1. Heritage Trust Fund Grant Orientation Session

2. HTF Staff and Contact Information Katrina Ringler Grants Manager 785-272-8681 ext. 215 kringler@kshs.org Marsha Longofono Grants Assistant 785-272-8681 ext. 240 mlongofono@kshs.org Ken Price Grant Reviewer 785-272-8681 ext. 212 kprice@kshs.org

3. Contents of your Binder 2013 HTF Grants Manual Checklist for documents to be returned ASAP:  Project Agreement  Contractual provisions attachment  W-9  DA 130 – electronic deposit form Checklists A &B Monthly progress report blank form Reimbursement blank form Project completion report blank form

4. Project Agreement Please review and return a signed copy ASAP. No work may begin until the Project Agreement is signed by both the property owner and the SHPO. Work must begin within 60 days of signed contract unless okayed by Grants Manager. The document includes: Scope of work Schedule Reimbursement criteria Budget Line Items Reimbursement & procurement procedures Responsibilities of grant recipients *These items are taken from the grant application and may need to be revised slightly before signing*

5. Contractual Provisions Attachment Please read and fill in where indicated. This is a State of Kansas requirement and must be returned with your Project Agreement. W-9 - Federal Identification Number A federal EIN (for organizations or companies) or an SSN (for individuals) is needed for us to process a reimbursement. Reimbursements will be done by direct deposit. Please be sure to include a voided check or deposit slip with this form. Just fill out the top two sections. The “vendor number” is the EIN or SSN you reported on the W-9 form. Make sure everything matches. DA130 – Electronic Deposit Form If the project administrator information changed/changes from what was provided in the grant application, please provide updated information to the Grants Manager.

6. Grants Manual Your step-by-step tutorial Project Agreement Architect/Engineer (a.k.a. Consultant) Selection Project Planning Documents Solicitation for Bids and Selection of Contractor(s) Reimbursement Requests and Reporting Special Terms and Conditions Appendix

7. MAINTENANCE AGREEMENT All project agreements contain a maintenance agreement in which the grantee agrees to preserve the work funded with HTF monies for a period of five years from the completion of the grant project. Please refer to Section H of the Project Agreement.

8. ARCHITECT / ENGINEER (AKA. CONSULTANT) SELECTION Some projects must have plans and specifications prepared by a qualified consultant. Projects where consultant services will be reimbursed by HTF grant funds must follow the consultant selection process as described in the project agreement / grant manual (i.e. competitively). Under certain circumstances a waiver of this competitive selection process may be granted. Waivers will be granted on a case-by-case basis and will generally be based upon evidence of prior involvement by the chosen professional in the project within the previous two years.

9. Evaluation criteria should include: Relevant experience/specific expertise Performance references on previous projects Qualifications of consultants and staff Availability of key personnel Current and projected workloads (could affect ability to perform the required work on schedule) Knowledge of the Secretary of Interior’s Standards for the Treatment of Historic Properties Step 1 – Establish Evaluation Criteria

10. Step 2 – Issue Requests for Proposals Issuing a Request for Proposals (RFP) identifies potential consultants. An RFP states the type of work involved, the scope of services required, budget and time constraints, evaluation criteria, and submittal deadline. It requests qualifications of the professional submitting a proposal and a proposed cost. Directly solicit bids, by mail, to a minimum of 3 (preferably more) qualified firms/individuals in an effort to receive as many responses as possible. * See Checklist A

11. All RFP’s must have the following information included: The statement “All work must comply with the Secretary of the Interior’s Standards for the Treatment of Historic Properties http://www.nps.gov/hps/tps/standguide/ “http://www.nps.gov/hps/tps/standguide/ The statement “This project is partially supported by a Heritage Trust Fund grant from the Kansas State Historical Society.” *Refer to Appendix A for an example RFP.

12. Step 3 – Evaluate Responses to the RFP Use the criteria already established to evaluate proposals you receive and rank them. Select a manageable number of firms / individuals to interview (if necessary). Have a discussion with your top-ranked consultant to verify that they are able to do the work on time, within budget, and at the expected level of quality. If there is any concern about the proposals received, please contact the HTF Grants Manager.

