LWCF Manual

Document technical information

Format pdf
Size 1.2 MB
First found Jun 9, 2017

Document content analysis

Language
English
Type
not defined
Concepts
no text concepts found

Persons

Organizations

Places

Transcript

LWCF Manual
Guidelines/Application for Local Agencies
Participating in the Land and Water
Conservation Fund Program in Indiana
Indiana Department of Natural Resources
Division of Outdoor Recreation
2014
This page left blank intentionally.
2
Foreword
These guidelines explain the current administration of the Land and Water Conservation
Fund (LWCF) grant program for park and recreation boards in Indiana. If this is an older version
of the LWCF manual, please check our website, www.in.gov/dnr/outdoor/grants for updates.
This federal program is administered at the state level by the Department of Natural Resources,
Division of Outdoor Recreation. The program provides 50% reimbursement grants to assist park
and recreation boards in acquiring and developing outdoor recreation areas for public use. The
minimum grant amount awarded is $10,000 and the maximum grant amount is $200,000.
This publication describes the requirements for participation in the program, application procedures, and other steps involved in completing, operating and maintaining LWCF assisted sites
and facilities. Directions for preparing the application are found in Chapters 2 and 3. Please refer
to the application checklist at the end of Chapter 3 (page 36) for assistance in submission of all
required items. Pay particular attention to the rating criteria in Chapter 2 (page 23). The rating
criteria are the most important component of the application! Answer each criteria element thoroughly and include documentation to support your replies. The rating criteria within this current
manual supersede any previous criteria from former grant rounds or manuals. The appendix
contains the forms required to be submitted with original signatures for a complete application.
Be sure to copy the forms from the manual or the website so that you will have a complete
manual on file.
The guidelines are designed to be a step–by–step administrative manual which should be
used for the duration of the project. It is wise to review the entire manual and then concentrate on
the chapters as they apply to each stage of your project. Chapters 5 and 6 explain the procedures
for land acquisition and development. Chapter 8 explains the long term requirements of the park
board and closeout procedures. All land acquired or developed with LWCF money is protected
in perpetuity for outdoor recreation use. If a park board cannot fulfill the terms and conditions of
the LWCF grant program, then an application should not be submitted. It is your responsibility to
keep this manual up–to–date so new board and staff members will be aware of current program
guidelines.
It is hoped that the material presented will answer many questions about the program. The
Grants Staff is interested in your comments and suggestions on improving the usefulness of this
manual. If further information or clarification is needed, please contact:
State and Community Outdoor Recreation Planning Section
Division of Outdoor Recreation
Department of Natural Resources
402W. Washington St., Room W271
Indianapolis, Indiana 46204-2782
Phone (317) 232-4075
Fax (317) 233-4648
www.in.gov/dnr/outdoor
3
Grant Timeline
ONE FULL APPLICATION MUST BE COMPLETED, CLEARLY
POSTMARKED BY JUNE 2, 2014, AND SENT TO THE DIVISION OF
OUTDOOR RECREATION. IF YOU PLAN TO HAND DELIVER THE
APPLICATION, IT NEEDS TO BE AT OUR OFFICE BY 4:30 PM ON
JUNE 2nd.
June-July 2014 - Application review, additional information period, site visits, evaluate, rate,
and rank projects
August-September 2014 - State approval
January 2015 - June 2015 - Compile necessary information needed to obtain National
Environmental Protection Act (NEPA) environmental clearance, National Historic Preservation
Act (NHPA) Section 106 historical and archaeological clearance, and other clearances as
necessary. Forward above-mentioned material to appropriate DNR divisions and the National
Park Service to receive Federal approval.
Summer 2015 - Federal approval
Obtain a full appraisal done by a general certified appraiser with federal appraisal experience
(for land acquisition projects).
Submit detailed architectural/engineering plans for ADA review by the Division of Outdoor
Recreation.
Obtain any necessary construction permits or clearances. All necessary clearances, plans, and
permits must be completed before development commences.
Summer - Fall 2015 - Start construction! That is, if all goes well in the above timeline. This
timeline can change because of many variables, but it gives you an idea of the time it will take to
get a project to the development stage.
4
Table of Contents
Chapter One
Partnership for Parks: Summary of the LWCF Program......................................................... 11
The LWCF Program.............................................................................................................. 11
Source of LWCF Funds......................................................................................................... 11
Federal Allocation of Funds .................................................................................................. 11
Indiana’s State and Local Shares .................................................................................. 12
Types of Projects............................................................................................................ 12
Project Costs.......................................................................................................................... 12
Grant Amounts ............................................................................................................... 12
Local Matching Share.................................................................................................... 13
Reimbursement............................................................................................................... 13
Federal Administration.......................................................................................................... 13
State Administration.............................................................................................................. 14
Statewide Comprehensive Outdoor Recreation Plan .................................................... 14
Grants Administration ................................................................................................... 14
Chapter Two
How to Apply for Funding: Eligibility and Project Selection ................................................... 16
Eligibility............................................................................................................................... 16
Forming a Park and Recreation Board ......................................................................... 16
Park and Recreation Master Plan and Amendments..................................................... 17
Types of Applications ........................................................................................................... 17
Grant Application Process..................................................................................................... 17
Presubmission Procedures............................................................................................. 18
Application Period ......................................................................................................... 18
State Review ................................................................................................................... 18
Project Rating ................................................................................................................ 19
State Approval................................................................................................................ 20
Reviews and Preparation for Federal Submittal ........................................................... 20
Federal Approval ........................................................................................................... 20
Minimum Project Criteria ..................................................................................................... 20
Annual Allocation of Funds .................................................................................................. 21
Distribution System........................................................................................................ 21
Funding Limits ............................................................................................................... 21
Open Project Selection Process............................................................................................. 22
Rating Factors ............................................................................................................... 22
Land and Water Conservation Fund Project Rating Criteria ............................................... 23
Points Summary .................................................................................................................... 27
5
Chapter Three
Writing the Grant Application..................................................................................................... 28
Application Form .................................................................................................................. 28
Program Narrative ................................................................................................................. 28
Application Attachments ....................................................................................................... 30
Cost Breakdown ............................................................................................................. 30
Evidence of Local Funds................................................................................................ 30
Rating Criteria Information........................................................................................... 31
Project Proposal Assurances......................................................................................... 32
Assurance of Compliance - Civil Rights Act of 1964 – Title VI, Rehabilitation Act of
1973, Age Discrimination Act of 1975........................................................................... 32
Photographs, Maps, Site and Building Plans ................................................................ 32
Easements ...................................................................................................................... 33
Property Deed(s)............................................................................................................ 33
Environmental Assessment ............................................................................................ 33
Farmland Review ........................................................................................................... 34
Land Acquisition Projects ..................................................................................................... 34
Supplemental Acquisition Form..................................................................................... 34
Appraisals ...................................................................................................................... 34
Just Compensation and Option(s) to Purchase ............................................................. 35
Escrow Agreement(s) ..................................................................................................... 35
Relocation Plan.............................................................................................................. 35
Development Projects............................................................................................................ 35
Certification for Development Projects ......................................................................... 35
LWCF Grant Application Checklist...................................................................................... 36
Chapter Four
Grant Approval............................................................................................................................. 38
The Approval Process ........................................................................................................... 38
State Recommendation................................................................................................... 38
Federal Approval ........................................................................................................... 38
Project Agreement ................................................................................................................. 38
General Provisions ........................................................................................................ 39
Nondiscrimination.......................................................................................................... 39
Assurance of Compliance .............................................................................................. 39
Accessibility for Persons with Disabilities............................................................................ 43
The Architectural Barriers Act of 1968, Section 504 of the Rehabilitation Act of 1973
(as amended), and the Americans with Disabilities Act of 1990 ................................... 43
Project Sequence ................................................................................................................... 46
Amendments.......................................................................................................................... 46
Changes in Project Scope .............................................................................................. 46
Project Period Extensions.............................................................................................. 47
Project Agreement Amendments .................................................................................... 47
Project Completion................................................................................................................ 47
Checklist for Amendments.................................................................................................... 49
6
Chapter Five
Criteria for Land Acquisition Projects........................................................................................ 50
Site Selection for a Grant Application .................................................................................. 50
Eligible Types of Acquisition................................................................................................ 50
Ineligible Types of Acquisition............................................................................................. 51
Early Acquisition................................................................................................................... 52
