State Form 50554 (R4 / 8-05)
Indiana Department of Natural Resources Division of Historic Preservation and Archaeology 402 West Washington Street, Room #W274 Indianapolis, IN 46204-2739 317-232-1646
HISTORIC PRESERVATION FUND
ACQUISITION AND DEVELOPMENT
GRANT APPLICATION PACKET
For Federal Fiscal Year 2006
A PROGRAM OF THE NATIONAL PARK SERVICE, U.S. DEPARTMENT OF THE INTERIOR ADMINISTERED BY THE INDIANA DEPARTMENT OF NATURAL RESOURCES, DIVISION OF HISTORIC PRESERVATION AND ARCHAEOLOGY
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FY2006 HISTORIC PRESERVATION FUND ACQUISITION AND DEVELOPMENT GRANT APPLICATION INTRODUCTION
The Division of Historic Preservation and Archaeology (DHPA), part of the Indiana Department of Natural Resources, is the state agency responsible for the administration of the National Historic Preservation Act of 1966. This Act authorizes the Secretary of the Interior, through the National Park Service, to provide money from the Historic Preservation Fund (HPF) to the states for the purpose of carrying out historic preservation activities. In Indiana, a large portion of these funds are allocated as matching grants to various parties who agree to undertake specific projects that will assist the State in meeting its preservation goals and objectives. The information on the following pages describes the grant program more fully and explains the process for requesting grant funds. Grant applications for FY2006 will be accepted by the Division of Historic Preservation and Archaeology until 5:00 p.m. Friday, October 14, 2005. After evaluation by DHPA Staff, all applications (except any that propose non-eligible activities) will be presented to the Indiana Historic Preservation Review Board at its first meeting in 2006, which is tentatively scheduled for late-January. This Board will select for funding those projects, which best meet the state and federal guidelines and priorities for the HPF matching grants program. Applicants will be notified of the Board's decision regarding their project proposals no later than February 28, 2006. However, no work can begin until a formal grant agreement has been concluded between the applicant and the State. This process is normally completed by the end of April or May. All grant projects MUST be completed by June 30, 2007.
PART I: GENERAL GUIDELINES
A. Types of Projects Federal regulations specify that only certain types of preservation projects are eligible for funding under this grants program, including Architectural and Historical projects, Archaeological projects, and Acquisition and Development projects. This application packet is designed specifically for Acquisition and Development projects, which include the following: 1. The preservation, rehabilitation, or restoration of a site, structure, object, or other resource currently listed in the National Register of Historic Places, or for which a nomination has already been submitted to the DHPA for review and which will be listed before the proposed project begins. (See Part I, Section B.2. for further details.) The resulting work must be conducted in accordance with the Secretary of the Interior's Standards for the Treatment of Historic Properties (see Appendix B). Top priority is given to projects that will result in the structural stabilization of threatened or endangered historic resources. Please contact the DHPA if you have any questions about this type of project, or if you need more detailed information concerning the Secretary of the Interior's Standards. Note that the "reconstruction" of a historic building or structure is an allowable activity under the National Park Service guidelines for this grants program; however, the DHPA Staff and the constituents of Indiana have determined this activity to be a low priority item for funding consideration. Please contact the DHPA before applying for a reconstruction project.
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The purchase (acquisition) of a site, structure, object, or other resource currently listed in the National Register of Historic Places, or for which a nomination has already been submitted to the DHPA for review and which will be listed before the proposed project begins. (See Part I, Section B.2. for further details.) Note that while "acquisition" of a historic building or structure is an allowable activity under the National Park Service guidelines for this grants program, the DHPA Staff and the constituents of Indiana have determined this activity to be a low priority item for funding consideration. Please contact the DHPA before applying for an acquisition project as additional forms and documentation may be required to complete the grant application. Under the approved evaluation criteria, certain activities are considered to be high or middle priority work items, while other activities are deemed to be lower priority work items. A proposed project may sometimes include a mix
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of different priority activities. In general, however, the competition for grant funds does not allow for the funding of low priority work items. Contact the DHPA Grants Staff if you have any questions about the eligibility of specific work items. High Priority Work Items: Stabilization of an endangered National Register-listed property Preservation of an endangered National Register-listed property Rehabilitation of an endangered National Register-listed property Restoration of an endangered National Register-listed property Middle Priority Work Items: Preservation of a non-endangered National Register-listed property Rehabilitation of a non-endangered National Register-listed property Restoration of a non-endangered National Register-listed property Utilities upgrades for a National Register-listed property Preservation or restoration of interior features of high cultural or artistic value at a National Register-listed property Low Priority Work Items: Acquisition of a National Register-listed property General interior rehabilitation of a National Register-listed property Other non-urgent rehabilitation activities at a National Register-listed property Undertakings for improvement of functionality, such as improved access and/or energy conservation, at a National Register-listed property Ineligible/Unallowable Work Items: New construction Landscaping (other than grading necessary to correct drainage problems) Directional and/or interpretive signage Museum exhibits Any priority work items at a property that is NOT National Register-listed B. Eligibility Requirements 1. Applicant Eligibility: Eligible applicants include (a) private, non-profit organizations with 501(c)(3) tax exempt status (including local historical societies and preservation organizations), (b) educational institutions (including public and private schools, colleges, and universities), and (c) local governmental units (including city and county agencies and commissions funded by a consortium of local governments). Individuals and private, for-profit entities are not eligible to receive grant funds because federal regulations prohibit grant recipients from making a financial profit as a direct result of the grant-assisted project. Federal regulations do not allow grant funds to be awarded to active religious organizations, or to be used to assist buildings that are used primarily for religious functions. Note also that state and federal auditing and income tax regulations prevent the DHPA from making a grant award to an organization which is not incorporated, or which does not otherwise exist as a legal entity. Property Eligibility: Properties to be assisted with grant funds MUST be listed in the National Register of Historic Places at the time of application, OR they must be in the nomination process and have passed both technical and substantive review at the time of application. The DHPA is forbidden from investing grant funds into properties that are not listed in the National Register; therefore, applicants should not submit grant applications for properties that are not currently listed without the approval of the DHPA Staff. Properties may be listed individually, or they may be listed as contributing resources within listed historic districts. Note that properties within the boundaries of historic districts that are designated as "non-contributing" (NC) are not eligible to receive grant funding. Properties listed in the State Register of Historic Sites and Structures that are not also listed in the National Register of Historic Places are not eligible to receive grant funding. Please note
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that a County Interim Report listing does not imply a National Register listing. To find out the National Register status of a property, contact the DHPA National Register Staff. 3. Eligibility of Proposed Work Items: All proposed work must conform to the "Secretary of the Interior's Standards for the Treatment of Historic Properties" (see Appendix B). Work that does not conform to these Standards is not eligible for reimbursement under this program. The Secretary of the Interior's Standards provide common sense guidelines for rehabilitation efforts that will respect original historic fabric and the patina of age while returning the building or structure to a state of utility within reasonable financial limitations. Protective Covenants: The terms under which all Acquisition and Development grants are made requires the State to hold a protective covenant on any property purchased or rehabilitated using federal money, as a means of protecting the public's interest in that property. These covenants require the grant recipient to maintain their property so as to preserve the historical and architectural integrity of the features, materials, appearance, workmanship, and environment that made the property eligible for listing in the National Register of Historic Places, and to prevent inappropriate, incompatible, and/or irreversible changes to the property in the future. Properties receiving $2,000 to $25,000 will have a covenant in place for a period of five (5) years; properties receiving $25,001 to $50,000 will have a covenant in place for a period of ten (10) years. The covenant must be legally recorded with the title to the property before any grant funds can be released by the DHPA. Throughout the duration of the covenant, the grant recipient must request written approval from the DHPA before beginning any work on the property, other than day-to-day maintenance. DHPA approval will be given only if the proposed work meets the Secretary of the Interior's Standards. DHPA staff will also conduct periodic, unannounced site inspections to monitor compliance with the covenant.
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C. Project Personnel A Project Coordinator must be designated for any grant-assisted project. In addition, the majority of projects require a Principal Investigator. Grant applicants MUST designate a Project Coordinator on their grant proposal; however, they may designate a Principal Investigator at a later date if one is to be hired and paid using grant funds. The Project Coordinator is the person authorized to represent the grant recipient/project sponsor in the day-to-day administration of the project. The Project Coordinator is responsible for ensuring the progress and timely completion of all work on the project, and also for submitting progress reports and reimbursement requests to the Division of Historic Preservation and Archaeology. The Project Coordinator is also the DHPA's contact for all correspondence relating to the project. While it is obvious that the Project Coordinator must be a capable, reliable, and conscientious person, there are no academic or professional requirements for this position. The Principal Investigator is the person who conducts or supervises the professional aspects of the grant project. It is the Principal Investigator that is held responsible for the quality of the final product, including any remedial work that may be required by the State. Note that the State is prevented by federal regulations from paying for work that does not meet professional standards. The Principal Investigator must meet the requirements listed in 36 CFR 61 for the appropriate discipline, and must be able to demonstrate previous experience on a similar project. (See Appendix A -- 36 CFR 61 Professional Qualifications.) In most instances, the Principal Investigator for an Acquisition and Development project must either be an architect or an independent general contractor not working on the project. The Principal Investigator must be someone professionally capable of inspecting the rehabilitation work, verifying that the work performed conforms to the approved plans and specifications, and protecting the interests of the property owner/project sponsor. In some instances it is not necessary to designate a Principal Investigator at the time of application. If the services of the Principal Investigator are included in the project budget, but the individual is not an agent or employee of the sponsoring organization, his/her services must be procured according to federal and state requirements. In this case, indicate that the Principal Investigator is: "To Be Selected." It is possible for one person to serve as both Project Coordinator and Principal Investigator, assuming that he or she has the necessary qualifications, experience, and ability. Grant applicants should contact the DHPA if they have any questions regarding these two positions.
