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Full text of "Questions and Answers about CLG Grants from SHPOs: An Introductory Guide"

Questions and 
Answers about CLG 
Grants from SHPOs 




An Introductory 
Guide 






DEPOSITORY ITEM 

OCT 8 1996 

. CLEMSON 
I IBRARY 




m. 



-^r^ 





U.S. Department of the Interior 
National Park Service 

Cultural Resources 

Heritage Preservation Services 



Q. 
I 

CO 

CD 
I 




Introduction 

The National Historic Preservation Act estab- 
lished a nationwide program of financial and 
technical assistance to preserve historic proper- 
ties — buildings, structures, neighborhoods, 
and other places of importance in the historic 
and cultural life of the nation. A local govern- 
ment can participate directly in this program 
when the State Historic Preservation Officer 
certifies that the local government has estab- 
lished its own historic preservation commission 
and a program meeting Federal and State 
standards. A local government that receives 
such certification is known as a "Certified Local 
Government" or CLG. State Historic Preserva- 
tion Offices began certifying local governments 
in 1985. Currently, every State has at least one 
CLG and the nationwide total exceeds 1000. A 
major incentive of the CLG Program is the pool 
of grant funds State Historic Preservation 
Offices (SHPOs) set aside to fund local historic 
preservation projects. CLGs are the only eligible 
applicants for these funds. This brochure 
provides answers to the most frequently asked 
questions about CLG grants. (Note: These funds 
are sometimes also referred to as subgrants or 
contracts; for the sake of simplicity they will be 
called grants in this publication). 



Where does funding for CLG grants 
come from ? 

Funding for grants to Certified Local Govern- 
ments comes from the Historic Preservation 
Fund (HPF), a Federal grants program appro- 
priated by the U.S. Congress and administered 
by the National Park Service (NPS), which 
provides financial support to State Historic 
Preservation Offices (SHPOs) and the National 
Trust for Historic Preservation. Under the 
provisions of the National Historic Preservation 
Act, as amended, SHPOs are required to award 
at least 10% of their annual HPF monies to 
CLGs in their State. (Some States have addi- 
tional State funds for CLGs). 



What types of projects are eligible for 
CLG funding? 

HPF grants to Certified Local Government have 
funded a wide variety of local historic preserva- 
tion projects. Projects eligible for funding and 
the criteria used to select them are developed 
yearly by each SHPO. CLG project types that 
have been funded include the following: 

• architectural, historical, archeological surveys, 
and oral histories; 

• preparation of nominations to the National 
Register of Historic Places; 

• research and development of historic context 
information; 

• staffwork for historic preservation 
commissions, including designation of 
properties under local landmarks ordinances; 

• writing or amending preservation ordinances; 

• preparation of preservation plans; 

• publication information and education 
activities; 

• publication of historic sites inventories; 

• development of publication of walking/ 
driving tours; 

• development of slide/tape shows, videotapes; 

• training for commission members and staff; 

• development of architectural drawings and 
specifications; 

• preparation of facade studies or condition 
assessments; 

2 



• rehabilitation or restoration of properties 
individually listed in the National Register of 
Historic Places or contributing to a National 
Register historic district. 

What other criteria govern whether a 
local historic preservation project is 
eligible for funding? 

There are two other factors: all CLG grants must 
result in a completed, tangible product and /or 
measurable result; and all must be carried out 
in accordance with the applicable Secretary of 
the Interior's Standards for Archeology and 
Historic Preservation, (a copy may be obtained 
from the SHPO). 




Participants in a CLG zuorkshop touring a historic 
district. 

How much money is there in a CLG 
grant? 

The amount of money in a CLG grant must be 
large enough to have tangible results. Other- 
wise, there are no specific Federal requirements 
regarding the amount of money SHPOs make 
available in individual grants to CLGs. Conse- 
quently, the dollar amount of the grant depends 
primarily on the funding policy set by each 
SHPO. Some States try to award a grant to each 
CLG in the State every year. In general, the 
dollar amount of grants in these States tend to 



be small, particularly if there are numerous 
CLGs. On the other hand, other States award 
relatively few but larger grants. On a nation- 
wide basis, CLG grants in 1995 ranged in size 
from $500 to $60,000 



Do CLG grants require a financial 
contribution from the CLG? 

In most states, CLG grants are matching grants, 
i.e. recipients must provide a certain amount of 
cash or in-kind services to be used in carrying 
out the grant project. Each SHPO determines 
how much, if any, match is to be required. In 
most States, a 50/50, or "dollar-for-dollar" 
match is required. This means that for every 
dollar received the recipient must provide a 
matching dollar in services, cash, or volunteer 
hours, as specified by State policy. (See "How 
can the grant be matched?" below for more 
information.) 