Options to Purchase....................................................................................................... 52
Escrow Agreements........................................................................................................ 53
Waiver of Retroactivity .................................................................................................. 53
State and Federal Acquisition Policies.......................................................................... 54
Appraisals ...................................................................................................................... 54
Methods of Acquiring Land .................................................................................................. 56
Negotiated Purchases .................................................................................................... 56
Purchases Higher than Appraised Value....................................................................... 57
Contract Sales................................................................................................................ 58
Condemnation ................................................................................................................ 58
Land Donations.............................................................................................................. 58
Bargain Sale................................................................................................................... 59
Land Purchased from Another Public Agency............................................................... 60
Exchange of Real Property ............................................................................................ 61
Relocation Assistance............................................................................................................ 61
Relocation Benefits ........................................................................................................ 61
Relocation Plan.............................................................................................................. 62
Appeals........................................................................................................................... 62
Waiver of Relocation Benefits........................................................................................ 63
Land Acquisition Costs ......................................................................................................... 63
Eligible Costs ................................................................................................................. 63
Ineligible Costs .............................................................................................................. 63
Date When Costs Are Incurred ...................................................................................... 64
Transfer of Title ............................................................................................................. 64
Property Rights, Control, and Tenure ................................................................................... 64
Adequacy of Title ........................................................................................................... 65
Reservations, Adverse Rights, and Deed Restrictions ................................................... 65
Development on Land Acquired with LWCF Assistance ..................................................... 66
Outdoor Recreation Uses............................................................................................... 66
Acquisitions Involving Compatible Uses ....................................................................... 66
Future Development Conditions .................................................................................... 66
Acquisition for Delayed Development ........................................................................... 66
Summary of Acquisition Procedures..................................................................................... 67
Chapter Six
Site Development and Facility Construction .............................................................................. 69
Considerations for a Development Grant .............................................................................. 69
Site Location, Control, and Tenure ....................................................................................... 69
Eligible Types of Development............................................................................................. 69
Ineligible Types of Development .......................................................................................... 71
7
Eligible Development Costs.................................................................................................. 72
Professional Services ..................................................................................................... 72
Construction................................................................................................................... 73
Contract Construction Wages........................................................................................ 73
Supplies and Materials .................................................................................................. 73
Equipment ...................................................................................................................... 74
Information and Interpretation ...................................................................................... 74
Methods of Developing Facilities ......................................................................................... 74
Contract ......................................................................................................................... 74
Force Account................................................................................................................ 75
In–kind Contributions .................................................................................................... 76
Project Reviews ..................................................................................................................... 77
Fire Prevention and Building Safety Review ................................................................. 77
Water Pollution Review ................................................................................................. 78
Division of Water Review............................................................................................... 78
Flood Insurance ............................................................................................................. 78
Army Corps of Engineers............................................................................................... 79
Division of Outdoor Recreation Review ........................................................................ 80
Other Considerations Regarding Development..................................................................... 80
Private Facility Competition.......................................................................................... 80
Design of Facilities for Persons with Disabilities ......................................................... 80
Temporary Signage ............................................................................................................... 81
Acquisition Requirements Affecting Development .............................................................. 81
Chapter Seven
Obtaining Reimbursement........................................................................................................... 83
Reimbursement...................................................................................................................... 83
Cash Flow ...................................................................................................................... 83
Incurred Costs................................................................................................................ 84
Reimbursing Land Donations ........................................................................................ 84
Income Generated on Project Site ................................................................................. 85
Billing Submittal ................................................................................................................... 85
Billing Documentation .......................................................................................................... 85
Acquisition Projects ....................................................................................................... 85
Development Projects .................................................................................................... 86
Billing Assembly ................................................................................................................... 87
Final Billings ......................................................................................................................... 88
Billing Checklist.................................................................................................................... 89
Chapter Eight
Closeout and Post Completion Responsibilities.......................................................................... 90
Project Completion................................................................................................................ 90
LWCF Acknowledgement Sign....................................................................................... 90
Audits and Record Retention ................................................................................................ 91
Inspections............................................................................................................................. 91
8
Operation and Maintenance................................................................................................... 92
General Public Use................................................................................................................ 92
Nondiscrimination Audits ..................................................................................................... 93
Perpetual Park Use ................................................................................................................ 93
Retention of Outdoor Facilities ............................................................................................. 93
Leasing of Project Sites......................................................................................................... 94
Conversions of Use ............................................................................................................... 94
Conversion Prerequisites............................................................................................... 95
Conversion Proposals.................................................................................................... 96
Appendix...................................................................................................................................... 98
Land and Water Conservation Fund Project Agreement General Provisions ....................... 99
Overhead Wire and Environmental Intrusion Requirements .............................................. 107
Application Form ................................................................................................................ 109
Application Form Instructions..................................................................................... 110
Sample Application Form ................................................................................................... 112
Environmental Assessment ................................................................................................. 113
Environmental Impact Statements....................................................................................... 120
Indiana’s Rare Plants and Animals ..................................................................................... 121
Federal Marina Policy ......................................................................................................... 122
Civil Rights Act of 1964 Title VI Guidelines ..................................................................... 123
Assurance of Compliance Civil Rights Act of 1964, Title VI Rehabilitation Act of 1973 Age
Discrimination Act of 1975 ................................................................................................. 132
Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion . 134
Grant Billing Form .............................................................................................................. 136
Billing Form Instructions ............................................................................................ 137
Force Account Labor Form ................................................................................................. 138
Force Account Labor Form Instructions ..................................................................... 139
Donated Labor Form ........................................................................................................... 140
Donated Labor Form Instructions ............................................................................... 141
Post Construction Certificate............................................................................................... 142
Federal Protection for Outdoor Recreation ......................................................................... 143
Sample Cost Breakdown ..................................................................................................... 145
Information Needed to Begin the Section 106 Review Process.......................................... 146
Section 106 Review Checklist............................................................................................. 147
Sample Building Plan.......................................................................................................... 150
Sample Acquisition Site Plan .............................................................................................. 151
Sample Development Plan .................................................................................................. 152
Information for All Base Maps ........................................................................................... 153
Base Map Information for Acquisition Projects .......................................................... 154
Base Map Information for Development Projects ....................................................... 154
Supplemental Acquisition Form.......................................................................................... 156
Vendor Information Form ................................................................................................... 157
LWCF Sign.......................................................................................................................... 158
9
This page left blank intentionally.
