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 0 8 1996

. CLEMSON
I IBRARY

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U.S. Department of the Interior
National Park Service

Cultural Resources

Heritage Preservation Services

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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;

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• 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.

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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.

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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.

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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.

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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.

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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

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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.

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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-

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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

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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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