CALIFORNIA
CERTIFIED LOCAL GOVERNMENT
GRANT MANUAL
Palm Springs Visitor Center, repurposed gas station
Photo courtesy of Bryanb7, Creative Commons
California Office of Historic Preservation
1725 23rd Street, Suite 100
Sacramento, CA 95816
[email protected]
(916) 445-7000
ATTACHMENT 2
I
California CLG Grant Manual
Prepared by Local Government and Environmental Compliance Unit Staff Office of Historic Preservation
Certified Local Government (CLG) Program
Forward submissions by electronic mail to [email protected].
Include “CLG Grant Application” in the Subject line of your email.
Incomplete application packages will not be reviewed.
NOTE: Information about this manual and all related documents and forms are available online at CLG Grant Program.
Live links in this manual are indicated by blue text that is underlined. Clicking on a live link should take you to the appropriate web page or online document. Should there be a problem with a link in this document, refer to the documents listed individually on the CLG Grant Program web page.
This publication has been financed in part with Federal funds from the National Park Service, Department of the Interior, under the National Historic Preservation Act of 1966, as amended, and administered by the California State Office of Historic Preservation. The contents and opinions do not necessarily reflect the views or policies of the Department of the Interior, nor does the mention of trade names or commercial products constitute endorsement or recommendation by the Department of the Interior.
Under Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973, the U.S.
Department of the Interior strictly prohibits unlawful discrimination on the basis of race, color, national origin, age, or handicap in its federally assisted programs. If you believe you have been discriminated against in any program, activity, or facility as described above, or if you desire further information, please write to:
Office for Equal Opportunity
National Park Service
1849 C Street, NW
WASHINGTON D.C. 20240
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TABLE OF CONTENTS
ADMINISTRATIVE INFORMATION................................................................................ 1 STAFF CONTACTS........................................................................................................ 1 WHO MAY APPLY? ....................................................................................................... 2 HOW MUCH MONEY IS AVAILABLE?.......................................................................... 2 WHAT WILL BE FUNDED?............................................................................................ 2 General Plan Historic Preservation Elements.................................................. 3 Ordinance Revisions.......................................................................................... 3 Historic Contexts and Surveys.......................................................................... 4 National Register of Historic Places District Nominations and........................
Multiple Property Submissions......................................................................... 5 Archaeological Preservation Plans................................................................... 6 Design Guidelines for Historic Properties ....................................................... 7 Preservation Education and Outreach Programs............................................ 7 Historic Structure Reports (HSR) and Mini-HSR Preservation Plans ............. (HSRPP)............................................................................................................... 8 Information Management and Technology....................................................... 9 Climate Actions, Sustainability, and Other Considerations………………….. 9 WHAT WILL NOT BE FUNDED? ................................................................................ 10 HOW ARE GRANT RECIPIENTS SELECTED? .......................................................... 10 WHAT ARE THE SELECTION CRITERIA? ................................................................. 11 GOOD GRANT MANAGEMENT .................................................................................. 12 CONFORMANCE WITH THE SECRETARY OF THE INTERIOR’S STANDARDS AND GUIDELINES....................................................................................................... 12 III
CREATING A BUDGET................................................................................................ 13 Per Diem Rates ................................................................................................. 16 CONSULTANTS AND CONTRACT SERVICES .......................................................... 18 PREPARING AN RFP................................................................................................... 18 RFP Checklist ................................................................................................... 19 LOCAL GOVERNMENT APPROVALS........................................................................ 20 GRANTEE’S LEGAL OBLIGATIONS .......................................................................... 20 REQUESTING REIMBURSEMENT.............................................................................. 22 REMINDERS................................................................................................................. 23 CLG GRANT APPLICATION CHECKLIST .................................................................. 24 CLG GRANT APPLICATION........................................................................................ 25 GRANT APPLICATION NARRATIVE TEMPLATE ...................................................... 26 APPENDIX.................................................................................................................... 29 Forms to be Included in Application Packet .................................................. 29 Forms to be used in Grant Reports……………………………………………….29
Online Resources............................................................................................. 29 1 ADMINISTRATIVE INFORMATION
Administration Grants will be administered in accordance with the National Park Service Historic Preservation Fund Grant
Manual, October 1997; Office of Management and Budget
Circulars A-87, A-122, A-102, or A-128; and this manual.
Grant Period Work to be funded must be performed within the stated grant period (see Read First-Updates document). Project planning, including drafting the RFP, may begin before
your grant is awarded and a project agreement signed.
However, you cannot be reimbursed for costs incurred
before the start date of the grant period.
Application Package The grant application template and required forms are included in this guidance document and are available
online as separate electronic documents. A complete
application package consists of the following documents:
• Grant Application Checklist
• Application Form with an original signature (one
original and two copies of the form must be included in the package)
• CLG's General Plan Preservation Element, if available • Résumés
• Signed certification form (one original and two copies of the form must be included in the package)
• Any applicable maps, photographs, significance
statements required for survey and National Register
or California Register nomination grant applications
(see "What Will Be Funded" section)
• Applications will be prepared with no less than 12-
point font.
Staff Contacts OHP staff are available to discuss your grant proposals.
Contact CLG Grant Program staff to be routed to staff with expertise in the area of your grant’s focus (e.g., design guidelines, historic contexts, ordinances, public outreach, etc.).
2 WHO MAY APPLY?
Only local governments that have been certified by the National Park Service prior to the grant application deadline (refer to Read First-Updates document) are eligible to compete. In addition, applicants must have completed their annual end-of-year reports and submitted them to the Office of Historic Preservation prior to the grant application deadline.
HOW MUCH MONEY IS AVAILABLE?
The Office of Historic Preservation (OHP) is required by federal law to pass through at least 10% of its annual Federal Historic Preservation Fund (HPF) allocation to Certified Local Governments (CLGs) for Historic Preservation Fund-eligible activities. California has elected to distribute this money to CLGs through the competitive CLG grant program. Refer to the Read First-Updates document for current range of grant amounts.