10
Chapter One
Partnership for Parks:
Summary of the LWCF Program
The LWCF Program
The Land and Water Conservation Fund (LWCF) Act was established in 1965 under Public
Law 88–578; 78 Stat. 897, to continue for a period of 25 years through 1989. The program was
extended through the year 2015 by Public Law 100–203. The Act established a grant fund to
assist state and federal agencies in meeting present and future outdoor recreation needs. The Act
accomplished this purpose by:
1. Providing funds for the acquisition of land for recreation on federal fish and wildlife
areas, national parks, national forests, recreation areas, and for the operation and
development of national parks.
2. Authorizing federal assistance to states for planning, acquisition, and development of
outdoor recreation facilities through a grants program. In turn, the states may transfer the
funds to local units of government to acquire land and/or develop outdoor recreation
facilities.
Through state law, the Indiana Department of Natural Resources has the authority to administer the program in Indiana. This LWCF Manual sets forth the guidelines, conditions, and terms of
the local program.
Source of LWCF Funds
Revenue to finance the LWCF program comes from three sources:
1. Net proceeds from the sale of surplus federal real property.
2. Federal tax on motor boat fuels.
3. Receipts from oil drilling leases under the Outer Continental Shelf Lands Act.
Federal Allocation of Funds
The Land and Water Conservation Fund program is authorized to receive up to $900 million
per year from the above sources. Each year Congress appropriates funds for the program, usually
well below the authorized level.
The annual appropriation is divided between federal agencies and the states. Federal agencies
receive not less than 40% of the appropriation, with the remainder going to the states. The state’s
11
allocation is divided among the 53 states and territories based on need, with each state
guaranteed a minimal amount. Most states share their allocation with local units of government,
as Indiana does.
Indiana’s State and Local Shares
Indiana has generally ranked eleventh or twelfth among the states in the amount of federal
dollars received through this program. The annual state allocation is divided between state
projects and local park and recreation board requests. Since 1965, Indiana has received $84
million, about half of which has been awarded to local sponsors and the other half invested in
state projects.
The ratio of money reserved for state and local projects is determined by the Department of
Natural Resources director. The state’s share of the funds has been used to acquire land and
develop outdoor recreation facilities for state parks, fish and wildlife areas, forests, recreation
areas, and nature preserves.
Over 170 Indiana park and recreation boards have obtained grants. Their participation in the
program has meant an increase in local park acreage and recreation facilities such as trails, ball
fields, tennis courts, picnic areas, and playgrounds for Indiana’s citizens.
Over 300,000 acres of land have been acquired for local and state parks through the program
and hundreds of public recreation facilities have been built or improved. Since the federal funds
are matched equally by local or state contributions, the LWCF program has generated a total
investment of over $180 million in Indiana parks since 1965.
Since the grant funds are made available through an annual appropriation from Congress, the
funding amount varies each year. Potential project sponsors should check the funding outlook
with the Grants Section prior to preparing an application. The exact amount Indiana will receive
is not known until the allocation is announced, which may be one to two months into the federal
fiscal year. The federal fiscal year begins on October 1, so the amount of the apportionment will
not usually be known until late fall or early winter.
Types of Projects
A grant may be provided for the acquisition of land and/or construction of outdoor recreation
facilities. Development projects may include the building of new and/or renovation of existing
facilities. Only acquisition or development done after federal approval of a grant is eligible for
funding. The project must provide a site or facilities for public outdoor, rather than indoor,
recreation. For a detailed explanation of eligible types of projects, refer to Chapters Two, Five,
and Six.
Project Costs
Grant Amounts
The Land and Water Conservation Fund is a 50% matching, reimbursing federal assistance
program. Local applicants may request a minimum of $10,000 and a maximum of $200,000 in
12
LWCF assistance for one project per year.
Local Matching Share
The federal funds are matched equally with local funds or in–kind contributions for the
completion of a project. The project sponsor must have the local share available at the time of
application. The local share may include tax sources, bond issues, Federal Revenue Sharing,
Community Development Funds, Farmers Home Administration Loans or force account
contributions. The donated value of cash, land, labor, equipment, and materials may also be used.
No federal funds other than those listed above may be used to match a LWCF grant. To be
eligible, all project expenditures, including donations, must take place after the project is
approved. Chapter Three covers project costs in more detail.
Reimbursement
The project sponsor will not receive a cash grant at the time of project approval. Instead, the
park board must pay the bills and then request reimbursement for half of the expenses incurred.
Reimbursement requests may be periodically submitted during the project period to return funds
to the sponsor for work completed. The billing procedures are explained in Chapter Seven.
Federal Administration
The National Park Service (NP S), within the U.S. Department of the Interior, administers
the program at the federal level. This is the federal agency which ultimately receives all project
applications and amendments for final approval. Indiana’s Land and Water Conservation Fund
projects are submitted to the Midwest Regional Office in Omaha, Nebraska.
All park and recreation board contacts will be made with the state grants staff, rather than
the National Park Service. Local project sponsors will rarely see a federal officer except during
occasional site inspections. All NPS correspondence and directives are sent to the state for
transmittal to the local agencies. Federal correspondence will not be sent directly to a local
agency.
The major responsibilities of the NPS with the Land and Water Conservation Fund Act are:
1. To allocate the grants to the states,
2. To review and approve statewide comprehensive outdoor recreation plans,
3. To review and approve project applications submitted by the states on behalf of state
and local governmental units.
The LWCF program was initially operated in the Department of the Interior by the Bureau
of Outdoor Recreation (BOR), which was created in 1962 to provide leadership, research, and
coordination in the nation’s outdoor recreation effort. In 1978, the BOR was reorganized as
the Heritage Conservation and Recreation Service (HCRS), which conducted the program
until the agency was discontinued in 1981. The LWCF grants function was then transferred to
the National Park Service.
13
In addition to the Land and Water Conservation Fund, the NPS handles several other federal
programs, including: Historic Preservation, Surplus Federal Property, Urban Park and Recreation
Recovery Act, Natural Heritage Resource Program, and portions of the National Wild and Scenic
Rivers and National Trails Systems. For information about these programs, contact NPS at:
National Park Service - Midwest Regional Office
601 Riverfront Drive
Omaha, Nebraska 68102-4226
(402) 661-1736
State Administration
The Indiana Department of Natural Resources (DNR) administers the LWCF program
through its Division of Outdoor Recreation. The Division of Outdoor Recreation contains two
sections. The State and Community Outdoor Recreation Planning (SCORP) Section is
involved in state outdoor recreational planning, special studies, and grants administration. The
state's LWCF responsibilities are handled by the SCORP Section.
The Streams and Trails Section administers the Indiana Rivers Preservation Act and implements long distance hiking, bicycling, and snowmobiling trails.
Statewide Comprehensive Outdoor Recreation Plan
In order to be eligible for participation in the LWCF program, the state must prepare a
comprehensive outdoor recreation plan. Indiana’s first plan, A State Master Plan for Acquisition
and Development, was prepared in 1964. Since then, the Department of Natural Resources,
through the Planning Section, has maintained a continual planning program which not only
includes a state plan, but also specific studies related to various outdoor recreation interests in the
state. The state plan includes recommendations for meeting the State’s outdoor recreation needs.
These recommendations are the result of various studies and meetings conducted by a Plan
Advisory Committee over a five year period. The recommendations in the state plan are used to
establish funding priorities for rating local projects. The priorities are discussed in Chapter 2.