How do SHPOs notify CLGs of the 
availability of CLG grants? 

SHPOs makes an annual mailing to each CLG, 
and each local government whose application 
for certification is pending, notifying them of 
the availability of CLG grant funds. Potential 
CLG applicants are informed of the total 
amount of funds available. State priorities for 
funding, criteria to be used in selecting propos- 
als to be funded (see below), a deadline for 
submitting requests, and a written description 
of what must be included in applications for 
CLG grants. 



What are the application procedures? 

Although application procedures and time 
frames vary from State to State, in general, the 
SHPO solicits grant proposals from its CLGs in 
the Fall. Applicants then submit a Grant Appli- 
cation (or Subgrant or Project Proposal) which 
describes the project and why it is needed, how 



the project is to carried out and what its goals 
are, who will be doing the proposed work and 
their professional qualifications, a proposed 
budget and project schedule, and the specific 
products to be generated by the project. Appli- 
cations are generally due at the end of the 
calendar year. Contact your SHPO and the 
specific deadlines in your State. (Applicants 
should also determine what local procedures 
and requirements, if any, must be satisfied 
prior to submitting a CLG grant application.) 



Who decides which applications are 
funded? 

Each SHPO sets its own funding priorities. In 
some States, greater weight may be given to 
one type of a project over another. Among the 
factors typically used to rate grant proposals 
are compatibility with the broad goals of the 
SHPO, urgency of the project, significance of 
the historic properties, geographic distribution 
of grant funds, education and public aware- 
ness potential, and the administrative and 
financial management capability of the 
applicant. 



On what grounds may SHPOs decline 
to fund an individual CLG grant 
request? 

CLG grants are competitive. While all CLGs 
are entitled to submit proposals, not all may 
get funding. SHPOs may decline to fund a 
proposal that does not adequately address the 
State's funding priorities, meet its selection 
criteria, have access to necessary professionals, 
or be achievable within the time period al- 
lowed or the budget proposed. However, 
States must base grant award decisions on the 
selection criteria included in the application 
instructions and notice of grant availability. 
Additionally, SHPOs may choose not to fund a 
proposal if they have reason to believe that the 
applicant does not have the necessary experi- 
ence or financial resources to carry out the 
project or has not performed satisfactorily on a 
previous CLG grant. 

5 



When are proposals selected? 

While time frames vary, successful applicants 
usually receive notification in the Spring that 
their proposal will be funded. In some States, 
recommendations about which proposals 
should receive funding by the professional staff 
of the SHPO must be approved by the State 
Review Board or the State Historical Commis- 
sion. An agreement between the SHPO and the 
CLG stipulating the terms of the grant is gener- 
ally signed in the Spring or Summer. 



When can work begin? 

Applicants for CLG funds must wait until the 
grant agreement between the SHPO and the 
CLG's chief elected local official, or his or her 
legal representative, is signed before starting 
work on any project. Unless specifically author- 
ized in writing by the SHPO, costs incurred 
prior to execution of the written agreement will 
not be paid. 




A CLG-funded publication highlighting a local 
preservation program. 



6 



How long does the grant last? 

The schedule for completing the project will be 
outlined in the grant agreement. Most CLG 
grant projects are completed within 9 to 18 
months. Projects undertaken with CLG grant 
funds must be completed in no more than two 
years from October 1, the start of the Federal 
fiscal year. Since the grant agreement usually is 
not signed until the Spring after the start of the 
Federal fiscal year (depending upon when 
Congress makes its appropriation), there is 
usually less than two years in which to com- 
plete the work. Multi-year projects require 
applying for separate grants in successive years 
and performing the work in phases. 



Can the time be extended? 

If circumstances outside of the control of the 
CLG make the terms of the grant agreement 
unachievable, the agreement may be modified 
or cancelled by mutual agreement between the 
SHPO and the CLG. For example, if inclement 
weather interferes with field survey and pre- 
vents completion of the work specified in the 
grant agreement within the time period stipu- 
lated, a limited time extension may be granted 
or the scope of work and budget amended. 
However, extensions may not stretch the grant 
period beyond the two-year limit on the ex- 
penditure of HPF monies. (See question above.) 



When are the grant funds actually 
transferred to the CLG? 

Most CLG grants are reimbursable grants. CLGs 
must first pay the project costs and then submit 
a request to the SHPO for reimbursement. 
Consequently, the CLG must have enough 
money "up-front" to be able to carry the project 
(including paying contractors) until it gets 
reimbursed. CLGs should learn the require- 
ments and timing of the State's reimbursement 
procedures before the project begins. 