NOTE: Because the OHP is required to pass through a specific amount of money as a condition of HPF funding, if one or more CLG grant recipients default or withdraw during the project period, the OHP is placed at risk for failing to comply with the provisions of its contract with the NPS. Undistributed funds must be returned to the NPS at the end of the project period. This denies the citizens of California, in general, and CLGs, specifically, the full benefit of federal funds allocated for their use, penalizes the OHP, and threatens future funding levels for California. Thus, it is critical that grant recipients inform OHP staff immediately should situations arise that have the potential to interfere with completion of the project and expenditure of funds as contracted. The OHP can then attempt to redistribute the funds to other CLGs before the end of the grant period.
WHAT WILL BE FUNDED?
OHP will consider applications for the following types of projects as well as projects that involve new or innovative approaches and activities intended to promote the identification, evaluation, and preservation of historic resources and facilitate the integration of historic preservation planning into broader land-use planning activities and decision making.
General Plan Historic Preservation Elements
Ordinance Revisions
Historic Contexts and Surveys
National Register of Historic Places District or MPD Nominations Archaeological Preservation Plans/Ordinances
Design Guidelines for Historic Properties
3 Preservation Education and Outreach Programs
Historic Structure Reports/HS Preservation Plan
Information Management and Technology
Climate Actions, Sustainability, and Other Considerations A Note to our Applicants
As you think about projects for the CLG grant program, we encourage you to consider a broad and inclusive approach to the meaning of historic properties. What is Intangible Cultural Heritage and how does it fit into your local preservation program? Also, consider evaluation and documentation of Traditional Cultural Properties as part of your context/survey/registration program.
NOTE: Refer to What is Intangible Cultural Heritage? and National Register Bulletin 38: Guidelines for Evaluating and Documenting Traditional Cultural Properties.
General Plan Historic Preservation Elements (New or Update) The OHP will consider applications for projects that will result in preparing a general plan historic preservation element or revising and updating an existing one. Given the CLG’s important role in meeting both statewide and local historic preservation needs, the OHP recommends that every CLG have a workable preservation element in its General Plan.
Historic preservation takes place within the broader context of overall community planning and development. The most effective historic preservation programs and projects are those that are coordinated with other community programs and activities, including planning procedures and project approval decision making. An important part of any preservation element is community involvement in its preparation and development. This is an opportunity for the community to develop consensus about its historic preservation program.
NOTE: Visit the OHP website for information about and examples of historic preservation elements.
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Ordinance Revisions
The OHP will consider CLG grant applications for projects that address one or a combination of the following:
• revision of existing ordinances,
• code revisions related to historic properties
4 • historical zoning amendments
• public outreach and participation programs related to the adoption of a revised ordinance.
NOTE: Information about and examples of local ordinances is available on the OHP's web as is the OHP Technical Assistance Bulletin 14: Drafting Effective Historic Preservation Ordinances.
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Historic Contexts and Surveys (New or Update)
The OHP expects that historic contexts will be developed prior to or in conjunction with survey projects proposed for funding in the CLG grant program. This is in accordance with the Secretary of the Interior’s Standards and Guidelines for Archeology and Historic Preservation. The OHP’s supplemental guidance for developing contexts is available online: Writing Historic Contexts and Preferred Format for Historic Contexts.
Historic context statements provide the foundation for preservation planning and are critical for understanding, identifying, and evaluating historic resources. Based on one or more themes, a geographical area, and periods of significance, context statements describe the broad patterns of historical development of a community or region that are represented by the physical development and character of the built environment, identify important associated property types, and establish eligibility criteria and integrity thresholds Contextbased surveys make it possible to evaluate resources for land use planning purposes without needing to research each individual property. An initial context statement should be developed during the early stages of survey planning in order to utilize cost-effective survey methods that will result in the identification of significant resources. More developed contexts may be developed in conjunction with an ongoing survey, or as a separate activity.
Surveys provide information needed to make informed planning decisions, prioritize preservation goals and objectives, develop and implement land use policies, perform environmental reviews pursuant to CEQA, develop adaptive reuse and heritage tourism initiatives, and educate the public and increase the understanding of and appreciation for the built environment as a tangible reminder of the community’s history. Surveys also assist in the identification of resources worthy of designation at the local, state or federal levels as well as properties potentially eligible for tax benefits or other preservation incentives.
Applications for survey projects must identify whether the survey will be a reconnaissance or an intensive level survey and the approximate acreage to be surveyed. A map of the proposed area to be surveyed must be included with application. Note: The OHP is in the process of developing a new data platform with GIS components for the State Historical Resources Inventory. Survey projects will need to provide geo-coded mapping information; standards and format requirements are being developed as this manual is being prepared.
Please check with the survey coordinator if you have questions.
You must include the approximate acreage that will be covered in the survey. 5 Oral histories are often the only way to document community or neighborhood histories that are not identified through standard public records but are richly represented in the memories of the people and their associated cultural values. An oral history project should be structured to inform the development of the historic context and/or survey.
When determining a community’s survey needs it is important to consider how much is currently known about the existing historical resources and whether there are specific property types or neighborhoods being threatened by development or other changes.
The OHP encourages the use of electronic capture and management of survey data and has developed protocols for data exchange with the OHP for inclusion in the State Historic Resources Inventory (SHRI). Please contact OHP staff for information on electronic equivalents to DPR 523 paper forms.
NOTE: All surveys must be prepared according to National Register Bulletin 24:
Guidelines for Local Surveys: A Basis for Preservation Planning Part 1 and Part 2, and the Secretary of the Interior’s Standards and Guidelines for Archeology and Historic Preservation. Directions for completing DPR 523 forms are found in Instructions for Recording Historical Resources. Survey data will be incorporated into the State Historic Resources Inventory maintained by the OHP as part of the California Historical Resources Information System (CHRIS).
