HomeMy WebLinkAboutItem VI (F) Approval and Authorization for mayor and City Clerk to Execute Histroic Preservation Grant Award Agreement for Withers-Maguire House Restroation Project Grant AGENDA 7-20-93
"CENTER OF GOOD LIVING-PRIDE OF WEST ORANGE" Item VI F
Ocoee
/ COMMISSIONERS
• °_ CITY OF OCOEE RUSTY JOHNSON
150 N.LAKESHORE DRIVE PAUL W.FOSTER
vO OCOEE,FLORIDA 34761 VERN COMBS
1:4* ....(1_3 (407)656-2322 SAM WOODSON
CITY MANAGER
Of G000 ELLIS SHAPIRO
MEMORANDUM
TO: The Honorable Mayor and Board of City Commissioners
FROM: Montye Beamer, Director of Administrative Services 9-7''7%�
DATE: July 12, 1993
SUBJECT: WITHERS-MAGUIRE HOUSE RESTORATION PROJECT GRANT
As recipients of the $25,500 Matching Grant from the State Historic Preservation Grant-in-Aid,
the attached documents must be executed and returned by August 1, 1993. The work to be
completed within the next twelve (12) months includes: (1) the removal of the existing roof and
reroofing with wood shingles to match the original roofing; (2) the repair of the underground
electrical service and main electrical panel and subpanel, and (3) the installation of a security
system. The budget is detailed as follows:
Work Item Grant Funds Matching Funds
Roof Replacement 19,800.00 19,800.00
Electrical Service 1,800.00 1,800.00
Security System 900.00 900.00
Total Labor and Materials 22,500.00 22,500.00
Contingency 2,500.00 2,500.00
Total with Contingency 25,000.00 25,000.00
A/E Fee- Bid/Construction Administration 500.00 500.00
TOTAL 25,500.00 25,500.00
The Matching Funds are:
Cash
City of Ocoee
- Insurance Claim 8,200.00
- Maintenance Funds 3,600.00
Ocoee Historical Commission 7,600.00
Total Cash $19,400.00
Cu-
In-Kind
Amber Electric - Construction
Fee Donation 1,100.00
City of Ocoee - Project Manager 5,000.00
(120 hrs); Project Inspector (55 hrs)
Total In-Kind $6,100.00
TOTAL CASH AND IN-KIND FUNDS $25,500.00
Architectural Services have already been approved through Work Order #9 for Chalmers
Yeilding.
These documents have been reviewed by the City Attorney.
The Project can commence as soon as the documents are returned to the State and the authorized
state signatures have been obtained.
Action Requested
The Mayor and Board of City Commissioners (1)approve the Historic Preservation Grant Award
Agreement and (2) authorize the Mayor and City Clerk to execute.
MEB:fdg
/B/
Historic Preservation Grant Award Agreement
AGREEMENT
Acquisition and Development Grants
This AGREEMENT is between the State of Florida, Department
of State, Division of Historical Resources, hereinafter referred
to as the Department, and the City of Ocoee, hereinafter referred
to as the Grantee, relative to the Withers-Maguire House Project,
hereinafter referred to as the Project, and is entered into this
day of , 1993, and shall
end on June 30, 1994.
The Department is responsible for the administration of
grant-in-aid assistance for historic preservation purposes under
the provisions of Section 267.0617, Florida Statutes. The Grantee
has applied for grant-in-aid assistance for the Project. The
application, incorporated by reference, has been reviewed and
approved in accordance with Chapter 1A-35, Florida Administrative
Code, which regulates Historic Preservation Grants-in-Aid.
Grant-in-aid funds in the amount of twenty-five thousand five
hundred dollars ($25,500.00) have been reserved for the Project
by the Department. The Department and the Grantee agree as
follows:
I. The Project shall include the following authorized project
work:
a. Installation of new roof;
b. Electrical system repair; and
c. Installation of security system.
1
II. The Grantee agrees to administer the Project in accordance
with the General and Special Conditions Governing Grants and
the Administrative Instructions for Historic Preservation
Project Accountability attached as Attachment "A", and
Chapter 1A-35, Florida Administrative Code, and the
following specific conditions:
A. The Grantee agrees to complete the Project by June 30,
1994 and submit the Final Products and the Final
Quarterly Progress Report and Final Quarterly
Expenditure Report, as specified in Attachment "A",
Part II, subparagraph B.l.b and B.l.d. , within 30 days
of completion of project work. No costs incurred prior
to the commencement date of this Agreement are eligible
for payment from grant funds. No costs incurred after
the above project work completion date will be eligible
for payment unless specifically authorized by the
Department before the cost is incurred. No costs in-
curred after the Final Quarterly Expenditure Report is
approved by the Department are eligible for payment.
B. The Department and the State of Florida shall not
assume any liability for the acts, omissions to act or
negligence of the Grantee, its agents, servants or
employees; nor shall the Grantee exclude liability for
its own acts, omissions to act or negligence to the
Department and the State. The Grantee hereby agrees to
be responsible for any injury or property damage
resulting from any activities conducted by the Grantee.
C. The Grantee, other than a state agency or subdivision
of the State, agrees to indemnify and hold the State
harmless from and against any and all claims or demands
for damages resulting in personal injury, including
death or damage to property, arising out of any
activities performed under this Agreement and shall
investigate all claims at its own expense.
D. The Grantee shall be responsible for all work performed
and all expenses incurred in connection with the
Project. The Grantee may subcontract as necessary to
perform the services set forth in this Agreement,
including entering into subcontracts with vendors for
services and commodities, provided that such subcon-
tract has been approved in writing by the Department
prior to its execution, and provided that it is under-
stood by the Grantee that the Department shall not be
liable to the subcontractor for any expenses or liabil-
ities incurred under the subcontract and that the
Grantee shall be solely liable to the subcontractor for
all expenses and liabilities incurred under the subcon-
tract.
2
E. The Grantee shall submit complete bid documents,
including plans and specifications, to the Department
for review and approval prior to the execution of any
contract for construction work.
F. The Grantee agrees that all acts to be performed by it
in connection with this Agreement shall be performed in
strict conformity with all applicable laws and regula-
tions of the State of Florida.
G. The Grantee shall coordinate consultation between its
professional consultants and appropriate Department
staff representatives as necessary to assure mutual
understanding of and agreement on the objectives,
requirements, and limitations of the Project in
relation to the state historic preservation program.
H. The Department reserves the right to cancel this
Agreement unilaterally in the event that the Grantee
refuses to allow public access to all documents or
other materials subject to the provisions of Chapter
119, Florida Statutes, and made or received by the
Grantee in conjunction with this Agreement.
I. Bills for fees or other compensation for services or
expenses shall be submitted in detail sufficient for a
proper preaudit and postaudit thereof. Bills for any
travel expenses shall be submitted and paid in
accordance with Section 112.061, Florida Statutes.
J. The Grantee recognizes that the State of Florida, by
virtue of its sovereignty, is not required to pay any
taxes on the services, goods or equipment purchased as
an incident to such service.
K. The Department's performance and obligation to pay
under this Agreement are contingent upon an annual
appropriation by the Legislature. In the event that
the state funds on which this Agreement is dependent
are withdrawn, this Agreement is terminated and the
Department has no further liability to the Grantee
beyond that already incurred by the termination date.
In the event of a state revenue shortfall, the total
grant may be reduced accordingly.
L. All project work must be in compliance with the
Secretary of the Interior's Standards for
Rehabilitation.
M. In addition to the terms detailed in this Grant Award
Agreement, all Federal requirements governing grants
3
(Office of Management and Budget Circulars A-21 or A-
87, A-102 or A-110, and A-128) are applicable.
N. The Grantee will not discriminate against any employee
employed in the performance of this Agreement, or
against any applicant for employment because of race,
creed, color, handicap, national origin, or sex. The
Grantee shall insert a similar provision in all
subcontracts for services by this Agreement.
O. Unless authorized by law and agreed to in writing by
the Department, the Department shall not be liable to
pay attorney fees, interest or cost of collection.
P. These grant funds will not be used for lobbying the
Legislature, the Judicial branch or any state agency.
Q. Each grantee, other than a grantee which is a state
agency, shall submit to an audit to be performed in
accordance with the rules of the Auditor General
promulgated pursuant to Section 11.45, Florida
Statutes, or submit an attestation statement. Such
audit or statement will be filed with the Department of
State and with the Auditor General.
1. If the amounts received exceed $100,000, an audit
shall be performed in accordance with the rules of
the Auditor General promulgated pursuant to
Section 11.45, Florida Statutes.
2. If the amounts received exceed $25,000 but do not
exceed $100,000, an audit shall be performed in
accordance with the rules of the Auditor General
promulgated pursuant to Section 11.45, Florida
Statutes, or a statement shall be prepared by an
independent certified public accountant which
attests that the receiving entity or organization
has complied with the provisions of the grant.
3. If the amounts received do not exceed $25,000, the
head of the entity or organization shall attest,
under penalties of perjury, that the entity or
organization has complied with the provisions of
the grant.
R. The product of the Project must be the original work of
the Grantee or its consultants. If the work of others
is used as background information, it shall be
appropriately credited to the originator.
4
III. The Department agrees to pay the Grantee for 50% of the
allowable project costs pursuant to and as defined in
Attachment "A", of authorized project work as defined in
Section I above, up to a maximum payment of twenty-five
thousand five hundred dollars ($25,500.00) or the amount of
actual cash expended by the Grantee for project work,
whichever is less. The total amount as prescribed above
shall be made to the Grantee in four quarterly installments.
The first three may be made at the beginning of each quarter
for which they are allotted. Grantees shall submit a
Request for Advanced Payment Form with this signed Grant
Award Agreement to initiate the grant. Subsequently,
reports are required on a quarterly basis and must include
the Request for Advanced Payment Form for the next quarter,
a Quarterly Project Progress Report for the quarter just
completed, and a Quarterly Expenditure Report for the
quarter just completed. The last installment shall be paid
at the end of the quarter for which allotted and upon
receipt and verification of the Grantee's fourth Quarterly
Expenditure Report. Payment for project costs will also be
contingent upon all authorized project work being in
compliance with the aforementioned Secretary of the
Interior's Standards. The Department further agrees to the
following conditions:
A. The Department shall review and approve as to form and
content all proposed contracts of the Grantee for the
procurement of goods and services relating to the
project work and all proposed contract change orders or
amendments prior to final execution of said contracts,
change orders or amendments, but said review and ap-
proval shall not be construed as acceptance by or impo-
sition upon the Department of any financial liability
in connection with said contracts.
B. The Department shall review and approve detailed plans,
specifications, and other bid documents for construc-
tion work relating to the Project prior to the execu-
tion of any contract for such work; review and comment
on all preliminary reports and recommendations; and
confer with the Grantee and its professional consul-
tants as necessary throughout the course of the
Project, to assure compliance with the objectives,
requirements and limitations of the state historic
preservation program.
IV. The payment schedule of grant funds shall be subject to any
special conditions stipulated by the Office of the
Comptroller, State of Florida.
5
Surplus funds must be temporarily invested and the interest
earned on such investments shall be returned to the State
quarterly.
V. This Agreement is executed and entered into in the State of
Florida, and shall be construed, performed, and enforced in
all respects in accordance with the laws and rules of the
State of Florida. Each party shall perform its obligations
hereunder in accordance with the terms and conditions of
this Agreement.
VI. Any provision of this Agreement in violation of the laws of
the State of Florida shall be ineffective to the extent of
such violation, without invalidating the remaining
provisions of this Agreement.
VII. No delay or omission to exercise any right, power or remedy
accruing to either party upon breach or default by either
party under this Agreement, shall impair any such right,
power or remedy of either party; nor shall such delay or
omission be construed as a waiver of any such breach or
default, or any similar breach or default.
VIII. Each grantee, other than a grantee which is a state agency,
agrees that, its officers, agents and employees, in
performance of this Agreement shall act in the capacity of
an independent contractor and not as an officer, employee or
agent of the State. Each grantee, other than a grantee
which is a state agency, is not entitled to accrue any
benefits and any other rights or privileges connected with
employment in the State Career Service. The Grantee agrees
to take such steps as may be necessary to ensure that each
subcontractor of the Grantee will be deemed to be an
independent contractor and will not be considered or
permitted to be an agent, servant, joint venturer, or
partner of the State.