Grants Administration
Grant coordinators within the Division of Outdoor Recreation's SCORP Section are responsible for the daily administration of the Land and Water Conservation Fund projects including:
1. Review of project applications,
2. Rating projects to determine rank for funding,
3. Preparation and submission of applications to the NPS for final approval,
4. Project site inspections,
5. Monitoring compliance with federal regulations,
14
6. Processing reimbursements to project sponsors,
7. Keeping project sponsors current on any changes in regulations or procedures,
8. Post-completion follow up to insure project sites are properly operated and maintained.
All questions regarding the Land and Water Conservation Fund program should be directed
to the Grants Staff by calling 317–232–4075.
Several other divisions within the Department of Natural Resources may review certain segments of grant applications. Construction in the floodway or alteration of a lake shoreline must
be permitted by the Division of Water. Appraisals are reviewed and approved by the Division of
Land Acquisition. The Division of Historic Preservation and Archaeology reviews projects for
their impact on archaeological and historic resources. Various types of technical assistance
related to natural resource analysis of a particular park site are also available to park agencies by
Department staff. The Divisions of Forestry, Fish and Wildlife, and Nature Preserves most
frequently provide these services. The Director of the Department of Natural Resources is the
State Liaison Officer for the Land and Water Conservation Fund. All legally binding documents
between the State and Federal governments are signed by the State Liaison Officer or the
Alternate State Liaison Officers.
15
Chapter Two
How to Apply for Funding:
Eligibility and Project Selection
Eligibility
Local units of government participating in the LWCF (Land and Water Conservation Fund)
program are required to provide matching funds for the project, properly administer the project
through completion, and operate and maintain the site after completion. Before a town, township,
city, or county can participate in the LWCF program, it must meet two eligibility requirements:
1. The local unit must establish a public park and recreation board according to Indiana law.
2. The board must have a current five–year park and recreation master plan approved by
the Department of Natural Resources.
Forming a Park and Recreation Board
Only park and recreation boards which are established under Indiana law may submit an
application for projects. If the local unit does not have a park board, one must be established
by ordinance. Indiana’s park and recreation law can be found in the Indiana Code under Title
36. Consult your board attorney for specific wording of the ordinance.
Prior to establishing a park and recreation board, local units are urged to consider the
alternatives for providing park and recreation sites, facilities, and services for their residents.
In some cases, existing city or county park boards are willing to extend services to smaller
towns or unincorporated areas in rural townships, avoiding duplication of services. Questions
about creating a park and recreation board can be directed to the SCORP Staff in the Planning
Section.
In Indiana, there are various statutes which enable the creation of a town, city, or county park
and recreation board. In some counties, township park boards are authorized. The most common
state statute is the Indiana Park and Recreation Law (I.C. 36–10–3), originally passed in 1955
and amended several times since. In 1981, The Indiana General Assembly re-codified all park
and recreation statutes and placed them under Title 36 of the Indiana Code. This law is recommended, since it provides the board with a sound organizational structure and a broad range of
powers and duties. Copies of the law are available from the Division of Outdoor Recreation and
online at http://www.in.gov/dnr/outdoor/2603.htm under the Forming a Park and Recreation
Board link.
Once the park and recreation board has been established, the board should submit a certified
copy of the ordinance which created the board to the SCORP Staff for review and approval. Be
16
sure to include a list of the members and a permanent mailing address with the ordinance. The
ordinance is reviewed for legality and will be retained on file in the Division of Outdoor Recreation.
If the ordinance is amended, revised, or repealed, the Division of Outdoor Recreation should
receive the changes for its files. A list of officers and the board’s permanent mailing address will
also be kept on file, so changes should be sent as needed to keep the state’s information current.
Park and Recreation Master Plan and Amendments
Long and medium–range park and recreation planning is a major responsibility of every park
board. To this end, park and recreation boards are required to complete five–year park and
recreation master plans. An approved plan must be on file prior to the board’s application for
funding. A new plan must be prepared every five years in order to maintain the board’s
eligibility for participation in the LWCF program.
Planning Guidelines for Five Year Parks and Recreation Master Plans explains the Department of Natural Resources’ planning requirements for communities. The guide is available from
the Division of Outdoor Recreation and online at http://www.in.gov/dnr/outdoor/2603.htm
Final drafts of master plans or plan amendments are due January 15th of the year in which the
park and recreation board will be applying for grant assistance. Submittal of the master plan by
January 15th allows time for state review. Final revisions of the plan are due by April 15th of
each year. Upon approval of a plan or amendment, a park board receives five years of eligibility
to participate in the LWCF program. A board may apply for funds only during the years that it is
eligible. Park boards may submit amendments to plans as needed during the five–year eligibility
period. Final drafts of amendments are also due by April 15th.
Types of Applications
A project application may consist of the acquisition of land for a park and/or the development
of recreation facilities at a park. Support facilities (roads, lighting, utilities, restrooms, parking
areas, etc.) are eligible for assistance only when accompanied by outdoor recreation development
within the project. An application which consists only of park support facilities will not be
considered. Support facilities are evaluated in the rating formula according to the recreation
activities/facilities served.
Renovation projects will be accepted only for facilities which are worn out due to use or age,
can no longer meet health, safety, or accessibility standards, or are outdated because of the
changing needs of the community. Repairs associated with routine maintenance, or renovation
caused by vandalism or poor maintenance, are not eligible for funding.
Grant Application Process
Applications for a Land and Water Conservation Fund grant progress through several steps.
These steps may be summarized as:
17
1.
Items to be completed by the sponsor prior to submission,
2.
Various state and federal reviews,
3.
Procedures to follow after project approval,
4.
Project completion procedures,
5.
Post–completion responsibilities.
The first two steps, including project approval are discussed in the balance of this chapter.
Chapter Three covers the grant application documentation. In Chapters Four through Seven, the
project implementation steps are explained. The project completion procedures and long–term
obligations are included in Chapter Eight.
Presubmission Procedures
Prior to the submission of a grant application, the park and recreation board must obtain all
maps, preliminary plans, cost estimates, and other information necessary for the application as
outlined in Chapter Three. A Natural Resources Conservation Service review of prime farmland
impact may be needed.
The board must provide public notification and opportunity for public input on the project
through at least one public meeting or survey. If the project involves construction in a floodway,
it must be stated clearly to those attending.
Before submitting the application, the park and recreation board should discuss the project
with the Grants Staff of the SCORP Section. A pre-application conference or telephone
conversation concerning the project may point out specific items which need to be included or
further documented in the application.
Application Period
Grant application forms are available in the Appendix (page 109) and through the state forms
catalog online https://forms.in.gov/Download.aspx?id=10697. Updated versions of the manual
are available by the first of March each year. Project applications must be submitted by June 1st
of the applicable year. If June 1st falls on a Saturday or Sunday, applications must be postmarked
or delivered to our office by 4:30 p.m. the following Monday, which will be either June 2nd or
3rd.
State Review
All project applications are reviewed for completeness and additional information is requested,
if necessary. Site inspections by the Grants Staff along with representatives of the park board are
also conducted during this time period.
The Grants Staff will review applications to confirm that they are in accord with the
eligibility requirements specified in the LWCF Manual. The staff will also verify that the
18
proposed project is included in the park and recreation board’s five–year master plan and meets a
priority need in the current Indiana outdoor recreation plan.
Project sponsors will be reviewed for their operation and maintenance abilities and previous
grant performance. Site inspections are conducted by the Grants Staff before grants are awarded,
while projects are under construction, and regularly after completion.
Agencies will be informed if poor maintenance conditions are observed and then given a
reasonable period of time to correct the problems. If follow–up inspections reveal unsatisfactory
conditions, the park agency may not be allowed to submit grant applications until the problems
are corrected.
