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STATE OF IOWA CERTIFIED LOCAL GOVERNMENT FY2012 GRANT MANUAL State Historical Society of Iowa Iowa Historic Preservation Office 600 East Locust Street Des Moines, Iowa 50319-0290 (515) 281-6826 Paula.mohr@iowa.gov Cover photographs: Windsor Theatre, Hampton (Paula Mohr), Linn County Farmstead (Joi Bergman), Foster Park, LeMars (Marlys Svendsen) TABLE OF CONTENTS PART I. INTRODUCTION ................................................................................................................1 Important Dates and Deadlines .............................................................................................2 What’s New This Year……………………………………………………………………...2 Frequently Asked Questions ..................................................................................................3 PART II ELIGIBLE PROJECT CATEGORIES..................................................................................8 PART III COMPLETING THE APPLICATION..................................................................................16 PART IV DEVELOPING YOUR BUDGET.........................................................................................27 PART V PROCESS AND STANDARDS FOR EVALUATION OF APPLICATIONS…………….34 Sample Grant in Aid Agreement (Contract) .......................................................................... 38 Monthly Progress Report ....................................................................................................... 62 3 PART I INTRODUCTION Jointly administered by National Park Service (NPS) and the State Historic Preservation Offices (SHPO), the Certified Local Government (CLG) Program is a model and cost-effective local, state, and federal partnership that promotes historic preservation at the grassroots level. Working closely with national organizations as the National Alliance of Preservation Commissions and the National Trust’s Main Street Program, the CLG program seeks to: 1) develop and maintain local historic preservation programs that will influence local decisions critical to historic properties, and 2) ensure the broadest possible participation of local governments in the national historic preservation program while maintaining preservation standards established by the Secretary of the Interior. An incentive for participating in the CLG program is the pool of matching grant funds made available annually to participating cities and counties. In Iowa, the CLG grant fund amounts to over 10% of Iowa's annual Historic Preservation Fund (HPF) grant allocation from the National Park Service. Since 1983, when the CLG program started, Iowa has awarded over $1,600,000 in grants monies to fund 270 CLG grant projects across the state. For the 2012 CLG grant round, the Iowa Historic Preservation Office has set aside approximately $84,000. To qualify for a 2012 CLG grant, a city or county must meet two criteria: 1) Have a certified local historic preservation program: The city or county must have an established local historic preservation program by ordinance or resolution, applied for and received Certified Local Government status from the National Park Service, Department of the Interior. 2) Be current in CLG Annual Report submittals: The city or county must be current in their submission of Iowa CLG Annual Report forms. This means that the CLG city or county has submitted all Iowa annual report forms through 2010. If you have questions about eligibility, contact Paula A. Mohr at (515) 281-6826 or paula.mohr@iowa.gov IMPORTANT DATES AND DEADLINES August 5, 2011 Submit a draft application for review and comment by State Historic Preservation Office staff (it is highly recommended that you submit a draft application for review and to insure that your budget is ample to successfully complete the project). CLGs applying for a planning for preservation grant or a predevelopment projects must submit a draft application for review); draft applications can be emailed to paula.mohr@iowa.gov August 17, 2011 The State will return comments on draft applications to the applicants. 1 August 31, 2011 Final grant applications must be postmarked by this date. Hand-delivered applications must be delivered by this date. October 14, 2011 State Nominations Review Committee (SNRC) will meet to make final recommendations for CLG grant awards November 2011 State Historical Society Board meeting to approve grants recommendations December 2011 CLG grant applicants will be notified of grant awards. Mid-January 2012 CLG Grant-In-Aid Agreements (grant contracts) will be sent to 2012 awardees. March 1, 2012 Earliest possible start date for the 2012 CLG Grant projects June 30, 2013 2012 CLG Grant projects must be completed WHAT’S NEW THIS YEAR WITH THE CLG APPLICATION PROCESS? We have been given authorization from the National Park Service to use a rate of $16.77 for our volunteer wage rate rather than the federal minimum wage. This volunteer rate has been established by the Independent Sector, a leadership forum for charities, foundations, and corporate giving programs. Please use $16.77/hour for calculating the in-kind match on the budget page. Also, to assist us with our reporting requirements with the National Park Service, we are asking that applicants provide a 100-word summary of their proposed projects. Survey and nomination projects also need to state an estimated number of resources to be surveyed as well as an estimated amount of acreage. For more information, please see the grant application. FREQUENTLY ASKED QUESTIONS WHAT TYPES OF PROJECTS ARE ELIGIBLE FOR CLG FUNDING? Activities that involve looking for and establishing the significance of buildings, structures, sites, objects or districts are eligible. In historic preservation language, these activities include identification, evaluation and registration. Planning activities are eligible when the focus is on historic preservation. A planning project could be developing a historic preservation component for a city or county comprehensive plan; or a plan to develop historic contexts and conduct a series of identificationevaluation-registration projects; or planning could involve studying local ordinances and codes, proposing historic preservation-friendly revisions and, ideally, having those revisions implemented by City Council or Board of Supervisors action. Educational projects that involve historic preservation are eligible. Applying for scholarship monies to send commissioners or staff to the National Alliance of Preservation Commissions Forum; developing video tapes and brochures for tours of historic properties; developing historic preservation curriculum 2 for elementary or high school classes are examples of educational activities. In addition, CLG grants can be used for Pre-Development projects. Pre-development projects include doing a structural assessment of a property and developing rehabilitation recommendations; developing maintenance plans for properties; studying adaptive reuse or alternative uses for a property and making recommendations as to the most appropriate. Generally, these projects focus on a single National Register listed property that is owned by the local government or is accessible to the public. WHAT TYPES OF PROJECTS ARE NOT ELIGIBLE FOR CLG FUNDING? The grants cannot be used to cover the cost of preparing the grant applications, construction or rehabilitation projects, landscaping, of building maintenance, of acquisition of property, or the cost of moving properties. CLG grants cannot be used to cover the cost of doing archival research unrelated to historic properties or the cost of workshops, publications, flyers exhibits that do not directly relate to historic preservation. CLG grants cannot be use for museum projects that do not directly relate to historic preservation. CAN A CLG WORK WITH ANOTHER AGENCY OR ORGANIZATION ON A CLG GRANT PROJECT? Yes. Check with Paula Mohr, CLG Coordinator for more information about on "Pooling CLG Grants" and "Delegating Third-Party Administration.” CAN A CLG WORK ON A GRANT