IX. Neither party shall assign, sublicense nor otherwise
transfer its rights, duties or obligations under this
Agreement without the prior written consent of the other
party which consent shall not unreasonably be withheld. Any
sublicense, assignment or transfer otherwise occurring shall
be null and void; provided, however, that the Department
shall at all times be entitled to assign or transfer its
rights, duties or obligations under this Agreement to
another governmental agency in the State of Florida, upon
giving prior written notice to the Grantee. In the event
the Department approves transfer of the Grantee's
obligations, the Grantee remains responsible for all work
performed and all expenses incurred in connection with the
Agreement.
6
X. This Agreement shall bind the successors, assigns and legal
representatives of the Grantee and of any legal entity that
succeeds to the obligation of the Department.
XI. The following provisions shall apply for the voluntary and
involuntary suspension or termination of the grant by either
the Department or the Grantee:
A. Suspension. Suspension is action taken by the
Department which temporarily withdraws or limits the
Grantee's authority to utilize grant assistance pending
corrective action by the Grantee as specified by the
Department or pending a decision by the Department to
terminate the grant.
1. Notification. When the Grantee has materially
failed to comply with the terms and conditions of
the grant, the Department may suspend the grant
after giving the Grantee reasonable notice
(usually 30 calendar days) and an opportunity to
show cause why the grant should not be suspended.
The notice of the suspension will detail the
reasons for the suspension, any corrective action
required of the Grantee, and the effective date of
the suspension.
2. Commitments. No commitments of funds incurred by
the Grantee during the period of suspension will
be allowed under the suspended grant, unless the
Department expressly authorizes them in the notice
of suspension or an amendment to it. Necessary and
otherwise allowable costs which the Grantee could
not reasonably avoid during the suspension period
will be allowed if they result from charges prop-
erly incurred by the Grantee before the effective
date of the suspension, and not in anticipation of
suspension or termination. At the discretion of
the Department, third party contributions
applicable to the suspension period may be allowed
in satisfaction of matching share requirements.
3. Adjustments to payments. Appropriate adjustments
to the payments submitted after the effective date
of suspension under the suspended grant will be
made either by withholding the payments or by not
allowing the Grantee credit for disbursements made
in payment of unauthorized costs incurred during
the suspension period.
4. Suspension period. Suspensions will remain in
effect until the Grantee has taken corrective
action to the satisfaction of the Department or
7
given written evidence satisfactory to the
Department that corrective action will be taken,
or until the Department terminates the grant.
B. Termination. Termination is the cancellation of grant
assistance, in whole or in part, under a grant or
project at any time prior to the date of completion.
1. Termination for cause. The Department may
terminate the grant in whole or in part, at any
time before the date of completion, whenever it is
determined that the Grantee has failed to comply
with the terms and conditions of the grant. The
Department will promptly notify the Grantee in
writing of the termination and the reasons for the
termination, together with the effective date. In
the event that the funds are not used for the
purpose for which intended by the grant, or if it
is later determined that the project failed to
meet grant qualification requirements, then, at
the option of the Department, any portion of the
grant previously advanced shall be repaid to the
Department.
2. Termination for convenience. The Department or
the Grantee may terminate the grant in whole or in
part when both parties agree that the continuation
of the Project would not produce beneficial
results commensurate with the further expenditure
of funds. The two parties will agree upon the
termination conditions, including the effective
date, and in the case of partial terminations, the
portion to be terminated.
3. Termination by Grantee. The Grantee may unilater-
ally cancel the grant at any time prior to the
first payment on the grant although the
Department must be notified in writing. Once ini-
tiated, no grant shall be terminated by the
Grantee prior to satisfactory completion without
approval of the Department. After the initial pay-
ment, the Project may be terminated, modified, or
amended by the Grantee only by mutual agreement of
the Grantee and the Department. Request for termi-
nation prior to completion must fully explain the
reasons for the action and detail the proposed
disposition of the uncompleted work.
4. Commitments. When a grant is terminated, the
Grantee will not incur new obligations for the
terminated portion after the effective date of
termination. The Grantee will cancel as many
8
outstanding obligations as possible. The
Department will allow full credit to the Grantee
for the Department's share of the noncancelable
obligations properly incurred by the Grantee prior
to termination. Costs incurred after the
effective date of the termination will be
disallowed.
XII. Unless there is a change of address, any notice required by
this Agreement shall be delivered to the Bureau of Historic
Preservation, Division of Historical Resources, Florida
Department of State, R. A. Gray Building, 500 South Bronough
Street, Tallahassee, Florida 32399-0250 for the Department,
and to City of Ocoee, 150 North Lakeshore Drive, Ocoee, FL,
34761 for the Grantee.
XIII. This instrument embodies the whole Agreement of the
parties. There are no provisions, terms, conditions, or
obligations other than those contained herein; and this
Agreement shall supersede all previous communications,
representations or agreements, either verbal or written,
between the parties. No change or addition to this Agreement
shall be effective unless in writing and properly executed
by the parties.
9
The Department and the Grantee have read this Agreement and the
Attachments hereto and have affixed their signatures:
WITNESSES: DEPARTMENT OF STATE
GEORGE W. PERCY
Director, Division of
Historical Resources
SUZANNE P. WALKER
Chief, Bureau of Historic
Preservation
Division of Historical
Resources
CITY OF OCOEE
Signature of Authorized
Official
Typed Name and Title of
Authorized Official
10
• J
Historic Preservation Grant Award Agreement
Attaclimernt
General and Special Conditions Governing Grants
and •
Administrative Instructions
for
Historic Preservation Project
Accountability
For Advanced Payment
State of Florida
Department of State, Division of Historical Resources
JULY, 1992
Iritrocluctiora f irzitiori
In accordance with the provisions of Chapter 267, Florida
Statutes, the Division of Historical Resources, Department of
State is responsible for the administration of a comprehensive
program of historic preservation activities in Florida, and is
authorized to participate in and receive funding assistance from
the Federal historic preservation program administered by the
National Park Service, United States Department of the Interior
as authorized by the National Historic Preservation Act of 1966,
as amended. Major funding for the overall program is derived from
State funds authorized by the Florida Legislature and from the
annual apportionment of Federal funds to Florida through the
Federal historic preservation program.
The award and administration of grant-in-aid assistance for
historic preservation projects to be carried out by public
agencies, preservation organizations or individuals at the local
level is one element of the State's comprehensive historic
preservation program. Grants are awarded from funds available in
the Historic Preservation Trust Fund established under authority
of Section 267.0617, Florida Statutes. These funds may include a
part of the Federal funds apportioned annually to the State, as
well as funds appropriated for this purpose by the State
Legislature and funds contributed from other sources. The cost of
administering historic preservation project grants is included in
the overall costs of the comprehensive program, and is supported
in part by the annual apportionment of Federal funds.
Continued eligibility for Federal funding assistance
requires that the State's comprehensive historic preservation
program be administered in accordance with Federal laws,
regulations, and conditions, as well as those of the State of
Florida. The General and Special Conditions Governing Grants and
the Administrative Instructions for Historic Preservation Project
Accountability contained herein are intended to inform grantees
of and assure grantee compliance with the Federal and State
requirements applicable to historic preservation project grants.
Definitions
"Allowable project costs" are the direct costs in cash
expenditures and value of in-kind donations that are necessary to
the accomplishment of authorized project work, incurred during
the project period, and properly documented in accordance with
the Department's Administrative Instructions for Historic
Preservation Project Accountability.
1
"Authorized project work" means those activities described
in Section I of the grant award agreement or in a fully executed
amendment thereto.
"Department" means the State of Florida, Department of
State, Division of Historical Resources.
"Grantee" means the agency, organization, or individual
named in the Grant Award Agreement.
"Grant Period" means the period of time beginning on the
effective date of the grant award agreement and ending on the
date specified in the grant award agreement.
"Project funds" refers to all amounts available for or
expended in connection with the authorized project work, whether
derived from State or Federal grant share or local matching share
sources, public or private, and whether provided in cash or in-
kind.
"Project period" means the period of time beginning on the
effective date of the grant award agreement and ending when the
project completion report is approved by the Department or on the
date otherwise specified in the grant award agreement or any
amendment thereto.
2
PART Z
General and Special Conditions Governing Grants
All expenditures in connection with projects approved for
assistance under the historic preservation grant program are
subject to the provisions of Chapter 267, Florida Statutes; the
National Historic Preservation Act of 1966, as amended; other
applicable State and Federal laws, rules and regulations; the
general conditions listed below; and special conditions affixed
to project grant awards.
Requirements of participation in the program may be waived
only by a written notification from the Department. Any such
waiver must be explicit; no waiver may be inferred from the fact
that the grant award is responsive to a grant application which
may have contained material inconsistent with one or more of
these conditions.
Applicability
These conditions are applicable both to the grantee and to
any consultants, contractors, or employees to which grant-in-aid
funds are paid. Failure by the grantee to comply with the
conditions of grant assistance will be considered to be
noncompliance (see paragraph 28 below) .
A. General Conditions
1. Grantee Publicity Requirements. In order to insure a
wide public awareness of historic preservation in
general and of local preservation projects, the grantee
shall meet the following requirements regarding
publicity of his/her project:
a. At the outset of the project, a news release
identifying the project's specifics including
source(s) of grant funds, name of the project,
along with its nature and benefits to the
community shall be sent by the grantee to local
print and electronic media.
b. Sometime during the course of the project, the
grantee shall by letter inform elected public
officials, including state officials, mayors, and
city and county commissions of the nature and
benefits of the project.
3
c. Upon completion of the project, the grantee shall
issue another news release to local print and
electronic media and a second letter (as above) to
public officials.
d. There shall be an effort on the part of the
grantee to encourage publication of one or more
feature stories on the grantee's project by a
newspaper, magazine or television program of at
least local circulation. Satisfactory evidence
regarding feature stories shall consist of a copy
of any newspaper or magazine articles; or
letter(s) from grantees to newspapers, magazines
or television stations requesting a feature story;
or a letter(s) from newspapers, magazines or
television stations indicating the grantee has
requested such a feature story; or written
certification from the grantee to the Department
that an effort was made. In any case, if the
effort was successful, the grantee shall provide
the Department with a copy of any such articles or
written statement of when any television story was
broadcast.
e. Finally, in the case of rehabilitation or
restoration projects, the grantee should also make
an effort, where appropriate in the judgment of
the grantee, to publicize the project and the
source of grant assistance (at any stage of the
project) to the community through a dedication or
other public ceremony of some nature.
f. Federally funded projects: All news releases and
promotional materials relating to the project
shall contain acknowledgement of grant assistance,
substantially as follows: "This project (or
publication) has been financed in part with
historic preservation grant assistance provided by
the National Park Service, U.S. Department of the
Interior, administered through the Bureau of
Historic Preservation, Florida Department of
State, assisted by the Historic Preservation
Advisory Council. However, the contents and
opinions do not necessarily reflect the views and
opinions of the Department of the Interior or the
Florida Department of State, nor does the mention
of trade names or commercial products constitute
endorsement or recommendation by the Department of
the Interior or the Florida Department of State.
This program receives Federal financial assistance
for identification and protection of historic
4
properties. 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
prohibits discrimination on the basis of race,
color, national origin, 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, U.S. Department of
the Interior, Washington, D.C. 20240."
g. State funded projects: All news releases and
promotional materials relating to the project
shall contain acknowledgement of grant assistance,
substantially as follows: "This project (or
publication) has been financed in part with
historic preservation grant assistance provided by
the Bureau of Historic Preservation, Florida
Department of State, assisted by the Historic
Preservation Advisory Council. However, the
contents and opinions do not necessarily reflect
the views and opinions of the Florida Department
of State, nor does the mention of trade names or
commercial products constitute endorsement or
recommendation by the Florida Department of State.
2. Amendments to the Grant Award Agreement. All amendments
to the grant award agreement for the project shall be
in writing and fully executed by both parties thereto.
Amendments will be prepared by the Department, either
at its own initiative or upon approval of the written
request of the grantee.