Similarly, previous project sponsors will be evaluated on their past performance in administering grants. Agencies which have not performed satisfactorily on previous grants will be
advised not to apply until a reasonable solution to the agency’s performance problems is found.
Examples of poor past performance may include:
1. Grant projects requiring time extensions due to the inability of the project sponsor to get
the project done,
2. Cost overruns caused by the sponsor’s inability to get the project started after project
approval,
3. Sponsors’ unwillingness to follow bidding, purchase, and construction requirements,
4. Sponsors’ continued noncompliance with the program’s rules and regulations.
The intent is not to penalize agencies that have encountered unavoidable construction and
land acquisition problems. The evaluation of past performance is directed at agencies which have
inadequate administrative abilities causing project delays.
Project applications from park boards failing to meet the previously discussed conditions
shall be returned, unrated. Project sponsors who encounter difficulties will be requested to correct the problems prior to submitting new grant applications. New applicants that have never
received previous grants are assumed to have adequate administrative and operational abilities.
Project Rating
If fund requests do not exceed the amount available, the project applications will be
processed on a first–come, first–served basis. Usually, the requests exceed the amount of funds
available, and the project applications must be rated for funding priority. Only those applications
which are complete and submitted by park boards that have available their share of the project
costs will be rated. Project sponsors may be asked to withdraw a project which has not been
adequately prepared or has too many unresolved issues.
The Rating Criteria is the most important component of the grant application. These criteria
are used to evaluate projects for funding and are based on public input stated in the Statewide
Comprehensive Outdoor Recreation Plan and staff recommendations. Grant applicants should
19
address this section carefully and thoroughly, and should demonstrate to the greatest extent
possible how the proposed project relates to the Rating Criteria. Staff recommendations for
funding will be prepared based on the point scores earned through this exercise. Therefore, it is
critical that applicants prepare thorough and detailed responses to all of the Rating Criteria when
completing the application. Projects with the highest scores are selected and recommended by
the Director of the Department of Natural Resources to the National Park Service (NPS) for
federal approval. Grant submittals which do not rate high enough for funding will be returned
upon request of the applicant. Unfunded applications may be revised and resubmitted in a future
grant round. The Rating Criteria can be found at the end of this chapter.
State Approval
The list and ranking of project applicants is reviewed by the Director of the Department of
Natural Resources. Projects must be reviewed by the Director of the Department of Natural
Resources before being recommended to the NPS for approval, even if federal funds are
adequate to cover all applications and rating is not necessary. The park board president will be
notified once the project has received state approval.
Reviews and Preparation for Federal Submittal
Selection of projects for funding at the state level means that the Department of Natural
Resources will reserve funds for those projects pending final approval by the federal
government. The Grants Staff will submit LWCF applications to the Division of Historic
Preservation and Archaeology for review. Permits for construction in the floodway must also be
secured after environmental reviews have been completed.
Division of Outdoor Recreation staff may request additional documentation from park boards
in order to complete the applications for federal submittal. Projects are sent to the National Park
Service when all reviews have been completed and additional information has been received.
Federal Approval
The approval announcement may be made by the U.S. Senators or Representatives for your
district. The Division of Outdoor Recreation will also notify the project sponsor of the approval.
The Local Project Agreement (signed by the director of the DNR and the park board) will be sent
to the park board along with other approval documents.
After Federal approval of the project, the park board can purchase land, finalize project plans
and specifications, and advertise for bids. ACQUISITION OF LAND OR CONSTRUCTION OF
FACILITIES MAY NOT BEGIN UNTIL FEDERAL APPROVAL IS OBTAINED. If a project is
started prior to federal approval, it may be declared ineligible for funding and the grant will be
terminated.
Minimum Project Criteria
1. Applications must be postmarked no later than the specified deadline.
20
2. Additional information requested by the Division of Outdoor Recreation
concerning the application must be received prior to rating the project.
3. The park board must have its matching share of the project available prior to project
rating.
4. Operation and maintenance procedures and previous grant administration
performance of the applicant must be adequate.
5. The project must be eligible to receive Land and Water Conservation Funds
according to the federal and state criteria for the program.
6. The project must meet a need documented in either the park board’s
approved five–year master plan or a priority need in the State’s SCORP.
Annual Allocation of Funds
The Director of the Department of Natural Resources will determine the state and local
shares of Indiana’s annual apportionment. The determination is based on the estimated amount of
funds the State will receive at the start of the federal fiscal year which begins on October 1st.
Generally, the apportionment Indiana receives is allocated to local park and recreation boards.
Distribution System
The distribution system determines certain categories of project requests and sets the grant
request limits. The percent of the annual allocation available for local applications is also part of
the system. These procedures assist in the equitable distribution of funds to a large number of
project applicants.
Funding Limits
Park boards may submit one grant application per year. The minimum grant amount that may
be requested is $10,000 (representing 50% reimbursement of a total project cost of $20,000). The
maximum grant amount that may be requested is $200,000 (representing 50% reimbursement of
a total project cost of $400,000). A project may cost more than $400,000, but the maximum grant
amount will still be $200,000.
Unfortunately, demand for federal and state grant money administered through the
Department of Natural Resources Division of Outdoor Recreation for acquisition and
development projects far exceeds currently available funds. The DNR is committed to a fair
distribution of funding throughout the state in order to assist as many locally sponsored park and
trail projects as possible. Therefore, for each grant program administered by Outdoor Recreation
we are implementing a limit of two phases of funding in an eight-year period per site.
A local sponsor who has already successfully applied for funding of a site may apply for a
third phase, but the request will be considered for funding only after we have reviewed all other
grant applications. Should adequate funding be available in that fiscal year grant round, the third-
21
phase project would be eligible for funding. A two-phase project site will be allowed to compete
equally with other applicants eight years from the date of the first phase approved for a grant.
This restriction applies only to specific sites within a local sponsor’s jurisdiction. Application for
sites other than a two-phase site will be eligible. This restriction may be rescinded should federal
and state grant funding substantially increase.
Open Project Selection Process
Rating Factors
The Rating Criteria consists of factors which were determined through the SCORP. It is
extremely important that applicants prepare thorough and detailed responses to all of the Rating
Criteria when completing the application. The Rating Criteria is the main tool used to evaluate
all applications for LWCF funding. Any project scope item that is mentioned in the criteria
should be reflected in the cost breakdown and have appropriate documentation to ensure receipt
of points.
Rating criteria begins on next page.
22
Land and Water Conservation Fund
Project Rating Criteria
2014
I. More Land for Outdoor Recreation and Conservation
The project will provide more land for outdoor recreation and conservation. Land
acquisition projects must include a description of how the project will be used and/or
developed within two years of taking title to the property. Grant reimbursement and
future eligibility are contingent on compliance with these terms. The project may
receive points in each of the following categories:
1) A) Acquisition of land (must be at least 2 acres) in which at least 25% of the total
project cost is land acquisition.
25% or greater (10 points)___
OR
B) Acquisition of land is 1% to 24% of the total project cost and is an integral part of the
project.
1% to 24% (5 points)___
2) Project is within an urban area. Urban areas are defined by the U.S. Census Bureau
as those populations and territories within the boundaries of Urban Areas and the
urban portion of places outside of Urban Areas with a decennial population of
2,500 or more. (Please supply a U.S.G.S. 1:24,000 topographic map with the site
location)
The Division of Outdoor Recreation will determine these points internally.
