, and the financial assistance agreement scope of work will be followed in determining the reasonableness, allowability and allocability of costs;

6. Source Documentation. Records must adequately identify the source and application of funds for federally funded activities. These records must contain information pertaining to Federal awards, authorizations, obligations, unobligated balances, assets, expenditures, income and interest and be supported by source documentation. The documentation must be made available by the recipient at the Department’s request or any of the following: authorized representatives of the federal awarding agency, the Federal Inspector General, the Comptroller General of the United States, State Auditor’s Office or any of their designees;

7. The recipient shall have written procedures in place to minimize the time lapsed between money disbursed by the Department and spent by the recipient.

F. Reporting of Program Performance. The recipient shall submit to the Department a performance report for each program, function, or activity as specified by the financial assistance agreement 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 analysis and explanation of cost overruns or higher unit cost when appropriate, and other pertinent information.

Representatives of the Department, the federal awarding agency, the Federal Inspector General, the Comptroller General of the United States, State Auditor’s Office or any of their designees shall have the right to visit the project site(s) during reasonable hours for the duration of the contract period and for five years thereafter.

G. Budget and Scope of Work Revisions. The recipient is permitted to rebudget within the approved direct cost budget to meet unanticipated requirements. The following is a non-exclusive listing of when a recipient must request approval in writing to revise budgets and scopes of work under the following conditions:

1. For non-construction grants, the recipient shall obtain the prior approval of the Department, unless waived by the Department, 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 Department’s share exceeds the simplified acquisition amount threshold.

2. For construction and non-construction projects, the recipient shall obtain prior written approval from the Department for any budget revision which would result in the need for additional funds.

3. For combined non-construction and construction projects, the recipient must obtain prior written approval from the Department before making any fund or budget transfer from the non-construction to construction or vice versa.

4. A recipient under non-construction projects must obtain prior written approval from the Department 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, including changes to key personnel described in the financial assistance agreement, must receive prior approval from the Department. Approved changes in the scope of work or budget shall be incorporated by written amendment to the financial assistance agreement.

6. The disengagement from the project for more than three months, or a 25 percent reduction in time devoted to the project, by the approved project director or principal investigator.

7. Changes in the amount of approved cost-sharing or matching provided by the recipient. No other prior approval requirements for specific items may be imposed unless a deviation has been approved.

8. Initiate a one-time extension of the period of performance by up to 12 months unless one or more of the conditions outlined below apply. For one-time extensions, the recipient must notify the Department in writing with the supporting reasons and revised period of performance at least 90 calendar days before the end of the period of performance specified in the financial assistance agreement. This one-time extension may not be exercised merely for the purpose of using unobligated balances.

Extensions require explicit prior approval from Department when:

a. The terms and conditions of the financial assistance agreement prohibit the extension.

b. The extension requires additional funds.

c. The extension involves any change in the approved objectives or scope of the project.

d. Carry forward unobligated balances to subsequent period of performance.

9. Extending the agreement past the original completion date requires approval of the Department.

H. Equipment Use. The recipient 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 recipient may not use equipment purchased pursuant to this agreement for any other purpose without approval from the Department. The equipment shall not be moved from the State of Missouri without approval from the Department. State agencies shall follow the Code of State Regulations. The following standards shall govern the utilization and disposition of equipment acquired with financial assistance funds:

1. Title to equipment acquired under this financial assistance agreement will vest with the recipient on acquisition. Equipment means an article of nonexpendable, tangible personal property (including information technology systems) having a useful life of more than one year and a per unit acquisition cost which equals or exceed the lesser of the capitalization level established by the recipient for financial statement purposes or $5,000.

a. Equipment shall be used by the recipient 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 Department 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 Department or the federal agency. If the Department puts the recipient on notice that it believes assistance assets are not being used for the intended purpose, the recipient shall not sell, give away, move or abandon the assets without the Department’s prior written approval.

b. The recipient shall also make equipment available for use on other projects or programs currently or previously supported by the Department, providing such use will not interfere with the work on the projects or program for which it was originally acquired. User fees should be considered if appropriate.

c. The recipient must not use equipment acquired with funding from this financial assistance agreement 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, Program Income.

d. When acquiring replacement equipment, the recipient 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 Department.

2. Equipment Management. The recipient’s procedures for managing equipment,…