3 . Changes in Scope of Project Work. The grantee may not,
without formal amendment of the grant award agreement,
make changes in the scope of the project which would
alter the allowable project work or services as
stipulated in the grant award agreement or make any
changes which might result in a deviation from the
intent of the legislation which authorized the award of
the grant. In the event of uncertainty, questions
should be referred to the Department for final
determination.
4. Extension of Grant Period. No extension of the grant
period in excess of six (6) months or beyond the period
of availability of appropriated grant funds will be
authorized.
5
5. Timeliness of Work. The grantee shall cause work on the
project to be commenced within a reasonable time not to
exceed one hundred and twenty (120) days after the
effective date of the grant award agreement. The
grantee shall prosecute the authorized project work to
completion with reasonable diligence and within the
project period.
6. Project Supervision. The grantee will assure that
competent and adequate professional supervision and
inspection is provided and ensure that the completed
work conforms to the approved standards and
specifications.
7. Conflict of Interest. The grantee shall comply with the
laws of the State of Florida governing conflict of
interest and standards of ethical conduct, including
Chapter 112, Part III, Florida Statutes. In addition,
no grantee official, employee, or consultant who is
authorized in his or her official capacity to
negotiate, make, accept, approve, or take part in
decisions regarding a contract, subcontract, or other
agreement in connection with a grant assisted project
shall take part in any decision relating to such
contract, subcontract or other agreement in which he or
she has any financial or other interest, or in which
his or her spouse, minor child, or partner, or any
organization in which he or she is serving as an
officer, director, trustee, partner, or employee or
with which he or she has or is negotiating any
arrangement concerning employment has such interest.
8. Dual Compensation. If a grantee staff member or
consultant is involved simultaneously in two or more
projects supported by State or Federal funds, and
compensation on either project is based upon percentage
of time spent, he or she may not be compensated for
more than 100 percent of his/her time during any part
of the period of dual involvement.
9. Contingent Fees. No person, agency, or other
organization may be employed or retained to solicit or
secure a grant or contract upon an agreement or
understanding for commission, percentage, brokerage, or
contingent fee. For breach or violation of this
prohibition, the Department shall have the right to
annul the grant without liability or, at its
discretion, to deduct from the grant or otherwise
recover the full amount of such commission, percentage,
brokerage or contingent fee, or to seek such other
remedies as may be legally available.
6
10. Use of Individual Consultants. No project funds shall
be used for the payment of fees to individual
consultants without the written authorization of the
Department. The procurement of individual consultant
services must be justified and documented in accordance
with the Administrative Instructions for Historic
Preservation Project Accountability contained in Part
II herein. In no case will consultant fees over and
above regular salary be paid to employees of the
grantee organization or of professional firms or
organizations whose services have been properly
procured by the grantee for the project. The grantee
will not use any project funds or funds from other
sources to pay a consultant or other fee to, or travel
expenses of, employees of the State or Federal
government for lectures, attending program functions,
or any other activities in connection with the project.
11. Civil Rights Compliance. The grantee will assure that
the project is administered in conformance with the
Civil Rights Act of 1964, as amended, and Section 504
of the Rehabilitation Act of 1973, as amended. Title
VI of the Civil Rights Act of 1964 states that no
person will, on the grounds of race, color, or national
origin, be excluded from participation in, be denied
the benefits of, or be otherwise subjected to
discrimination under any program or activity receiving
Federal financial assistance. Section 504 of the
Rehabilitation Act of 1973 requires that no qualified
handicapped individual is solely, by reason of
handicap, excluded from participation in, denied the
benefits of, or subjected to discrimination under any
program or activity receiving Federal financial
assistance. Every grantee is required to submit an
Assurance of Compliance (Form DI-1350) . No grant
awards may be made without an Assurance of Compliance
on file. If any real property or structure thereon is
provided or improved with the aid of Federal financial
assistance, this assurance will obligate the grantee,
or in the case of any transfer of such property, any
transferee, for the period during which the real
property or structure is used for a purpose for which
the Federal financial assistance is extended (see
paragraphs B.2 and 3 below) . All publications produced
with Federal funds shall contain the non-discrimination
statement contained in paragraph A.1.h. above.
7
12. Discrimination in Employment Prohibited. In all hiring
or employment in connection with the project, each
employer (1) will not discriminate against any employee
or applicant for employment because of race, color,
religion, sex, age, or national origin, and (2) will
take affirmative action to ensure that applicants are
employed, and that employees are treated during
employment, without regard to race, color, religion,
sex, age, or national origin. In addition, no
qualified person shall, on the basis of handicap, be
subject to discrimination in employment in the grant
assisted project. These requirements apply to, but are
not limited to, the following: employment, promotion,
demotion or transfer; rates of pay or other forms of
compensation; and selection for training, including
apprenticeship. The grantee and its consultants or
contractors will comply with all applicable statutes
and Executive orders on equal employment opportunity
and grant awards will be governed by the provisions of
all such statutes and Executive orders, including
enforcement provisions.
13. Religious Institutions. If the project involves a
church or church related organization or property, the
grantee will assure that neither the execution of nor
the public benefit resulting from the project require
involvement or participation in religious services or
activities. The use of grant assistance derived from
Federal funding sources for such projects is not
allowable.
14. Political Activities. No expenditure of project funds
may be made for the use of equipment or premises for
political purposes, sponsoring or conducting candi-
date's meeting(s) , engaging in voter registration
activity or voter transportation activity, or other
partisan political activities.
15. Hatch Act. No officer or employee of the State whose
principal employment is in connection with any activity
which is financed in whole or in part with grant
assistance shall take part in any of the political
activity proscribed in the Hatch Political Activity
Act, 5 USC 1501 et. seq. , as amended, with its stated
exceptions.
16. Lobbying Activity. No part of the project funds shall
be used, either directly or indirectly, to pay for any
personal service, advertisement, telegram, telephone,
letter, printed or written matter, or other device,
intended or designed to influence in any manner a
8
Member of Congress or the State Legislature, to favor
or oppose, by vote or otherwise, any legislation or
appropriation by Congress or the State Legislature,
whether before or after the introduction of any bill or
resolution proposing such legislation or appropriation,
as proscribed in 18 USC 1913 .
17. Safety Precautions and Liability. The Department
assumes no responsibility with respect to accidents,
illness, or claims arising out of any work performed
under a grant supported project. The grantee is
expected to take necessary steps to insure or protect
itself and its personnel and to comply with the
applicable local, State or Federal safety standards,
including those issued pursuant to the National
Occupational Safety and Health Act of 1970 (see 20 CFR
1910) . The grantee also agrees to indemnify and hold
the State of Florida harmless from any and all claims
or demands for any personal injury or property damage
resulting, occurring, or arising out of any work
performed under this agreement as provided and limited
by Florida Law.
18. Auditable Records. The grantee shall maintain auditable
financial records adequate to account for all receipts
and expenditures of project funds, both cash and in-
kind, and to document compliance with the
Administrative Instructions for Historic Preservation
Project Accountability. The grantee is required to
comply with the Single Audit Act of 1984 for State or
local governments or the audit requirements for Office
of Management and Budget Circular A-110 for
universities and non-profit organizations.
19 . Reports, Records, and Inspections. The grantee will
submit financial, program progress, evaluation, and
other reports as required by the Department and will
maintain such property, personnel, financial, and other
records and accounts as are deemed necessary by the
Department to assure proper accounting for all program
funds. The grantee, its consultants and contractors
will permit on-site inspections by Department
representatives and will effectively require employees
to furnish such information as, in the judgement of the
Department representatives, may be relevant to a
question on compliance with grant conditions and the
effectiveness, legality, and achievements of the
program.
9
20. Examination of Records. The Secretary of State of the
State of Florida and the State Auditor General, or any
of their duly authorized representatives, shall have
access for the purpose of financial or programmatic
audit and examination to any books, documents, papers,
and records of the grantee that are pertinent to the
grant at all reasonable times during a period of three
years following completion of the project, or until all
claims or audit findings have been resolved.
21. Disclosure of Information. The grant award agreement
may be cancelled by the Department without prior notice
for refusal by the grantee to allow public access to
all documents, papers, letters or other material
relating to the project, in accordance with the
provisions of Chapter 119, Florida Statutes, and with
the Freedom of Information Act, 5 USC 552.
22. Rights to Data and Copyrights.
a. The term "subject data" used in this section
includes writings, technical reports, sound
recordings, magnetic recordings, computer
programs, computerized data bases, pictorial
reproductions, plans, drawings, specifications, or
other graphical representations, and works of any
similar nature (whether or not copyrighted) which
are (1) submitted with a Proposal or grant
application; or (2) specified to be delivered
under a project grant; or (3) developed or
produced and paid for in whole or in part by grant
funds. The term does not include financial
reports, cost analysis, and other information
incidental to grant administration.
b. Except as may otherwise be provided in the grant
agreement, when publications, films, or similar
materials are developed directly or indirectly
from a program, project, or activity supported by
grant funds, the author is free to arrange for
copyright without approval. However, such
materials shall include acknowledgement of grant
assistance. As a condition of grant assistance,
the grantee agrees to, and awards to the State and
Federal Governments and to its officers, agents,
and employees acting within the scope of their
official duties, a royalty-free, nonexclusive and
irrevocable license throughout the world for State
and Federal Government purposes, to publish,
translate, reproduce, and use all subject data or
copyrightable material based on such data covered
by the copyright.
10
c. The grantee shall not include in the subject data
any copyrighted matter without the written
approval of the copyright owner which provides the
State and Federal Governments with the written
permission of the copyright owner for the State
and Federal Governments to use the material in the
manner provided in b. above.
d. Nothing contained in the foregoing shall imply a
license to the State and Federal Governments under
any patent or be construed as affecting the scope
of any license or other rights otherwise granted
to the State and Federal Governments under any
patent.
e. Unless otherwise limited below, the State and
Federal Governments may, without additional
compensation to the grantee, duplicate, use, and
disclose all subject data in any manner and for
all purposes whatsoever, and allow others to do
so.
f. Notwithstanding any provisions of any grant or
specific limitations concerning inspection and
acceptance, the State and Federal Governments
shall have the right at any time to modify,
remove, obliterate, or ignore any marking not
authorized by the terms of a grant on any piece of
subject data furnished under the grant.
23 . Compliance with Environmental Protection Laws and
Regulations. No project funds shall be used for project work
involving ground disturbance, modification of land use patterns,
new construction, or other known or potential alteration of the
natural environment that does not conform to State and Federal
laws and regulations relating to protection of the natural
environment, including but not limited to:
a. the National Environmental Policy Act of 1969, as
amended, 42 USC 4321 et. seq. , establishing
national policy goals and objectives for
protecting and enhancing the environment;
b. the Coastal Barrier Resources Act prohibiting
acquisition and development activity on coastal
barrier islands;
11
c. the Coastal Zone Management Act of 1972, as
amended, 16 USC 1451 and the State's Coastal Zone
Management plan;
d. Executive Order 11288 relating to the prevention,
control and abatement of water pollution;
e. Executive Order 11988 relating to evaluation of
flood hazards;
f. Executive Order 11990 relating to the protection
of wetlands; and
g. the Lead-Based Paint Poisoning Protection Act, as
amended, 48 USC 4801 et. seq. , prohibiting the use
of lead-based paints in residential structures.
24. Violating Facilities. The grantee will ensure that the
facilities under its ownership, lease, or supervision
that will be utilized in the accomplishment of any
project contracts or subcontracts of $100,000 or more
are not listed in the Environmental Protection Agency's
list of Violating Facilities (see 40 CFR 15) . Grantees
must promptly notify the Department of the receipt of
any communication from the EPA indicating that a
facility to be utilized in any such project is under
consideration for listing by EPA.
25. Energy Conservation. The grantee shall promote energy
conservation and utilize to the maximum extent
practicable the most energy efficient equipment,
materials, construction methods, and operating
procedures available in the accomplishment of project
work.
26. Convict Labor. The grantee or its contractors may
utilize the labor of State prisoners in authorized work
release, parole or probation programs in the
accomplishment of work. In accordance with Executive
Order 11755, no person undergoing a sentence of
imprisonment at hard labor shall be employed on grant
assisted project work.