Urban area (4 points)___
3) Project acquires woodlands that are a minimum of 1 acre, 120 feet wide and
10% tree covered. Written documentation from a qualified professional
(e.g., District Forester, Arborist, Botanist, Landscape Architect, etc.) and
photos are required.
Woodland acquisition (3 points)___
4) Project acquires riparian areas. Riparian areas are considered those naturally
vegetated areas associated with a lake or stream. Photos are required.
Acquisition of riparian area (3 points)___
23
5) Wetlands:
A.) Project acquires and protects wetlands. Wetland areas must contain wetland plants,
soils, and hydrology. Photos are required.
Wetlands (3 points)___
B.) Wetland is considered an outstanding priority type: muck flats, sinkhole swamps,
sinkhole ponds, sands flats, seep springs, marl beaches, dune and swale, sedge meadow,
wet prairie, fens, bogs, panne, forested swamp and cypress swamps.
Outstanding priority type wetlands (2 points)___
Documentation from DNR’s Division of Nature Preserves or appropriate authority
substantiating either of these claims must be included to receive points.
6) The acquisition of lands is located in a county of deficient recreation acreage (as defined by
the State Comprehensive Outdoor Recreation Plan) (SCORP). Deficient Indiana counties
include: Adams, Allen, Bartholomew, Benton, Blackford, Boone, Carroll, Clinton, Dearborn,
Decatur, Dekalb, Delaware, Elkhart, Fayette, Floyd, Grant, Hamilton, Hancock, Hendricks,
Howard, Huntington, Jay, Johnson, Knox, Madison, Marion, Marshall, Ohio, Rush, Shelby,
St. Joseph, Tippecanoe, Tipton, Vanderburgh, Warren, Wayne, White, Whitley.
Deficient recreation acreage (2 points)___
7) The acquisition of land is located in counties defined, as critically deficient by the SCORP in
recreation acreage. These counties are already deficient, and also have population growth rates
in excess of 3.1%. Counties include Allen, Bartholomew, Boone, Dearborn, Elkhart,
Hamilton, Hancock, Hendricks, Johnson, Ohio, Tippecanoe, and Whitley.
Critically deficient recreation acreage (1 point)___
II. Preserving Resources
This category is designed to promote projects that protect, preserve, and/or enhance natural
resources. Mitigation of impacts resulting from the project’s implementation will not be eligible
for points. Application must include detailed documentation to support each affirmative response.
Acceptable documentation can include, but is not limited to, letters from scientists (i.e. wildlife
biologists, ecologists, fisheries biologist, etc.) and/or articles from reputable science journals and
web sites. We will use the supporting documentation to evaluate your project.
Natural Resources
This subcategory supports projects that protect, preserve or enhance natural resources. The
resource must be located within the boundaries of the project to be eligible for points.
1) The project purposefully protects and preserves existing significant natural areas/features
through site design and/or management plan.
Significant areas/features (3 points)___
24
2) The project protects a listed state endangered, threatened, special concern or rare species or
federally threatened or endangered species on a permanent or seasonal basis. (Provide
documentation from the Division of Nature Preserves and/or acceptable resource.)
State or federal threatened/endangered species (2 points)___
3) The project restores/enhances fish and wildlife habitat OR native plant communities.
(Provide a management plan and document expenses in cost breakdown.)
Fish and wildlife habitat or native plant communities (4 points)___
4) The project protects or enhances water quality through special plantings. (Provide a
management plan and document expenses in cost breakdown.)
Water quality (2 points)___
5) The project utilizes high post-consumer content recycled products or materials. (e.g., asphalt,
concrete, metal, plastic, glass, rubber, etc.) Document recycled content supported by
manufacturer's literature and list expenses in the cost breakdown.
Recycled materials (2 points)___
6) The project utilizes alternative energy sources (e.g., solar, wind, geothermal, etc.) and/or
energy savings measures. Provide manufacturer's literature and list expenses in the cost
breakdown.
Alternative energy/Energy Savings (2 points)___
III. Recreational Development
Trail Development
1) The project will develop a trail at least ½ mile in length.
(Sidewalks and short walking paths are not eligible for points.)
Trail (7 points)___
Recreation Facilities
2) The project provides facilities for boating, fishing, and/or beach swimming.
Boating, fishing or beach swimming facility (3 points)___
3) The project provides a swimming pool, spray park or water park.
Pool, spray park, or water park facility (3 points)___
4) The project provides for renovation or rehabilitation of existing park facilities, is a minimum
of 10% of the Total Project Cost, and is clearly outlined in the cost breakdown.
Renovation of park facilities (2 points)___
5) The project provides support facilities. Costs for the support facilities must be clearly
outlined in the cost breakdown (e.g., restrooms, concession buildings, maintenance facilities,
etc).
Support facilities (2points)___
6) The project receives 2 points each for developing a facility specifically for the following:
25
Camping facilities (Class AA, A, B, or C) (2 points)___
Group shelter (open air) (2 points)___
Nature observation area (i.e. quiet area with bench) (2 points)___
Playground (2 points)___
Basketball court (2 points)___
Outdoor Recreation Facilities Total (10 points possible) ___
IV. Addressing Local Need
These criteria are intended to support applicants in addressing their local recreational needs.
1) Proposed land acquisition and/or park development is identified in needs analysis and/or
priorities and action schedule of applicant’s master plan. Documentation including page
number in plan and method of determination must be provided.
Facility identified in master plan (5 points)___
2) No other like recreational facility exists in the jurisdiction of the applicant. Support for
facility must be documented in the park board’s master plan, letters of support, or petitions,
etc.
No other like facility in jurisdiction (1 points)___
3) No other like recreational facility exists in the county in which the project is located. Support
for facility must be documented in the park board’s master plan, letters of support, or
petitions, etc.
No other like facility in county (1 point)___
V. First Time Recipient
1) This is the first LWCF grant awarded for the park site.
2) This is the first LWCF grant awarded for the park board.
3) This is the park board’s first and only park (awarded one time only).
26
(1 point )___
(2 points)___
(2 points)___
Points Summary
I)
II)
III)
IV)
V)
More Land for Outdoor Recreation and Conservation
1. Fee simple acquisition _______________________________
2. Urban area land acquisition ___________________________
3. Woodland acquisition _______________________________
4. Riparian area acquisition _____________________________
5. Wetland acquisition
A.) Acquire wetlands ____________________________
B.) Priority type ________________________________
6. Deficient recreation acreage___________________________
7. Critically deficient acreage____________________________
Preserving Resources
Natural resources
1. Significant area/feature ______________________________
2. Threatened/endangered ______________________________
3. Fish and wildlife habitat______________________________
4. Water quality ______________________________________
5. Recycled materials __________________________________
6. Alternative energy/Energy savings ______________________
Recreational Development
Trail development
1. Trail development __________________________________
Recreational Facilities
2. Boating, fishing, beach swimming facilities ______________
3. Pool, spray park, water park facilities ___________________
4. Renovation ________________________________________
5. Support facilities ___________________________________
6. Outdoor Recreation Facilities__________________________
5 or 10 points possible
4 points possible
3 points possible
3 points possible
___
___
___
___
3 points possible
2 points possible
2 points possible
1 point possible
___
___
___
___
3 points possible
2 points possible
4 points possible
2 points possible
2 points possible
2 points possible
___
___
___
___
___
___
7 points possible
___
3 points possible
3 points possible
2 points possible
2 points possible
10 points possible
___
___
___
___
___
Addressing Local Need
1. Facility identified in master plan _______________________ 5 points possible
2. No other like recreational opportunity (jurisdiction) ________ 1 point possible
3. No other like recreational opportunity (county)____________ 1 point possible
___
___
___
First time recipients
1. First to park site ____________________________________ 1 point possible
2. First to park board __________________________________ 2 points possible
3. First to park board’s only park _________________________ 2 points possible
___
___
___
Total Points Possible = 82 Points
27
___
Chapter Three
Writing the Grant Application
Grant applications for the Land and Water Conservation Fund are submitted to Division of
Outdoor Recreation, State and Community Outdoor Recreation Planning Section. This chapter
includes specific instructions for filling out the forms, plus a description of the various other
attachments that must be submitted with the application. Application forms are included in the
Appendix. When submitting your application make copies of the appropriate forms. Be sure to
copy the forms from your manual so you maintain a complete manual. A checklist of items
needed for all project applications can be found at the end of this chapter. Applicants are
encouraged to call the grants staff as questions arise when preparing an application. Be sure to
keep a copy of the grant documents exactly as they were submitted for your files.