PROJECT THAT INVOLVES HISTORIC PROPERTIES LOCATED OUTSIDE THE CLG LIMITS? Yes, if all local governments involved approve and if the project meets the CLG Grant program requirements. CAN A CLG SUBMIT MORE THAN ONE GRANT APPLICATION DURING A GRANT ROUND? Yes, a CLG city or county may submit more than one application per grant round. If more than one application is submitted, make sure that the city or county is prepared to undertake all of the projects, if all receive grant awards! HOW MUCH MONEY IS AVAILABLE? HOW MUCH CAN BE REQUESTED? Approximately $84,000.00 has been allocated for use as 2012 CLG Grant funds. There is no cap for grant projects. However, please use common sense in making your requests. For example, a request for $25,000 would mean that one CLG would be receiving more than one third of the CLG grant allocation. Unless the project dealt with a National Historic Landmark or was extremely compelling, it is unlikely that $25,000 or more would be awarded. It is very important that you ask for enough funding to cover project costs. It is better to ask for a slightly larger grant than a reduced one. Please contact Paula Mohr for examples of past grant applications and budgets. It also strongly recommended that you contact several consultants about your project to help you determine costs. A list of consultants is available at http://www.iowahistory.org/historicpreservation/national-register-of-historic-places/registered-consultants.html WHAT ARE COST REIMBURSABLE AND MATCHING GRANTS? 3 Cost-reimbursable means that the grant funds can only be used to reimburse the CLG for actual expenditures after the CLG has paid for that expense. After a CLG has been awarded a grant, the CLG completes the grant project, submits documentation to the State on the paid project expenses, and the State reimburses the CLG for the grant portion of the paid expenses. The State will reimburse the CLG for grant project costs when it has reviewed and approved the documentation that supports the expenditures. This means that the local government may have to carry the cost of the grant for a brief period between the time it pays the grant project bills and the time it is reimbursed by the State. Matching: The CLG shares in the cost of the project by contributing a share (match) of project costs. The CLG share of costs can consist of cash and/or it can be in-kind contributions such labor, materials, facilities or services. In-kind labor costs must be documented in terms of hours and given a value per hour. For example, volunteers performing services within his or her profession may evaluate their donated time at the maximum rate allowed for professionals. The work of volunteers, performing services outside his or her profession, will be evaluated at the wage rate established by the Independent Sector at $16.77 per hour. Iowa allows CLGs to claim as match in-kind services such as supplies, developing photographs, photocopying, office rent, clerical support, or certain administrative costs when these are donated to the project by the local government or a third party. When a CLG chooses to count these supplies or services as match, documentation is required. CLG grants have a 60:40 match ratio. This means that the CLG grant will cover 60% of the total project costs, and the CLG will provide 40% of the total project cost as match. For example, if the total cost for a project is $1,000, then the CLG requests a grant of $600 and provides a match of $400. Please be sure that your match equals 40% or more of the total cost of the project, when filling out the budget page. CAN THESE GRANTS BE USED ON PROJECTS WHERE THERE IS OTHER FEDERAL INVOLVEMENT? These grants can be matched with federal Community Development Block Grants (CDBG), and under certain circumstances Transportation Equity Act-21 (TEA-21) Enhancement funds. Certified Local Government grants cannot be used for Section 106 (federally assisted, licensed, or permitted) compliance. CLG grants cannot be matched with grants from the National Endowment for the Humanities, National Science Foundation, and National Endowment for the Arts. ARE THERE ANY PARTS OF THE APPLICATION PROCESS THAT MIGHT TAKE MORE TIME THAN EXPECTED? Yes. You might need between two weeks and a month to place the grant application approval on your city council or board of supervisor agenda. Do not delay in getting this approval of your local government and the signature of the Chief Elected Official on the final grant application. CAN THE CLG GET HELP IN PREPARING THE GRANT APPLICATION? Yes! Here are your options:  You are strongly encouraged to contact the Historic Preservation Office Staff members with questions and requests for help. Please contact Paula Mohr, paula.mohr@iowa.gov; (515) 2816826 who will help or refer you to the appropriate staff person.  Submit a draft application for staff review and comment. 4    Contact Paula Mohr to find out which CLGs have done similar projects, so you may contact them and ask for their advice. Also you may request a copy of a funded grant application for a similar project. Contact preservation professionals who work as consultants on grant projects. You may hire a consultant to prepare the application. However, be advised that grant money cannot be used to reimburse the consultant for preparation of the application, nor can the CLG promise to hire the consultant to work on the project if the grant is awarded. Most CLG cities and counties belong to a Council of Governments (COG) or Regional Planning Commission (RPC). These agencies provide grant-writing services. WHEN WILL WE KNOW IF WE ARE AWARDED A GRANT? Applicants will be notified in December 2011. WHEN CAN WORK ON THE PROJECT BEGIN? Work can begin when the CLG receives the Notice to Proceed and a Grant in Aid Agreement that has been signed by the State and the Chief Elected Official of the CLG. Costs incurred prior this not qualify as grant related expenses and will not be reimbursed or regarded as match. Generally, preliminary work, such as sending Requests for Proposals and signing on consultants, will begin in March of 2012. Grant projects that are not underway by June 1, 2012 are subject to cancellation. Projects must be completed by June 30, 2013. WHO CAN SERVE AS A CONSULTANT FOR A PROJECT FUNDED WITH A CLG GRANT? All consultants (architects, architectural historians, historians, or other professionals) must meet the Secretary of the Interior’s Professional qualifications and be approved the Iowa Historic Preservation Office. CLG grant awardees are required to send Requests for Proposals (RFP) to a minimum of three consultants. Selection can be based on locally determined criteria, e.g., a mixture of experience, qualifications, and cost, rather than cost alone. REQUIRED REPORTS CLG grant awardees are required to submit monthly progress reports on their grant projects. The report form is available in electronic format. It asks for a summary of grant project activities that were completed during the month and a summary of grant monies expended and match that was generated. The report helps the CLG and the State track the progress of the project and provides an early alert system if problems develop. WHEN ARE GRANT FUNDS ACTUALLY TRANSFERRED TO THE CLG? The city or county must have enough money “up-front” to be able to carry the project (including paying for consultants and other project costs) until it gets reimbursed by the State. In March-April 2013, after the draft grant products have been reviewed and approved by the State, the city or county may request reimbursement of 70% of the grant award. The CLG must first pay the project costs. Then submit a request for reimbursement documenting their payment and sufficient cash and/or in-kind match to support payment. At the end and close of the project (June 30, 2013), the CLG can request reimbursement on the remaining balance, 30% of the grant award. 