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National Register of Historic Places District Nominations and Multiple Property Submissions
The National Register plays a vital role in historic preservation as a planning tool; as a basis for tax act certification and economic revitalization; as a research tool, and for the recognition it bestows on designated properties. The OHP encourages the listing of all properties that meet the National Register eligibility criteria. However, the OHP prefers to fund nominations for properties that will benefit the most from designation and will benefit the most resources.
The OHP will consider funding the nomination of historic districts, but not individual properties. The OHP will also consider funding the nomination of groups of resources using the Multiple Property Submission (MPS) approach. As noted in National Register Bulletin 16B: How to Complete the National Register Multiple Property Documentation Form, “the Multiple Property Documentation Form streamlines the method of organizing information collected in surveys and research for registration and preservation planning purposes.” MPD streamline the future nomination of individually eligible resources and districts that meet the registration criteria established in the historic context.
When determining what resources to nominate it is important to consider how the community will benefit and whether the property owners will support designation. The nomination process can help educate property owners and other members of the community about the economic, social and aesthetic values of historic preservation and the significance of the community’s past as represented in the environment. Grant proposals for 6 National Register district nominations should provide evidence of community and property owner support.
NOTE: National Register applications must be prepared according to National Register Bulletin 15: How to Apply the National Register Criteria for Evaluation, National Register Bulletin 16A: How to Complete the National Register Registration Form, and for Multiple Property Submissions, National Register Bulletin 16B: How to Complete the National Register Multiple Property Documentation Form.
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Archaeological Preservation Plan/Ordinance
The OHP encourages local governments to develop and implement archaeological preservation plans/Ordinances. Archaeological resources offer tangible links to the community's shared heritage and play a valuable role in enriching the daily experience of the community. The development and implementation of an archaeological preservation plan enables a community to better coordinate its efforts to manage the diverse values of its archaeological resources and optimize its ability to comply with local, state, and federal environmental regulations in timely and cost-efficient ways. Information about archaeological resources can be an important component in developing or enhancing a community’s heritage tourism program, enabling a community to realize real fiscal dividends from its archaeological resource base while enriching the understanding and appreciation of its heritage.
Elements of the landscape in every community, archaeological resources include the ancient prehistoric material remains of Native American life that predate the modern establishment of a community as well as the historic material remains of each different phase of a community’s development. Accumulations of such remains are typically found as inconspicuous deposits beneath the streets, sidewalks, buildings, and landscaping of a community’s commercial and residential districts, and also in a community’s open spaces.
Archaeological preservation plans should include four primary elements:
• Historic context
• Inventory of archaeological resources
• Significance criteria
• Protection measures
Such plans can be effective vehicles for protection of local archeological sites that contain otherwise unobtainable information about the community’s past and can contribute much to the community’s understanding of itself. Preservation planning for archeology, as with other aspects of historic preservation, is most successful when done pro-actively, rather than through regulatory review of proposed construction projects.
NOTE: Archeological Assistance Technical Briefs are available from the National Park Service’s Archeology and Ethnography Program. Archeological surveys must be carried out in accordance with National Register Bulletin 24: Guidelines for Local Surveys: A 7 Basis for Preservation Planning Part 1 and Part 2, and the Secretary of the Interior’s Standards and Guidelines for Archeology and Historic Preservation.
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Design Guidelines for Historic Properties (New or Update) The OHP will consider CLG grant applications for projects that address the development of design guidelines or the revision of existing design guidelines.
Design guidelines are the basis for local review of work proposals on historic properties.
They can:
• Explain, expand and interpret general design criteria often found in the preservation ordinance;
• Provide a basis for making fair decisions;
• Protect the value of investments in historic properties and neighborhoods that might be threatened by poorly managed growth;
• Reinforce the character of a historic area;
• Ensure consistence in the design review process; and
• Provide predictability for anyone working on a historic property.
Guidelines may address design community-wide, focus on particular property types or styles, or treat particular neighborhoods or districts. Applicants must demonstrate a commitment to developing guidelines that are based on the principles in The Secretary of the Interior’s Standards for the Treatment of Historic Properties and that are developed within a context of maximum public participation opportunities.
NOTE: Information about design guidelines is available in Working on the Past in Local Historic Districts, an online National Park Service tutorial.
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Preservation Education and Outreach Programs
The OHP will consider funding educational and outreach programs that promote historic preservation at a community level. Grant applications should indicate how the proposed program meets a critical need in a way that is both innovative, cost-effective and reaches a wide audience. The types of projects that will be considered may include but are not limited to:
• Hosting a regional historic preservation workshop;
• Hosting webinars or developing eLearning on historic preservation topics; • Developing a mobile app for making information available about local historic resources;
• Developing educational materials and outreach efforts to provide homeowners with guidance regarding good design solutions, appropriate materials, and sources for 8 such materials to help homeowners better preserve and maintain their older properties;
• Developing a citizen’s guide to historic preservation in your community which is available in print and online; or
• Collaborating with local educators to develop a curriculum module that engages students in learning more about the built environment and the community’s history.
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Historic Structure Reports (HSR) and Mini-HSR Preservation Plans (HSRPP) The OHP will consider funding Historic Structures Reports and Mini-HSR Preservation Plans. While HSRs and Mini-HSR Preservation Plans include many of the same components (history, existing conditions, materials analysis, maintenance considerations, etc.), they are different planning documents. In an HSR, the history and existing conditions sections are given equal attention as the treatment and recommendations sections, while the focus of the Mini-HSR Preservation Plan is on the project-specific treatment and recommendations sections. Before choosing an HSR or Mini-HSR Preservation Plan, the local government should determine how the treatment recommendations will be used after the document is completed, i.e., will an extensive restoration occur or rather a select area of repair to a building. Where funding is limited and a historic structure is at risk, a Preservation Plan can provide the information needed to efficiently and appropriately protect the resource.