27. Minority Businesses. The grantee shall encourage
greater economic opportunity for minority business
enterprises, as defined in Chapter 288.703, Florida
Statutes, in accomplishment of project work. To the
maximum extent possible, the grantee and its
consultants or contractors will take affirmative steps
12
to assure that minority businesses are used as sources
of supplies, equipment, construction, and services.
Affirmative steps shall include but not necessarily be
limited to the following:
(1) inclusion of qualified minority businesses on
solicitation lists;
(2) the assurance minority businesses are
solicited whenever they are identified as
potential source;
(3) the division of total requirements, when
economically feasible, into small tasks: or
quantities to permit maximum participation of
minority businesses;
(4) the establishment of reasonable delivery
schedules when feasible, so as to encourage
participation by minority businesses; and
(5) utilization of the services and assistance of
the Small Business Administration and the
Minority Business Development Agency of the
U. S. Department of Commerce. Grantees shall
report utilization of minority business
enterprises for Federal reporting purposes.
B. Special Conditions Applicable to Acquisition and Development
Projects. The following special conditions apply to grant
assisted projects involving the acquisition, preservation,
protection, restoration, rehabilitation, stabilization, or
construction of a site, building, structure, or object.
1. Relocation Assistance. In projects utilizing grant
funds derived from Federal sources, the grantee will
comply with the requirements of Title II and Title III
of the Uniform Relocation Assistance and Real Property
Acquisition Act of 1970, 42 USC 4601 et. seq. , which
provides for fair and equitable treatment of persons
displaced as a result of the grant assisted project.
2 . Maintenance and Public Benefit Covenants. In projects
utilizing grant funds derived from Federal sources, the
grantee shall ensure the execution of an appropriate
deed covenant or letter of agreement, acceptable to the
Department and legally enforceable by the State of
Florida, providing that the owner or owners, or their
13
successors in interest, if any, shall be responsible
for the maintenance of and public access to the
assisted property for a period of years commensurate
with the amount of grant assistance, as follows:
a. grant assistance up to $25,000 - 5 years;
b. grant assistance of $25,001 to $50,000 - 10 years;
c. grant assistance of $50,001 to $100,000 - 15
years;
d. grant assistance over $100,001 - 20 years.
Either a letter of agreement between the owner and the
Department or a deed covenant running with the land may
be executed if the grant assistance involved is $10,000
or less. If grant assistance exceeds $10,000, a deed
covenant is required. The appropriate document must be
executed and in force prior to the payment of any grant
funds by the Department to the grantee. The grantee
shall confer with the Department staff regarding the
specific provisions of the document prior to its final
execution.
3 . Public Access to Grant-Assisted Properties. For
properties assisted with grant funds, where interior
public access provisions are required, and which are
not regularly open to the public on a continuing basis,
the property must be open to the public no less than 12
days a year on an equitably spaced basis and at other
times by appointment. The grantee will require the
owner of the property to publish notification giving
dates and times when the property is open to the
public. This notice will be published in appropriate
sections of a general circulation newspaper covering
the community or area in which the property is located.
Annual documentation of such notice will be maintained
by the State Historic Preservation Officer during the
term of the covenant or preservation agreement. The
grantee is responsible for including this requirement
in any covenant or preservation agreement, and for
keeping such documentation on file.
14
4 . Accessibility for the Handicapped. The grantee shall
ensure that the grant assisted property meets the
requirements of the Americans with Disabilities Act,
Public Law 101-336; Section 255.21, Florida Statutes;
and Part V, Chapter 553 , Florida Statutes regarding
accessibility for the handicapped. Specifications for
project work must conform with the "Specifications for
Making Buildings and Facilities Accessible to, and
Usable by, the Physically Handicapped" published by the
American National Standards Institute and The Secretary
of the Interior's Standards for Rehabilitation.
5. Flood Insurance. If the project site is located in a
designated flood hazard area, the grantee shall ensure
compliance with Section 102(a) of the Flood Disaster
Protection Act of 1973 , 87 USC 975, requiring the
purchase of flood insurance for grant assisted
properties. The amount of insurance required is the
total cost of the insurable improvement (excluding
uninsurable facilities, such as bridges, dams,
underground structures, and excluding the cost of the
land) , or the maximum limit of coverage made available
to the grantee under the National Flood Insurance Act,
whichever is less. The required insurance premium
during the grant period is an allowable project cost.
The term of the insurance coverage will be for the
length of the economic or useful life of the property
as defined by the terms of the maintenance and
administration covenant requirements. Whenever flood
insurance is available to cover a facility during
construction, the participant will obtain coverage as
soon as the facility becomes insurable. Coverage is
usually available as soon as construction progresses
beyond the excavation phase. Where a project includes
an insurable improvement only as a small and incidental
portion of the total project, flood insurance is not
required if the value of the insurable improvement is
less than $10,000 . An example would be a combination
project of which the total project cost of $100,000
includes only $5,000 for insurable improvements. Flood
insurance is not required on any State-owned property
that is covered under the State's policy of self-
insurance.
15
6. Project Signs. When grant assistance is provided for
acquisition or development work, a project identification sign
will be displayed in a prominent location at the project site
while project work is in process. The sign must be a minimum of
eight (8) square feet in size (usually 2x4 feet) , be constructed
of plywood or other durable material, and identify the project
and source of grant support. Any variation in the above
specifications must be approved by the Department. The sign
wording shall contain acknowledgement' of grant assistance (see
paragraph A.l.f. above) . Cost of preparation and erection of the
project identification sign are allowable project costs; routine
maintenance costs of signs are not allowable.
16
PART XX
Administrative Instructions for
Historic Preservation Project Accountability
These instructions are intended to assist historic
preservation grant recipients in meeting the accounting and
public benefit requirements of the historic preservation grants-
in-aid programs administered by the Department.
Grantee Administrative Records and Reports
Grantees are responsible for maintaining financial records
and project progress reports as outlined below. These records and
reports shall be retained for a period of three years following
completion of the project, or until such time as any litigation,
claims, or audit questions arising from examination or audit
initiated prior to expiration of the three year period are.
finally resolved.
All grantee project records and reports are subject to
public disclosure under the provisions of Chapter 119, Florida
Statutes, and the Freedom of Information Act, 5 USC 552.
A. Financial Records. Financial records must be adequate to
account for the receipt and expenditure of all project
funds, and to demonstrate compliance with required
procedures. Grantee financial records are subject to audit
by State auditors. Inadequate, incomplete or incorrect
project financial records may result in ineligibility for
grant assistance. Financial records shall include, but are
not limited to:
1. Documentation of Project Funds. Project funds include
the total amount of cash and in-kind values available
to defray the direct costs of the project. They consist
of the grant assistance share provided by the
Department plus the local matching share provided by
the grantee.
a. Grant Assistance Share. Grant assistance is
authorized to pay a percentage of allowable
project costs, within the dollar limits of the
grant, as specified in the grant award agreement.
Grantee financial records shall include complete
documentation pertaining to the application for
grant assistance, the award of the grant, the
grant award agreement, and the receipt and
deposition of grant funds.
17
b. Local Matching Share. Local matching share may be
provided in the form of cash expenditures or the
value of materials and services donated in-kind
for use in the direct accomplishment of authorized
project work. Matching share may be derived from
any other sources available to the grantee, with
the exception that funds from other Federal
funding programs cannot be used to match grant
assistance funds derived from Federal Historic
Preservation Fund apportionments to the State of
Florida. (This restriction does not apply to
Community Development Block Grants, Urban
Development Action Grants, or Revenue Sharing
Funds) .
(1) Grantee financial records shall clearly
identify the source, amount, and date of
receipt of all cash funds and donated values
applied to the project. Receipts shall be
recorded as they occur.
(2) Donated services shall be valued at the
Federal minimum wage rate, unless the
services donated are those normally provided
by the donor in his or her profession or
trade, in which case they may be valued at
rates consistent with those paid for similar
work in the local labor market area.
( 3 ) Donated materials shall be valued at the
donors cost or the fair market value at the
time of donation, whichever is less.
2. Documentation of Procurement Procedures. All
procurement of goods and services in connection with
grant assisted projects must be made in a manner so as
to provide maximum free competition. Positive efforts
must be made to utilize small business firms, minority
owned firms, and women's business enterprises, and to
procure goods and services from labor surplus areas.
a. Procurement Methods
(1) Small Purchase Procedures. Goods and services
costing, in aggregate, less than $10,000 may
be procured by purchase order, acceptance of
vendor proposal, or other sound and
appropriate procurement document, provided
that:
18
(a) cost quotations and proposals are
received from three or more vendors; and
(b) the goods or services involved are
adequately described and specified.
(2) Competitive Negotiation. Professional
services costing less than $10,000 may be
procured by competitive negotiation
procedures whereby proposals are requested
from three or more competitors whose
qualifications are evaluated and ranked, and
the most qualified competitor is selected,
subject to fair and reasonable competition,
provided that:
(a) the request for proposals is publicized
by notices in newspapers or trade
journals of local circulation, in
addition to individual solicitations;
and
(b) the request for proposals identifies all
significant evaluation factors and their
relative importance.
(3) Competitive Sealed Bids. Except as provided
in subsection (4) below, contracts for the
procurement of goods and services costing, in
aggregate, $10,000 or more shall be let on
the basis of sealed bids solicited through
formal advertisement in newspapers of local
or area circulation. Advertisement for bids
shall include:
(a) notice of the time and place of public
bid opening;
(b) instructions for obtaining detailed bid
documents or procurement specifications;
and
(c) a statement that public funds are
involved.
(4) Exceptions. Commodities or services available
only from a single source may be excepted
from the above bid requirements, with prior
written approval of the Department. Further-
more, commodities and services may be pro-
cured by competitive proposals when competi-
19
tive sealed bidding is not practical or is
not advantageous to the 'State, but only with
prior written approval of the Department.
b. Qualification of Contractors. It is essential that
the project be supervised and carried out by
personnel possessing training and experience
appropriate to the nature of the project. Grantees
shall require, as a part of the bid or proposal
package submitted by prospective contractors,
documentation of the professional qualifications
of the key personnel to be employed. Such
documentation shall include, but not be limited
to:
(1) resumes of academic training and employment
in the applicable field;
(2) evidence of possession of required licenses
or business permits; and
(3) evidence of any previous experience in
projects of a similar nature.
c. Contract Provisions. In addition to provisions
defining a sound and complete procurement
contract, any grantee shall ensure that the
following contract provisions or conditions are
included in all procurement contracts and
subcontracts relating to the project:
(1) Contracts other than small purchases shall
contain provisions or conditions which will
allow for administrative, contractual, or
legal remedies in instances where contractors
violate or breach contract terms, and provide
for such sanctions and penalties as may be
appropriate.
(2) All contracts shall contain suitable
provisions for termination by the grantee,
including the manner by which it will be
effected and the basis for settlement. In
addition, such contracts shall describe
conditions under which the contract may be
terminated for default as well as conditions
where the contract may be terminated because
of circumstances beyond the control of the
contractor.
20
(3 ) All contracts and subcontracts awarded by the
grantee and its primary contractors shall
assure equal employment opportunity.
(4) All contracts (except those awarded by small
purchases procedures) awarded by grantees
shall include a provision to the effect that
the grantee, the Department, or any of their
duly authorized representatives shall have
access to any books, documents, papers, and
records of the contractor which are directly
pertinent to that specific contract, for the
purpose of making audit, examination,
excerpts, and transcription. Grantees shall
require contractors to maintain all required
records for three years after grantees make
final payments and all other pending matters
are closed.
(5) All contracts involving construction work
shall include provision for compliance with
the Copeland "Anti-Kickback" Act, 18 USC 874,
as supplemented in Department of Labor
regulations, 29 CFR Part 3, prohibiting
employers from inducing any person employed
to give up any part of the compensation to
which he or she is otherwise entitled.
(6) All contracts involving the research,
preparation, and publication of data shall
include notice of the conditions relating to
copyrights contained in paragraph I.A. 22.