5 WHO ARE THE KEY PLAYERS IN THE CLG GRANT PROCESS? City/County Financial Officer: Typically, this is the City Clerk or the County Auditor. The Clerk or Auditor manages the CLG grant budget, oversees expenditures, insures that accounting meets Federal and State standards, and coordinates with the Project Director in preparation and submission of requests for reimbursement for CLG grant expenditures. Consultant: Typically, this is a professionally-trained archaeologist, historian, architectural historian, or historical architect who meets the Secretary of the Interior’s Professional Qualification Standards and is hired by a CLG to work on a CLG grant project. The consultant serves as the principal investigator for the project, works directly with the CLG, and channels all communication to the State through the CLG project director. Lists of archaeological, historical, and architectural historian consultants can be obtained from http://www.iowahistory.org/historic-preservation/national-register-of-historicplaces/registered-consultants.html or requested from the Office of Historic Preservation at (515) 281-6826. Local Project Director: A historic preservation commissioner, paid City/County staff member, or volunteer who works with the consultant in administering and directing the project. The project director reports monthly to the State Project Manager and to the Historic Preservation Commission on the status of the project. State Project Manager: the professional staff of the Iowa Historic Preservation Office serve as the project managers or advisors for each of the funded grant projects. The staff project manager represents the State in the administration of the awarded grant projects; serves as the primary point of contact with the CLG Project Director and consultants; answers questions, provides technical information on the project, reviews and comments on grant products. CLG Coordinator: In the Iowa Historic Preservation Office represents the State in the general administration of the awarded grant projects, answers questions relating to general grant administration. To contact, call Paula Mohr at (515) 281-6826 or paula.mohr@iowa.gov. WHAT HAPPENS IF WE CANNOT FINISH OUR PROJECT? Your State Project Manager will work closely with you to try to avoid this happening. Grant projects can be amended after the award is made as long as the amendment(s) do not substantially change the original type of project. In other words, a survey and evaluation project could not be changed to a public education or planning project. WHAT HAPPENS IF WE DO NOT SPEND ALL OF THE GRANT AWARD OR IF WE DO NOT HAVE ENOUGH MATCH? You will only be reimbursed for the amount of the grant award that you can prove that you spent. If you have not produced enough match, your CLG grant award will be reduced since its size is contingent on the amount of local cash and in kind match that you are able to provide. WHAT HAPPENS IF ALL OF THE STATE’s CLG GRANT MONEY IS NOT SPENT? The National Historic Preservation Act requires that each State Historic Preservation Office disburse all of the CLG grant money. If at the end of the grant period, a CLG has not expended all of their grant money and/or has not generated enough match to meet the total award—everyone in the CLG and 6 Historic Preservation Program is penalized. The Iowa Preservation Office has to return the unspent balance of the CLG grants to the National Park Service awarded, thus decreasing State Historic Preservation Office funds. In the next fiscal year, the Park Service will deduct the unspent amount from the Historic Preservation Grant award to Iowa. In effect, Iowa is penalized two-fold when CLG grant awardees do not fulfill their obligations. Please notify Paula Mohr, CLG Coordinator asap if you believe you will not use the entire amount granted to you. 7 PART II ELIGIBLE PROJECT CATEGORIES CLG grants are intended to support local preservation efforts. They can be used to underwrite the following types of activities: Planning for Preservation, Planning, Survey/Evaluation, Registration, PreDevelopment and Public Education. The grants cannot be used for actual work (e.g., rehabilitation, restoration, stabilization) on historic properties (buildings, structures, sites, objects, districts). Nor may CLG grant money be used to cover operating costs, care for museum collections, prepare exhibits, prepare publications or organize events that are not directly related to historic preservation topics or issues. The following is an in-depth discussion of the different types of projects that are supported by CLG grants: PLANNING FOR PRESERVATION These are start-up grants geared to help newly certified or inactive commissions receive basic training in three areas: 1) preservation activities—planning, survey, evaluation; 2) project development, management, and completion; and 3) working with a historic preservation professional. The goal of these projects is to help the Commission and Community understand the role and use of planning, survey and evaluation in a local historic preservation program, particularly in developing a historic property inventory and using the inventory in comprehensive planning. A planning for preservation project is limited in scope. The project should focus on activities that provide historic preservation training to commission members and volunteers and provide an opportunity to apply that training. Training may include instruction on research, recording, and context development for survey and evaluation and hands-on application when commissioners and volunteers utilize this training to research previous historic preservation work in the city or county and record properties or when volunteers record properties by completing Iowa Site Inventory forms. Training in historic preservation planning may include instruction from the consultant on comprehensive land use planning basics and the commission’s role in the planning process. Training can involve meetings with local governmental officials, local organizations and individuals to identify ways to integrate historic preservation into future community projects. The project should also involve preparation of a project report that includes a bibliographic listing of previous historic preservation work done in the community. The report will include a discussion of potential historic contexts and associated property types and properties; and the report will contain the consultant’s recommendations for future survey, evaluation, and/or planning projects. The consultant will write the report. The commission members and volunteers will do the major portion of the research and assist the consultant in the mechanical aspects of report preparation, collation, and reproduction of the report. It is recommended that a commission focus on either archaeological or architectural/historical properties when doing a planning for preservation project. The proposed project must comply with the Secretary of the Interior’s Standards and Guidelines for planning, identification and evaluation, and any guidelines required by the State in the application. 