It is important to include information in the grant application about the current status of the property and the need for a historic structure report or Mini-HSR/Preservation Plan which answers the following questions:
• What is the historical or architectural significance of the property? • Was it included in a survey?
• How has the property been designated, e.g., local designation, National Register of Historic Places, California Register of Historical Resources, California Historical Landmark, Point of Historical Interest?
• Who is the owner of the property?
• Does the public use the property?
• What are the foreseeable uses of the property?
• Are there threats to the property?
• Under the ordinance, what jurisdiction does the local government have over the property?
NOTE: For more information see Historic Structure Report Format. Proposed work must conform to The Secretary of the Interior’s Standards for the Treatment of Historic Properties.
9 Information Management and Technology
The OHP will consider CLG grant applications for projects that involve the innovative application of technology in acquiring, managing, and disseminating information about local historic resources. The OHP encourages all local governments to make information about their historic preservation programs available online. Software costs and licensing fees are allowable project costs. The types of projects that will be considered may include but are not limited to:
• phone applications
• website design
• development of databases
The OHP is promoting electronic data management and exchange and has developed standards for digital data submittals. Please consult with OHP staff regarding electronic data standards for proposed projects.
Climate Actions, Sustainability, and Other Considerations To meet carbon reduction and other climate change goals, there is an increasing recognition in the role that cultural heritage can play in helping to create more resilient communities. How historic properties can be modified for less carbon emissions while retaining its character defining features, the modification/creation of ordinances/policies to include historic resources in planning and adaptation goals, the role of cultural resources in larger landscape initiatives, etc., are all opportunities local governments may be considering. Sustainability initiatives that include cultural resources for greater outcomes are also things for which local governments are increasingly interested.
Sea level rise and changes in weather patterns have the potential to adversely impact communities, historic properties, and cultural resources. For example, communities might consider surveying or mapping properties that would be affected by climate change.
Does your local government have an idea for a project that does not fit easily into one of the categories outlined above? The OHP will consider grant proposals that facilitate the integration of historic preservation planning into broader land-use planning activities and decision-making.
Additionally, for projects that involve new or innovative approaches and activities intended to promote the identification, evaluation, and preservation of historic resources, OHP will consider grant proposals.
NOTE: For more information see: OHP Climate Action; San Antonio Climate Ready: A Pathway for Climate Action & Adaption; National Park Service, Climate Change; and Advisory Council on Historic Preservation Climate Adaptation & Resilience.
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10 WHAT WILL NOT BE FUNDED?
Due to limited funds, the OHP will not fund proposals for the following types of projects:
• Construction, restoration, rehabilitation, or stabilization of buildings and structures • Acquisition of historic properties
• Purchase of computers, or other equipment costing more than $5000 • National Register nominations for individual properties • Travel or registration costs for staff or commissioner training.
HOW ARE GRANT RECIPIENTS SELECTED?
Grants are awarded to CLGs on a competitive basis through a review process which considers the proposed scope of work, the plan to administer the project, the benefits of the proposed project to the community, and the budget. The State Historic Preservation Officer (SHPO) will convene an application review committee made up of both fiscal and program staff from the OHP. The committee will rank applications in order of their scores and recommend to the SHPO awarding grants for the highest ranked applications.
NOTE: In recent years, the OHP has awarded grants to CLGs who subsequently requested a reduction in the scope of work because the consultants who responded to the RFPs were unwilling to complete the project for the allotted amount of money. Because this action could be interpreted by federal auditors as a fraudulent act to secure a grant under false pretenses, it is critical that applicants determine a realistic scope of work for the funds available for the proposed projects before submitting a grant application. 11 WHAT ARE THE SELECTION CRITERIA?
Each application will be reviewed and scored by two or more reviewers, including a fiscal reviewer and a program reviewer. The narrative for each section should briefly and concisely answer the following questions:
PROJECT SCOPE (60 Points)
Need(s) (25 Points): What local historic preservation need(s) does the proposed project address? How does the proposed project relate to the local government’s preservation plan? Why is the proposed project a priority? How will the proposed project benefit the community? How does the project relate to the Statewide Historic Preservation Plan? Project Activities (15 Points): What activities will be carried out to complete the proposed project? Who will be responsible for doing what? Does the proposed project use the most efficient, cost-effective way of addressing identified preservation needs? Public Involvement (10 Points): How will the public be involved in the project? How will the product(s) be made available to the public?
Deliverables (10 Points): What product(s) will be derived from the project? Will the product(s) be in draft or final adopted form? How will the product(s) be used by the local government?
ADMINISTRATION (15 Points): Are the personnel and methods to be utilized clearly described and appropriate for achieving project objectives? Is the time schedule realistic? BUDGET (15 Points): Are anticipated costs to accomplish project activities realistic, reasonable, and necessary? Is the cost basis for the budget justified and documented? RELATIVE NEED (10 Points): OHP Reviewers will assess the relative need for the proposed project when compared with the other proposed projects in this grant cycle.
DEVELOPMENT POINTS (5 Points)
To encourage CLGs who have not applied for a CLG grant within the last three grant cycles and CLGs who have applied but not received a CLG grant within the last three grant cycles (beginning with 2018-2019), such applicants will be given an additional 5 points.
PENALTY POINTS (10 Points)
At the OHP's discretion, up to 10 points may be deducted, based on how well the CLG has met CLG program requirements and previous grant contractual deadlines and terms, within the past three grant cycles (beginning with 2018-2019).
12 GOOD GRANT MANAGEMENT
Good grant management begins with planning for and developing the grant proposal for a specific project. Grant applications need to show a strong link between the preservation planning needs and priorities of the local government and the proposed project. Applications need to demonstrate an understanding of the most effective and efficient ways for carrying out the proposed project. It is important to design a project that can be completed within the project period and for the budget available. If the proposed project is a component or phase of a larger project, the grant application needs to indicate how the project will further the goals of the larger project.