13. Step 4 – Confirmation of Consultant Selection When a selection has been made, the HTF Grants Manager must receive certain documentation from the grantee to confirm that the selection process required by the grant program was followed. *Please refer to Checklist A for a complete checklist of needed documentation* The HTF Grants Manager will send approval of the selection process in writing or via e-mail.

14. Step 5 - Consultant Contracts Contract styles will vary but all contracts with consultants must contain the following: An estimated start date and completion date for consultant services Fee for consultant services Description of services (i.e. production of construction documents, administration or bidding phase, supervision of construction work…) Acknowledgement that property is listed in the National /State Register of Historic Places The phrase “All work must be in compliance with the Secretary of Interior’s Standards for the Treatment of Historic Properties” Notification that all changes to the contract must be agreed to in writing.

15. Consultant Compensation  The consultant contract must include an agreement on compensation (fee for services).  Compensation based on a percentage of work completed is not allowable.  Compensating architectural/engineering fees shall be done with either hourly rates with a maximum fee or a lump sum.  Example: completion of construction documents = $8,000

16. PROJECT PLANNING DOCUMENTS Construction / Planning Documents are typically: drawings and specifications, or applicant-generated project descriptions Work funded by the Heritage Trust Fund may not proceed until the planning documents related to the project have been approved, in writing, by the HTF staff. Planning documents take precedence over the scope of work description in the project agreement.

17. Projects without architectural and/or engineering services Grantees who plan to implement their projects without the benefit of an architect/engineer will develop a detailed Scope of Work, in consultation with the HTF staff, to serve as their planning document. The Scope of Work document may not be used to solicit bids until HTF staff has approved it. See Appendix D for an example.

18. Projects utilizing architectural and/or engineering services Written approval of the final planning documents is required before any project work is advertised for bid, contracts are let, or work is undertaken on the historic property. Work that is being done during the grant period, but not being reimbursed by HTF grant funds still must be in accordance with the Standards. HTF staff will advise the grantee when proposed work does not meet the Standards and will offer advice for alterations to the proposals to achieve conformance. While we may also point out discrepancies, concerns, or a need for additional detail, we are not reviewing plans for compliance with any life safety codes or accessibility requirements. All HTF grant projects must meet all applicable state and local codes and regulations.

19. SOLICITATION FOR BIDS AND SELECTION OF CONTRACTOR(S) The Heritage Trust Fund imposes restrictions on the procurement of any goods or services valued at more than $2,000. *See Section G of your Project Agreement.* The grantee is obligated to select reasonable bids from those individuals who can implement the project according to the Secretary of the Interior’s Standards for the Treatment of Historic Properties, the approved project planning documents, and meet the expectations of the grantee. Grantees are not required to accept the lowest bid from a contractor who does not satisfy the requirements of the project. If the grantee is not confident that any of the bidders can do the work adequately, he or she may reopen the bid process according to a revised schedule.

20. Step 1 – Establish Criteria for Contractor Selection Set up criteria for evaluation/selection of bids: integrity, compliance with public policy, record of past performance, financial and technical resources, demonstrated interest by the contractor in the project, understanding of the project requirements, budget performance on previous projects, relevance of previous experience, etc. Requirements for the specified project (ex: masonry or wood window experience) A clear and accurate description of the technical requirements for the material, product, or service to be procured;. Deadline for completion of project Please note: contract awards will not be awarded to those who have developed or assisted in development of the bid specifications, requirements, a statement of work, an invitation for bids, and /or a request for proposals.

21. Step 2 - Invitation to Bid An invitation to bid (ITB) is sent out to invite qualified contractors to submit proposals. Contracts expected to be between $2,000 and $20,000 - Grantees must solicit, by mail, a minimum of three (3) contractors. A newspaper advertisement is not required for projects of this size, but is recommended. Contracts expected to be over $20,000 - Grantees must solicit, by mail, a minimum of three (3) contractors and publish a public notice three times. Notices may be published three times in a single newspaper or once in three separate newspapers. Alternate publication formats, such as websites, may be considered by the HTF Grants Manager.