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The Property Owner's Agent must be designated in rare instances when the project sponsor organization does not own the property to be rehabilitated with grant assistance. This person must be either the property owner or someone authorized to act on behalf of the property owner. The Property Owner's Agent shall be a primary point of contact for the Project Coordinator, the Principal Investigator, and the DHPA. Specifically, the Property Owner's Agent must coordinate access to the property, posting of the project sign, and execution of the covenant document. Note that the property owner and the Property Owner's Agent are bound to the terms and conditions of this grant agreement also. Failure to abide by these conditions may result in cancellation of the grant award. D. Funding Levels All funds distributed through the HPF grants program are awarded in the form of matching grants, which require the grant recipients or sponsoring organizations to supply a certain percentage of the total project costs. Acquisition and Development projects are eligible for grant funding in the amount of 50% of the total project costs; the grant recipient must pay the remaining 50% of the total project cost. Questions regarding funding levels should be directed to the DHPA's Grants Staff. It is the general policy of the Division of Historic Preservation and Archaeology, when funding projects, to provide the maximum amount of financial support possible. Note, however, that under some circumstances, a grant providing a lesser amount of funding might be offered, with a request for a corresponding reduction in the proposed scope of work. It would then be up to the grant applicant, after consultation with the DHPA, to decide whether or not to modify the proposed scope of work, accept the grant award, and proceed with the project. The Indiana Historic Preservation Review Board reserves the right to reject grant applications that do not include an adequate project description, or that include project budgets not commensurate with the product(s) to be created or the amount of work to be done. The DHPA estimates that between $500,000 and $600,000 will be available for distribution as grant awards. This funding amount will be distributed as follows: approximately 53% will be targeted for Acquisition and Development projects, approximately 22% will be targeted for Architectural and Historical projects, and approximately 25% will be targeted for Archaeological projects. The grant amount requested for an Acquisition and Development project must be at least $2,000, but cannot exceed $50,000. E. Matching Share Because HPF grant funds can provide only a portion of the total costs of a project (as explained in D. Funding Levels, above) and must be matched at the ratio stipulated in the grant agreement, the grant applicant must make arrangements to provide the Matching Share. This can be done by having the grant applicant commit its own funds or services to the project, by arranging for donations of goods, services, and volunteer labor from interested third parties, or by a combination of these two methods. The Matching Share can be in the form of cash, donated inkind services and goods, volunteer time, or any combination of these three categories. For more information on the various types of Matching Share, refer to Part II, Section F of this document. F. Procurement When Historic Preservation Funds are used to procure supplies, equipment, or personal services, the purchases must be made in compliance with state and federal standards. Any procurement that takes place prior to the official start date of the grant is void and not reimbursable under this grants program. Any procurement that does not comply with state and federal fair procurement and open selection standards is also void and not reimbursable. Procurement requirements will be covered in detail during the initial meeting between the grant recipients and the DHPA Staff. Therefore, no procurement should take place until a grant award has been made by the State, the project begin date has passed, and the DHPA Grants Staff has conducted the grant project start-up meeting. G. Submitting Reimbursement Requests Historic Preservation Fund grants are reimbursement grants. This means that the grant recipient may only receive money from the State after providing the DHPA Grants Staff with appropriate documentation
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showing that project costs have been incurred and that some portion of local matching funds have been expended. The DHPA normally provides grant recipients with prompt grant payments when quarterly progress reports have been filed on time and when proper reimbursement requests have been submitted. However, 15% of the total grant amount will be retained until the final product has been reviewed and approved by the appropriate DHPA Program Area Staff. Specific instructions on filing reimbursement requests are contained in the Grants Manual, which will be supplied to grant recipients during the initial meeting with DHPA Staff. Normally, the grant recipient can expect to receive payment within 30 days of submitting a reimbursement request. No grant project may result in a net financial profit for any party. Any funds generated in the course of a grant project will be considered as "program income," and must be applied toward the total project costs. This reduction of the total project costs will result in a corresponding reduction of the grant award. Applicants who believe they may generate program income as a result of the proposed project should consult with the DHPA's Grants Staff for advice before completing this application. H. The Application Process In order to apply for an Historic Preservation Fund (HPF) grant, carefully complete this application in accordance with the instructions set forth in Part II of this document. Applications must be received in the Division of Historic Preservation and Archaeology no later than 5:00 p.m. Friday, October 14, 2005 this is NOT a postmark deadline. Please note that any application received after this deadline will not be considered for funding and will be returned to the applicant. Completed applications and/or questions should be addressed to: Grants Section Division of Historic Preservation and Archaeology 402 West Washington Street, Room W274 Indianapolis, Indiana 46204-2739 Additional information or advice on the HPF program may be obtained by contacting Steve Kennedy or Malia Savarino of the DHPA Grants Staff at (317) 232-1646, FAX (317) 232-0693, or by e-mail at [email protected] or [email protected].
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PART II: INSTRUCTIONS FOR APPLYING FOR FUNDS
All of the various forms needed to apply for grant funds are attached. Please supply five copies (one original and four photocopies) of the complete proposal. Specific instructions for each of these items are contained in items A through J below. Assemble five application packets (one with all original documents and four with all photocopies), with the parts put together in the order shown below. Whenever possible, please use the forms provided or photocopies of the original forms. Completed grant applications MUST include all of the following: Proposal Cover Sheet Grant Application Checklist Project Description and Timetable Statements on Meeting State Priorities (Administrative and Categorical) Project Budget Matching Share and Letters of Commitment Signed Federal Forms (4 total) Signed Statement of Understanding Part V Assurances Signed Certification Regarding Debarment Assurance of Compliance H. Letters of Support I. Resume(s) J. 35mm Slides of the Subject Property A. Proposal Cover Sheet This form (attached) should be completed and signed by an authorized party. Specific instructions for completing this form are given below. 1. The Project Title should reflect the kind of project that the grant applicant has proposed in this application (for example, the "Corydon Public Library Roof and Masonry Rehabilitation"). Allowable project types can be found in Part I, Section A. The Project Sponsor is the legal entity applying for the grant (municipal government agency, educational institution, or not-for-profit organization with 501(c)(3) status). If the grant proposal is successful, it is the Project Sponsor who will be offered funding. The Project Sponsor also has the ultimate legal and financial responsibility for the project. Ordinarily, the Project Sponsor is also the Property Owner. The Federal Employer's Identification Number. This is required as part of state and federal auditing and income tax regulations. The Congressional District in which the project is located. This information is required by the National Park Service. The name of the Project Coordinator as the individual designated by the Project Sponsor to administer the project. (See Part I, Section C, and submit the resume of this person.) The name of the Principal Investigator as the professional responsible for ensuring that the final product meets all applicable state and federal standards. (See Part I, Section C.) In some cases, the P.I. will be a member of the project sponsor organization and can be named in the application. If a member of the Project Sponsor's staff is to be the Principal Investigator, please submit a current resume. If a P.I. is donating services, or is being paid off-budget from the grant, please provide the name of this person. If the Principal Investigator is not a current employee of the Project Sponsor, but will be hired later if the grant application is funded, insert "To Be Selected" in this space. Please note that any P.I. receiving payment for services as part of the grant budget MUST be hired according to federal and state procurement standards and contracts should not be arranged prior to the grant start-up. Additional information on selecting professionals can be found in Part II, Section E (6). A. B. C. D. E. F. G.
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Indicate the amount of federal funding requested, the matching share, and the total project cost on the appropriate lines. Note that these figures must be consistent with those contained on the subsequent Project Budget and Matching Share pages of the application. Indicate the proposed schedule for the project. Do not anticipate starting any project prior to May 1, 2006; due to federal delays, clearance to begin a project is sometimes not granted until June. Note also that the ending date is to be no later than June 30, 2007. Supply the information specifically requested in lines A through D. All grant projects must produce recognizable (and preferably tangible) products that are commensurate with the funds to be expended. Contact the Division of Historic Preservation and Archaeology if there is any confusion regarding this item.
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10. List the historic name (if any) of the property and its full address. List the name and address of the owner of record of the historic property. List the name and contact information of the Property Owner's Agent, if applicable. B. Grant Application Checklist After completing all parts of the grant application, refer to the Grant Application Checklist (attached) for instructions on how to assemble the parts of the application, and how many copies of each part are required to be submitted. Next, check off the items on the list, and submit the Checklist as part of the grant application. C. Project Description and Timetable Please supply a narrative statement that: 1. Provides a detailed description of the project, including the reasons for undertaking the project. For development projects, be sure to include a description of the current building conditions, the specific problems that need to be addressed, and the proposed repairs. If the proposed grant-assisted work is one phase of a larger project, briefly describe the overall project and how the grant project fits into the phases of work. Please be as detailed and thorough as possible. States the project goals and methodology, and indicates how the project would benefit the State and/or the local community. Lists and describes the products that will result from the project (e.g., specific repairs made to historic buildings, such as roof replacement, masonry rehabilitation, gutter installation, etc.). Please be as detailed and thorough as possible. Outlines a proposed time frame for the project that includes both starting and ending dates, as well as a detailed breakdown of any phases or major parts of the project. Detailed breakdowns that cover procurement, review of design documents, and all work activities are strongly encouraged. Projects with ending dates later than June 30, 2007 cannot be considered for funding. Please be as detailed and thorough as possible.