7 




A meeting between a CLG historic preservation 
commission and other local preservationists. 

Does the CLG have to complete the 
project before being reimbursed? 

Not always. Depending on the type of project 
funded, many SHPOs allow CLGs to submit 
reimbursement claims on an interim basis 



Why is matching share required? 

In establishing a partnership between Federal, 
State, and local governments, the National 
Historic Preservation Act requires that HPF 
grants be matching grants. Underlying this 
requirement is the need for each of the partners 
to share the costs of historic preservation. 
Matching grants ensure that there is strong 
State and local commitment to projects and 
result in more historic preservation work being 
perforraed than if Federal funds alone were 
involved 



How can the grant be matched? 

Grants can be matched in two ways: in cash or 
through in-kind services (often called "soft 
match''). Generally, CLGs can combine these 
two types of match to meet the total amount 
required. Match requirements, however, vary by 
State. 



8 




A ceremony marking the listing of a neighborhood in 
the National Register. 

Can the time spent by CLG staff on the 
project be counted as match? 

Yes. In most States, work on the project per- 
formed by the staff of the local government is 
considered part of the overall cost of the project 
and can be counted as part of the CLG's match. 
Copies of time sheets and payroll printouts are 
required as documentation of employee time 
devoted to the project. CLGs must include staff 
time in the project budget, like any other cost, if 
they plan to claim it as match. 



Can the services of volunteers be 
counted as in-kind match? 

Yes. Many States allow services provided by 
volunteers, both professional and nonprofes- 
sional, to be counted as match by CLGs. The 
work performed by volunteers must be a neces- 
sary part of the project and cannot be more than 
half its total cost. 



When used as match, how are volunteer 
services valued? 

In order to claim volunteer services as in-kind 
match, CLGs must first establish the rate of pay 



for the type of work performed by the volun- 
teers. Often SHPO pay scales establish the 
maximum rate allowed for professionals. If a 
volunteer performs services outside his or her 
profession, the volunteer time must be valued 
at the Federal minimum wage rate (for example, 
an archeologist stuffing envelopes would be 
valued at minimum wage rate). Also, as evi- 
dence that volunteers contributed to the project, 
time records documenting each volunteer's 
time must be submitted to the State. 



If a CLG chooses not to count volunteer 
services as match, does it still have to 
provide time records? 

No. In most States, documentation of volunteer 
time spent on a project is only required when 
the CLG wishes this contribution to count as 
part of its matching share. 



What other types of in-kind services can 
be counted as match? 

Most States allow CLG to claim as match in- 
kind services such as supplies (i.e., paper or 
film), developing photographs, photocopying, 
office rent, clerical support, or certain adminis- 
trative costs when these are donated to the 
project by either the local government or a third 
party. When a CLG chooses to count these 
supplies or services as match, documentation is 
required. 



What sort of reports must he turned in? 

Progress reports are usually required on an 
interim basis. These reports must include a 
description of what has actually been accom- 
plished and spent to date. SHPOs set the format 
for these reports and require preliminary 
products, as appropriate. A final project report 
is also required upon completion of the grant. 



10 



What sort of procedures must be 
followed when a local government uses 
CLG grant funds to pay for consultants 
or contractors? 

Hiring consultants or contractors to perform 
part of the project must be done in accordance 
with acceptable State-established competitive 
procurement procedures compatible with 
Federal requirements (and with whatever local 
procedures apply). Frequently, existing State 
and local government procedures that meet 
these requirements are used, A certain number 
of qualified firms or individuals must be con- 
tacted to ensure a fair, open, and competitive 
selection process. Generally, at least three price 
quotations or bids must be obtained and the 
process must be documented. Architects, 
historians, or other professionals must meet 
qualification standards set by NFS. Selection 
may be based on experience, qualifications and 
cost, rather than cost alone. In many States, the 
SHPO requires that the CLG consult with it 
before consultants or contractors are selected. 



Can CLG grant funds be used to buy 
supplies or equipment? 

Yes. Most local. State, and Federal regulations 
require price comparisons and a competitive 
selection process in purchasing equipment, 
negotiating a lease, or procuring nonprofes- 
sional services. Generally, State and local 
procurement regulations apply. Some SHPOs 
require grantees to request prior approval for 
purchases greater than $500 in value. 



How long must records on grant 
expenditures be kept? 

The grant agreement usually specifies records 
requirements. Documentation relating to the 
fiscal aspect of any grant project usually must 
be kept for a minimum of 3 years after the date 



11 



of receipt of the last payment (i.e. reimburse- 
ment under a CLG grant), or until an audit for 
the grant period is accepted. 