8 Planning for Preservation grant projects cannot be combined with other types of projects. For example, the commission may be trained in survey procedures, do preliminary research and inventory work, but the commission cannot perform a survey as part of the project. If your commission wants to survey, then apply for a survey project. Planning for Preservation projects are small in scope. Please consult with Paula Mohr, CLG Coordinator as you develop your grant application. Because these are training grants, the CLG historic preservation commission MUST contribute a minimum of 100 hours of volunteer work as in-kind match for the project. SURVEY AND EVALUATION CLG cities and counties are responsible for locating historically significant buildings, structures, objects, sites (including archaeological sites) and districts within their jurisdiction. The process of locating is called “identification” and known informally as “survey.” The process determining if a property is significant is called “evaluation.” Evaluation involves taking the information gathered in identification and applying it to determine if a property meets the Significance and Integrity Criterion of the National Register or of a local register. Critical and essential steps in developing a local historic preservation program are locating historic properties and building a file of information about them. “Identification” provides the foundation of a local historic preservation program because as a result of locating properties it also generates information about those properties. That information consists of completed Iowa Site Inventory forms, Survey Reports, Photographs, Maps, plans of properties. These documents make up the file of information that is called an “Inventory” and used for preservation planning, property management and protection. Survey data should be readily integrated into the State’s planning process and inventory, consequently reports must be in a particular format and information on individual properties must be recorded on either Iowa Site Inventory forms or Office of the State Archaeologist Archaeological Site forms. Identification projects must gather enough information to make decisions. If it is a reconnaissance survey, enough information is needed to decide which areas and individual properties merit intensive survey and evaluation. If it is an intensive survey and evaluation project, then sufficient information to develop historic contexts and make significance evaluations is needed. Identification projects must be conducted according to a research design that specifies the objectives, methods and expected results of the survey. (Identification Standards I through III). Identification projects must be designed to lead to nominations of significant properties to the National Register (or to a determination of eligibility). Identification projects can vary in focus, scope and intensity. For example, a survey project could look at the history of properties (buildings, structures, sites, objects), such as how properties reflect different events or developments within a city or county, such as the coming of the railroad or being designated a county seat. A survey project might look at the architecture, design, or engineering of properties. An example would be to look for Prairie Style properties, or to look for timber-framed buildings, or to survey barn design. Survey projects can focus on the prehistoric or historic archaeology of an area. For example, search for the remains of "dug-out" homes used by early pioneers or trying to locate sites associated with a particular prehistoric time period such as the Archaic. Finally, survey and evaluation projects may be interdisciplinary, examining historical, architectural, archaeological significance in 9 combination. A survey can examine certain property types, e.g., courthouse, homes; or it can focus on a particular area: downtown, the industrial district, a rural area. There are two levels of intensity: “Reconnaissance,” covering a large area but not in depth and “Intensive,” covering a small area in depth. RECONNAISSANCE SURVEY involves archival research and enough fieldwork to locate properties in the survey area. The emphasis in a reconnaissance level survey is on developing historic contexts. Historic contexts are themes in history, architecture, and archaeology that will be used to evaluate the significance of properties. Reconnaissance surveys emphasize research. Fieldwork is limited, recordation involves noting the location of a property, the type of property, photo documenting the property, and providing a description. In the case of archaeological reconnaissance surveys, fieldwork may involve pedestrian survey and visual examination of promising areas identified on the basis of background research. Iowa Site Inventory Forms and/or Office of the State Archaeologist Site Forms may be partially completed with a photograph, map location, and other information. Reconnaissance surveys are used to determine the nature of the next “level of documentation.” For example, results of a reconnaissance survey may indicate when it is advisable to do an intensive level survey of a historic district, when it is advisable to survey intensively individual properties or when additional survey is unnecessary because no historic properties are in the surveyed area. The results of a reconnaissance survey may indicate that it would be productive to survey properties associated with a particular historic context. Generally, reconnaissance surveys cover more area and larger numbers of properties than can be covered in an intensive level survey. The research undertaken in a reconnaissance survey will produce information on historic contexts for the area covered during the survey. A comparison of these contexts can suggest which would be the most productive to pursue in a follow-up intensive survey. If the survey is archaeological or interdisciplinary, there are some additional provisions. Archaeological site information is recorded on Office of the State Archaeologist Site Forms. The report must meet the information/content requirements of the Association of Iowa Archaeologists’ Guidelines for Archaeological Investigations in Iowa and a National Archaeological Data Base form is completed for each project. Finally, provision must be made for permanent curation of artifacts and associated records at a repository that meets the Secretary of the Interior's Standards for Curation. INTENSIVE SURVEY AND EVALUATION combines survey with evaluation. Intensive Survey involves in-depth archival research and fieldwork to record properties in the survey area. In the case of archaeological sites, intensive survey and evaluation may involve various forms of subsurface testing sufficient to gather information about the horizontal and vertical extent of the associated remains, their structure and composition. For all types of intensive survey and evaluation projects, the objective is to gather sufficient information to recommend proposed significance or non-significance of the investigated properties and develop historic contexts in terms of National Register of Historic Places listing. The recordation should be comprehensive enough to illustrate the historic character of the property and document integrity. The research should gather enough information to document significance of properties, develop one or more historic contexts and describe them in a final project report that is at the level of a Multiple Property Document in its detail and scope (please note that the MPD form should not be used. Instead, the information should be provided in report form only.). These projects are very labor intensive, requiring many people and/or many hours to completely record: map, photograph, 10 describe and to research: each property and context, to complete the evaluations of potential significance, to prepare the final report and to complete the associated documentation (site inventory forms and photographic records). The size of your survey area and the number of properties, requiring recordation, should be selected on the basis of three factors: personal, hours, and/or cash. You will need a combination of reliable volunteers who are committed to the project, City or County staff who can devote work hours to the project, and/or the cash to pay for the consultant. Some CLGs have done large surveys using a small group of volunteers who have put in over 1000 hours assisting their consultant, other CLGs have been able to combine volunteers, staff hours, and a consultant, a third group of CLGs has relied exclusively on staff and consultants. The point is to make a realistic assessment of your resources and tailor the size of the project accordingly. Survey projects can be done in phases. It might be useful to divide the proposed survey area into smaller units if you think you do not have the personnel and/or cash to do the entire area. Remember a historic district can consist of as few as two individual properties and can be increased as further survey and evaluation is completed. If the survey is archaeological or interdisciplinary, there are some additional provisions. Archaeological site information