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This narrative should be as clear and comprehensive as possible, and should include sufficient detail to define fully the proposed scope of work and the timeframe in which the project will be completed. In most cases, this narrative should be two to four pages in length. D. Statements on Meeting State Priorities Attached you will find two different lists of priorities which the State has identified to help evaluate proposed grant projects. The priorities are based on federal requirements and recommendations, the Division's own established needs and plans, and public input from constituents throughout the state. It is critical that applicants prepare thorough responses to BOTH the Administrative Priorities and the Acquisition and Development Priorities
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when completing the application. The responses to these sets of priorities are what the DHPA Staff uses to evaluate and score your proposal. Without clearly detailed and thorough responses, your proposal may not score high enough to be recommended for grant funding. Please contact the DHPA if there is any uncertainty regarding the specific priorities that are applicable to your project. It is unlikely that any single project will address every priority. Similarly, some projects may only partially address certain criteria. When a proposed project does not address a particular criterion, the applicant should respond with "Proposed project does not meet this criterion," or "Not Applicable." Grant applicants should address this section of the application carefully and thoroughly, and should demonstrate to the greatest extent possible how the proposed project relates to the DHPA's criteria. Staff recommendations will be prepared based on the point scores earned through this exercise. Grant awards will not be made to any applicant scoring fewer than 62 points on the Administrative Priorities. Final authority on distribution of Indiana's HPF grant funds rests with the Indiana Historic Preservation Review Board. A copy of the Division's procedures for the grant selection process is attached (Appendix D). E. Project Budget Complete the attached Project Budget form. For information on allowable and unallowable costs, please refer to Appendix C of this application packet. Be sure to account for the total cost of the proposed project, not just the federal share. Please complete each line, and insert "0" when the budget contains no costs for that particular lineitem. If grant funding is offered, reimbursements may only be made for costs incurred in the line-items that include these original budget figures. The budget must be broken down as follows: 1. Personnel. This category refers only to persons on the regular payroll of the sponsoring organization. Persons employed on a contractual basis for the sole purpose of working on the grant-assisted project should be included in the "Contractual" line-item in the Budget. Fringe Benefits. Fringe benefits for paid personnel are an allowable cost. To facilitate the budget process, fringe benefit expenses are often expressed as a percentage of the "Personnel" cost. Volunteer Personnel. This category refers to persons who donate their time towards the completion of the grant-assisted project. Volunteer time is valued at minimum wage plus one dollar ($6.15/hour) unless other arrangements are made in advance with the Division of Historic Preservation and Archaeology. Note that, in general, the State prefers to fund projects that include little or no Volunteer Personnel time, since it is often difficult for the Project Sponsor to keep volunteers working on a set schedule. Travel. Travel expenses may not exceed the Indiana State Auditor's rate of $.34 per mile. If the project involves travel outside the State of Indiana, please note this in the budget and provide a justification in the Project Description. Supplies. Only those items necessary for the completion of the project may be purchased under this grant. Note that any single item costing more than $250 is considered to be equipment, and not a supply item. Historic preservation grant funds cannot be used to purchase equipment without advance written permission from the Division of Historic Preservation and Archaeology. Contractual. This category refers to the cost of professionals engaged to work on the project on a contractual basis. Note that federal regulations require an open selection process in the hiring of all consultants and contractors connected with a federally-funded project. The grant recipient must either advertise the position or distribute a request for proposals to a minimum of five (5) qualified individuals and/or firms. After the open selection process, the Division of Historic Preservation and Archaeology must approve of the selected consultant or contractor before the grant recipient may hire them. Under federal regulations for this program, no person employed as a consultant (or volunteering their professional services) may be paid (or valued at) more than $60.00 per hour. When hiring consultants or contractors for a grant project, the subgrantee must also provide evidence that:
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The fee is appropriate considering the qualifications of the consultant/contractor, the fees which the consultant/contractor ordinarily charges, and the nature of the services to be provided; and, That no consultant/contractor with equal experience and qualifications is available for a lesser amount. The Division of Historic Preservation and Archaeology reserves the right to reject consultants and contractors selected by grant recipients to work on grant projects. Consultants who have failed to perform adequately on past preservation projects will not be approved (whether the Division of Historic Preservation and Archaeology either funded the project or merely reviewed the project in the course of administering state and federal preservation programs in Indiana). The grant applicant is warned not to make any commitments to any parties prematurely, as this could make the applicant ineligible for grant funding. Additional information on contracting with consultants may be found in the DHPA Grants Manual, which will be supplied to grant recipients with their award letter. 7. Other. Costs that do not fall into any of the above categories should be entered on this line. Examples of items often accounted for here include printing and publishing expenses. Please indicate the nature of any expenses listed in this category. Note that Acquisition and Development projects often require the formal advertisement of bidding opportunities in several newspapers. These costs often amount to several hundred dollars, and should be included in the project budget. Questions regarding advertisement costs should be directed to the DHPA Grants Staff.
Note: Only direct project costs are allowable -- indirect costs are NOT allowable expenses under this program. The DHPA Staff will automatically eliminate indirect costs from project budgets whenever they appear. This may severely alter a proposed project's budget, and may jeopardize its ability to be properly executed should grant funding be awarded. The grant recipient must also keep accurate records of all expenditures. These records must be able to satisfy the requirements of a federal audit. F. Matching Share The matching share is the amount of funding that the Project Sponsor is responsible for having "up-front," equal to 50% of the total project cost. Please indicate the source of the matching share. If elements of the matching share are being provided by entities other than the sponsoring organization, attach copies of letters from those entities showing a firm and binding commitment to provide the promised donation. The "Certification of Matching Share" must be signed by the person legally authorized to commit the sponsoring organization and its funds. There are three categories of Matching Share: 1. Cash. When grant recipients use their own funds to purchase goods or services specifically for the grant project (i.e., goods or services that recipients would not otherwise be purchasing as part of their own on-going programs), or when a third party donates cash to the grant recipient for the same purpose, it is considered to be a cash donation to the grant project. This would include situations where grant recipients are using their own personnel or funds to perform some or all of the grant work, by drawing supplies from their own supply room, or to hire a temporary employee or a consultant solely and specifically to work on the grant project; where they use their own funds to purchase supplies for use on the project that are not ordinarily stocked in their own supply room; or where they receive cash from a third party to help them do any of the preceding activities. In-Kind Services and Goods. When a third party provides professional services or supplies to assist the project, it is considered to be an in-kind donation to the grant project. See Volunteer Services to differentiate In-Kind Professional Services from general volunteers. Volunteer Services. When the grant recipient arranges to have individuals perform work on the project without any remuneration, it is considered to be a volunteer services donation to the grant project. Establishing the value of volunteer services can be difficult. If the volunteer is normally a paid professional in a given field of endeavor, and is providing free services in that same field, then it is usually possible to value the volunteer's time using their regular hourly rate of pay. In that case, the services are considered an Professional In-Kind donation and should be listed under "In-Kind." However, such an arrangement must be approved in advance
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by the Division of Historic Preservation and Archaeology. Ordinarily however, volunteer services are valued at minimum wage plus one dollar ($6.15/hour). Accurate time sheets must be kept to document the amount of volunteer services performed. Note that the grant applicant may use any combination of these three forms of match. Ordinarily, however, some amount of cash will be required to initiate the project, since grant funds are paid out on a reimbursement basis. Other Grant Funds Used As Match to the HPF Grant: In some cases, it may be possible to use other grant funds as match against the HPF grant funds. However, such grant funds MUST NOT be funds from a federal source or pass-through funds that are federal in origin. If non-federal grant funds are to be used as match, be cautioned that the matching funds should be immediately available for the grant applicant to use. If the matching funds are from a reimbursement grant program (like the HPF), the grant applicant MUST have some amount of cash documented in the match in order to leverage both sources of federal and non-federal grant funds. If there are questions about the eligibility of matching funds, please contact the DHPA Grants Staff. Multiple Grants Used on the Same Project: Most grant programs, whether public or private, will require some amount of local match. Be advised that in most cases, it is not allowable to use the same local funds as match against two separate grants, in effect, counting the same dollars twice. Ordinarily, each grant must have its own matching funds that are dedicated solely to that grant. If there are questions about using other grants within a project, please contact the DHPA Grants Staff. G. Signed Federal Forms (4 total) The following forms must be signed by the person who is legally authorized to commit the applicant organization: (a) Statement of Understanding, (b) Part V -- Assurances, (c) Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion, and (d) Assurance of Compliance. Review these statements carefully before signing them, and contact the DHPA if any questions arise. Executive Order 12549 (as given in 43 CFR Part 12, Section 12.510) states that entities debarred or suspended from participation in transactions with any federal department or agency are likewise debarred from transactions with other federal departments or agencies. Because federal historic preservation grant funds are passed on to grant recipients through the state, grant applicants must sign and return the Certification Regarding Debarment, to insure that they do not involve parties who are debarred in this proposed project. To determine whether an organization or entity has been debarred or suspended, contact the DHPA, or the General Services Administration at (202) 501-4873. A grant application cannot be considered for funding unless ALL of these documents have been executed and submitted. H. Letters of Support The DHPA strongly encourages grant applicants to supply letters of support from local elected officials, historical societies, community groups, business people, or other interested parties in order to demonstrate broad-based popular support for the proposed project. Letters of support must be drafted and dated so as to demonstrate that they concern a current and specific grant proposal. Ordinarily, copies of old support letters that were written for other purposes or for previous grant applications will not be counted by the DHPA. Note that the total number of current support letters accompanying the proposal earns points in the grant evaluation process. I. Resumes Please submit copies of the resume of the person who will act as Project Coordinator. If the grant-assisted project will include a Principal Investigator who is already a member of the Project Sponsor's staff, please include copies of this person's current resume with the project application. If no Principal Investigator will be used, or if a consultant will be hired later to serve as the Principal Investigator, it is not necessary to submit a resume for this position.
J. Slides
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For Acquisition and Development projects, the applicant is required to supply 35mm color slides illustrating the subject property and the nature of the work involved. The minimum number of slides required typically ranges from eight to twelve, depending on the complexity of the project; more than this number may be required for large projects. Applicants are requested to include at least two slides that show the principle facade(s) of the building or structure. In the case of extensive exterior rehabilitation projects, the applicant should submit one slide of each elevation or side of the building or structure. All other slides should be of the part(s) of the building or structure that is (are) the focus of the proposed project. The maximum number of slides to be submitted is twenty. Be sure to include detail shots of structural damage, deterioration, and areas in need of special attention. Without good visual evidence of the nature of a proposed project, it is difficult for the DHPA Staff to properly evaluate and score a grant proposal. Note that any and all slides, photographs, videotapes, and other visual or documentary materials submitted in support of HPF applications become the property of the DHPA. These materials cannot be returned to the applicant. For audit purposes, these materials must remain with the DHPA's program files, regardless of whether the proposal is funded or not. Submitting the Application Once the application is submitted to the DHPA, the Grants Staff will log-in the application and will verify that all of the required component parts are included. If any of the required parts of the grant application packet are missing, incomplete, or insufficient, the DHPA Staff will notify the applicant immediately. The applicant will then have approximately seven (7) days to submit any missing or incomplete parts. Any applications that remain incomplete at the time of Staff Review will have their scores reduced accordingly, or may be rejected altogether.
*There is a helpful list of FREE ADVICE at the end of application packet!*
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HISTORIC PRESERVATION FUND
ACQUISITION AND DEVELOPMENT PROJECT PROPOSAL Application for Federal Historic Preservation Funds Federal Fiscal Year FY2006
Administered by the Indiana Department of Natural Resources, Division of Historic Preservation and Archaeology: 402 West Washington St., Room W274, Indianapolis, Indiana 46204. Phone (317) 232-1646, FAX (317) 232-0693.
1.
Project Title:
___________________________________________________________________________ ___________________________________________________________________________
2.