Federal grant recipients have certain responsibilities for project execution including managing consultants, making regular progress reports, financial administration, and meeting performance deadlines which are spelled out in the Scope of Work and the contract terms. Project staff members need to coordinate and communicate with commissions and boards as well as other departments within the city or county to ensure that legal, business and project goals and objectives are supported and approved in a timely fashion.
Good grant management also involves regular communication with the OHP. The OHP’s concerns are twofold: meeting federal grant requirements and helping the local government get a good product that will serve the needs of the local government and warrant the costs associated with it. Quarterly progress reports from the local government are one of the ways to ensure that a project is moving to completion; they are also a way to identify if there are circumstances that threaten completion of the project. Communication with the OHP should not be restricted to quarterly reports; OHP staff are available by phone or email when questions arise, or potential problems emerge.
CONFORMANCE WITH THE SECRETARY OF THE INTERIOR’S
STANDARDS AND GUIDELINES
All completed projects must conform to or meet the applicable sections of Archeology and Historic Preservation: Secretary of the Interior’s Standards and Guidelines (SOIS, as amended and annotated), including standards for:
• planning,
• identification,
• evaluation,
• registration,
• documentation: historical, archaeological, architectural, engineering • historic preservation projects,
• professional qualifications
13 NOTE: Because the OHP is required to pass through a specific amount of money as a condition of HPF funding, if one or more CLG grant recipients default or withdraw during the project period, the OHP is placed at risk for failing to comply with the provisions of its contract with the NPS. Undistributed funds must be returned to the NPS at the end of the project period. This denies the citizens of California, in general, and Certified Local Governments, specifically, the full benefit of federal funds allocated for their use, penalizes the OHP, and threatens future funding levels for California. Thus, it is critical that grant recipients inform OHP staff immediately should situations arise that have the potential to interfere with completion of the project and expenditure of funds as contracted. The OHP can then attempt to redistribute the funds to other CLGs before the end of the grant period.
CREATING A BUDGET
Grants will be matched on a 60% Federal/40% applicant basis. Other than Community Development Block Grant (CDBG) and revenue sharing funds, no federal funds may constitute the match. The matching share must contribute directly to implementation of the grant proposal once the grant agreement is executed. In calculating match, use the following formula:
Amount of funds requested ÷ .6 = Total Project Cost
Total Project Cost x .4 = Required Matching Share
EXAMPLE: If you are requesting a grant of $40,000, the required match will be $26,680; the total cost of the project will be at least $66,700. $40,000 ÷ .6 = $66,700 (total project cost)
$66,700 x .4 = $26,680 (required match)
• Use whole dollar amounts for grant request, budget items and requests for reimbursement: for example: $40,000 not $39,987 or $10.00, not $9.67. • All matching shares must contribute to the implementation of the undertaking being proposed. For example, not all the commission or staff's time can be counted--only the time necessary for carrying out the proposed grant activity. 14 EXAMPLES: Source of Non-Federal Match
Donor: City/County
Source: General Fund
Kind: Employee Wages
Amount: $1,680
Donor: City/County
Source: Volunteers
Kind: In-Kind
Amount: $3,500
The following suggestions represent local activities and donations that can be used to match the grant and meet federal requirements. List each staff person and/or volunteer by title. Indicate how much time they will spend on project tasks and values associated with those tasks. Show how you determined these costs. Briefly describe the work to be accomplished.
Volunteers: Typical volunteer work includes field survey work, historic and architectural research, photography, mapping, typing, bookkeeping, writing, design and development of printed materials or websites. When volunteers who meet the Secretary of the Interior’s Professional Qualifications standards (36 CFR Part 61) for historian, architectural historian, architecture, historic architecture, prehistoric archeology, or historic archeology donate their professional services, compute the value of the service at their professional rates, not to exceed the current maximum salary amounts (refer to Read First-Updates document).
In-kind services provided by volunteers must be documented hour-by-hour on daily time sheets (see appendix or website for the form) with two signatures -- no exceptions! Payroll printouts (highlighted for easy OHP interpretation) are acceptable documentation for paid staff time.
For volunteers who do not meet the Secretary of the Interior’s professional qualifications or are donating their time but not specifically their professional services, compute the value of the service at current federal minimum wage rate per hour. Show method of determining pay rate for volunteers. Documentation may include previous invoices or federal income tax evaluations. Call the OHP if you have questions about the value of volunteered services.
Example: (does not reflect current federal wage rates)
Two Architects @ 18 hrs. each @ $50/hr. = $1,800.00. “Two architects who serve on the preservation commission will contribute eighteen hours each to help train volunteers in how to recognize architectural styles and review the architectural descriptions on survey documents.”
Six preservation commissioners will review draft survey findings. 6 @ 15 hours each @ $12.50/hr. = $1,125.00.
15 Example: (does not reflect current federal wage rates) Volunteer with BA in History: 40 hrs. @ $20/hr. = $800.00. Volunteer will do primary and secondary research under the supervision of the consultant. Volunteer with 2 years college, History major: 40 hrs. @ $12.00/hr. = $480.00. (State explicitly how hours will be used.)
Volunteer with no experience: 40 hrs. @ $12.00*/hr. = $420.00 (State explicitly how hours will be used.
Agency Staff: Compute the value based on usual salary and fringe benefits.
Documentation in the form of time sheets or payroll vouchers must be kept for submittal with billings. Refer to Read First-Updates document for Federal maximum salary allowance, excluding benefits. Break out salary, benefits, and indirect overhead in document.
Example: (does not reflect current federal wage rates)
Historian: 80 hrs. @ $30/hr. = $2400.00. Historian will be responsible for approximately 50 hours of archival research and 30 hours of developing significance statements on survey forms.
Office technician: 80 hours @ $20/hr. = $1600.00. Office technician will acquire parcel APNs and populate database in preparation for survey field work; mail letters to approximately 400 residents within survey project area and print and distribute draft and final survey records to commissioners and others.