is recorded on Office of the State Archaeologist Site Forms. The report must meet the information/content requirements of the Association of Iowa Archaeologists’ Guidelines for Archaeological Investigations in Iowa and a National Archaeological Data Base form is completed for each project. Finally, provision must be made for permanent curation of artifacts and associated records at a repository that meets the Secretary of the Interior's Standards for Curation. ONLINE ASSISTANCE An explanation of identification (survey) and evaluation and an outline of requirements are found in the Secretary’s Standards and Guidelines for Evaluation. Go to the National Park Service’s website to download The Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation. This version is updated and annotated and can be downloaded and printed. The following National Park Service Publications provide more information and are available on-line at http://www.nps.gov/history/publications.htm Guidelines for Local Surveys: A Basis for Preservation Planning. National Register of Historic Places -- Bulletin 24. Researching a Historic Property. National Register of Historic Places -- Bulletin 39. Guidelines for Counting Contributing and Noncontributing Resources for National Register Documentation. National Register of Historic Places -- Bulletin 14. How to Apply National Register Criteria for Evaluation. National Register of Historic Places -Bulletin 15. How to Complete the National Register Registration Form. National Register of Historic Places -Bulletin 16A. 11 How to Complete the National Register Multiple Property Documentation Form. National Register of Historic Places -- Bulletin 16B. EVALUATION is determining whether a property or group of properties meets the National Register or local significance and integrity criteria and therefore is eligible for listing on the National Register of Historic Places or local designation. The evaluation process will not place properties on the National Register but will recommend the best candidates for nomination as individual and/or district listings. Essentially, evaluation involves using a historic context as the framework for determining significance and then using the results of research to show how and why a property meets one or more of the National Register significance and integrity criteria. It is recommended that evaluation be done in conjunction with intensive survey. However, if an intensive survey and evaluation was done prior to 2003, an evaluation project probably will be needed in order to update information, photographs and prior evaluation recommendations. If the evaluation is archaeological or interdisciplinary, there are some additional provisions. Archaeological site information is recorded on Office of the State Archaeologist Site Forms. The report must meet the information/content requirements of the Association of Iowa Archaeologists’ Guidelines for Archaeological Investigations in Iowa and a National Archaeological Data Base form is completed for each project. Finally, provision must be made for permanent curation of artifacts and associated records at a repository that meets the Secretary of the Interior's Standards for Curation. REGISTRATION Registration is official recognition of a significant and therefore historic property by nominating or designating it to a register maintained by the federal or local government. Registration projects involve placing properties on the National Register of Historic Places or on a municipal or county register of historic places. Registration projects should be undertaken if the property has been determined potentially eligible for National Register nomination through an intensive survey and evaluation project or personal research (survey and evaluation) which has been submitted to the State Historic Preservation Office and resulted in a determination of potential eligibility. Registration activities also may include refinement and elaboration of historic contexts and submission of the Multiple Property Cover Document along with at least one property nomination for approval and listing on the National Register. Multiple Property Cover documents and the historic contexts outlined within cannot be used for nomination purposes until they have under gone the same State and Federal review process as nominations. NATIONAL REGISTER NOMINATIONS Cities and counties that have surveyed and evaluated properties are encouraged to complete the process by nominating properties, determined significant and eligible for listing, to the National Register of Historic Places. This typically involves completing additional research and recordation, preparing and submitting the nomination for a series of reviews by State Staff and then for the final review to the State Nomination Review Committee. Guidance for preparing National Register nominations can be found in the National Register Bulletins listed above. National Register nomination projects must have final nominations and supporting document ready for review by the State Nominations Review Committee at their June meeting. 12 The following guides, available on the Web at http://www.nps.gov/history/publications.htm should be of help to you: Guidelines for Counting Contributing and Noncontributing Resources for National Register Documentation. National Register of Historic Places -- Bulletin 14. How to Apply National Register Criteria for Evaluation. National Register of Historic Places -Bulletin 15. How to Complete the National Register Registration Form. National Register of Historic Places -Bulletin 16A. How to Complete the National Register Multiple Property Documentation Form. National Register of Historic Places -- Bulletin 16B. LOCAL REGISTRATION If a county or city has passed an ordinance that allows for the designation of local historic landmarks and districts, then those counties and cities may use a CLG grant to prepare nominations for local designation of individual landmarks or historic districts. If a CLG commission does a local registration project, they should plan to involve interested or affected parties and the general public in all aspects of the project. Incorporate workshops, focus groups, or other public meetings at all phases of the project to allow for public participation. Local registration projects funded with these grants must employ National Register of Historic Places criteria, standards, and guidelines for measuring significance and for documentation. Using the State and National forms are encouraged for a more streamlined procedure and one which has been tested in court. PLANNING Planning within the Secretary of the Interior's Standards encompasses the development of a long-term program for identification, evaluation, and registration of historic properties and contexts within a city or county. The objective is to develop and maintain an inventory of historic properties which can be used to assist in the treatment, maintenance and long-term protection of those properties. In addition, the National Park Service recognizes that planning also involves integrating municipal or county historic preservation into comprehensive planning processes. This type of planning can include development of any of the following: 1. Local policies: governmental commitment to maintain publicly owned historic buildings or policy to seek historic properties when additional facilities are needed; 2. Incentives: revolving funds, property tax abatement, freeze, or credit; no or low cost loans; 3. Streets: promote appropriate parking, streetscape design and maintenance, signage, relate traffic patterns to use of historic properties; 4. Maintenance programs for historic properties: free or low cost paint, tool bank/exchange; development of training programs in appropriate painting, pointing, repair procedures; 5. Architectural salvage and recycling building materials; 6. Regulatory: local designation, historic conservation zoning, historic preservation easements, historic building codes; 13 7. Programs to ensure maintenance, protection and continued use of