(7) All contracts in excess of $100,000 shall
contain provisions for compliance with the
Clean Air Act, 42 USC 1857(h) ; Section 508 of
the Clean Water Act, 33 USC 1368; Executive
Order 11738; and Environmental Protection
Agency regulations, 40 CFR Part 15,
prohibiting the use of violating facilities.
d. Contract Pricing
(1) Procurement by small purchase procedures or
competitive negotiation methods may be priced
on either a fixed-fee or cost-reimbursable
basis.
(2) Procurement by the competitive sealed bid-
method shall be priced on a firm-fixed-fee
basis.
21
(3) Procurement based on cost-plus-percentage-of-
cost or percentage-of-construction-cost
contracts shall not be included in
determining allowable project costs.
e. Documentation to be Submitted to the Department.
The grantee shall submit the following items to
the Department as evidence or compliance with
procurement procedures- prior to the execution or
any contract for project work:
(1) copies of the solicitation for proposals or
invitation to bid and all applicable bid
documents, including construction plans and
specifications if required - to be submitted
upon distribution or publication;
(2) a summary of proposals or bids received and
the basis for contractor selection - to be
submitted upon completion of the selection
process; and
( 3) a copy of the final contract - to be
submitted for review and approval by the
Department prior to final execution by the
grantee.
3 . Documentation of Project Costs. The grantee shall
submit reports on a quarterly basis which must include
a Request for Advanced Payment for the first three
quarters, a Quarterly Project Progress Report for each
quarter just completed, and a Quarterly Expenditure
Report for each quarter just completed. Payment of the
next quarterly installment will not be delayed for
review of the required financial documentation except
for the final quarterly payment.
a. Determination of Allowable Project Costs. The
total project cost submitted by the grantee might
contain expenditures that are not allowable in
determining the eligible costs in accordance with
the grant award agreement. The Department will
review each Quarterly Expenditure Report, and make
its determination of the eligible costs on the
basis of the following criteria:
(1) Allowable project costs shall include:
(a) costs incurred by contract for
procurement of goods and services
22
approved by the Department in accordance
with II.A.2.e above;
(b) costs incurred by properly documented
small purchase procedures;
(c) costs incurred by the grantee for the
following items applied directly to
authorized project work:
i. accounting: the cost of
establishing, maintaining, and
auditing financial accounts;
ii. communications: specific charges
for telephone, telegraph, or other
communications services;
iii. employee salaries and benefits;
iv. materials and supplies;
v. procurement services: the cost of
advertising, solicitation,
processing, and administration of
procurement contracts;
vi. reproduction: the cost of limited
reproduction of reports, forms, and
project documents;
vii. travel: the costs of travel,
lodging and subsistence at rates
not exceeding commercial coach
fares or current mileage and per
diem rates allowed by the state.
(d) the properly documented value of donated
services and materials.
(2) Costs not allowable shall include:
(a) project costs incurred outside the
project period;
(b) costs of goods and services not procured
in accordance with required procurement
procedures as described in II.A. 2 above;
(c) costs or value of in-kind donations not
properly documented as described below;
23
(d) costs incurred by the grantee other than
those specified in II.A. 3 .a(l) above, or
not directly related to the project; and
(e) indirect costs incurred for common or
joint activities of the grantee.
b. Documentation of Grantee Direct Costs. Grantees
shall provide a detailed listing of each
expenditure in the Quarterly Expenditure Report,
which contains the following information:
(1) . check number; or if a cash expenditure, a
copy of the receipt must be submitted;
(2) . check date or date of cash expenditure;
expenditures overlapping the grant period
must be prorated; and
(3) . the purpose of each expenditure; stated
clearly and in sufficient detail for the
Division to determine if the expenditure is
allowable;
Detailed backup documentation does not need to
accompany the Quarterly Expenditure Report.
However, grant-related financial records must be
available upon request during a period of three
years following completion of the project, or
until all claims or audit findings have been
resolved.
c. Documentation of Donated Values. The value of
donated materials and services is not eligible for
grant funds, but is allowable in determining the
grantee matching share. Documentation of
donations shall include lists of individuals
donating services or materials, indicating the
total hours of volunteer services donated in the
accomplishment of authorized project work and the
type and fair value of the donated materials.
4. Transfer of Grant Funds. Grant funds shall be
transferred to the grantee in four quarterly payments.
Payment for the first quarter shall be transferred upon
receipt by the Department, of the grantee's Request for
Advanced payment form. Grant funds for the second and
the third quarters shall be transferred after receipt
of the Advanced Payment Request form and Quarterly
Expenditure Reports and Quarterly Progress Project
24
Reports. The final quarterly payment will be
transferred to the grantee upon completion of the grant
project and submission and review of a properly
documented Final Quarterly Expenditure Report and Final
Quarterly Project Progress Report, and a determination
by the Department that the grantee has complied with
all terms of the Grant Award Agreement. The fourth
quarterly payment cannot be transferred to the Grantee
prior to the fourth quarter.
a. Incremental Payments: The total of grant funds
transferred to the grantee in response to requests
for incremental payments prior to final completion
of the project work shall not exceed seventy-five
percent of the amount reserved for the project as
stated in the grant award agreement.
b. Final Payment: The total of grant funds
transferred to the grantee following final project
completion, including all funds previously
transferred in incremental payments, shall not
exceed the amount of the grantee's actual cash
expenditures in payment of allowable project
costs.
B. Project Progress and Completion Reports. Grantees
shall document their work by the timely submission to
the Department of required project reports as outlined
• below. In addition, grantees shall submit such other
reports as may be necessary to support any requested
changes in the scope of project work or to advise the
Division of unforeseen circumstances affecting the
administration or execution of the project.
1. Reports Required for All Projects. A Quarterly
Project Progress Report is required for all grant
assisted projects, regardless of the type of work
involved:
a. Quarterly Project Progress Report - to be
submitted at the end of each quarter within
the grant period. It should be submitted in
conjunction with the Quarterly Expenditure
Report. This report shall:
(1) . include a schedule of the anticipated
completion of major project work
elements and final completion of the
project;
25
(2) . include copies of initial news releases
and letters to public officials
b. Quarterly Project Progress Report - Final- to
be submitted within 30 days of completion of
all project work in conjunction with the
Quarterly Expenditure Report-Final. This
report shall include:
(1) . a brief description of work accomplished
during the previous two months;
(2) . a description of any unusual problems or
conditions encountered or any unusual
methods, materials, or techniques
employed;
(3) . a description and explanation of any
significant differences between the
planned project budget and the actual
project costs;
(4) . such other comments as may be deemed
appropriate;
(5) . a statement of the total cost of all
project work;
(6) . copies of final news releases and
letters to public officials; and
(7) . description of any economic benefits
achieved from the project.
c. Quarterly Expenditure Report - to be
submitted at the end of each quarter within
the grant period.
d. Quarterly Expenditure Report - Final- to be
submitted within 30 days of completion of all
project work.
C. Specific Provisions Relating to Institutions of Higher
Education. Grants awarded to a publicly financed college or
university (other than for-profit institutions) shall be
administered under the provisions of Office of Management
and Budget Circular A-110, "Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other
Nonprofit Organizations. "
26
1. Documentation of Grantee Direct Costs. Documentation in
support of a request for payment of the costs of
materials and services provided by the grantee,
including those procured by small purchase procedures,
shall include:
a. copies or written evidence of a certified audit,
conducted in accordance with State audit
requirements, of all allowable expenses paid
through an institution- of higher education,
pertaining to the project work for which payment
is requested; and
b. copies of all vendor invoices or statements,
pertaining to the project, as well as all
cancelled checks or copies thereof, or other
evidence of expenditure for all allowable
activities or supplies which are not paid for
through an institution of higher learning.
2. Transfer of Grant Funds.
a. Due to the time necessary for the performance of
the audit specified in II.C.l.a. above, payment of
project costs will be made in response to a
grantee's invoice prior to receipt of the
certified audit.
b. The grantee shall repay to the Department
immediately any expenses which the certified audit
reveals as unallowable or overpaid.
27
E
Department of State, Division of Historical Resources, Bureau of Historic Preservation
R. A. Gray Building, 500 South Bronough Street, Tallahassee, Florida 32399-0250
Quarterly Project Progress Report
(circle one)
1st 2nd 3rd Final
Grantee Name
Project Title
Date of Initiation of Project Work
Scheduled Project Completion Date
Signature of Project Supervisor Date
For Project Progress Reports submitted 1st,2nd,and 3rd quarters,please answer or provide information
for all of the following items except those marked FINAL REPORT ONLY. For the final report, please
respond to all items.
1. Project work schedule:
2. Summary of project work completed:
3. Unusual or significant conditions or problems encountered.
Quarterly Project Progress Report
Page Two
4. Attach copies of research reports, planning documents, site file forms or
other products of project work performed during the period of this
report.
5. (FINAL REPORT ONLY) Briefly describe the project work actually
accomplished and indicate any variations from that originally planned:
6. (FINAL REPORT ONLY) Describe differences between original cost
estimates and actual costs of project work items.
7. (FINAL REPORT ONLY) Describe the economic benefit achieved from the
project. Complete the following information:
Total number of paid person-hours worked
Number of employees working on project (do not include
volunteers)
Total payroll
8. (FINAL REPORT ONLY) Attach any required project documentation not
previously submitted. Include copies of final news releases.
Quarterly Project Progress Report
Page Three
9. (FINAL REPORT ONLY) Audit Requirements
Please file the required audit or attestation statement, depending on the amount of
your grant award, with the Grants Manager, and with the Office of the Auditor
General. This must be done in order to complete all the requirements of the Grant
Award Agreement.
Each grantee, other than a grantee which is a state agency, shall submit to an
audit to be performed in accordance with the rules of the Auditor General
Promulgated pursuant to Section 11.45,Florida Statutes, or submit an attestation
statement. Such audit or statement will be filed with the Department of State and
the Auditor General.
If the amounts received exceed$100,00,an audit must be performed in
accordance with the rules of the Auditor General promulgated pursuant to Section
11.45, Florida Statutes.
If the amounts received exceed$25,000,but do not exceed$100,000,an audit
must be performed in accordance with the rules of the Auditor General promulgated
pursuant to Section 11.45,Florida Statutes,or a statement must be prepared by an
independent certified public accountant which attests that the receiveing entity or
organization has complied with the provisions of the grant.
If the amounts received do not exceed$25,000,the head of the entity or
organization shall attest, under penalties of perjury, that the entity or organization
has complied with the provisions of the grant.
I attest, under penalties of perjury, that this organization has complied with the
provisions of the grant and that all information reported to the Florida Department
of State, Division of Historical Resources, Bureau of Historic Preservation is correct.
Signature of Duly Authorized Representative Date
Grant Award Agreement Number
Grant Award Amount
Department of State, Division of Historical Resources, Bureau of Historic Preservation
R. A. Gray Building, 500 South Bronough Street, Tallahassee, Florida 32399-0250
Department of State, Division of Historical Resources, Bureau of Historic Preservation
R. A. Gray Building, 500 South Bronough Street, Tallahassee, Florida 32399-0250
Quarterly Expenditure Report
Documentation Procedures
for Advance Payments
Information required from Grantee for quarterly report. Please read all
Documentation Procedures before beginning Quarterly Expenditure Report.
Detailed backup documentation does not need to accompany monitoring reports.
However, grant-related financial records must be available for three years from the
project completion date or until the completion of any audit initiated before the end
of the three year period.
• Circle the number corresponding to the quarter for which you are currently
reporting.
• Grantee Name (agency or organization)
• Project Title (name of project)
• Grant Award Agreement Beginning Date (date Mr. G. Percy signed agreement.)
• Grant Award Amount (amount awarded by the Department of State.)
1. Quarterly Review
A. Total advance payment you received at the beginning of the quarter for
which you are now reporting.
B. Total grant funds you spent this quarter (expenditures will be in cash and will
include payroll).
C. Grantee matching share (amount your organization is using for grant match
this quarter). This total may include donated values and/or cash outlay.
D. Total the cash outlays and donated values columns, then total those figures
across to the right-hand total column.
2. Grant Summary
A. Total grant funds you have expended to date. (total of all the grant funds you
have spent throughout the grant period)
B. Total matching share you have expended to date. (total of all the matching
share you have spent throughout the grant period)
C Total amount you have expended to date (total of the previous two lines).