22. Information that must be included in the Invitation to Bid: Give the contractors at least 21 days from the date of the first advertisement to get their bids in to you. Time and place that bids will be opened. Insurance, Material and Performance Bonds are required. Property is listed in the State/National Register of Historic Places. All work must comply with the Secretary of the Interior’s Standards for the Treatment of Historic Properties - http://www.nps.gov/hps/tps/standguide/ http://www.nps.gov/hps/tps/standguide/ All notices must include the required statement “This project is partially supported by a Heritage Trust Fund grant from the Kansas State Historical Society.” An explanation of the evaluation criteria you have established

23. Other Requirements for Bidding: Submit a draft copy of the newspaper advertisement and ITB to HTF grants staff for review and written approval BEFORE it goes out. *See Appendix B and C for examples* Place ITB (or smaller ad) in the “legal notices” section of paper Directly solicit bids, by mail, to a minimum of 3 (preferably more) qualified firms/contractors in an effort to receive as many responses as possible. Mailing a copy of the ITB is adequate. Sending faxes or e-mails is not acceptable, but may be used in combination with direct mailings. Use of pre-selected bid lists, posting in public places or online, and publication in trade journals and magazines are also acceptable. Construction documents must be approved by SHPO and available for distribution by the time the ITB is publicized.

24. Step 3 - Ranking of Received Bids Tabulate bids and rank according to your previously established criteria. The contract should be awarded to the bidder whose bid conforms to all material terms and conditions stated in the invitation to bid as well as being the most advantageous to the grantee. Considerations may include price, experience, transportation costs, ability to fulfill contract and meet project deadlines Any or all bids may be rejected when those submitted do not follow the noted criteria. However, the grantee may elect to negotiate with those bidders to produce a contract. The HTF Grants Manager should be consulted when there is failure to receive a sufficient number (two or less) of bids or a great disparity in bid proposals.

25. Step 4 - Contractor Selection Notification The HTF Grants Manager must approve the contractor selection process. Documentation must be approved prior to the execution of any contract. *See Checklist B for a list of needed documentation*

26. Step 5 - Bonding Before a contract is signed, the chosen contractor must provide to the grantee certificates of insurance, materials payment bonds, and a performance bond. HTF staff may waive these requirements at the request of the property owner, but such waivers are at the discretion of the HTF Grants Manager and are evaluated on a case-by-case basis. Grantees who accept a waiver of bonding requirements accept all risks that this choice entails.

27. Step 6 - Contractor Contracts Submit a draft contract to the HTF grants manager for review and written approval prior to execution (signing), to determine any conflicts with HTF policies and procedures. Contract styles will vary but all contracts must contain the following: A start date and completion date Fee for services (compensation must to be a lump sum or unit price) Acknowledgement that the property is listed in the State/National Register of Historic Places The phrase “All work must be in compliance with the Secretary of Interior’s Standards for the Treatment of Historic Properties” Notification that all changes must be agreed to in writing

28. REMEMBER: HTF staff must review and approve all construction documents, specs, scopes of work, ITBs, and newspaper ads before you go out to bid! The HTF grants manager must approve the selection process, in writing, before contracts may be negotiated with firms/contractors.

29. REIMBURSEMENT REQUESTS AND REPORTING The HTF grant program is a reimbursement grant. The grantee shall pay, in full, all costs of the project as they become due and payable. HTF staff reviews reimbursement requests and determines if work done is agreeable with all terms set forth in the project agreement and approved construction documents. HTF staff reserves the right to withhold payment if the grantee falls behind schedule or if the project exhibits substandard work.

30. To receive reimbursement: Line items identified in the project agreement must to be 100% complete – photo documentation is required; Completed work must correspond to line items identified in the planning documents /scope of work, the approved budget, and covered by written contracts; Each line item completed must be within the time schedule documented in the original project agreement or as amended; The work conforms to Secretary of the Interior’s Standards for the Treatment of Historic Properties;  Request is adequately documented with purchase orders, requisitions, bills, or other evidence of liability, as well as copied checks, reciepts or other evidence of payment.

31. **Please Note** HTF will withhold 10% (retainage) of the grant award pending satisfactory completion of all work. The amount remaining will be reimbursed upon receipt of the project completion report and supporting documentation.  Mobilization fees, travel, set-up, material purchase, etc. are not considered line items for reimbursement purposes and should be incorporated into applicable work items when a reimbursement request is submitted.