List each person to be paid directly from grant funds by title and salary, including fringe benefits. Do not include contractors and sub grantees here. The grant application must include résumés showing experience and education for everyone who will be expected to work on the grant project throughout the year.
Unless notified otherwise, salaries, and mileage (for both grant and non-Federal match), may not exceed the current maximum rates (refer to Read First-Updates document). Benefits, such as Social Security or retirement, health care, vacation, etc., should be separated out. (Note: These amounts may change due to federal policy changes.)
Office Space: Project work area, full-time coordinator's office, workshop-meeting rooms, or darkroom space. This donation is equivalent to local office rental space. Upon award of the grant, forms for documentation of evaluation, donated space, and material will be provided.
Donated Equipment and Materials: Includes such items as expendable equipment, office supplies, laboratory supplies, or workshop supplies. Values assessed to donated or contributed equipment and materials included as matching share must be reasonable and must not exceed the fair market value at the time of donation. The basis for determining the value must be documented and available for audit.
Other Donations: Travel costs (see federal rate guide for California below), and printing costs such as duplication, manuals, instructions, maps and guides. (This donation does not include elaborate publications.)
16 Indirect Costs: Local governments may also charge an administrative or "indirect" cost for administrative services in support of staff salaries and benefits or government commissions (accounting, budgets, information technology, etc.) You must obtain from your business office and submit with your application a Federal Rate Agreement for your city or county with a federal agency. Charges for indirect costs may be used ONLY if a copy of the rate agreement letter from the appropriate federal agency accompanies the application. (Check with your business department.) Indirect costs include personnel, budget, business, accounting and other office costs which support a staff position. The maximum allowable indirect cost is 25% of the total grant amount even if rate agreement allows a greater percentage to be charged. HPF grant rules supersede any higher approved federal rate.
Per Diem Rates
The Federal Per Diem Rates for California are established by the U.S. General Services Administration. Rates vary county to county. You must use the rate for the location where the per diem is incurred.
Actual costs of lodging and meals are reimbursed provided they do not exceed listed Federal Per Diem limits. Copies of receipts for lodging and meals must accompany disbursement requests. Rental cars and taxis costs are also allowable but only with receipts.
These travel rates must be used in planning grant application budgets and for reimbursement requests. Costs higher than those shown in the Federal Per Diem Rates for California will not be reimbursed.
SAMPLE BUDGET – Section C in Grant Application
Cost Categories Rate used to
Calculate Cost
Cash from
Grant
Other Cash In-Kind
Services
Contracted Services* Fixed Fee $25,000 $7,500
Salaried Employees*
Sr. Planner
Clerical
200 hrs @
$37/hr + Fringe
@36.18%
75 hrs @$ 22
Fringe 34.98%
$7,400
$2589
$1650
$577
17 * Salaries and mileage not to exceed current maximum levels (Refer to Read First-Updates).
Grant Amount: $25,000 = 60% Federal money
Required match from CLG of 40% = $16.667
City’s actual match (Other Cash + In-kind) = $19,982 – more than needed to meet 40% In this situation, the CLG added cash to the amount to be paid to the consultant and counted the senior planner’s and clerical staff’s time spent on the project as their cash match. They also have $2855 in-kind match based on the work of their volunteer commissioners and the donated printing services.
Volunteers*
Review proposals,
participate in interviews,
review & comment on
three drafts of deliverables
6 volunteers
(commissioner)
@50 hrs each
@ $10.50/hr
$3150
Supplies, copying,
postage, etc. (Specify)
Printing – 10 bound copies
of final deliverables –
donated by local printer.
$500
Totals
$25,000 $17,127 $3.650
18 CONSULTANTS AND CONTRACT SERVICES
If you will be using a consultant for the proposed project, you may find it helpful in the planning stage of preparing the grant proposal to informally contact several to get an idea of whether the proposed budget will be adequate to complete the project or what you can realistically expect to accomplish within your budget. Keep in mind that larger firms typically have higher overhead costs than small firms or individual consultants. On the other hand, large firms may have a wider range of skills and expertise to draw upon.
Consultants providing services costing $10,000 or more must be selected through a competitive Request for Proposal process. To ensure that the CLG receives the product contracted for within the project period with the funds available, the OHP recommends that contracts with consultants be for a fixed rate rather than an hourly salary.
PREPARING AN RFP
Start the Request For Proposal (RFP) process as soon as possible after you are notified you are a grant recipient. The RFP serves a vital purpose beyond simply soliciting interest in the project. The RFP needs to provide clear information about what will be expected of the consultant so that consultants can determine their interest in project and whether the money available is adequate compensation for completing the project, or alternatively, what amount of work they would be willing to complete for the amount of money offered.
Using consultants to complete a grant project successfully requires a firm understanding and agreement about the goals, expected outcomes, and responsibilities of key personnel before the project begins. Take time to develop a well-considered RFP so that interested consultants will have a clear idea of what you expect from them. Because consultants will only do the work they are contracted for, it is important that the RFP and the contract between the consultant and the local government are clear up front about what both parties expect and will provide.
The process of developing a good RFP will help project managers clarify the purpose of the project, appropriate methodology, roles and responsibilities for the consultants and the local government, the steps needed to complete the project satisfactorily, and how deliverables will be evaluated. The check list below identifies most of the issues that should be addressed in an RFP. Individual local governments may have additional requirements.
The OHP must review and approve the RFP BEFORE it is distributed. Participant will need to provide the OHP with an RFP distribution and response list (see appendix) and the OHP must approve the consultant selection BEFORE the contract is executed.