3. Attach bank statement. This will verify your cash outlay and document any
interest earned.
4. Interest
A. Total amount of interest earned on advance payment this quarter.
B. The rate at which the advance payment earned interest.
Quarterly Expenditure Report
Documentation Procedures
Page Two
5. Cash Outlay
1. List the information in the proper column.
2. Documentation is required only in the event of cash payment; attach paid
invoice.
3. The purpose of each expenditure must be stated clearly and in sufficient
detail for the Division to determine if the expenditure is allowable.
4. In listing paid employees, be aware that the amount claimed may be greater
than the amount of check since you are allowed to claim gross salary plus
employers FICA and any benefit package you provide to employees.
5. In listing regular expenses , such as telephone, insurance, etc.,list dates of
service under purpose of expenditure.
6. In cases where an expense, such as a utility bill, overlaps the contract period,
please prorate the expense, listing the correct amount under amount
claimed.
6. Donated Values
A. Donated Materials and Transportation .
1. Donated materials may include copying, mileage, photographs, supplies, etc.
2. Make certain all materials were donated within the contract period.
3. Mileage must be calculated at $.20/mile. Destination, purpose of travel, and
number of miles driven must be listed.
B. Donated Services
1. List the information in the proper column.
2. Be sure to include the total hours worked.
3. Hourly rates shall be the Federal minimum wage, unless the work
performed is that in which the person providing the service is otherwise
usually employed or possesses professional skills and/or training and
experience in the field of professional expertise, in which case the rate shall
be that normally paid for such services.
4. If the hourly rate listed is above Federal minimum wage, attach a signed
statement from the person providing the service listing his/her
qualifications.
State Agency Documentation
State Agencies are only required to fill out page 1 of the Quarterly Expenditure Report.
Department of State, Division of Historical Resources, Bureau of Historic Preservation
R. A. Gray Building, 500 South Bronough Street, Tallahassee, Florida 32399-0250
Quarterly Expenditure Report
(circle one)
1st 2nd 3rd Final
Grantee Name
Project Title
Grant Agree. Beginning Date Grant Award Amount
1. Quarterly Review
Cash Donated Total
Outlays Values
A. Total advanced this quarter $
B. Grant funds expended this quarter $ $
C. Grantee matching share this quarter $ $
D. Total quarterly expenditures $
2. Grant Summary
A. Total grant funds expended to date $
B. Total matching share expended to date $
C. Total expenditures to date $
3. Attach bank statement.
4. Interest
A. Interest earned on advance payment this quarter $
(enclose check made payable to Florida Department of State)
B. Interest rate
I certify that to the best of my knowledge the information reported herein is correct, that all
goods and services invoiced have been received, and that all outlays were made in
accordance with grant conditions.
Signature of Project Supervisor Date
Quarterly Expenditure Report- continued
Page Two
5. Cash Outlay
Vendor Invoice Purpose of Check Check Amount Amount
Name Date Expenditure* No. Date of Check Claimed
Attach additional pages for Cash Outlay as necessary.
*The purpose of each expenditure must be stated clearly and in sufficient detail for the Division
to determine if the expenditure is allowable.
Quarterly Expenditures Report- continued
Page Three
6. Donated Values
A. Donated Materials and Travel
List all donated materials below. Only donations made during the grant period are allowable. Mileage must
be calculated at $.20/mile.
Description of Material/ Date of Donation Fair Value Basis of Value
Purpose of Travel
Attach additional pages for Donated Materials and Transportation as necessary.
Quarterly Expenditure Report- continued
Page Four
B. Donated Services
List total donated hours provided by each individual. Hourly rates shall be the Federal Minimum Wage,
unless the work performed is that in which the person performing the service is otherwise usually employed or
possesses professional skills, and/or training and experience in that field of professional expertise,in which case the
rate shall be that normally paid for such services. If the hourly rate listed is above Federal Minimum Wage, attach a
signed statement from the individual listing his/her qualifications.
Name of Dates Total hours Hourly rate Value
Individual Worked worked
Attach additional pages for Donated Services as necessary.
TITLE VI AND SECTION 504 GUIDEI=TNES FOR IE HISTORIC PRESERVATION FUND PROGRAM
AIME
TABLE OF OONTENTS
I. GENERAL PAGE NO.
1) AUTHORITY 1
2) PURPOSE 1
3) COVERED PROGRAM 2
4) DEFINITIONS 3
5) COVERED IIV1PLOYMENT 8
II. COMPLIANCE RESPONSIBILITIES
1) OEO RESPONSIBILITY 10
2) NPS RESPONSIBILITY 10
3) GRANTEE RESPONSIBILITY 11
4) COORDINATION OF RESPONSIBILITY 12
5) COMPLIANCE REVIEWS OF GRANTEES AND SUBGRANTEES
BY 0E0 13
6) SELF EVALUATION RESPONSIBILITIES -19
7) WAIVER OF ACCESSIBILITY REQUIREKEaTS 19
8) TRANSITION PLAN RESPONSIBILITIES 21
III. TITLE VI AND SECTION 504 COMPLAINT PROCEDURES
1) GENMAL 23
2) WHO MAY FILE 23
3) HOW, WHEN, AND WHERE TO FTLF 23
4) COMPLAINT PROCESSING 26
5) COMPLAINTS INVESTIGATIONS--- 28
IV. COMPLIANCE REVIEW PROCEDURES
1) GENERAL 31
2) COMPLIANCE REVIEW RESPONSIBILITIES 31
3) DETERMINATION OF COMPLIANCE 32
4) SELECTION CRITERIA 32
5) IF NONCOMPLIANCE IS FOUND 33
CHAPTER I
GENERAL
1) AUTHORITY
These guidelines are issued under the authority of Title VI of the
Civil Rights Act of 1964, 42 USC 20O0d, et seq. ; Executive Order
11764; Section. 504, Rehabilitation Act of 1973, P.L. 93-112 as amended;
Department of the Interior Regulations 43 CFR 17 Subparts A and B.
2) PURPOSE
These guidelines provide detailed information on the compliance
requirements of Title VI of the Civil Rights Act of 1964 and Section
504 of the Rehabilitation Act of 1973. The objectives of the
respective Acts are as follows:
a) Title VI of the Civil Rights Act of 1964 provides that no
person in the United States shall on the grounds of race, color,
or national origin, be excluded from participation in, be denied
the benefits of or otherwise subjected to discrimination under any
program or activity receiving Federal financial assistance from
the Department of the Interior.
b) Section 504 of the Rehabilitation Act of 1973 is designed to
eliminate discrimination on the basis of handicap in any program
or activity receiving Federal financial assistance.
2
3) COVERED PROGRAM
Historic Preservation Feud Program, (National Historic Preservation Act
of 1966, as amended, 80 Stat. 915, 16 USC 470, et seq).
The Historic Preservation Fund Program is a grant-in-aid program which
is administered by the National Park Service. Its purpose is to
identify and preserve National Register—listed properties and historic
resources for the public benefit. The program provides hatching
grants-in-aid for preparing comprehensive statewide cultural resource
surveys and plans, and for the acquisition and development of National
Register properties; and to the National Trust for its chartered
purposes. The States establish their own selection criteria for
subgrants and contracts in accordance with applicable laws and the
National Park Service requirements. The authority for the order in
which projects are selected rests with the State or National Trust for
Historic Preservation.
3
4) DEFINITIONS
For the purposes of these guidelines, the following terms are defined:
A) "Act" means the Civil Rights Act of 1964, and any guidelines,
rules and regulations of the Department effectuating Title VI of
this Act;
B) "Section 504" means Section 504 of the Rehabilitation Act of
1973;
C) "Applicant" means one who submits an application for assistance
under the National Historic Preservation Act;
D) "Department" means the J.S. Department of the
Interior;
E) "Director" means the Director of the Office for Equal
Opportunity of the Department;
F) "Federal Financial Assistance" means (1) grants and loans of
Federal Funds, (2) grants or donations of Federal property and
interests in property, (3) the detail of Federal personnel, (4) the
sale or lease of, or the permission to use (on other than a casual
or transient basis), Federal property or any interest in such
property without consideration or at a nominal consideration or at
4
a consideration which is reduced for the purpose of assisting the
recipient in recognition of the public interest to be served by
such sale or lease to the recipient, and (5) any Federal agreement,
arrangement, or other contract which has as one of its purposes the
provision of assistance;
G) "Grantee" means National Trust for Historic Preservation or a
State that is authorized to contract for or to extend Federal
financial assistance to itself or to a subgrantee for the purpose
of carrying out a program of the Department;
H) "NPS" means the National Park Service, an agency of the
Department;
I) "Historic Property" means any district, site, building,
structure, or object significant in American history, architecture,
archeology, and culture at the National, State, or local level ;
J) "National Register" means the National Register of Historic
Places, the list of districts, sites, buildings, structures, and
objects significant in American history, architecture, archeology,
and culture, maintained by the Secretary of the Interior under
authority of Section 2(b) of the Historic Sites Act of 1935 (49
Stat. 666, 16 USC 461) and Section 101 (a) (1) of the National
Historic Preservation Act;
• . 5
K) "Subgrantee" means any political subdivision or instrumentality
of a State, any public or private institution, or any entity or
individual to whom Federal financial assistance is extended;
L) "Post-Award Compliance Review" means an onsite, comprehensive
assessment of the Title VI and Section 504 compliance of a grantee
or subgrantee that has received Federal financial assistance from
the Department. Such reviews are conducted by compliance officers
of the Department and are designed to determine if programs and
activities of the agency are administered and operated in
compliance with the Act and Section 504;
r4) "Follow-up Compliance Review" means a follow-up examination of
specific aspects of a grantee's federally-assisted program or
activity to determine whether the grantee has resolved reported
conditions of noncompliance. These reviews are conducted by
compliance officers of the Department;
N) "Compliance Officer" means an Equal Opportunity Specialist of
the Office for Equal Opportunity of the Department, assigned the
responsibility of conducting Title VI and Section 504 Compliance
Reviews;
• 6
0) "HPF" means the Historic Preservation Fund Program;
P) "Contractor" means a person with whom a grantee or a subgrantee
has entered into a written agreement stipulating that the grantee
or subgrantee is obligated to pay for property or services which
are furnished by the contractor and needed to accomplish the
purposes of the grant;
Q) "Project" means an activity or set of activities supported by
HPF funds and which require matching shares in accordance with HPF
legislation. This term applies to the annual series of objectives
and supporting activities comprising the survey and planning
component (nonconstruction activities), as well as individual
properties assisted under the acquisition and development component
(construction activities);
R) "Covered Employment" means employment practices covered by
Title VI and Section 504;
S) "Onsite Program Review" mans a non-Title VI and Section 504
review conducted by NPS and grantee personnel;
T) "Handicapped Person" means any person who has a physical ,
mental or sensory impairment which substantially limits one or core
major life activities, has a record of such impairment, or is
regarded as having such an impairment as outlined in 43 CFR 17.202
7
Subpart B(j)(2)(i). With respect to employment, "Qualified
handicapped person" means a handicapped person which, with
reasonable accommodation, can perform the essential functions of
the job in question (43 CFR 17.202 Subpart B(K)(1) );
U) "Accessibility" means that when viewed in its entirety, a
program mist be readily accessible to and usable by qualified
persons. This does not mean that every existing facility or part
thereof has to be made accessible (43 CFR 17.217 Subpart B);
V) "Waiver" means that where program accessibility cannot be
achieved without causing a substantial impairment of significant
features, a waiver of the program accessibility requirement may be
granted;
W) "Substantial impairment" means a permanent alteration that
results in a significant loss of the integrity of finished
materials, design quality or special character;
X) "Advisory Council" means the Advisory Council on Historic
?reservation.
Y) "Secretary" means the Secretary of the Department of the
Interior.