Application Form
The form is entitled Grant Application and all items should be answered as completely
and clearly as possible. Follow the example as indicated in the Appendix (page 112). The
sample project includes the acquisition of four parcels of land totaling 3.5 acres, relocation of
one landowner, and the development of a nature trail. Each of the four land parcels is being
acquired through a different method; negotiated purchase, condemnation, donation and a
bargain sale (a purchase at less than appraised value.)
Program Narrative
The Program Narrative should be written in narrative form and include the following elements:
1. Project Description - Indicate in detail how the land will be acquired, a description of
the development proposed, the type of park (neighborhood, community, block), and the
type of users expected (inner city, weekend, youth, senior citizens), giving as much
specific information about the project as possible.
2. Pre-agreement Costs - The only costs which may be incurred prior to federal approval of
the grant are preparation of the grant application, archaeological investigations and
architectural and engineering services. If the park board has signed a contract with an
architectural and engineering firm or incurred other preliminary expenses, include the
following information:
a. Name of firm performing the work and contact person
b. Address and telephone number of firm
28
c. Date, scope, and amount of contract
d. Amount of expenses incurred or paid up to the date of application
NOTE: If the park board signs a contract for architectural or engineering work after
submitting the application, but prior to federal approval of the project, the information
requested previously should be submitted to the Division of Outdoor Recreation
3. Accessibility: Facilities developed with LWCF assistance must be accessible to persons
with disabilities. Describe how the project will be designed in an accessible manner for
persons with disabilities, in conformance with the Architectural Barriers Act of 1968,
Section 504 of the Rehabilitation Act of 1973, and the Americans with Disabilities Act of
1990. Site and building plans submitted with the project must reflect these designs. (A
further description of the accessibility requirements can be found in Chapters Four and
Six.)
4. Overhead Wires and Other Environmental Intrusions - Overhead wires are not allowed on
LWCF assisted sites. Telephone lines, power lines, and others crossing over the park
must either be buried or otherwise disposed. Describe the removal or relocation of all
existing overhead wires and other environmental intrusions on the site. Include a
statement that all future power lines will be buried, including those to be constructed as
part of the project. This information is needed to ensure that sponsors understand their
obligations for compliance with the federal policy on environmental intrusions. A copy of
that policy has been included in the Appendix (page 107). All power lines must also be
identified on the site plan.
5. Public Participation - With increased public awareness and concern for government
management and spending, it has become more apparent that there must be public input
beginning with the initial planning of a project. Park boards must actively solicit opinions
and suggestions from local elected officials, state legislators, special interest groups, and
the general public for potential projects. This information must be included to prove that
public input was actively sought as part of the project application. This must be in the
form of at least one public meeting and may also include a survey questionnaire.
a. Public Meeting - A news article discussing the project and giving the date(s) of
the special meeting(s) should be enclosed with a brief description of the meeting,
including the number of persons attending, and their general comments, both
positive and negative. If the project involves construction in a floodplain, this
must be clearly stated in the news article and/or release.
b. Survey Questionnaire - In this case, the methodology used to construct, distribute
and collect the results, as well as a final tabulation of the questionnaire responses
should be included. Most projects will generate some negative comments.
Negative comments should be mitigated or it should be shown that negative
comments were taken into consideration when planning the project.
6. Other Federal or State Assistance - Describe any other federal or state source of
assistance which has been given, is pending, or promised for any work within the
29
boundaries of the park or recreational site affected by this request. Specifically, the
following information is needed:
a. Federal Domestic Assistance Catalogue number (if applicable),
b. Type of assistance,
c. Amount of funding,
d. Relationship to this request.
7. Projects Involving Land Acquisition - If the project includes land acquisition, list the
number of individuals, families, farms and businesses to be relocated, if any.
8. Archaeological, Historical, and Architectural Review - The historical, archaeological,
architectural or cultural significance of the site, should be briefly described in this
section.
Application Attachments
To be considered for funding, the application must be accompanied by the following
supplemental attachments.
Cost Breakdown
One copy of a cost breakdown must be submitted with each project application. The cost
breakdown should show all of the acquisition and development for which reimbursement will
be requested. The total project cost shown on the cost breakdown must match the figures listed
on the Grant Application form. A sample cost breakdown is in the Appendix (page 146).
Evidence of Local Funds
The park and recreation board must have its 50% share of the project costs available for the
project at the time the application is submitted. The type of documentation varies according to
the source of funds as explained below.
1. Appropriations, Bond Issues, Other Federal Funds and In-kind Contributions. One copy
of a statement from the fiscal officer must certify these funds will be available in the park
board’s budget when the project will take place. This statement may be in letter form and
signed by the fiscal officer. The letter must state exactly how much is available, its
source, and then be included as an attachment to the grant application.
In the case of a bond issue, the park board’s attorney should provide a letter explaining
the steps through which the bond issue has already progressed and a schedule for
remaining action to take place. A bond issue must be completed up to the point of bond
sale at the time of application. If bonds will provide the local share of a project, the
bond issue should cover the entire project cost, rather than only the sponsor’s 50%. This
will enable the park board to complete the project if LWCF monies are not obtained and
30
to pay the project expenses, since LWCF grants are provided on a 50% reimbursing
basis.
2. Donations - If the park and recreation board is to receive gifts of cash, land, labor,
equipment or materials from a private individual, non-governmental agency, private
organization or business, a letter of intent to donate from each donor must accompany the
application. The value of each gift must be stated at the time of application.
a. Cash gifts are counted at the donor’s stated amount.
b. Land donations are based on real estate appraisals as explained in Chapter Five.
c. For general unskilled labor donations, the fiscal officer must certify the wage rate
paid to entry-level park department laborers. This rate is then applied to the
pledged number of hours to be contributed. If donors of labor are employed in a
skilled trade, time spent doing the particular trade may be valued at their
employment wage rate. Either their employers or they (if self-employed) need to
verify their rate per hour on company letterhead.
d. Major construction equipment use rates may be established according to the
guidelines referred to in Chapter Six.
e. Materials may be valued by the lower of at least two quotes from commercial
suppliers of similar items.