historic properties. This type of planning also involves establishing review and communication networks among local governmental staff and departments (planning, engineering, roads, parks, utilities, permits); 8. Accessibility issues for historic buildings. The planning projects can be done on a step-by-step basis, or a community might choose to develop a plan incorporating many of the activities described below:          Develop historic contexts to guide future survey and evaluation projects in your city or county. Develop a plan for completing intensive level survey and evaluation projects of your city or county. Reviewing your local government’s ordinances (e.g., zoning, subdivision, historic preservation) and regulations (e.g., building codes, health and fire codes) which affect historic properties. Prepare revisions that allow for recognition and protection of local historic properties. Developing design guidelines for proposed alterations of National Register listed and/or locally designated historic landmarks or properties in local historic districts; Developing local incentives to encourage appropriate rehabilitation, use, and preservation of historic properties; Developing a historic preservation component to incorporate into your local comprehensive plan. Developing a system for local designation of single properties and historic districts. Develop a financial incentive program for rehabilitating and maintaining historic properties. Develop a training program and literature to enhance and facilitate interdepartmental communication about historic preservation issues. PUBLIC EDUCATION These projects provide CLG historic preservation commissions with an opportunity to educate their communities about local historic properties and the local historic preservation program. Public education activities should be based on work that meets the Secretary of the Interior’s Standards, where applicable. Public education projects must relate to historic preservation activities. Ideally, the projects should also relate to historic properties within your city or county—you need to provide this linkage in your grant application. Public education projects can include these activities: preparing a publication, audio or visual materials; presenting a workshop, conference, lecture, or class; developing curriculum for local schools; adult education programs; or training materials for realtors, contractors, or owners of historic properties. A commission can work with local partners (e.g., civic, historic, youth groups) on the project. The project must focus on historic preservation. Here are some examples of public education projects:     Apply for scholarship money to cover participation in the National Alliance of Preservation Commissions Forum Develop a walking tour and brochure featuring National Register properties in your community, see http://www.cr.nps.gov/nr/travel/index.htm for additional ideas; Work with elementary or high school teachers to develop courses and projects that use local historic properties to teach various aspects of local history, see http://www.cr.nps.gov/nr/twhp/index.htm for additional ideas; Present a workshop on historic paint colors for owners of historic properties; 14  Use the results of a survey to develop an exhibit on historic farms and their stories, see Telling the Stories: Planning Effective Interpretive Programs for Places Listed in the National Register of Historic Places at http://www.nps.gov/history/publications.htm A commission might organize a workshop on a preservation topic of local interest, e.g., researching your property, applying design guidelines in an historic district, and how to conduct a survey. Exhibits, produced with these grants, must be directly linked to historic preservation: photographic exhibit of National Register listed properties; video tape providing instruction about rehabilitation; power-point presentation on filling out a site inventory form, workshop on porch restoration, etc. Grant money can be used for planning and organizing the project, promotion and publicity, preparation of materials (registration, schedules, and evaluation forms), obtaining speakers or renting special materials such as videotapes, and producing materials to hand out at the meeting. Grant money cannot be used for refreshments or meals served at the conference. Conference activities should be based on work that meets the Secretary of the Interior’s Standards, where applicable. PRE-DEVELOPMENT PROJECTS Pre-development projects are used to plan for 1) applying the appropriate treatment, 2) long-term stabilization and maintenance, and 3) use or adaptive reuse of National Register listed properties. In effect, predevelopment projects provide plans for activities that protect and preserve significant, historic properties. Eligible activities include preparing architectural plans to implement the appropriate "Historic Property Treatment," conducting engineering studies, researching and writing historic structure reports, and preparing feasibility studies or master plans. The projects may focus on prehistoric or historic archaeological sites as well as on buildings, structures, and objects. The Secretary of the Interior’s Standards http://www.cr.nps.gov/local-law/arch_stnds_0.htm provide guidance for preparing the documentation required for pre-development projects. If the project will involve a building, structure, or object, then all work must follow the Secretary of the Interior’s Standards for the Treatment of Historic Properties, 1995. In addition, the final report may need to follow Historic Structure Report format. See Preservation Brief #43 Preparing a Historic Structure Report (http://www.cr.nps.gov/hps/tps/briefs/brief43.htm) For archaeological sites, pre-development grants should be used only to develop plans to preserve and manage sites, e.g., stabilization, non-destructive uses, and erosion control. These grants are not to be used for additional study of the site’s prehistoric and/or historic occupations. The State requires the following of applications for pre-development projects: 1. Funds can be used only on properties that are listed on the National Register of Historic Places. Priority will be given to properties that are endangered. 2. Funds should be used on properties that are publicly owned or that are owned by a not for profit organization and open for public use. 3. CLGs requesting pre-development funds must have prepared a preservation plan that contains the following: 15     The historic contexts of the community’s development are identified and ranked in terms of importance or priority. Property types are identified and linked to historic contexts and to the local resources that represent them. Statement of local preservation goals and objectives. The plan should demonstrate that the property targeted for pre-development merits use of public funding in terms of the community’s goals and priorities. 4. Applications for predevelopment projects must have photographs of each property to be assisted. For historic /architectural properties, one interior view and one exterior view are required of each property. For archaeological properties, one photograph is required. Applicants for Pre-Development Projects are required to submit preliminary or draft applications for staff review. 