32. Mobilization is 100% complete and Materials are 90% complete. HTF cannot reimburse for these until physical line items from your Project Agreement are complete!

33. *This is a reimbursement program* You are expected to maintain cash flow and pay consultants and/or contractors as bills come due. Reimbursement requests are processed as quickly as possible, but may not be dispersed in time to make a payment deadline. And a reminder…

34. CHANGES TO APPROVED PROJECTS Requests for changes to the project defined in the project agreement must be made in writing and approved by the HTF staff. Requests must be received and approved prior to any deviation from the agreed upon project agreement. EXTENSIONS Grantees who are unable to complete the project work by the ending date shown on the original project agreement must notify the HTF grants manager, in writing, at least thirty (30) days before the ending date to formally request an extension of the project completion date.

35. COMPLETION REPORT Submit your Completion Report within 30 days of completion of the project. The final reimbursement request should be submitted before or with the final completion report. PROGRESS REPORTS AND SITE VISITS The HTF grants manager should receive progress reports by the 10 th of each month outlining activities from the previous month starting with the first month after the project agreement is signed. Photographs documenting any completed work are strongly suggested. Failure to submit these forms in a timely manner may be considered a breach of the project agreement and will delay reimbursement. HTF staff may make site visits at the beginning, during, or at the end of the grant project. The site visits allow staff to monitor the progress of the project and the quality of the work performed. Grantees may also request site visits.

36. Retention of Property If ownership of real property is not maintained by the grantee (or a designated heir, in the case of the grantee’s death) from the date of signing of the project agreement until one year after the project is completed, the HTF grant funds must be repaid in full. For properties held between one and five years after the project is completed, the grant recapture amount is reduced by twenty percent per year. Transfers of property during the course of the HTF grant will result in a full recapture of grant funds unless the transfer is approved in writing by KSHS. *See Section I of the Project Agreement*

37. Public Acknowledgment of Funding Source When issuing press releases, official statements, or documents that describe the project funded by the Heritage Trust Fund, a credit line must be included that reads: “This project is (was) partially supported by a Heritage Trust Fund grant from the Kansas State Historical Society.” PROJECT SIGN All projects must acknowledge state assistance by means of a temporary but prominently displayed project sign. The sign will be provided by the Kansas Historical Society and must be returned to the HTF staff at the end of the project. Signs are to be installed upon execution of a project agreement.

38. Appendix includes: sample RFP sample ITB sample affidavit of publication (for ITB) sample scope of work list of Secretary of the Interior’s Standards for Rehabilitation

39. Review your project agreement carefully! property owner and property name correct? grant amount correct? project description correct (section B)? project schedule reasonable (section B)? project line items and costs correct (section D)?  Make sure you understand Sections E-J before signing.  Return one hard copy to my attention after signed by the property owner. Send along with the other documents at the front of your binder.

40. NOTE: Section I (2)g REHABILITATION TAX CREDITS The HTF grant program is separate from the Kansas state tax credit program. To utilize both programs you must submit separate applications, documentation, etc. To help facilitate quicker reviews, HTF grant staff review tax credit applications for grantees, but applications must be submitted BEFORE work begins. * See the reminder on Checklist B*

41. Ideally, apply for tax credits after your scope of work has been approved and you are ready to go out to bid. Allow our staff at least 30 days to review tax credit applications so they can be approved BEFORE physical work begins on the property. HTF grantees qualify for State tax credits as long as you are doing physical work on a building your out-of-pocket costs will exceed $5,000 (does not include grant funds) your application is reviewed and approved BEFORE work begins. Some projects may also qualify for federal credits (ask staff)

42. So What is the Next Step? HTF staff needs these items immediately:  Project Agreement - signed  Contractual Provisions Attachment with date  W9 Form  Electronic Deposit Authorization In the interim:  Please read your Grants Manual  Contact us with any questions

43. For additional information, please refer to the Project Agreement/Grants Manual or contact: HTF Grants Manager Heritage Trust Fund Grant Program Kansas State Historical Society Historic Preservation Office 6425 SW 6th Avenue Topeka, KS 66615-1099 785.272.8681 ext. 215 Fax 785.272.8682 cultural_resources@kshs.org/cultural_resources@kshs.org/ or www.kshs.orgwww.kshs.org