Project Sponsor: ___________________________________________________________________________ Address: ___________________________________________________________________________ E-mail: _________________________ ________________________________ ________________________________ ________________________________
Daytime Phone: ________________ FAX: _________________ 3. 4. 5. Federal Employer's Identification # : U.S. Congressional District # : Project Coordinator's Name: Address:
___________________________________________________________________________ E-mail: _________________________ ________________________________
Daytime Phone: ________________ FAX: _________________ 6. Principal Investigator' Name: Address:
___________________________________________________________________________ E-mail: _________________________
Daytime Phone: ________________ FAX: _________________ 7. Project Budget Breakdown: a. b. c. 8. Total Project Cost: Amount of Federal Funding Requested: Amount of Non-Federal Match:
$ ______________________________ $ ______________________________ $ ______________________________
Proposed Project Schedule: Beginning Date (must be later than 4/30/06) : Ending Date (cannot be later than 6/30/07) : ________________________________ ________________________________
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9.
Supply the information requested below regarding the products to be created by this project. a. Is the property currently listed in the National Register of Historic Places? (Either listed individually or as a contributing resource within a listed district) If not, is the Nomination currently under review by the DHPA? If not, the property is not eligible to receive HPF grant funds. DO NOT PROCEED with submitting this proposal. Is the property a National Historic Landmark (1 of 35 in Indiana)? In what county is the property located? Is the project within a federally-designated flood area? If yes, attach a copy of the flood insurance policy or other proof of insurance. [ ] Yes [ ] Yes [ ] No [ ] No
b. c. d.
[ ] Yes
[ ] No
_____________________ [ ] Yes [ ] No
10. a.
Historic name of property: ________________________________________________________________ Property mailing address: ________________________________________________________________ ________________________________________________________________
b.
Property owner's name:
________________________________________________________________
Property owner's address: ________________________________________________________________ ________________________________________________________________ Daytime Phone: ________________ FAX: _________________ E-mail: _____________________
Note: If the Project Applicant or Project Sponsor does not own the subject property, a Property Owner's Agent must be designated to represent the Property Owner and act as signatory to the grant agreement and all of its requirements and conditions. c. Property Owner's Agent: ________________________________________________________________ Owner Agent's address: ________________________________________________________________ ________________________________________________________________ Daytime Phone: ________________ FAX: _________________ E-mail: _____________________
This application prepared and submitted by: Name and Title: Mailing Address: ________________________________________________________________ ________________________________________________________________ E-mail: _____________________ Date: _______________________
Daytime Phone: ________________ FAX: _________________ Signature: ________________________________________
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GRANT APPLICATION CHECKLIST
Please submit this completed checklist with the grant application. For proper staff consideration, the grant application MUST include the following parts, forms, and documentation: Proposal Cover Sheet Grant Application Checklist Project Description and Timetable Statements on Meeting State Priorities (Administrative and Categorical) Project Budget and Breakdown Signed Matching Share with Documentation and/or Letters of Commitment Signed Federal Forms (4 total): < Statement of Understanding < Part V -- Assurances < Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion < Assurance of Compliance Letters of Support Resumes of Project Coordinator and Principal Investigator 8-20 35mm Color Slides of the Subject Property
Instructions for assembling the grant application: A. Assemble these documents following the order given on the checklist. Make four (4) photocopies of all parts of the proposal packet. Applicants are strongly encouraged to make an additional copy of all documents to retain for their records. Combine the original documents into one application packet that is assembled following the order of the checklist above. This one application packet should contain each of the items listed on the checklist and should be clearly identified as the "Original" application. Combine the copies into four additional application packets that are assembled following the order of the checklist above. Submit the five (5) sets of the grant application (one original and four copies) to the DHPA prior to 5:00 p.m. on Friday, October 14, 2005. Applications MUST be received in the DHPA office prior to this deadline. This is not a postmark deadline -- late applications will not be accepted. Applicants are encouraged to submit their applications early.
B.
C.
D.
The DHPA will log-in each application, and will notify the applicant if any of the required parts of the grant application are missing, incomplete, or insufficient. The applicant will then have approximately seven (7) days to submit any missing or incomplete parts. Applications that remain incomplete at the time of Staff Review will have their scores reduced accordingly, or may be rejected altogether.
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FY2006 ADMINISTRATIVE PRIORITIES
Instructions: Provide complete but concise answers for each of the priority statements below. Please be as specific as possible in your answers, and explain exactly how the proposed project will meet the priority issues. Most projects will adequately address several priorities, while only partially addressing others, and will be scored accordingly. No project will address every priority statement. When a proposed project does not address a specific priority, mark "NA" as the response. Max. Score: 16 pts
Priority will be given to: 1. Projects that have clear and measurable goals and will result in the creation of valuable products for the State. Note that the scope of work must be realistic and commensurate with the amount of grant funding requested. Carefully describe the project methodology--how is the project going to be accomplished and what is the project going to produce? List the products or work items individually and specifically and include quantities if applicable (for example: Walking Tour Brochure, 500 copies). Please do not simply repeat the project description. Projects whose sponsors have an individual capable of grant administration to act as Project Coordinator. Provide the name of this person, list their qualifications and grant-administration experience (if any), and submit their resume with the project proposal. Note that the past performance of Project Coordinators on DHPA-funded grant projects is documented and will be considered. Projects whose sponsors have an individual capable to act as Principal Investigator. In some cases, the P.I. will be a member of the project sponsor organization and can be named in the application. In other instances, a P.I. will not have been identified at the time of application, but will be hired in the course of the grant. In this case, "To Be Determined" is a sufficient response and applicants will receive half credit for this criterion. Please note that any P.I. receiving payment for services as part of the grant budget MUST be hired according to federal and state procurement standards and contracts should NOT be arranged prior to the grant start-up. If a P.I. is donating services, or is being paid off-budget from the grant, please provide the name of this person, list their qualifications (they must meet applicable 36 CFR 61 qualifications) and any previous experience on grant projects, and submit their resume with the project proposal. Note that past performance of Principal Investigators on DHPA-funded grant projects is documented and will be considered. Projects that have realistic timetables. Include a detailed timetable that shows the approximate amount of time (days, weeks, or months) that will be devoted to each of the various phases, tasks, or components of the project. Simply providing begin and end dates for the project does not constitute an acceptable timetable. Projects that have realistic and reasonable budgets. Include a detailed budget breakdown, indicate exactly how the various budget figures (line items) were computed, and include copies of any estimates received. Provide a justification for any items that are unusually expensive or inexpensive (such as discounted or donated goods or services). Upon review of the proposal, the DHPA reserves the right to adjust the scope of work or the grant request in cases where the project budget is out of line with the products to be created. Projects whose sponsors have not received funding through the DHPA's grants program within the last three fiscal years. Indicate whether or not the project sponsor has ever received funding in the past from the DHPA, and list the years in which any grant assistance was received. Note that past performance of sponsoring organizations on DHPA-funded grant projects is documented and will be considered.
16 pts
2.
16 pts
3.
16 pts
4.
16 pts
5.
12 pts
6.
16
12 pts
7.
Projects that will be undertaken by a governmental agency that has been designated by the National Park Service as a Certified Local Government (CLG) for the purpose of carrying out historic preservation activities. Currently there are fifteen CLGs in Indiana: Bloomington, Crown Point, Elkhart, Evansville, Fort Wayne, Huntington, LaPorte, Logansport, Mishawaka, Monroe County, Muncie, Nappanee, Richmond, South Bend, and St. Joseph County. Indicate whether or not the project sponsor is a Certified Local Government. Projects that are "cosponsored" by a CLG and another entity will only receive 6 points. Projects whose sponsors can show evidence of broad-based community support by submitting letters endorsing the proposed project. These letters of support must be original, project-specific, and current, and should not be from any person or organization directly associated with the applicant. Support letters should be sought from historical societies, neighborhood organizations, elected officials, local businesses, and/or any other groups or individuals that might have an interest in the project. Submit these letters along with the project application, or have the authors forward them directly to the DHPA. The number of points awarded for this item depends on the number and variety of support letters submitted. Projects whose sponsors have 100% of the matching share on-hand and documented. Provide copies of bank statements, university-wide research program budgets, local government departmental budgets, or other documentation to demonstrate that all of the matching share funds are available. Applicants that claim to have 100% of the matching share but do not document it will NOT receive full credit. Applicants that can document only 75% to 99% of the matching share will NOT receive full credit. Applicants that have less than 75% of the required matching share, documented or not, will not receive any points.
10 pts
8.
8 pts
9.
8 pts
10. Projects whose sponsors will use a matching share consisting of any combination of cash and inkind services, with volunteer services not to exceed 10% of the total amount of the matching share. Describe the match to be used and provide a breakdown if two or more match types are to be included. Maximum points will be given for a match consisting totally of cash or in-kind contributions, or a combination match that includes no more than 10% volunteer services. Project matching shares that include 11% to 25% volunteer services will receive only partial credit. Any pledges of volunteer labor or in-kind donations of goods or services should be documented in writing by the donors and be included with the Matching Share Form. 11. Projects whose sponsors are minority or disadvantaged organizations. Explain how the project sponsor (the applicant organization) qualifies as a minority or disadvantaged organization or directly serves a minority or disadvantaged group (ethnic background, language, culture, religion, socio-economic, gender). 12. Projects whose sponsors have submitted a complete application. The application must contain all of the completed forms and required information, and must be received by the DHPA prior to the published grant deadline. Applicants are strongly encouraged to submit their applications early so that the DHPA Staff can verify that they are complete. Applications missing any parts after the application deadline will not receive these points, and may receive reduced scores for other priorities.