16 PART III COMPLETING THE APPLICATION The following includes caveats, helpful hints, and useful information to guide you through writing the application. In addition, you can request a copy of a funded application for a project like the one you wish to do. Let's begin with some background information. WHAT IS INVOLVED IN DOING A GRANT PROJECT? Grant projects tend to be labor intensive and do require time. If you are considering a survey and evaluation project, be ready to commit many hours to research and recordation. If you are considering developing some form of local protection for historic properties, e.g., landmark and district designation; conservation districts, plan on lots of meetings, publicity so that you get the community involved, and many drafts and revisions. Grant projects offer an opportunity to involve new people and groups in your historic preservation effort. Here are the key elements in a grant project:          Working with state project manager on all aspects of the project through phone, email consultation and submission of monthly progress reports. Develop a satisfactory request for proposals (RFP) to send to consultants, establish criteria for selecting a consultant and to developing a subcontract for hiring the consultant. Hiring a consultant. Meeting with consultant to go over project goals, set project schedule, research design if needed, allocation of project responsibilities, and get consultant’s input on best way to do the project. Recruiting, training and organizing volunteers to do project activities. Do the project activities (e.g., meetings, training, research and/or recordation, organize and present event, assist in report preparation) over a 6 to 8 month period. Preparation of draft grant products and submission to State for approval. Preparation of final grant products and submission to State for approval. Preparation and submission of Request for Reimbursement(s) with accompanying documentation of expenses and match. Consultant, Professional—what does this mean? CLG grant funded projects must be conducted or supervised or reviewed by an appropriately qualified professional, which generally means a preservation professional who meets the Secretary’s Professional Qualification Standards for the relevant discipline. When a project involves a workshop, presentation, publication, exhibit, or event, you may also need to seek other professional expertise. If more than one discipline is involved, then the consultant or consultants should have expertise in those disciplines. Currently, Professional Qualification Standards have been developed for Architecture, Archaeology, Architectural History, and History. Standards for Cultural Anthropology, Folklore, Curation, Conservation, Rural or Urban Planning, Cultural Geography are not available. In any event, the professional staff in the State Historic Preservation Office determines if an individual qualifies as a preservation professional or has professional expertise in non-preservation areas, e.g., exhibit design, graphic design, publishing, publicity, marketing, technology. 17 If there is a city or county employee or a historic preservation commissioner who meets the Professional Qualification Standards, that individual can serve as the consultant for the project. If it is a city or county employee, the project work should be considered part of the employee’s normal work duties and would qualify as in-kind match, the value of which would be calculated at his or her hourly rate. If a Historic Preservation Commission member meets the professional qualifications and is willing to serve as the consultant, then the work is done on a volunteer/ pro-bono basis, using time spent on the project as in-kind match calculated at a professional rate. Federal and State definitions of “conflict of interest” prohibit a county or city from hiring a historic preservation commission member or employee to work on a historic preservation project. In summary, on the application, specify the types of professional expertise needed for the grant project. For each professional, calculate the amount of time needed and the professional hourly rate, and, if out of town, include per diem and travel expense—as appropriate. If the consultant is to be paid from the CLG grant, then put the total salary, per diem, and mileage amounts in the column marked Federal/CLG Grant. If the consultant is a city or county employee or a historic preservation commissioner, then put the total salary expense in the “applicant match, in-kind” column. Division of project responsibilities, who does what? The Historic Preservation Commission needs to decide when they complete the grant application, how work on the project will be allocated. Some commissions have the consultant do most of the work. This means asking for a larger grant because of the salary and travel expense for the consultant. Other commissions choose to assist the consultant and do much of the work themselves. Often this will reduce the cost of the project. If a commission chooses to do project work, it is very important that the commission fulfills this commitment. Survey and evaluation projects will fail when commission members do not complete their assigned research and recordation tasks. Remember, if a CLG does not use all of their grant award or fails to provide sufficient match, then the unspent money must be returned to the National Park Service and next year that amount will be deducted from Iowa’s Historic Preservation Grant. The next two sections describe the jobs that typically are assumed by the Historic Preservation Commission, volunteers and staff and those that are generally assigned to Consultant. What are the responsibilities of the local project director and Historic Preservation Commission members in the grant project?       The Commission prepares the Request For Proposals (RFP) and consultant subcontract; obtains State review and comment on the RFP and contract, sends the RFP to no less than 3 consultants, reviews the consultant proposals, selects the consultant, and hires the consultant. Organize any meetings (including the kickoff meeting at the beginning of the project), training sessions, tours, or other events held as part of the project. This will include scheduling, finding locations, publicizing, actively recruiting participants or volunteers, setting up, hosting, and cleaning up. Assist consultant in gathering information, illustrations or photographs for the draft and final project reports. Prepare, print, and distribute to the State all grant products. Actually, this is negotiable. Some consultants can provide this service themselves but will need to be reimbursed for it. Prepare one-page report. Submit draft and final products to the State for review and comment. 18     Submit completed monthly progress reports to the State Project Manager during the course of the project. Submit requests for reimbursement along with documentation to the State CLG Coordinator. Submit requests to the City or County to pay the consultant. Maintain documentation of local match: hours volunteered, mileage expended, materials donated, donated facilities, donated professional services, etc. Typically, what are the consultant’s responsibilities?               Provide professional expertise and guidance. Provide and lead training and project related work sessions. Provide guidance for conducting specific project activities such as research and recordation or inventory development and maintenance. Serve as a consultant and provide expertise in public meetings. Present and explain project results to the commission. Provide handouts and assistance for locating reference materials. Conduct some research, collate the results of volunteer recordation and research efforts. Guide volunteers in completion of forms and paperwork. Serve as primary speaker or trainer in educational session. Work with volunteers to develop educational materials, media presentation, or publication. Conduct pre-development studies and prepare specifications and plans. Guide volunteers who are assisting in production of draft and final reports Prepare the draft and final project reports Complete the HADB form WHAT COSTS AND ACTIVITIES ARE ASSOCIATED WITH PROJECTS? Translate these lists into the activities you will need to undertake to complete your project. Use the lists to give you a sense of time, materials, and costs involved in doing each activity. Consultants will need to be paid for hours spent on: 1. Preparing for training sessions, meetings, and preparation of handout materials, draft report, final report, HADB form. 2. Research in Des Moines, Iowa City or other locations. 3. Travel to your community, touring your community, travel to research facilities. 4. Conducting training sessions or meetings. 