19 RFP CHECKLIST
PROJECT:
Description of the project
Germane background information
Purpose and authority for the project
Funding sources
Amount of funds available for the project
Time frame for project to be accomplished
How public will be involved, role of consultant with public SCOPE OF WORK:
Tasks and/or services for which consultant will be responsible Meetings that consultant is expected to participate in Deliverables – Draft and final products
Schedule – Milestones for drafts and progress reports Formats for deliverables
Standards deliverables must meet
Tasks and/or services for which local government will be responsible Tasks and/or services for which volunteers will be responsible What will be expected of the consultant and the local government if volunteers fail to deliver the anticipated components?
PERSONNEL – CONSULTANT:
Required skills, qualifications, and abilities for lead personnel Desired skills and prior experience
RFP RESPONSE SUBMITTAL:
Proposal response requirements/format
Review process
Criteria that will be used to evaluate proposals
Time for decision
CONTRACT:
Terms of contract
Certifications
Licenses
Insurances
Billing – how and when payments will be made
20 LOCAL GOVERNMENT APPROVALS
Because many communities require the approval of elected or other local government officials to receive grants or contract for services, the OHP recommends that grant applicants consult the appropriate individuals during the planning process and, as far as possible, obtain the necessary approvals prior to submitting the grant application. The OHP also strongly recommends that the grant writer/applicant consult with local planning staff and members of the local preservation commission to gain input and support for the proposed project.
An authorized representative for the local government must sign the original application.
This should be the person who is legally responsible for executing all documents including the contract which assures a matching share, e.g., Director of Planning.
GRANTEE’S LEGAL OBLIGATIONS
Grant recipients will be required to execute a legally binding agreement which includes a scope of work and Project General and Special Provisions. Please refer to the Read First-Updates document for specific deadline targets.
The scope of work spelled out in the contract between the local government and OHP cannot be substantively changed once the grant is awarded and the contract is signed. That is why it is important to have a good match between the proposed project and the resources needed to bring it to completion. The OHP’s contract is with the local government; it is not with the consultant. If a consultant fails to perform as expected, submits work that does not meet the SOIS, or fails to deliver draft and final products by or before the deadlines set in the contract, etc., it remains the CLG’s responsibility to correct the situation.
Failure on the part of the CLG to begin the project in a timely manner or to perform as agreed to may result in the OHP taking action through a Notice of Default to the CLG and rescinding the grant. Depending on the terms of the contract between the consultant and the city, a consultant’s failure to perform could leave the city or county with costs that would not be reimbursed through the grant. The OHP typically holds a significant portion of the grant amount in reserve and authorizes disbursement only after it has reviewed and accepted the grant products. The OHP recommends that the local government set up their contracts with consultants with a payment schedule that provides the local government with similar control.
When a consultant and volunteers will be used, it is important to clearly delineate the responsibilities of the consultant and the volunteers and to protect the consultant from penalty if the volunteers fail to do their part. Whether or not volunteers or consultants do what is expected, the local government is expected to deliver the products on the schedule specified in the scope of work and contract with the OHP.
Please review the Project General and Special Provisions before completing an application. Highlights of the agreement provisions include:
21 • Failure of the Participant to make satisfactory progress or complete the project within the specified period may result in withdrawal of funds. (Note: If Participant determines the full grant amount awarded will not be expended in completing the project the Participant should notify the OHP immediately and before the end of the project period, so that surplus funds can be redistributed prior to the end of the project period (September 30, 2021). • Both the State and the Participant may unilaterally terminate the agreement prior to an expenditure of funds.
• If Participant fails to comply with the terms of the contract, the State may give 30-day notice to comply. Failure to comply can result in one or more of the following:
o Withholding of funds until deficiency is removed;
o State may administer the project in which case the Participant will reimburse the State for costs and expenses incurred;
o Termination of the agreement with no further payments to be made; o State may disallow costs; and
o Participant may be disqualified from receiving future grants. • The State shall not be obligated to provide federal funds for work products that, in the opinion of the State, do not conform to the terms of this agreement or to the applicable Secretary of the Interior's Standards. • Principal Investigators or expert practitioners are required to meet the Secretary of the Interior’s professional qualification standards, where applicable.
• The State must review and approve the RFP before it is distributed. • After selection of an employee or contractor to perform professional work but before making any financial commitment to that person, the Participant shall submit the person’s resume to the State for review. The State shall either approve or disapprove use of the person on the project within twenty (20) working days after receipt of the resume.
• Work on the project is to begin within 30 days of executing the agreement between the State and the Participant.
• If at any point in the project period, it appears that the Participant will not be able to complete the project within the project period or deliver the agreedupon work products, the Participant shall notify the OHP immediately. (With adequate notice and lead time, the OHP can negotiate with the NPS to transfer or redistribute funds to other projects and amend contracts with participants to receive additional funding.)
22 • Participant shall make available to the State draft reports, studies, plans, drawings, or other preliminary documents prepared during the project. • Participant shall submit progress reports and interim work products as scheduled and/or as requested by OHP staff.
• The Participant shall obtain from the State prior approval for: (a) any substantive revision of the scope, objectives, or budget of the project; (b) changes in key persons, including all persons filling positions for which the incumbent must meet the Secretary of the Interior's professional qualifications standards; (c) additional contracts or hiring to perform activities that are central to the project; and (d) new or revised performance or reporting milestones.
REQUESTING REIMBURSEMENT
Instructions for completing Reimbursement Form 417 and the documentation needed to support grant expenditures will be explained in detail when the grant is awarded. Only project activities completed within the stated grant period are reimbursable (please refer to Read First-Updates document for grant start and end dates).
Reimbursements may be requested at any time during the grant period, and it is recommended that grantees request reimbursement at the time of any billings. The OHP may withhold up to 50% of the reimbursement, pending receipt and approval of the finished project deliverables.
Final reimbursement requests must be submitted within ten days of the grant period end date. Final reimbursement will be held by the OHP until the project work products are determined to be satisfactory.
************************************************************************************************************ 23 REMINDERS
Please review these guidelines carefully before completing the application. If you have questions, contact your OHP staff lead, or CLG Grant Program staff.