6 pts
6 pts
-------142 Points Possible
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FY2006 ACQUISITION AND DEVELOPMENT PRIORITIES
Instructions: Provide complete but concise answers for each of the priority statements below. Please be as specific as possible in your answers, and explain exactly how the proposed project will meet the priority issues. Most projects will adequately address one or more priorities, while only partially addressing others, and will be scored accordingly. No project will address every priority statement. When a proposed project does not address a specific priority, mark "NA" as the response. Max. Score: 20 pts
Priority will be given to: 1. Projects and activities that meet the criteria for "Priority Levels for Development Projects and Work Items" (see below). Note: projects consisting entirely of "High Priority" work items will receive a maximum of 20 points; projects consisting entirely of "Middle Priority" work items will receive a maximum of 12 points; projects consisting entirely of "Low Priority" work items will receive a maximum of 6 points. Projects consisting of a mix of High, Middle, and Low Priority work items will receive a maximum of 16 points. Projects that will assist properties that are vacant, partially vacant, and/or severely threatened. State whether the property is vacant, partially vacant (spell out which areas are occupied and give a percentage of occupancy), and describe the current building conditions and how the building is threatened. Projects that will assist local community revitalization efforts and/or heritage corridor or heritage tourism development. Describe how this project will stimulate other local revitalization projects, expand local heritage tourism opportunities, or otherwise improve the image of the area in which the building is located. Explain how this project fits in to any pre-existing community revitalization, heritage corridor development, or heritage tourism plans and/or will help achieve previously established long-range preservation and revitalization goals for the community. Projects that are feasible in technological and practical terms, meet the applicable "Secretary of the Interior's Standards for the Treatment of Historic Properties," and have adequate planning documents already in place. Describe the work to be done and explain how it conforms to the "Secretary of the Interior's Standards." Also, describe the documents completed to date, such as feasibility studies, schematic design drawings, or architectural construction plans and specifications and submit these documents with the grant proposal. Maximum points will be awarded ONLY to those projects that have sufficient planning documents in place to begin the project AND submit them for review with the grant proposal. Reduced points will be awarded to projects that describe planning documents but do not submit them with the grant proposal or that have no planning documents in place. Projects that will assist minority- or disadvantaged-related resources. Describe how the resource specifically relates, either historically or currently, to groups considered to be disadvantaged or minorities in terms of ethnic background, language, culture, religion, socio-economic, or gender. Properties that have received less than $50,000 total grant assistance from any DHPA-sponsored or DHPA-administered funding program within the last five years. In addition to funding for preservation/rehabilitation work, this includes non-construction grant funding such as that awarded for the preparation of feasibility studies or plans and specifications and conducting archaeological investigations on the property. Properties that have received total grant funding of $50,000 or more in the last five years will not score any points; properties that have received grant funding totaling less than $50,000 in the last five years will score fewer than 12 points; properties that have not received any grant assistance in the last five years will score 12 points. Projects that will involve the rehabilitation or restoration of endangered historic resource types, including but not limited to: pre-1945 schools, Carnegie libraries, bridges, industrial buildings,
20 pts
2.
20 pts
3.
16 pts
4.
12 pts
5.
12 pts.
6.
10 pts
7.
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rural resources, historic designed landscapes, Underground Railroad-related resources, or historic theaters. Describe the resource and the factors that make it qualify as an example of an endangered resource type. 8 pts 8. Projects that emphasize construction work, as opposed to the acquisition of a property or the preparation of plans and specifications. Describe the work to be done and state what percentage of the project budget will go toward actual construction work, acquisition, and the preparation of plans and specifications. Maximum points will be awarded to projects that are entirely devoted to construction work, and that have appropriate plans and specifications already in place. 9. Projects that will provide workers with training or experience in an historic trade, skill, or craft that is often needed in preservation projects. Describe the trade, skill, or craft that will be included as a part of the project, and give a detailed explanation of how any training components will be implemented. Examples of historic trades, skills, and crafts include the installation of slate roofing and copper flashing and guttering, repair and replication of decorative plaster, repair and replication of decorative woodwork, advanced preservation technology, etc.
8 pts
6 pts
10. Projects that will assist properties that have been designated as National Historic Landmarks, or that otherwise have extraordinary architectural or historical significance. State whether or not the property is a National Historic Landmark and describe its architectural and historical significance. Note that while there are thousands of Indiana properties listed in the National Register because of their local or regional significance, only 36 Indiana properties are currently designated as National Historic Landmarks.
------132 Points Possible PRIORITY LEVELS FOR DEVELOPMENT PROJECTS AND WORK ITEMS: High Priority Work Items: Stabilization of an endangered National Register-listed property Preservation of an endangered National Register-listed property Rehabilitation of an endangered National Register-listed property Restoration of an endangered National Register-listed property Middle Priority Work Items: Preservation of a non-endangered National Register-listed property Rehabilitation of a non-endangered National Register-listed property Restoration of a non-endangered National Register-listed property Utilities upgrades for a National Register-listed property Preservation or restoration of interior features of high cultural or artistic value at a National Register-listed property Low Priority Work Items: Acquisition of a National Register-listed property General interior rehabilitation of a National Register-listed property Other non-urgent rehabilitation activities at a National Register-listed property Undertakings for improvement of functionality, such as improved access and/or energy conservation, at a National Register-listed property Ineligible/Unallowable Work Items: New construction Landscaping (other than grading necessary to correct drainage problems) Directional and/or interpretive signage Museum exhibits Any priority work items at a property that is NOT National Register-listed
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HISTORIC PRESERVATION FUND PROJECT BUDGET Please indicate the proposed budget for the project. The figures on this page, when totaled, should equal the Total Project Cost given on the Proposal Cover Sheet. Please refer to the instructions for category-specific guidelines.
COST CATEGORY 1. Personnel -- Paid: This Category refers
only to persons on the direct payroll of the sponsoring organization
AMOUNT REQUESTED Administrative Professional Clerical
2. Fringe Benefits: Fringe Benefits for paid personnel are allowable. 3. Volunteer Personnel -- Unpaid: Volunteer time is valued at minimum wage plus one dollar ($6.15 per hour). 4. Travel: (@ $0.34 per mile) 5. Supplies and/or Materials: 6. Architectural Design Fees: 7. Advertisement: 8. Contractual/Construction: 9(a). Other: (Describe) 9(b). Other: (Describe) 10. Total Project Cost 11. Funding Level 12. Grant Amount Requested $ X $ 50 %
The figure representing the Grant Amount Requested should be rounded down to the nearest whole dollar, and should be the same as that recorded the Proposal Cover Sheet. Applicants are asked to submit a detailed breakdown of costs, or "Budget Justification Page," on a separate sheet following this form.
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MATCHING SHARE
CASH Donor: Source: __________________________________________ __________________________________________ $________________________
Total Cash Amount: IN-KIND SERVICES Donor: Source: __________________________________________ __________________________________________
Total In-Kind Services Amount: VOLUNTEER SERVICES Donor: Source: __________________________________________ __________________________________________
$________________________
Total Volunteer Services Amount:
$________________________
TOTAL MATCHING SHARE:
$________________________
Note: This amount should equal or exceed that given for the Non-Federal Match Share on the Proposal Cover Sheet.
CERTIFICATION OF MATCHING SHARE I certify that the matching share funds/goods/services identified above are available, and that they will be allocated only to the grant-assisted project described in this application and titled:
____________________________________________________________________________________________ Project Title
____________________________________________________________________________________________ Name and Title of Authorized Representative
_________________________________________________ Signature
___________________________________ Date
Applicants are asked to submit appropriate documentation of the matching share (copies of bank statements, etc.) following this form. Please note that proposals submitted without documentation WILL NOT receive full credit for the matching share under the grant evaluation criteria.
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STATEMENT OF UNDERSTANDING FOR HISTORIC PRESERVATION FUND SUBGRANTS
With respect to any grant received from the Department of Natural Resources, Division of Historic Preservation and Archaeology (DNR-DHPA), the applicant indicates by his/her signature that he/she has read, understands, and agrees that: 1. This is a request for consideration for a grant, and not a promise for funding, from the National Park Service HPF program administered by the Department of Natural Resources (DNR). The individual submitting this grant request on behalf of the applicant has the necessary authority to request consideration of this project by the Department of Natural Resources. This is a matching grants program in which only a portion of the total project cost can be supplied by the grant funds; the matching share will be supplied by the grant applicant in the form of cash, donated or volunteer labor, and/or donated supplies in accordance with state and federal regulations. No work covered in this application is to begin until the applicant has been notified in writing that funds have been awarded, and has accepted in writing the terms and conditions of the grant. If a grant is received, all obligations for material or work are to be paid by the applicant, who will then receive reimbursement from the National Park Service through the Indiana Department of Natural Resources, based on prior agreement and approval. The applicant will be required to supply all necessary financial documentation which must include copies of accurate personnel time sheets indicating the effort expended on the project, canceled checks, invoices, and other data as required by the DHPA, unless special arrangements are made. Grants will be administered in accordance with all applicable federal and state laws, regulations, policies, requirements and guidelines, including OMB Circular A-102 and A-110 (as applicable), policies and procedures of the Historic Preservation Grant-in-Aid Program, Title VI of the 1964 Civil Rights Act, nondiscrimination on the basis of handicap (Sec. 504 of the Rehabilitation Act of 1973), and equal employment opportunity and labor law requirements of federal grants. Procurement actions will be conducted in a manner that provides for maximum open and free competition in compliance with program requirements, including OMB Circular A-102 and A-110 (as applicable). All costs charged to the grant project will be in payment of an approved budget item during the project period and will conform to the cost principles of (Federal Management Circular 74-4), now OMB Circular A-87 and A-21 (as applicable). In accordance with Title VI of the 1964 Civil Rights Act (P.L. 88-325), the Department of Natural Resources requires that grant applicants not discriminate against any employee or applicant for employment on a historic preservation project because of race, color, sex, national origin, or ancestry. All employees must be advised of equal opportunity and benefits. Any complaint of discrimination must be reported to the State Historic Preservation Officer.
2.
3.
4.
5.
6.
7.
8.
9.
10. Adequate financial resources will be available for performance (including necessary experience, organization, technical qualifications, and facilities) to complete the proposed project or a firm commitment, arrangement or ability to obtain such will be made. 11. An adequate financial management system (and audit procedure when deemed applicable) will be maintained which provides efficient and effective accountability and control of all property, funds and assets.
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12. The matching share will not consist of funds from the federal government under another assistance agreement unless authorized. 13. The project, if funded, will be carried out in accordance with the guidelines set forth by the Division of Historic Preservation and Archaeology, Department of Natural Resources, and will be completed within the allotted time. 14. The applicant shall participate in the grant project and shall submit copies of archaeological/architectural data and survey, study, and planning materials to the Department of Natural Resources with the condition that specific site data including site addresses be withheld from public access in accordance with federal law and the regulation and access policy adopted by the Natural Resources Commissions. This condition is necessary to protect property owners from unwanted destruction, risk, or disruption of their property and to protect valuable scientific data, cultural materials, and artifacts, which might otherwise be lost or harmed. 15. The applicant will cooperate with the staff of the Department of Natural Resources in meeting all the above requirements, as well as other federal requirements that may apply. 16. Additional administrative requirements and project-specific conditions may be made a part of any grant offer made by the Division of Historic Preservation and Archaeology as a result of this application. 17. Any breaking of the conditions set forth in this Statement of Understanding may mean cancellation of the grant. The applicant recognizes and agrees that any federal financial assistance will be extended in reliance on the representations and agreements made in this assurance, and that the United States shall reserve the right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant, its successors, transferees, and assignees, and on the person or persons whose signature(s) appears below and who is/are authorized to sign this assurance on behalf of the Applicant.