8
5) COVERED EMPLOYMENT
A grantee or a subgrantee's employment practices shall be subject to
the nondiscrimination provisions of the Act and Section 504 as provided
in Chapter 2 (part 5-section 14) of these guidelines. With regard to
the Act, the Department is only concerned with how practices directly
affect services to the public under a federally-assisted program to
which these guidelines apply. The employment practices of construction
contractors hired by grantees and their subgrantees will not be
subjected to the provisions, unless specifically provided. With
respect to Section 504, however., the employment requirement toward the
handicapped is extended to provide that recipients must not
discriminate in employment against handicapped persons. Reasonable
accommodations must be provided for handicaps who are qualified job
applicants or incumbent employees. This requirement may be waived by
the Department in cases where accommodation is proven to cause an undue
hardship on the operation of recipient programs as a result of but not
limited to the following:
A) Size of recipient program with respect to number of employees,
number and type of facilities and size of budget;
B) The type of the recipient's operations, including the composition
and structure of the recipient's workforce; and
C) The nature and cost of the accommodation needed.
9
Enforcement of the Act and Section 504 with respect to covered employment
practices shall not be superseded by State or local merit systems relating
to such employment practices.
• 10
CHAPTER II
COMPLIANCE RESPONSIBILITIES
1) Ori RESPONSIBILITY
The Office for Equal Opportunity (Ow), as authorized by the Secretary
of the Interior, shall assure that no person participating in a program
funded in whole or in part by the NPS is subjected to discrimination on
the basis of race, color, national origin, or handicap. This shall be
accomplished through continued policy direction, oversight, and
compliance reviews, complaint investigations, as well as technical
assistance and program evaluation.
2) NPS RESPONSIBILITY
The UPS, as primary grantor of HPF :ponies, has direct responsibility
for assuring that the grantees and subgrantees are in compliance with
the provisions of the Act and Section 504. The NPS shall execute its
responsibility through:
A) providing guidance to the grantees in the open project
selection process to allocate Historic Preservation Fund
assistance among applicants;
11
B) notifying OEO of any inconsistencies with Title VI and Section
504 detected in any grantee's program by NPS personnel;
C) cooperating with 0E0 toward seeking a satisfactory resolution
of any inconsistencies found.
3) GRANTEE RESPONSIBILITY
The States and the National Trust for Historic Preservation, as
grantees, are responsible to give reasonable assurance that the
applicant and all subgrantees will comply with the requirements imposed
by Title VI and Section 504, including methods of administration which
give reasonable assurance that any non-compliance will be corrected.
This shall be accomplished through:
A) establishing an open project selection process according to
the standards of NPS (Not applicable to National Trust);
B) providing the State Clearinghouse the opportunity to comment
upon the civil rights aspect of applications submitted according
to the A-95 review process. The National Trust: notifying the
State Clearinghouse of awards Rade, where applicable;
12
C) notify 0E0 of any inconsistencies with Title VI and Section
504 detected in any subgrantee's program by grantee personnel;
D) cooperate with 0E0 toward seeking a satisfactory resolution of
any inconsistencies found, including efforts toward seeking
voluntary compliance; and
E) assure that each subgrantee/applicant is provided a copy of
these guidelines.
4) COORDINATION OF RESPONSIBLITY
The Office for Equal Opportunity will periodically conduct compliance
reviews of the grantee's administration of the HPF program, including
reviews of the compliance of subgrantee programs with the Act and
Section 504. OEO and NPS will provide the grantees, subgrantees and
applicants for assistance with such technical assistance as necessary
to reasonably assure compliance with both the Act and Section 504.
Federal, State, and local officials are expected to cooperate Hilly
toward securing voluntary compliance where deficiencies in programs or
projects may be found.
13
5) COMPLIANCE REVIEWS OF GRANTEES AND SUBGRANrEES BY 0EO
Grantee and subgrantee compliance shall be based on the
following:
1) Whether the grantee and its subgrantees overall Historic
Preservation Fund Program evidence compliance with the provisions
of Title VI and Section 504; specifically, their consideration of
the role of minorities and handicapped individuals in the history,
archaeology, architecture, and culture at the State and local
levels.
2) Whether grantees and subgrantees are making available to the
public Title VI and Section 504 nondiscrimination information and
by what means (i.e. , through posters, brochures and program
literature). Where necessary, (a) Whether bilingual information
is Trade available for non-English speaking populations which
comprises 10% or more of the total population and (b) whether
program information is available for the vision or hearing
impaired and any other disability that impairs the comounication
process. The nondiscrimination language should read as follows:
14
This program receives Federal financial assistance for
identification and preservation of historic properties. 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
prohibits discrimination on the basis of race, color, national
origin, 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
U.S. Department of the Interior
Washington, DC 20240
3) Whether Title VI and Section 504 complaints received by the
grantee are forwarded to OEO within 10 days;
4) The frequency and type of all compliance assistance provided
by the grantee for its subgrantees;
15
5) Whether the grantee is adequately providing Title VI and
Section 504 nondiscrimination information to its subgrantees and
by what means (i.e. through posters, brochures, and program
literature).
6) Whether Title VI and Section 504 compliance responsibilities
have been designated to qualified grantees staff personnel and
whether such responsibilities are being effectively executed (does
not apply to subgrantees);
7) Minority and handicap participation on the grantee's State
Review Board and subgrantee's appointed planning and advisory
bodies associated with the program (does not apply to National
Trust);
8) Inclusion of properties, nominated to the National Register
and on the statewide survey, that represent minority group
contributions to the history and culture of the State (does not
apply to subgrantees);
9) Subgrantees submittal of applications to the grantees for
acquisition and development of minority related
historical/cultural projects at a level appropriate to minority
contributions to the history/culture of the geographical area
served by the subgrantee;
10) Evidence of continuing cooperation and liaison with private
individuals and organizations, including minority and handicapped
individuals and organizations, representing these groups in
grantee and subgrantee programs;
16
11) Adherence to Title VI complaint procedures as written in Chapter
III of these guidelines, including the public notification
provisions in grantee and subgrantee programs;
12) The imposition of nondiscriminatory admission fees for entrance to
HPF grant assisted properties, where such fees are used in grantee
and subgrantee programs;
13) Whether minority and handicapped persons have full accessibility
to grantee and subgrantee activities and services (e.g.,
workshops, exhibitions, tours, and etc). With regard to the
handicap specific responsibilities include but are not limited
to:
a) Making physical alterations which enable qualified handicapped
persons to have access to otherwise inaccessible areas or features
of historic properties;
b) Using audio—visual materials and devices to depict otherwise
inaccessible areas or features of historic properties;
c) Assigning persons to guide qualified handicapped persons into
or through otherwise inaccessible portions of historic properties;
d) Adopting other innovative ;methods to achieve program
accessibility.
17
14) Whether qualified handicapped persons, on the basis of handicap,
are being treated in a nondiscriminatory fashion in employment under
any programs or activities in grantee and subgrantee programs through:
a) Recruitment, advertising, and the processing of applications for
employment;
b) Hiring, upgrading, promotion, award of tenure, demotion,
transfer, layoff and rehiring;
c) Rates of pay or any other form of compensation and changes in
compensation;
d) Job assignments, job classifications, organizational structures,
position descriptions, lines of progression, and seniority lists;
e) Leaves of absence, sick leave, or any other leave;
f) Fringe benefits available by virtue of employment, whether or not
administered by the recipient;
g) Selection and financial support for training, including
apprenticeship, professional meetings, and selection for leaves of
absence to pursue training;
h) Employer-sponsored activities, including social or recreation
programs;
18
i) Any other term, condition, or privilege of employment, such as
granting awards, reconition and/or monetary recompense for money
saving suggestions or superior performance;
j) Providing reasonable accommodations to known physical, or mental
limitations of an otherwise qualified handicapped applicant or
employee except in cases outlined in chapter 1, part 5, of these
guidelines;
k) Employment test, pre-employment inquiries, interviews, or other
selection criteron; and
1 ) Provision of nondiscrimination language in employment
informational materials as discussed in section 2 of this chapter.
15) Whether grantees have obtained assurances from applicants or
subgrantees of federally-assisted programs or activities, in accordance
with OMB Circular A-102, which provides that the overall program will
be operated in compliance with Title VI. Also, Section 504 compliance
shall be mandatory under this circular. Covenants associated with
transactions, including transfer of real property or interest in the
property, must also contain language which assures nondiscrimination.
1
9
D) Section 504 SELF EVALUATION RESPONSIBILi'T'1hS
1) GENERAL: A recipient is required to evaluate, modify, and take
necessary remedial steps towards ensuring that its policies, practices,
and facilities are in compliance with Section 504. This self
evaluation process should be conducted with the assistance of
interested persons, including handicapped persons or organizations
representing disabled persons. The self evaluation should cover all
areas outlined in Chapter II, Section 5 of these guidelines.
A recipient that employs fifteen (15) or more persons shall, for at
least three years following completion of the evaluation, maintain on
file all records pertaining to the evaluation as outlined in 43 CFR
Subpart B 17.205. Such records must be made available for public
inspection and to the Director upon request.
E) WAIVER OF ACCESSIBILITY REQUIREXENTS
Where program accessibility cannot be achieved without causing a
substantial i^Dairment of historic features, the Secretary or his or
her designee may grant a waiver of the program accessibility
requirement.
The Secretary shall periodically review any waiver granted under this
section and may withdraw it if technological advances or other changes
so warrant.
20
2) PROCEDURES FOR REQUESTING A WAIVER
All requests for a waiver rrust be in writing and crust be signed by the
recipient's chief official. A copy of the request should be submitted
to the Director of the Office for Equal Opportunity.
Accompanied with the letter of request should be a complete description
of the property identifying the following:
A) Significance of the property - identifying reason(s) the
property has been listed on the National Register of Historic
Places;
B) Scale of the property (i.e. , its physical description), with an
explanation of its ability to absorb alterations;
C) Use of the property, whether primarily for public or private
use;
D) An analysis of the historic and/or architectural features of
the property that will be affected by accessibility requirements
with an explanation of why other program accessibility alternatives
are not possible; and
E) Cost of alteration in comparison to the increased
inaccessibility.
All additional information or records which might show just cause for a
waiver may also be provided.
21
•
3) PROCEDURES FOR GRANTING A WAIVER
After the Department receives all the necessary information, the
Secretary or his or her designee will review the records and determine
whether the waiver request is to be approved or not. Once a decision
regarding the waiver request has been made, the recipient shall be
notified in writing by the Department of its determination no later
than 30 days from the completion date of the waiver review.
F) TRANSITION PLAN RESPONSIBILITIES
Whenever structual charges to facilities are necessary to meet program
accessibility requirements, recipients shall develop, within one year
of a cited accessibility violation, a transition plan setting forth the
steps necessary to complete such changes. In the case of new
recipients, a transition plan roust be developed within one year of
receipt of the financial assistance.
22
Transition plans should be developed with the assistance of interested
persons, including handicapped persons or organizations representing
handicapped persons and trade available for public inspection. The plan
should contain the following information:
A) Identification of physical obstacles in the recipient's
facilities that limit the accessibility of its program or activity to
handicapped persons;
B) Detailed description of the methods that will be used to make the
facilities accessible and usable; •
C) Time table for achieving full program accessibility. If time
period will exceed the specified required time frame, one year, an
identification of steps taken during each year to achieve
accessibility is required; and
D) Identification of person responsible for implementation of the
plan, name, address and telephone number.
23
CHAFFER III
TITLE VI AND SECTION 504 COMPLAIN PROCEDURES
1) GENERAL
This chapter prescribes the procedures of the Department and its
primary recipients with respect to the prompt processing and
disposition of Title VI and Section 504 complaints.
2) WHO MAY FILE
Any person, or specific class of persons, who believes that he or she
has been subjected to discrimination as prohibited by the Act and/or
Section 504, nay personally, or by representative, file a complaint.
3) HOW, WHEN, AND WHERE TO FILE
All complaints filed under Title VI and Section 504 must be in
writing, and must be signed by the complainant and/or the
complainant's representative. In the event that a complaint is made
in other than written form, the official receiving the complaint must
24
instruct the complainant to submit the complaint in writing to the
Office for Equal Opportunity, Department of the Interior for prompt
processing. The complaint should contain: The name, address, and
telephone number of the complainant; the name and address of the
alleged discriminating official, grantee or subgrantee; the basis of
the complaint, and date of the alleged discrimination.