5. Consulting with the local project director and SHSI project manager in person, on the phone, or by email. 6. Doing on site demonstrations of research or recordation of properties. Consultants should receive: 1. Reimbursement for mileage accumulated during project related travel. 2. Reimbursement for meals and lodging while traveling. 3. Instead of reimbursement, some consultants are willing to receive in-kind lodging and meals, in effect be guests in the homes of Staff or Historic Preservation Commission members. 19 The following services and supplies may be needed to conduct the project:        Correspondence between State, consultant, local project director. Publicity mailings, emails, phone calls for meetings, training sessions, presentations. Print and produce the draft and final reports or other printed materials (handouts, brochures, exhibit labels, etc.). Various paper supplies: stationary, copy paper; envelopes, file folders, labels, etc; Photographic materials: Digital photographs will be accepted, see Appendix for details to assist you in determining associated photographic costs. Drafting services to make maps and plans. Clerical services. The following communication costs are typically used on projects:  Telephone  Email  Postage  Fax  Printing costs Curation costs for Archaeological Survey and Evaluation Projects Archaeological and interdisciplinary reconnaissance surveys will need to specify a curation facility, where archaeological materials, recovered during the survey, will be stored. The curation facility must meet the Secretary of the Interior’s Standards for Curation. Generally, curation facilities have a per unit charge for curation, e.g., $20.00 per box. The primary curation facility in Iowa is the University of Iowa. However, there are other agencies in Iowa that meet the Secretary of the Interior’s Standards. LISTS OF REQUIRED GRANT PRODUCTS When you answer Section C on the application, be sure to insert the list of required products for all projects, any additional products that are required your specific type of project, and any extra or intangible products that will result from the project. REQUIRED PRODUCTS FOR ALL PROJECTS The following items must be produced. Be sure to include the list on the application. Estimate the cost of producing each and figure that into the project budget. 1. 2. 3. 4. 5. Two draft copies of the Request for Proposals and a list of consultants to whom it will be sent; A minimum of five copies of the final Request for Proposals for distribution to consultants; Three copies of the draft subcontract agreement with the consultant; Three copies of the fully executed subcontract agreement with the consultant; Two copies of a one-page report, summarizing the project results, required for all CLG grant-funded projects; acreage and number of resources surveyed or nominated must be reported. 6. Monthly reports ADDITIONAL REQUIRED PRODUCTS FOR EACH CATEGORY OF PROJECT 20 The following are lists of items that must be produced for specific types of projects. Be sure to include the list for your type of project on the application. Estimate the cost of producing each and figure that into the project budget. PLANNING FOR PRESERVATION PRODUCTS    Three copies of the draft project report; A minimum of eleven (11) copies of the final project report, to include 10 bound copies and one unbound, print-ready master copy. A completed Historic-Architectural database (HADB) encoding form, summarizing the project report if this project involves a standing structure; or a completed, typed National Archaeological bibliographic RECONNAISSANCE SURVEY PRODUCT LIST      Two (2) draft copies of the project research design outline project activities and schedule Three (3) draft copies of the final report which follows the format of a Multiple Property Cover Document; Two (2) sets of any typed Iowa Site Inventory forms, prepared for building, structure, object or site (other than archaeological) recorded or updated during the project. Information about requirements for digital photography can be found at: http://www.iowahistory.org/historicpreservation/statewide-inventory-and-collections/iowa-site-inventory-form.html A minimum of eleven (11) copies of the final project report, to include 10 bound copies and one unbound, print-ready master copy A completed Historic-Architectural database (HADB) encoding form, summarizing the project report if this project involves a standing structure; or a completed, typed National Archaeological Bibliographic Date (NADB) encoding sheet. INTENSIVE SURVEY AND EVALUATION PRODUCTS For Architectural and Historical Survey and Evaluation Projects:  Two (2) copies of a research design outlining the project activities and schedule  Two (2) finished sets of typed Iowa Site Inventory forms for each building, structure, object or site (other than archaeological) recorded or updated during the project. Information about requirements for digital photography can be found at: http://www.iowahistory.org/historicpreservation/statewide-inventory-and-collections/iowa-site-inventory-form.html  Three (3) draft copies of survey report; the report will follow the format of a Multiple Property Cover Document;  Five (5) to ten (10) typed sample Iowa Site Inventory forms, each with at least one photographic image (see above instructions)  A minimum of eleven (11) copies of the final project report, to include 10 bound copies and one unbound, print-ready master copy;  A completed, typed Historic-Architectural Database (HADB) encoding form for summarizing report information. For Archaeological Survey and Evaluation Projects:  Two (2) copies of a research design outlining the project activities and schedule; 21      Three (one original and two copies) finished sets of typed Office of State Archaeologist site inventory forms, for each new site located. For previously reported sites, prepare an updated site inventory form. Information about requirements for digital photography can be found at: http://www.iowahistory.org/historic-preservation/statewide-inventory-and-collections/iowa-siteinventory-form.html Three (3) copies of the draft project report. A minimum of eleven (11) copies of the final project report, to include 10 bound copies and one unbound, print-ready master copy; Two (2) copies of a one-page report, summarizing the project results, as required for all grantfunded activities; A completed, typed National Archaeological Bibliographic Data (NADB) encoding sheet, summarizing site information, must be submitted to the State. The encoding sheet is supplied by the State. For Interdisciplinary Survey and Evaluation Projects:  Two (2) copies of the draft Request For Proposals (RFP) to send to consultants and the list of consultants to whom it will be sent;  A minimum of five (5) final copies of the RFP;  Two (2) copies of the draft subcontract agreement with the consultant;  Three(3) copies of the fully executed subcontract agreement with the consultant;  Two (2) copies of a research design outlining the project activities and schedule;  Three (3) draft copies of survey report; the report will comply with the Guidelines for Archaeological Investigations in Iowa, 1999;  For sites with standing structures, two (2) finished sets of typed Iowa Site Inventory forms. Information about requirements for digital photography can be found at: http://www.iowahistory.org/historic-preservation/statewide-inventory-and-collections/iowa-siteinventory-form.htmlThree (one original and two copies) finished sets of typed Office of State Archaeologist site inventory forms, for each new site located. For previously reported sites, prepare an updated site inventory form;  A minimum of eleven (11) copies of the final project report, to include 10 bound copies and one unbound, print-ready master copy;  Two (2) copies of one-page report summarizing project results.  A completed, typed Historic-Architectural Database (HADB) encoding form for summarizing report information.  A completed, typed National Archaeological Bibliographic Data (NADB) bibliographic encoding sheet summarizing site information. 22