________________________________________________ Name of Applicant/Project Sponsor
___________________________________ Date
________________________________________________ Name and Title of Authorized Representative
___________________________________ Signature
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PART V -- ASSURANCES
The Applicant hereby assures and certifies that he/she will comply with the regulations, policies, guidelines, and requirements including OMB Circulars Nos. A-87, A-95, and A-102, as they relate to the application acceptance and use of federal funds for this federally assisted project. Also the Applicant assures and certifies with respect to the grant that: 1. It possesses legal authority to apply for the grant; that a resolution, motion or similar action has been duly adopted or passed as an official act of the applicant's governing body, authorizing the filing of the application, including all understandings and assurances contained therein, and directing and authorizing the person identified as the official representative of the applicant to act in connection with the application and to provide such additional information as may be required. It will comply with Title VI of the Civil Rights Act of 1964 (P.L. 88-352) and in accordance with Title VI of the Act, no person in the United States shall, on the ground of race, color, national origin, or ancestry, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the applicant receives federal financial assistance and will immediately take any measures necessary to effectuate this agreement. It will comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) prohibiting employment discrimination where (1) the primary purpose of a grant is to provide employment or (2) discriminatory employment practices will result in unequal treatment of persons who are or should be benefiting from the grant-aided activity. It will comply with requirements of the provisions of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of persons displaced as a result of federal and federally assisted programs. It will comply with the provisions of the Hatch Act which limits the political activity of employees. It will comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act, as they apply to hospital and educational institution employees of state and local governments. It will establish safeguards to prohibit employees from using their positions for a purpose that is or gives the appearance of being motivated by a desire for private gain for themselves or others, particularly those with whom they have family, business, or other ties. It will give the grantor agency or the Comptroller General through any authorized representative the access to and the right to examine all records, books, papers, or documents related to the grant. It will comply with all requirements imposed by the Federal grantor agency concerning special requirements for law, program requirements and other administrative requirements approved in accordance with Office of Management and Budget Circular No. A-102.
2.
3.
4.
5. 6.
7.
8.
9.
10. It will insure that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. 11. It will comply with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law 93-234, 87 Stat. 975, approved December 31, 1976. Section 102(a) requires, on and after March 2, 1975, the purchase of flood insurance in communities where such insurance is available as a condition for the receipt of any Federal financial assistance for construction or acquisition
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purposes for use in any area that has been identified by the Secretary of the Department of Housing and Urban Development as an area having special flood hazards. The phrase "federal financial assistance" includes any form of loan, grant, guaranty, insurance payment, rebate, subsidy, disaster assistance loan or grant, or any other form of direct or indirect federal assistance. 12. It will assist the federal grantor agency in its compliance with Section 106 of the National Historic Preservation Act of 1966 as amended (16 U.S.C. 470), Executive Order 11593, and the Archaeological and Historic Preservation Act of 1966 (16 U.S.C. 469a-1 et seq.) by (a) consulting with the State Historic Preservation Officer on the conduct of investigations, as necessary, to identify properties listed in or eligible for inclusion in the National Register of Historic Places that are subject to adverse effects (see 36 CFR Part 800.8) by the activity, and notifying the Federal grantor agency of the existence of any such properties, and by (b) complying with all requirements established by the Federal grantor agency to avoid or mitigate adverse effects upon such properties.
________________________________________________ Name of Applicant/Project Sponsor
___________________________________ Date
________________________________________________ Name and Title of Authorized Representative
___________________________________ Signature
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U.S. DEPARTMENT OF THE INTERIOR CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION Lower Tier Covered Transactions
This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 43 CFR Part 12, Section 12.510, Participants' responsibilities. The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211). Copies of the regulations are included in the proposal package. For further assistance in obtaining a copy of the regulations, contact the U.S. Department of the Interior, Acquisition and Assistance Division, Office of Acquisition and Property Management, 18th and C Streets, N.W., Washington, D.C. 20240. (Before completing this CERTIFICATION, read the instructions below.) (1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.
________________________________________________ Name of Applicant/Project Sponsor
___________________________________ Date
________________________________________________ Name and Title of Authorized Representative
___________________________________ Signature
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as
2.
3.
4.
26
used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.
6.
7.
8.
9.
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U.S. DEPARTMENT OF THE INTERIOR ASSURANCE OF COMPLIANCE (TITLE VI, CIVIL RIGHTS ACT OF 1964)
___________________________________________________, hereinafter called "Applicant-Recipient," (Name of Applicant-Recipient) HEREBY AGREES THAT IT will comply with Title VI of the Civil Rights Act of 1964 (P.L. 88-352) and all requirements imposed by or pursuant to the Department of the Interior Regulation (43 CFR 17) issued pursuant to that title, to the end that, in accordance with Title VI of that Act and the Regulation, no person in the United States shall, on the ground of race, color, or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the Applicant-Recipient receives financial assistance from the Department of Natural Resources, and HEREBY GIVES ASSURANCE THAT IT will immediately take any measures to effectuate this agreement if any real property or structure thereon is provided or improved with the aid of Federal financial assistance extended to the Applicant-Recipient by the Department of Natural Resources. This assurance obligates the Applicant-Recipient, or in the case of any transfer of such property, any transferee for the period during which the real property or structure is used for a purpose involving the provision of similar services or benefits. If any personal property is so provided, this assurance obligates the Applicant-Recipient for the period during which it retains-ownership or possession of the property. In all other cases, this assurance obligates the ApplicantRecipient for the period during which the Federal financial assistance is extended to it by the Department of Natural Resources. THIS ASSURANCE IS GIVEN in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts, property discounts or other Federal financial assistance extended after the date hereof to the ApplicantRecipient by the bureau or office, including installment payments after such date on account of arrangements for Federal financial assistance which were approved before such date. The Applicant-Recipient recognizes and agrees that such Federal financial assistance will be extended in reliance on the representations and agreements made in this assurance, and that the United States shall reserve the right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant-Recipient, its successors, transferees, and assignees, and the person or persons whose signature appears below are authorized to sign this assurance on behalf of the Applicant-Recipient.
_____________________________________________ Name of Applicant/Project Sponsor
___________________________________ Date
_____________________________________________ Name and Title of Authorized Representative
___________________________________ Signature
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APPENDIX A
36 CFR PART 61 Section 61.5 -- Professional Qualifications
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. A. History The minimum professional qualifications in history are a graduate degree in history or a closely related field; or a bachelor's degree in history or a 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, historical organization or agency, museum, or other professional institution; or Substantial contribution to the body of scholarly knowledge in the field of history through research and publication.
2.
B. Archaeology The minimum professional qualifications in archaeology are a graduate degree in archaeology, anthropology, or a closely related field, plus: 1. At least one year of full-time professional experience or equivalent specialized training in archaeological research, administration, or management; and At least four months of supervised field and analytic experience in general North American archaeology; and Demonstrated ability to carry research to completion.
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In addition to these minimum qualifications, a professional in prehistoric archaeology shall have at least one year of full-time professional experience at a supervisory level in the study of archaeological resources of the prehistoric period. A professional in historic archaeology shall have at least one year of full-time professional experience at a supervisory level in the study of archaeological resources of the historic period. C. Architectural History The minimum professional qualifications in architectural history are a graduate degree in architectural history, art history, historic preservation, or closely related field, with course work in American architectural history; or a bachelor's degree in architectural history with a concentration in American architecture; or a bachelor's degree in architectural history, art history, historic preservation, or a 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 Substantial contribution to the body of scholarly knowledge in the field of American architectural history through research and publication. 29
2.
D. Architecture The minimum professional qualifications in architecture are a professional degree in architecture plus at least two years of full-time professional experience in architecture; or a State license to practice architecture. E. Historical Architecture The minimum professional qualifications in historical 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 a closely related field and at least one year of full-time professional experience on preservation and restoration projects; or At least two years of full-time professional experience on preservation and restoration projects.
2.
Experience on preservation and restoration projects shall include detailed investigations of historic structures, preparation of historic structures research reports, and preparation of plans and specifications for preservation projects.
Note: General contractors or other building trade professionals that do not explicitly meet the 36 CFR Part 61 Professional Qualifications may still be appropriate and acceptable as Principal Investigators on rehabilitation projects. In such instances, length and breadth of construction experience, extensive and documented past experience working on historic properties, professional reputation, and past performance on DHPA projects (if any) are some of the factors that will be considered by the DHPA Grants Staff. The DHPA reserves the right to reject Principal Investigators who do not meet the 36 CFR Part 61 Professional Qualifications or who have a record of unsatisfactory past performance on any DHPA-assisted or DHPA-reviewed projects.
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APPENDIX B
SECRETARY OF THE INTERIOR'S STANDARDS FOR REHABILITATION
The following Standards are to be applied to specific rehabilitation projects in a reasonable manner, taking into consideration economic and technical feasibility. 1. A property shall be used for its historic purpose or be placed in a new use that requires minimal change to the defining characteristics of the building and its site and environment. The historic character of a property shall be retained and preserved. The removal of historic materials or alteration of features and spaces that characterize a property shall be avoided. Each property shall be recognized as a physical record of its time, place, and use. Changes that create a false sense of historical development, such as adding conjectural features or architectural elements from other buildings, shall not be undertaken. Most properties change over time; those changes that have acquired historic significance in their own right shall be retained and preserved. Distinctive features, finishes, and construction techniques or examples of craftsmanship that characterize a historic property shall be preserved. Deteriorated historic features shall be repaired rather replaced. Where the severity of deterioration requires replacement of a distinctive feature, the new feature shall match the old in design, color, texture, and other visual qualities and, where possible, materials. Replacement of missing features shall be substantiated by documentary, physical, or pictorial evidence. Chemical or physical treatments, such as sandblasting, that cause damage to historic materials shall not be used. The surface cleaning of structures, if appropriate, shall be undertaken using the gentlest means possible. Significant archaeological resources affected by a project shall be protected and preserved. If such resources must be disturbed, mitigation measures shall be undertaken. New additions, exterior alterations, or related new construction shall not destroy historic materials that characterize the property. The new work shall be differentiated from the old and shall be compatible with the massing, size, scale, and architectural features to protect the historic integrity of the property and its environment.