Where can I find additional information 
on CLG grants? 

Your SHPO can answer any questions you 
might have. Many SHPOs have a grants manual 
describing the procedures used in that State for 
applying for and administering CLG grants 
(including any additional State requirements 
beyond those described in this brochure). 



Afield lecture held as a CLG conference. 




12 



State Historic Preservation Officers 

ALABAMA State Historic Preservation Officer, Alabama 
Historical Commission 

468 South Perry Street, Montgomery, Alabama 36130-0900 
ALASKA Chief, History and Archeology, Department of 
Natural Resources Division of Parks and Outdoor Recreation, 
3601 C Street, Suite 1278, Anchorage, Alaska 99503-5921 
ARIZONA State Historic Preservation Officer, Office of 
Historic Preservation, Arizona State Parks, 1300 W. Washing- 
ton, Phoenix, Arizona 85007 

ARKANSAS Director, Arkansas Historic Preservation 
Program, 1500 Tower Building, 323 Center Street, Little Rock, 
Arkansas 72201 

CALIFORNIA State Historic Preservation Officer, Office of 
Historic Preservation, Department of Parks and Recreation, 
RO. Box 942896, Sacramento, California 94296-0001 
COLORADO State Historic Preservation Officer and 
President, Colorado Historical Society, Colorado History 
Museum, 1300 Broadway, Denver, Colorado 80203-2137 
CONNECTICUT State Historic Preservation Officer and 
Director, Connecticut Historical Commission, 59 South 
Prospect Street, Hartford, Connecticut 06106 
DELAWARE Delaware State Historic Preservation Office, 15 
The Green, Dover, DE 19901 

FLORIDA State Historic Preservation Officer and Director, 
Division of Historical Resources, Department of State, R. A. 
Gray Building, 500 S. Bronough Street, Tallahassee, Florida 
32399-0250 

GEORGIA Director, Historic Preservation Division, Depart- 
ment of Natural Resources, 500 The Healey Building, 57 
Forsyth Street, NW., Atlanta, Georgia 30303 
HAWAII State Historic Preservation Officer, Department of 
Land and Natural Resources, 33 South King Street, 6th Floor, 
Honolulu, Hawaii 96813 

IDAHO State Historic Preservation Officer, 1109 Main St., 
Suite 250, Boise, ID 83702-5642 

ILLINOIS Associate Director, Illinois Historic Preservation 
Agency, Preservation Services Division, Old State Capitol, 
Springfield, Illinois 62701 

INDIANA State Historic Preservation Officer and Director, 
Department of Natural Resources, 402 West Washington 
Street, Room W 256, Indianapolis, Indiana 46204 
IOWA Administrator and SHPO, State Historical Society of 
Iowa, 600 East Locust Street, Des Moines, Iowa 50319-0290 
KANSAS Executive Director, Kansas State Historical Society, 
Cultural Resources Division, 6425 Southwest 6th Avenue, 
Topeka, Kansas 66615-1099 

KENTUCKY State Historic Preservation Officer & Director, 
Kentucky Heritage Council, 300 Washington Street, 
Frankfort, Kentucky 40601 

LOUISIANA Assistant Secretary, Office of Cultural Develop- 
ment, P.O. Box 44247, Baton Rouge, Louisiana 70804 
MAINE Director, Maine Historic Preservation Commission, 
55 Capitol Street, Station 65, Augusta, Maine 04333-0065 
MARYLAND Executive Director, Historical and Cultural 
Programs, Department of Housing and Community Develop- 



13 



ment. Peoples Resource Center, 100 Community Place, 
Crownsville, Maryland 21032-2023 
MASSACHUSETTS State Historic Preservation Officer, 
Executive Director, Massachusetts Historical Commission, 
Massachusetts Archives Facility, 220 Morrissey Boulevard, 
Boston, Massachusetts 02125 

MICHIGAN Supervisor of the State Historic Preservation 
Office, Michigan Historical Center, Department of State, 717 
W. Allegan, Lansing, Michigan 48918 
MINNESOTA Director and State Historic, Preservation 
Officer, Minnesota Historical Society, State Historic Preserva- 
tion Office, 345 Kellogg Boulevard West, St. Paul, 
Minnesota 55102 

MISSISSIPPI Director, State of Mississippi Department of 
Archives and History, P.O. Box 571, Jackson, Mississippi 
39205 

MISSOURI Director, Department of Natural Resources, P.O. 
Box 176, Jefferson City, Missouri 65102 
MONTANA State Historic Preservation Officer, Montana 
Historical Society, 1410 8th Avenue, PO. Box 201202, Helena, 
Montana 59620-1202 