Complaints must be filed within 180 days from the date of the alleged
discrimination. The time limit for filing ray be extended by the
Director of the Office for Equal Opportunity. Complaints should be
filed directly with the. Office for Equal Opportunity, U.S. Department
of the Interior, Washington, D.C. 20240. In the event that
complaints are received by NPS and/or grantees, such complaints shall
be forwarded to the Office for Equal Opportunity within 10 days of
receipt.
A) Public Notification of Right to File a Complaint.
The NPS shall be responsible for insuring that its grantees
inform the public of their right to file a complaint. Where
grantees extend Federal assistance to subgrantees, the grantees
shall also be responsible for insuring that this standard is met.
25
1) NPS and its grantees shall also include information on Title VI and
Section 504 requirements, complaint procedures, and the rights of
beneficiaries in handbooks, manuals, pamphlets, and other materials
which are ordinarily distributed to the public to describe the
federally- assisted programs or activities. In instances where
handicapped persons have visual and hearing or other forms of
disabilities that impair their communication process, accommodations
must be rade to meet their needs, such as audio-visual aids and
interpreters.
2) Posters explaining the nondiscrimination provision of Title VI and
Section 504 as they apply to the HPF Program shall be displayed in at
least one conspicuous place in the administrative offices. Posters
should note the availability of additional Title VI and Section 504
information and explain briefly the procedures for filing complaints.
26
4) COMPLAINT PROCESSING
A) Acknowledgement of Complaint.
The Office for Equal Opportunity shall acknowledge in writing, the
receipt of every complaint within 10 days of reception.
Acknowledgement letters shall be sent to the complainant, NPS and the
grantee.
B) Complaint Log.
Grantees shall maintain a log of any Title VI and Section 504 complaint
received. Moreover, 0E0 shall maintain a log of all such complaints
received for processing. The purpose of the complaint log is to
provide essential information and data regarding each complaint being
processed by the Department. Each log must contain a case nnunber, the
complainant's name, address and telephone number. Each log must also
include a description of the complaint; the date the complaint was
filed and investigation completed; the disposition of the case; all
other information pertinent to the complaint.
27
C) Routing Responsibilities.
When NPS, any grantee or subgrantee, receives a complaint, the office
in receipt must log in the complaint, note the date of receipt on the
complaint and maintain a confidential copy for its records. The
original complaint document must be forwarded to the Office for Equal
Opportunity within 10 days of receipt pursuant to Section III of this
Chapter. ODO shall acknowledge its receipt and notify the grantee, as
well as NPS.
The grantee is encouraged to inquire into the facts of any complaints
of an administrative nature having been brought to its attention.
However, if any part of the complaint is based upon alleged Title VI
and Section 504 discrimination, ODD must be notified as provided for
above.
D) Determination of Jurisdiction.
Upon receipt of a complaint by the Department, the Office for Equal
Opportunity shall determine whether the complaint comes within the
purview of the Act and Section 504. When the Department lacks
jurisdiction over a complaint, the Director shall refer the complaint
to the appropriate State or Federal agency that has responsibility for
addressing the concern.
28
5) COMPLAINT INVESTIGATIONS
A) Scope.
Investigations shall be confined to issues and facts relevant to
allegations in the complaint.
B) Confidentiality.
Complainants shall be offered a pledge of confidentiality as to their
identity. This offer, if accepted, shall be binding on the
investigator. Complainants shall be interviewed at all times in places
which will not create the risk of compromising confidentiality. Except
where essential to the investigb.tion, the investigator shall not reveal
the identity of the complainant to the respondent or to any third
party. If the investigator determines the necessity to reveal the
complainant's identity, the complainant's written permission to do so
must be secured.
C) Conduct of Investigation.
Upon determination of jurisdiction by the Department, the Office for
Equal Opportunity shall promptly initiate an investigation of the
natter.
29
D) Investigation Reports.
In all instances where an investigation has been conducted, an
investigation report shall be prepared, with findings and
recommendations. The complainant and the agency against whom the
complaint is made shall be notified in writing of the disposition.
E) Investigation by Primary Recipients.
The Director, within 10 working days of the receipt of a complaint, may
authorize a grantee to investigate the complaint and make findings and
recommendations subject to OEO approval. Upon delegation of authority
by the Director, a grantee may investigate complaints filed against
subgrantees. The investigative report will be provided to OEO within
30 days of authorization to investigate. The grantee nay not
investigate any complaint in which it, or any of its officers or
employees are implicated. If at any time prior to its completion, it
is determined that investigation of a complaint has been improperly
conducted, the Director nay withdraw the grantee's authority to
investigate. If the complainant is dissatisfied with the findings of
the investigation, the complainant may appeal the findings to OED for
its decision within 30 days of the complainant's receipt of the
investigative report.
30
F) If No Conditions of Noncompliance are Found.
Where the Director or his designee determines that review and
investigation of findings do not support an allegation of
discrimination, the complaint shall be administratively closed. Within
ten (10) working days of the closing date, the complainant will be
notified through certified rail of the decision and given the reason(s)
for the decision reached.
31
CHAPTER IV
COMPLIANCE REVIEW PROCEDURES •
1) GENERAL.
This chapter prescribes the types of compliance reviews which will be
conducted periodically to insure that the Department's Historic
Preservation fund programs are operated in compliance with the Act and
Section 504. Compliance reviews will cover grantee, and subgrantee
operations pursuant to the criteria outlined in Chapter II, part 5.
2) COMPLIANCE REVIEW RESPONSIBILITIES.
The Office for Equal Opportunity shall periodically conduct routine
onsite Title VI and Section 504 compliance reviews of NPS grantees and
subgrantees. Moreover, grantees shall review the operations of its
subgrantees via program reviews.
The Office that conducts a review shall prepare and issue a report on
its findings and recommendations to the reviewed entity within a timely
period after the onsite review is completed to assist the reviewed
32
entity in voluntarily complying with the Act and Section 504. However,
remedial action must be initiated by the grantee or subgrantee to
correct the deficiency(s). Where conditions of noncompliance have been
found, such conditions must be resolved by the grantee or subgrantee
within a reasonable period of time. A copy of the report and related
correspondence shall be kept on record by the office performing the
review for a period of 3 years. This information shall be made
available to ODD upon request.
3) DETERMINATIONS OF COMPLIANCE.
All determinations of compliance with the Act and Section 504 shall be
trade by ODD.
4) SEUICEMN CRITERIA
A) Post-Award Reviews.
In the selection of grantees and subgrantees for post-award review,
0E0 shall base selections on such factors as:
33
1 ) Available compliance information collected from previous
reviews including pre-award reports from other agencies;
2) The frequency of past compliance reviews conducted of the
grantees;
3) Demographic pattern of the geographical area served by the
grantee;
4) Title VI and Section 504 complaints of alleged
discrimination;
5) The size of the federally-assisted program or activity; and
6) The amount and type of Federal assistance to the grantee.
5) IF NONCOMPLIANCE IS FOUND. •
A) Voluntary Compliance Defined.
Voluntary Compliance means willingness to correct conditions of
noncompliance identified by complaint investigations or compliance
reviews. Departmental regulations require the resolution of an
apparent condition of noncompliance by informal means whenever
possible.
34
B) Procedures for Effectuating Voluntary Compliance.
1) In every case where a complaint investigation or compliance
review results in a finding of noncompliance, the Director shall
notify the grantee through certified mail of the apparent
noncompliance, offer recommendations to correct the conditions of
noncompliance, and offer a reasonable time to willingly comply.
2) The Office for Equal Opportunity shall record the date the
grantee received notice, and shall rote and record the last day
afforded the grantee for voluntary compliance before initiating
the administrative process to terminate Federal assistance.
3) The grantee may request a meeting for the purpose of
discussing the problem areas or requirement for compliance. The
principal investigator will accompany the Director or his
designated representative to the meeting for the above stated
purpose.
4) The Director or his designee shall approve the grantee's
voluntary compliance plans, methods, procedures, and proposed
actions if such approval will result in compliance with the Act
and Section 504.
C) Sanctions Available to the Department.
35
When an applicant for or a grantee of preservation funds is found
to be in-noncompliance with the Act and Section 504, and
compliance cannot be achieved by voluntary means, the Act and
Section 504 provides several enforcement alternatives. If
discrimination based on race, color, national origin, handicap or
any other technical violation of the Act and Section 504 is found
in an applicant's program, the Office for Equal Opportunity can
recommend temporary deferral of Federal funds to the agency
awarding the grant until full compliance has been satisfactorily
established. If the grant has been made, the Office for Equal
Opportunity nay initiate administrative proceedings for the
termination of current and future funding. Alternatively, 0E0 may
enforce the Act and Section 504 by "any other means authorized by
law. " Although not explicitly stated by the Act and Section 504,
such other means include referral to the U.S. Department of
Justice for appropriate judicial enforcement. No order
suspending, terminating, or refusing to grant assistance to a
recipient can become effective until the Office for Equal
Opportunity has:
36
1) Advised the grantee of its failure to comply and
determined that compliance cannot be secured by voluntary
means. .
2) Made an express finding on the record after opportunity
for hearing, of a failure by the applicant or grantee to
comply with a Title VI and Section 504 requirement.
3) Submitted a full written report of the circumstances and
the grounds for such action to the Secretary.
4) Obtained approval of the action to be taken from the
Secretary of the Interior.
5) Insured that the Secretary has filed a full written
report with the committee of the House and the committee of
the senate having the legislative jurisdiction over the
program involved.
Publicity: A Preservation Necessity
The following is in order to assist you in obtaining publicity for your
project and in fulfilling General Conditions A 1(a-g), of Attachment A:
To those of us in Historic Preservation the passionate concern for saving
and restoring a historic structure, excavating an archaeological site or
delving into our own local history often overwhelms our recognition of the
importance of modern communication and its relationship to preservation
vitality.
One form of modern communication with which we are all familiar - some of
us less familiar than others - is publicity. Should it be conceived of as a
nuisance, something that distracts us from our important preservation goals;
or should publicity be viewed as a necessity that will further our goals? If
we examine briefly the importance of publicity, we can decide.
If you ask people what publicity is, you' ll get the answer from many
"free advertising; " but publicity is much more than this. Publicity is
information with news value; publicity is news. If your publicity is used by
a newspaper, radio or TV station, the story gains something advertising can' t
offer - credibility. Since the information comes from a disinterested third
party, it has an impact that self-serving advertising has difficulty matching.
There are a number of reasons why publicity is important to historic
preservation, and why we as preservationists must develop the necessary skills
to handle it. Here are same:
o You gain recognition of your work in the community, that is
you develop greater community awareness and goodwill.
o You give your workers the personal satisfaction that what they
are doing is noticed, understood, and appreciated.
o You help to make your members proud of belonging.
(Everyone likes to be associated with a known success) .
o You encourage greater participation by your
membership in your activities.
o You heighten your appeal to prospective members -
to make them want to belong.
o You develop greater financial support.
o You develop other kinds of support besides time and money,
such as meeting rooms or donations of goods and equipment.
In addition to being important to your organization and to historic
preservation in general, publicity is also important to the media. Here's
why:
1. The activities of local people and organizations are news.
Publishing it is good business, for local news ranks high in
readership, and high readership attracts advertising.
2. Newspaper outside staffs tend to be small. The limited
personnel can cover only a few local events, so they
must depend upon volunteers - which is what publicity
people in essence are - to be their eyes and ears and
writers. Without these outside services, local news
would dry to a trickle.
3. Newspaper inside staffs also tend to be small. There just
is not time under work load and deadline pressures for
extensive typing or rewriting of the material that must
be processed to fill an edition. Hence, if you can
contribute a publicity release that has news interest
and has been prepared in a professional manner, you help
the harried editor. •
4. Newspapers appreciate ideas as well as copy. And who
should know better what constitutes a good news feature
idea about a person or an organization than a publicity
man or woman thoroughly familiar with the organization
and its personnel?
So now that we've seen that publicity will garner community support in
effort and money and that it' s important to the media as well, we can decide.
Unequivocably publicity is a necessity that can only benefit historic
preservation.
We here at the Bureau of Historic Preservation hope this publicity kit
will assist you in attaining your publicity goals. Use it as it is intended
and you' ll go a long way in furthering general historic preservation goals as
well as your own specific preservation goals. Remember Publicity is a
Preservation Necessity!