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10. New additions and adjacent or related new construction shall be undertaken in such a manner that if removed in the future, the essential form and integrity of the historic property and its environment would be unimpaired.
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APPENDIX C
UNALLOWABLE AND ALLOWABLE COSTS
The following is a list of possible expenditures or costs associated with many projects. The National Park Service has determined which of these items are allowable and unallowable project costs. Only allowable costs may be included in the project budget and claimed for reimbursement. Note that some items may be allowable if certain conditions are met. These conditions must generally be spelled out in the project application, and will be included in the Award Letter and Project Notification. Subgrantees may not claim for reimbursement any items or project costs that were not identified in the project proposal, the Award Letter, and the Project Notification, without written permission from the DHPA. If you have any questions about eligible or ineligible expenses, or how to include cost categories in your HPF project budget, please contact the DHPA Grants Staff. UNALLOWABLE COSTS The following costs and categories are not eligible for reimbursement and should not be included in an HPF project budget. Bad Debts: Any losses arising from uncollectible accounts and other claims, and any collection costs. Bonus Payments: Bonus payments of any kind. Churches or Other Religious Entities: Due to federal "separation of church and state" regulations that govern the Historic Preservation Fund Program, direct grant assistance to active religious organizations, or for rehabilitating properties that are primarily used for religious purposes, is unallowable. Conferences: Costs associated with attendance at conferences and seminars, unless approved in advance by the DHPA. Such costs may be approved by the DHPA only when they provide necessary training for CLG staff or local commission members, or when the activity will provide a subgrantee with new or unique training that is directly related to and useful for the completion of the project. Contingencies: Contributions to a contingency reserve or any similar provision for unforeseen events. Curation: The cost of curation of artifacts, except in those cases where archaeological artifacts were discovered in the course of a grant-assisted project and attention is urgently required to prevent the deterioration or loss of the artifacts. In such instances, limited curation costs may be allowable, but only with prior permission from the DHPA. In no case will the DHPA approve such costs in amounts greater than 10% of the total project budget. Depreciation: Subgrantees who have what they consider to be unusual situations should contact the DHPA. Entertainment: The costs of amusement, social activities, refreshments, and related incidental expenses. Equipment: Single tangible items costing in excess of $300 are considered to be equipment. The purchase of equipment using grant funds or local matching funds may be allowable, only with prior written permission from the DHPA. Fines and Penalties: The costs resulting from failure to comply with federal, state, or local laws. Fund Raising: The costs associated with organized fund raising and solicitations. Furnishings: The purchase of movable pieces of furniture is unallowable. For rehabilitation/restoration projects, the cost of furnishings may be allowable only when these furnishings are permanently attached items that are integral to building construction, are of documented historic design, and/or are reconstructed based upon documented original furnishings (e.g., ceiling and wall-mounted lighting fixtures, theater seats in a theater rehabilitation, etc.).
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Interest: Interest on borrowings (such as mortgages and other loans), and the legal and professional fees paid in connection therewith, except when authorized by federal legislation. Lobbying: The costs associated with activities or communications designed to influence in any manner a federal, state, or local legislator or official are unallowable. Meals: The cost of meals for subgrantee employees, consultants, and volunteers, except when such persons are on approved travel status in conjunction with activities directly related to the grant project, and these people are being paid a "per diem" pre-approved by the DHPA. (See also "Travel"). Memberships: The costs of memberships in professional or technical organizations, except when all of the following are true: · The benefit from the membership is directly related to achieving grant program objectives; · The expenditure is for agency membership, not individual membership; · The cost of the membership is reasonably related to the value of the services or benefits received; · The expenditure is not for membership in an organization that devotes a substantial part of its activities to influencing legislation. New Construction: The costs of construction activities that are not rehabilitation, preservation, stabilization, or restoration are unallowable. (See also "Landscaping"). Preagreement Costs: Costs incurred prior to the project starting date are unallowable, except with written approval of the DHPA and NPS. Revolving Funds: The use of DHPA grant funds for revolving fund activities is unallowable. Training and Education: Subgrantees are expected to possess the knowledge and skills necessary to complete their projects when the grant award is made. Consequently, training and education costs for employee development normally are unallowable. However, such costs may be allowable if the training is of a unique or unusual type not ordinarily available, and if the training is directly related to the grant project and will improve the quality of the final product. In addition, training for staff and commission members of Certified Local Governments may be allowable. In both situations, the subgrantee must have written approval of such costs before they are incurred.
ALLOWABLE COSTS The following costs and categories are eligible for reimbursement and may be included in an HPF project budget. All costs must be incurred during the grant period (between project begin and end dates). Accounting: The cost of establishing and maintaining accounting and other information systems required for the management of grant programs. This includes costs incurred by central service agencies for these purposes. However, the cost of maintaining central accounting records required for overall government purposes, such as appropriation and fund accounts by the Treasurer, Comptroller, or similar officials, is considered to be a general expense of government, and is unallowable. Advertising: The advertising costs that are solely for: · Recruitment of personnel necessary for the grant project; · Solicitation of bids for the procurement of goods and services required for work on the grant project; · Notices required by federal or state regulations pertaining to the grant; and · Other purposes specifically provided for in the grant agreement. Appraisals: For projects involving the acquisition of real property, the cost of necessary appraisals is allowable. Audit Service: The cost of audits necessary for the administration and management of functions related to grant programs.
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Communications: Communication costs incurred for telephone calls, postage, and similar expenses necessary for and directly related to the grant project. However, these costs must be adequately documented with copies of bills, receipts, or other documents that illustrate clearly the connection between the grant project and the charges incurred. If reimbursement for such charges is anticipated, contact the DHPA for specific instructions; note that many subgrantees find that it is not cost-effective to seek reimbursement for any but long-distance telephone expenses. Compensation for Personal Services: Compensation for personal services includes all remuneration, paid currently or accrued, for services rendered during the period of performance under the grant agreement, including but not necessarily limited to wages, salaries, and supplementary compensation and benefits. The costs of such compensation are allowable to the extent that they are adequately documented and reasonable for the services rendered. For private nonprofit organizations and local governments, documentation will include time and attendance records for each employee's work on the grant. Educational institutions must document the efforts of employees who are paid on an hourly basis in the same manner, but can use an OMB-approved time-distribution system to document effort of faculty members. In addition, all subgrantees must provide copies of payroll checks unless they are audited annually by the State Board of Accounts, and have worked out an alternative system of documentation with the DHPA under appropriate OMB standards. (See also "Employee Fringe Benefits"). Employee Fringe Benefits: Costs identified under the two items below are allowable to the extent that the total compensation for subgrantee employees is reasonable as defined in "Compensation for Personal Services" (above): · Benefits in the form of regular compensation paid to employees during periods of authorized absences from the job, such as for annual, sick, court, or military leave, if: a. They are provided pursuant to an approved leave system; and b. The cost thereof is equitably allocated to all related activities, including grant programs. · Benefits in the form of employers' contributions or expenses for social security, employees' life and health insurance plans, unemployment insurance coverage, worker's compensation insurance, pension plans, and severance pay, provided that such benefits are granted under approved plans and are distributed equitably to grant programs and to other activities. Exhibits: The costs of temporary exhibits relating specifically to the grant project, its accomplishments, or results may be allowable, but written permission from the DHPA must be received before such costs are incurred. Permission of the National Park Service may be required. (Note that permanent exhibits normally cannot be funded). General Conditions for Construction Contracts: This term, used in construction cost estimates, bids, and construction cost documents, refers to the general contractor's provisions and miscellaneous requirements for other contractors and subcontractors, which eliminate the duplication and expense of each trade providing its own temporary facilities. General conditions including, but not limited to, temporary heat, power, lighting, water, sanitary facilities, scaffolding, elevators, walkways and railings, construction office space and storage, as well as daily cleanup, security, and required insurance, permits, and surety bonds, are allowable when identified as a line item in the project application. (See also "Contingencies," which are unallowable). Insurance: The costs of hazard and liability insurance to cover personnel or property directly related to the grant project and during the grant period. Interpretive Signs: The costs of purchasing and installing (but not maintaining) a minimum number of interpretive or informational markers or signs at grant-assisted historic buildings and structures and archaeological sites may be allowable, but only with written permission from the DHPA. (See also "Project Signs") Landscaping: For development projects, the costs of landscaping are allowable only if they fall under one of the following categories: · The historically documented restoration or reconstruction of gardens, grounds, and grading in order to attain an historic appearance and a compatible setting for an historic property; · Grading for purposes of drainage, building safety, and protection; or · Improvements necessary to facilitate access for the disabled. (Note that the costs of seeding, sodding, and installing decorative plantings are unallowable).
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Legal Expenses: The cost of legal expenses required in the administration of a subgrant. Materials and Supplies: The cost of materials and supplies necessary to carry out the subgrant project. Purchases made specifically for the grant project should be charged at their actual prices after deducting all case discounts, trade discounts, rebates, and allowances received by the subgrantee. Withdrawals from general stores or stockrooms should be charged at cost under any recognized method of pricing consistently applied. Incoming transportation charges are a proper part of material cost. Materials and supplies charged as a direct cost must include only the materials and supplies actually used for the performance of the contract or grant, and due credit should be given for any excess materials or supplies retained or returned to vendors. Payroll Preparation: The cost of preparing payrolls and maintaining necessary wage records, as long as appropriate cost documentation is supplied. Personnel Administration: The costs of recruitment, examination, certification, classification, training, establishment of pay standards, and related activities for the Historic Preservation Fund grant program. Plans and Specifications: For development projects, the costs of producing architectural plans and specifications, shop drawings, and/or other materials required to document development project work according to the Secretary of the Interior's Standards are allowable. However, these should be identified as a discrete line item in the project budget and must be executed during the grant period. Procurement Services: The costs of all procurement services, including the solicitation of bids, the preparation and award of contracts, and all phases of contract administration in providing goods, facilities and services for the subgrant are allowable. Project Signs: The cost of making project signs that acknowledge state and federal grant assistance, and the cost of installing these signs at project sites, are allowable. (Note, however, that a project sign is normally provided to the subgrantee by the DHPA during the initial inspection and start-up meeting). Rent: Rental costs for space used to complete the project are allowable during the grant period only with prior approval from the DHPA and NPS. When only a portion of the rented space is used for grant activities, the allowable costs must be computed on a pro rata basis. Transportation: Costs incurred for freight, cartage, express postage, and other transportation costs relating to goods either purchased, delivered, or moved from one location to another, when necessary for and directly related to the grant. Travel: In-state travel costs are allowable when the travel involved is directly related to the accomplishments of the project, when the subgrantee's budget includes a line-item for this cost category, and when the costs involved are incurred and documented according to standards and practices acceptable to the State Board of Accounts. Subgrantees that are already audited by the State Board of Accounts on a regular basis (local governments and state universities) may use their established in-state travel regulations, except that mileage charges cannot exceed the Indiana State Auditor's rate of $.34/mile. Subgrantees not currently being audited by the State Board of Accounts may either adopt those regulations used by the DHPA, submit a set of proposed travel regulations for DHPA approval, or bill for mileage charges only at the rate of $.34/mile. Out-of-state travel costs of any kind are unallowable unless prior written approval is received from the DHPA. (See also "Conferences").