NEBRASKA Director, Nebraska State Historical Society, 1500 
R Street, PO. Box 82554, Lincoln, Nebraska 68501 
NEVADA State Historic Preservation Officer, Department of 
Museums, Library and Arts, 100 S. Stewart Street, Capitol 
Complex, Carson City, Nevada 89710 
NEW HAMPSHIRE Director, Division of Historical Re- 
sources, PO. Box 2043, Concord, New Hampshire 03302-2043 
NEW JERSEY Commissioner, Dept. of Environmental 
Protection, CN-402, 401 East State Street, Trenton, 
New Jersey 08625 

NEW MEXICO Director, State Historic Preservation Division, 
Office of Cultural Affairs, Villa Rivera Building, 3rd floor, 228 
E. Palace Avenue, Santa Fe, New Mexico 87503 
NEW YORK Commissioner, Office of Parks, Recreation and 
Historic Preservation, Empire State Plaza, Agency Building 1, 
20th Floor, Albany, New York 12238 
NORTH CAROLINA Director, Department of Cultural 
Resources, Division of Archives and History, 109 East Jones 
Street, Raleigh, North Carolina 27601-2807 
NORTH DAKOTA Superintendent, State Historical Society of 
North Dakota, ND Heritage Center, Bismarck, North Dakota 
58505 

OHIO State Historic Preservation Officer, Ohio Historic 
Preservation Office, Ohio Historical Society, 567 E. Hudson 
Street, Columbus, Ohio 43211-1030 
OKLAHOMA Executive Director, Oklahoma Historical 
Society and State Historic Preservation Officer, Wiley Post 
Historical Building, 2100 N. Lincoln Boulevard, Oklahoma 
City, Oklahoma 73105 

OREGON Director, Oregon Parks and Recreation Depart- 
ment, 1115 Commercial Street NE, Salem, Oregon 97310-1001 
PENNSYLVANIA State Historic Preservation Officer, 
Pennsylvania Historical and Museum Commission, P.O. Box 
1026, Harrisburg, Pennsylvania 17108-1026 
RHODE ISLAND State Historic Preservation Officer, 
Historical Preservation Commission, Old State House, 150 
Benefit Street, Providence, Rhode Island 02903 

14 



SOUTH CAROLINA Director, Department of Archives and 

History, P.O. Box 11669, Capitol Station, Columbia, South 

Carolina 29211 

SOUTH DAKOTA State Historic Preservation Officer, South 

Dakota State Historical Society, 900 Governors Drive, Pierre, 

South Dakota 57501-2217 

TENNESSEE Deputy Commissioner and State Historic 

Preservation Officer, Department of Environment and 

Conservation, 2941 Lebanon Road, Nashville, Tennessee 

37243-0442 

TEXAS Executive Director, Texas Historical Commission, 

RO. Box 12276, Capitol Station, Austin, Texas 78711 

UTAH State Historic Preservation Officer and Director, Utah 

State Historical Society, 300 Rio Grande, Salt Lake City, Utah 

84101 

VERMONT State Historic Preservation Officer and Director, 

Agency of Development and Community Affairs, Vermont 

Division for Historic Preservation, 135 State Street, Drawer 

33, Montpelier, Vermont 05633-1201 

VIRGINIA Director, Department of Historic Resources, 221 

Governor Street, Richmond, Virginia 23219 

WASHINGTON Assistant Director of the Community 

Preservation and Development Division, Department of 

Community Development, 111 West 21st Avenue, S.W., 

Olympia, Washington 98504 

WEST VIRGINIA State Historic Preservation Officer and 

Commissioner, Division of Culture and History, Capitol 

Complex, Charleston, West Virginia 25305 

WISCONSIN State Historic Preservation Officer, State 

Historical Society, 816 State Street, Madison, Wisi 

WYOMING State Historic Preservation Officer, 

State Historic Preservation Office, Department o\ 

6101 Yellow^stone, Cheyenne, Wyoming 82002 

Acknowledgments 

FEDERAL 

This brochure was developed by staff of AMPLICATION 

Heritage Preservation Services Division, National 
Park Service, Washington Office with assistance 
from the NPS Field Offices. Additional input was 
provided by SHPO CLG Coordinators and Grants 
Managers across the country. Photographs were 
provided by National Alliance of Preservation 
Commissions. 

For further information about the Certified Local 
Government Program contact: 
Certified Local Government Program Coordina- 
tor 

Heritage Preservation Services Division (2255) 
National Park Service 
PO. Box 37127 
Washington, DC 20013-7127 




Clemson University 



updated 1996 

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057