The Checklist, Read This First document, and Grant Application templates are available and can be downloaded from the OHP’s website at CLG Grant Program.
A complete application package must be submitted via electronic submission to [email protected] no later than the deadline date stated in the Read FirstUpdates document. Include “CLG Grant Application” in your message Subject line. 24 CLG GRANT APPLICATION CHECKLIST
Include checklist in application package. Include documents in order listed below.
Items in bold are available on OHP’s CLG Grants Program website at ________ CLG GRANT APPLICATION (Including narrative)
________ Copy of Preservation Element, if available
________ Applicable Maps and Estimated Acreage (see Application Form) for Survey Projects
________ Applicable Maps, Photographs, and Significance Statement for NR Projects ________ Resumes of Key Personnel and/or Volunteers who will work on Project ________ PROFESSIONAL QUALIFICATIONS FORM FOR KEY PERSONNEL ________ ENVIRONMENTAL CERTIFICATION
________ CERTIFICATION OF PROFESSIONALISM AND CONFORMANCE ________ ASSURANCES – NON-CONSTRUCTION PROGRAMS CERTIFICATION ________ EUI (E-U-I) NUMBER
25 CLG GRANT APPLICATION
CLG APPLICANT: _________________________________________County: _____________ GRANT CYCLE (e.g., 2021-2022, 2022-2023): _______________________________________ Contact Person Responsible for
PROGRAM Management
Responsible for
FISCAL management
Name
Title
Address
Phone
FAX
EMAIL
LEGISLATIVE REPRESENTATIVES
State Senator State Assembly U. S Representative
Name
District
Address
Federal $ Requested _________________ Narrative Attached TYPE of PROJECT:
Archeological Preservation Plan/Ordinance Design Guidelines General Plan Historic Preservation Element Ordinance Revision Historic Context Other Considerations
Survey (Required Information)
Approx. number of buildings to be surveyed ________
Reconnaissance Approx. Acreage _________ Intensive Approx. Acreage ________ Historic Structure Report/HS Preservation Plan Information Management National Register District or MPD Nomination Education & Outreach I have read and will ensure that the applicant CLG will comply with the Project General and Special Provisions and the Secretary of the Interior’s Standards and Guidelines, as applicable. ______________________________________________ ________________ Authorized Representative Signature Date
______________________________________________
Name and Title of Authorized Representative
26 Application Narrative Template
Please use the following section headings and provide the content requested for each section in a brief but thorough narrative.
1. PROJECT SUMMARY
Summarize in one or two sentences the purpose of the proposed project. A more detailed description will be completed under Project Scope. Indicate if your proposed project addresses State Preservation Plan goals and warrants consideration for bonus points.
2. PROJECT SCOPE (60 points) In 2 pages or less clearly and concisely describe the proposed project. Be sure to answer the questions for each section below within the narrative:
NEED (25 Points): What local historic preservation needs does the proposed project address? How does the proposed project relate to the local government’s preservation plan? Why is the proposed project a priority? How will the proposed project benefit the community? How does the project relate to the Statewide Historic Preservation Plan?
ACTIVITIES (15 Points): What activities will be necessary tasks to complete the proposed project? Who will be responsible for doing what? How does the proposed project remedy the identified preservation needs? Is the proposed project the most efficient, cost-effective way of addressing those needs? How will the public be involved?
PUBLIC INVOLVEMENT (10 Points): How will the public be involved in the project? How will the product(s) be made available to the public? DELIVERABLES (10 Points): What product(s) will be derived from the project? Will the product(s) be in draft or final adopted form? How will the product(s) be used by the local government?
3. ADMINISTRATION (15 points): Demonstrate that project personnel and methods are clear and appropriate to achieving project objectives. PERSONNEL (5 Points): List names and/or experience of individuals and organizations necessary to implement your project. Include current resumes for key project personnel.
SCHEDULE (5 Points): Create a schedule/calendar for major project activities. It should be realistic and achievable. Distinguish between consultant and local government’s activities.
27 4. BUDGET (15 points) Show that budget is reasonable to accomplish major project tasks and activities and that budget items are necessary to accomplish project activities.
Provide a sufficiently detailed budget to show basis for cost items including a breakdown of staff and volunteer hours by task. Indicate how these numbers were calculated.
A. Federal funds (Grant) requested CLG’s matching share $_________________ $_________________
B. Source of Non-Federal Match
Note: In-kind Match activities must directly relate to proposed project
1. Donor ________________ 2. Donor ___________________
Source _______________ Source __________________
Kind _________________ Kind ____________________
Amount _______________ Amount _________________
C. (Use a separate sheet to show detail if necessary.)
Cost Categories Rate used to
Calculate
Cost
Cash from
Grant
Other Cash In-Kind Services
Contracted Services*
(Specify)
Salaried Employees*
Provide a breakdown of
staff person, hours, rate
& fringe)
Volunteers*
(Provide a breakdown of
estimated hours by task)
Supplies, copying,
postage, etc. (Specify)
Travel Costs *
Totals
28 *Salaries and mileage not to exceed current maximum levels (Refer to Read First-Updates).
5. DEVELOPMENT POINTS: (5 points)
Indicate if the CLG is entitled to Development Points and why. 29 APPENDIX
FORMS TO BE INCLUDED IN APPLICATION PACKET
All of the documents listed below are available by clicking on the title as well as by accessing the CLG Grants Program webpage.
ENVIRONMENTAL COMPLIANCE REQUIREMENTS
CERTIFICATE OF PROFESSIONALISM AND CONFORMANCE
ASSURANCES - NON-CONSTRUCTION PROGRAMS
FORMS TO BE USED IN GRANT REPORTS
COMPETITIVE CONTRACTING DOCUMENTATION
VOLUNTEER OR DONATED LABOR TIMESHEET
ONLINE RESOURCES
Other documents referenced in this manual are available online at the CLG Grant Program webpage.