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APPENDIX D
PROCEDURES FOR THE GRANT SELECTION PROCESS
I. State Review Board determines funding criteria. A. DHPA Staff provides recommendations to the Board, indicating: 1. Suggested priority statements and corresponding point values for Administrative qualifications, and Architectural and Historical, Archaeological, and Acquisition and Development projects. 2. Minimum and maximum level of funding for grants within the three categories. 3. Minimum point score required to qualify for grant funding. 4. Amount of funding targeted for Certified Local Government applicants. 5. Amount of funding targeted for each of the three project categories. B. Board reviews Staff's recommendations, makes any appropriate revisions, and adopts the funding criteria. II. DHPA Staff solicits and accepts grant applications. A. Staff prepares a grant application packet based on the criteria adopted by the Board. B. Staff advertises the availability of grant funds at least 60 days prior to the application closing date and supplies application packets to interested parties. C. Staff receives and logs completed grant applications. III. Applications are evaluated, scored, and ranked. A. Grants management staff reviews each application to determine the category and program area(s) involved. B. Grant management staff establishes committees to review each application. 1. Each committee will include at least two grants management staff members. 2. Each committee will include at least three program area staff members, two of whom must meet 36 CFR 61 requirements in disciplines relevant to the work proposed in the application. C. Committee members score each application independently, and then meet to discuss each project and the corresponding scores. D. Committee chairman records the five scores for each project. E. Committee chairman discards the highest and lowest scores, computes the average of the other three, and reports that figure as the committee point score for each criteria. The average scores for each criteria in both sets of priorities are totaled to arrive at the total scores for each project. IV. DHPA staff prepares and presents staff comments to the State Review Board. A. Grants management staff organizes the grant applications by category (Architectural and Historical, Archaeological, and Acquisition and Development). B. Within each category, applications are arranged by point score, from highest to lowest. C. Grants management staff prepares written comments for the Review Board for each category of application. Comments include the name of the applicant, budget information, a brief description of the proposed project, the staff's opinions as expressed in the committee meetings, the committee point score, and a sheet detailing, priority by priority, how the committee score was computed. D. The staff comments are provided to the board members for their study at least ten days before the next Review Board meeting. V. The State Review Board determines funding allocations. A. Grant management staff presents the staff's grant comments at the next meeting of the Review Board. B. The Board determines which of its members, if any, has a conflict of interest (or the appearance of conflict of interest) in any grant applications and arranges to have such members abstain from voting on such applications. C. The Board discusses the applications and staff comments and invites public comment from those in attendance. D. The Board reviews the point scores awarded by the committee. E. The Review Board determines funding allocations. 1. The Board allocates funding to applicants who are Certified Local Governments based on point score until the minimum amount targeted for CLGs is reached. 36
The Board allocates funding for Architectural and Historical projects to all eligible applicants based on point score until the amount targeted for this category is exhausted. 3. The Board allocates funding for Archaeological projects to all eligible applicants until the amount targeted for this category is exhausted. 4. The Board allocates funding for Acquisition and Development projects based on point score to all eligible applicants until the amount targeted for this category is exhausted. F. The Board determines how to dispose of any excess funds. 1. The Board may elect to shift funds targeted for one category to a different category in order to allocate excess funds, or 2. The Board may direct the staff to conduct a second grant round in order to allocate the excess funds.
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FREE ADVICE FOR COMPLETING HPF GRANT PROPOSALS
The following advice for HPF applicants has been prepared by the DHPA Grants Staff. These points cover the areas or parts of the HPF grant proposal format that are most often found to be weak, incomplete, or inadequate. By following the advice spelled out below, it is likely that your proposal will be better prepared and will score more points as a result. Remember, the HPF matching grants program is very competitive; in 2005 nearly $1,300,000 was requested where there was only $511,000 available for distribution in the form of subgrants!
SOME BASIC "DOs AND DON'Ts" IN PREPARING THE PROPOSAL:
Do Consult the Grants Staff ANY TIME you have questions about preparing the proposal, particularly when there are questions involving the priorities, the project budget, or the matching funds. Assemble the five copies of the proposal carefully following the order given in the Grant Application Checklist. Many times, proposals are assembled incorrectly or out of order, requiring the Grants Staff to take them apart and reassemble them. It is much easier for the DHPA Staff to review proposals when they are all assembled in the same manner; this makes it easy to compare one proposal to another or to find quickly a specific part or page in any individual proposal. Give your proposal to someone else to read/proofread before submitting it. It is often advisable to have someone NOT connected with the project read over the proposal. If they are left with questions about the project, then the project description or the responses to the priorities may be too brief or too vague. You may then revise the parts of the proposal as necessary. Submit your proposal early, if possible. This allows the Grants Staff to check your proposal and make sure that everything is in order. If parts are missing or incomplete, the Grants Staff will notify you immediately. If your proposal is submitted early, you will have extra time to make the necessary changes or additions; otherwise, you will have only seven days after the grant deadline to put everything in order. Ask for letters of support from local people and organizations who support your project. It is best if these letters can be submitted directly with the proposal; however, they may be submitted separately. Please be sure that letters being submitted separate from the proposal are mailed in time to reach the DHPA by the application deadline. Letters received after the first evaluation session WILL NOT be considered. ***** Don't Wait until the last minute to begin preparing your proposal. Supporting documentation is extremely important and may take several weeks to collect or put together, especially budget information, matching share documentation, written estimates for proposed work, and letters of support. Proposals prepared at the last minute often lack the necessary details and documentation, and generally do not score very well because of it. Remember, this is an extremely competitive program -- take the time necessary to put together a quality proposal! Submit your proposal in a three-ring binder or a plastic folder cover, spiral bound with a wire or plastic comb, with section dividers between parts, or with the pages inserted in plastic sleeves. If the Grants Staff needs to reorganize the proposal, these covers, bindings, or dividers often make it difficult, if not impossible, to take apart and reassemble the proposal. Divider pages between sections actually make it MORE difficult for the DHPA Staff to quickly find a certain page, while three-ring binders take up too much filing space, and pages inserted in plastic sleeves prevent the Staff from making notes directly on the proposal. The Grants Staff prefers that all proposals look the same, as they are much easier to handle and review. The score given to each project application is directly derived from the CONTENT, not the appearance, of the grant proposal.
Do
Do
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Do
Don't
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FIVE EASY WAYS TO MAKE YOUR PROPOSAL SCORE MORE POINTS:
By carefully following the advice given above, a grant applicant should be able to avoid the most common pitfalls of preparing a grant proposal. A quality grant proposal is the sum of many quality parts. One or two weak parts of the proposal may mean the difference of several points, which in turn may mean the difference between the proposal being funded and not being funded. If you have questions, don't be afraid to ask for advice or guidance! 1. Include a thorough and detailed project description. This project description should cover every item or task to be completed under the grant-assisted project. If the proposed grant project is a part, component, or phase of a much larger or comprehensive project, briefly describe the overall project and how the proposed grant project fits into the big picture. Then describe the proposed grant project in detail. List and describe every product that will result from the grant project, and discuss any potential spin-off benefits of the project. A thorough and detailed project description generally should not exceed three type-written pages. Include a detailed timetable for the proposed grant project. This timetable should allow time for the project initiation by DHPA Staff, procurement of goods and services (bidding), and should address every task, aspect, or component of the project. Break down the timetable by the number of days, weeks, or months necessary to complete each task or phase of the project. The timetable should set forth a clear, realistic, and reasonable schedule for the completion of the grant project. Simply providing begin and end dates for the project does not constitute an acceptable timetable. Proposals with vague, poorly detailed, or unrealistic timetables often score fewer than half of the points possible for this evaluation criteria. Include a detailed and documented project budget. The budget should be broken down in detail on a separate page after the budget form. This breakdown should follow the budget categories or line-items on the budget form, and should show how the total amount for each line-item was calculated. Be certain to include all project costs in the appropriate budget line-items. If grant funding is offered, reimbursements will only be made for those items included in the original project budget. Whenever possible, include written estimates from consultants or contractors for the goods and services to be used in the proposed project -- this is especially critical for Acquisition and Development proposals. This kind of documentation proves that the budget is reasonable and accurate. While submitting a budget breakdown page and other project cost documentation is not strictly required, including these items greatly improves the quality of the project budget and guarantees a higher score for the budget criteria. Include documentation to support the applicant's matching share. Obtaining copies of bank statements, written pledges or commitments, or other financial documentation may take several days or even weeks, so be sure to allow enough time to accomplish this task prior to the project deadline. While submitting supporting documentation for the matching share is not required, submitting this documentation proves that the required funds are on-hand and available and that the project may begin immediately. Because HPF grants are "reimbursement grants" where the subgrantee is reimbursed for project costs (grant money is NOT distributed up-front), without the required matching share in place to leverage the grant funds, the project cannot move forward. Include detailed and accurate responses to the priorities. There are two sets of priorities: Administrative and Categorical. The applicant's responses to these priorities are what the DHPA Staff uses to evaluate and score the proposal, so you should pay particular attention to this part of the proposal. In general, more clear and detailed responses will score better than vague or unclear responses. Please provide clear, thorough, and detailed responses whenever required by the wording of the priority statements. However, take note that many priorities require only simple and concise answers. Whenever a proposed project will not meet a specific priority, mark "NA" as the response and move on to the next item. No project will meet every single priority statement; however, providing adequate detail where necessary will give the DHPA Staff the best possible understanding of your particular project, which should result in the best possible score for your proposal.
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