3. Cash Flow - Although only 50% of the project costs are required to be documented in the
project application, the park and recreation board must have more than this amount
available. Since the Land and Water Conservation Fund is a reimbursing program, the
Board must first pay the bills and then submit a billing for reimbursement. For a land
acquisition project, the park and recreation board must purchase the parcel and then
submit a billing, thus requiring the board to have the total purchase amount of each parcel
available. For a development project, billings may be submitted as often as monthly;
however, it is advised that the board have available at least 70% of the total costs in order
to pay the final costs of the project. The park and recreation board may need to borrow
from another account or obtain a short-term loan in order to pay the last project costs
before billing for final reimbursement. Sponsors are urged to contact the State Board of
Accounts if questions arise concerning the procedures for borrowing funds on short-term
basis.
Rating Criteria Information
The Rating Criteria is the single most important part of the grant application since it will
determine which projects receive funding. Project sponsors must provide detailed information
which will be used to evaluate each rating factor. The factors are extremely important and should
be answered completely. Applicable evidence of responses should be reflected in the cost
breakdown and through additional material. The Rating Criteria can be found in Chapter Two.
In choosing which project to submit for LWCF funding, park boards are encouraged to select
31
their top three to five priorities from the five-year master plan, and then evaluate each according
to the rating formula. Priority projects may be combined for each park site. After the points have
been tallied, the park sites will fall into a rank order. The project which rates the highest should
be submitted. This method will ensure the project being submitted will be the best candidate for
funding from among the many priorities identified in your master plan.
Project Proposal Assurances
This form is signed by the park board president, attested by the board secretary, and
indicates the park and recreation board’s willingness to comply with all of the program
regulations and requirements. These details are explained in Chapters Four and Eight of this
manual. Disregard of the program regulations could result in the local board having to return
all federal funds invested in the project. This form must be signed and submitted after DNR
approval. A copy of the Project Proposal Assurances is included in the Appendix (page 135).
Assurance of Compliance - Civil Rights Act of 1964 – Title VI, Rehabilitation Act of 1973, Age
Discrimination Act of 1975
To ensure park and recreation boards comply with these laws, each project application must
be accompanied by a signed Assurance of Compliance form. The form must have the original
signature of the park board president. A copy of this form is included in the Appendix. The Act
requires that Land and Water Conservation Fund sponsors "may not, directly or through
contractual or other arrangements on the grounds of race, color, gender, national origin, age, or
handicap, deny an individual any service, financial aid, or benefit provided under the program."
A detailed explanation of federal grant recipient’s responsibilities is included in Chapter Four
and in the Appendix. Park boards should read the assurance carefully before applying for funds.
Photographs, Maps, Site and Building Plans
The following items must be submitted with the application:
1. Topographical Map - Each project application must be accompanied by a scaled
U.S.G.S. topographical map which delineates the exact location of the project site. The
map should show sufficient detail to allow a person unfamiliar with the area to find the
project site without having to ask directions.
2. Boundary Map - Enclose a plat map showing the exterior boundaries of the area to be
acquired or developed. The site dimensions and survey coordinates should be clearly
identified as should easements, rights-of-way, etc. This map will be used to determine
the 6(f) boundary of the park.
3. Base Map - All items on the base map should be accurately labeled and keyed into a
legend. Base maps for acquisition and development projects should show the existing
site before the project is implemented. See example in the Appendix (page 154).
4. Photographs - Clear photos (preferably digital) keyed to a site plan of the project area
should be submitted. Be sure to include photos of all existing buildings, structures,
recreation facilities and natural site features. A 360˚ view of the project should be easily
32
attainable from the photos and map.
5. Acquisition and/or Development Plan - All acquisition and development in the LWCF
project, including the location of every item listed on the cost breakdown, should be
identified on this plan.
6. Building Plan - Applications should be accompanied by one copy of a preliminary
design or architectural concept for each building, shelter and other structure to be
constructed or acquired as part of the project. The plans should be drawn to scale and
show sufficient detail to depict how the facility is, or will be, constructed to for
accessibility to people with disabilities. See example in the Appendix (page 151).
Easements
In addition to identifying all easements on the base map, the easement documents must be
submitted for review with the application. This includes permanent or temporary easements for
access, transportation, utility rights-of-way, scenic preservation, etc.
Property Deed(s)
The deed(s) and/or lease(s) for the land to be developed must also be submitted with the
application. Refer to Chapters Five and Eight for criteria for land leased (1) to the park board
and (2) by the park board to another entity for operation of the park. For land acquisition
projects, property deed(s) for the tracts to be acquired must accompany the application.
Environmental Assessment
The environmental effects of a project submitted for Land and Water Conservation Fund
assistance are evaluated through the preparation of an assessment report on the intended action.
In 1969, the National Environmental Policy Act was passed to ensure a uniform national policy
on evaluating the environmental impacts of federal and federally-funded projects. The Act
requires the preparation of an impact report for federally-funded projects which may result in
significant adverse effects to the environment. All Land and Water Conservation Fund projects
must have some basic environmental data to determine the impact of the proposed action. The
documentation supplied in the Environmental Assessment will determine whether a more
detailed Environmental Impact Statement will need to be prepared.
All projects applications must be accompanied by two copies of the environmental assessment
entitled Environmental Assessment, which includes four sections:
1. The proposed action,
2. Alternatives to the proposed action,
3. Environmental impacts of the proposed action,
4. Listing of agencies and persons consulted.
33
It is very important the information provided is accurate and objective. Deceptive or incorrect
analysis of potential impacts could lead to the withdrawal of federal funds from the project,
repayment of already reimbursed funds, and court action against the project sponsor. The
following suggestions will assist in the preparation of this report:
1.
Keep the environmental information free of project justification and
personal bias. The project presumably is fully justified elsewhere in the
documentation.
2.
Do not rely on the generalities. The specific facts are essential. General statements
and all allegations should always be supported and quantified where possible.
3.
Liberal use of maps, sketches, and related graphics to help explain the project are of
great value. Pictures (particularly aerial photographs) can reduce lengthy narrative
materials.
4. Writing style should be kept clear and concise. Adverse impacts should be addressed
as fairly as the beneficial impacts.
An outline for the Environmental Assessment is in the Appendix (page 113). The directions
are broad to cover all types of projects and in most cases the answers to the various elements
will be short. For most projects, the Environmental Assessment should be no longer than ten
pages.
Farmland Review
If the proposed project involves the acquisition and/or development of land which will be
taken out of agricultural production, this issue must be discussed in the Environmental
Assessment. The county Natural Resources Conservation Service (NRCS) office should be
contacted for a determination on the status of the site as prime farmland. The NRCS agent will
visit the site and prepare a statement indicating what percentage of the site, if any, is prime
farmland. The NRCS will use this information to keep track of the loss of prime farmland. This
letter needs to be submitted as an attachment to the Environmental Assessment.
Land Acquisition Projects
Supplemental Acquisition Form
One copy of the Supplemental Acquisition Form must be submitted for all projects
involving land acquisition. The form is located in the Appendix (page 157).
Appraisals
One copy of an appraisal compliant with the Uniform Appraisal Standards for Federal
Land Acquisitions (also known as the “Yellow Book”) or a Statement of Value made by a
certified general appraiser with federal experience must be submitted for each parcel of land to
be acquired. See Chapter Five for additional information regarding the appraisal and Statement
34
of Value guidelines. If a Statement of Value is submitted with the application, the park board
should hire the same appraiser to complete the full appraisal later. This should help maintain
consistency in land value determinations. Park boards should consult the Indiana Department
of Natural Resources, Division of Land Acquisition, at (317) 232-4050 regarding appraiser
and appraisal criteria before selecting the individual to conduct the work.
Just Compensation and Option(s) to Purchase
In some cases, project sponsors may choose to execute an option to purchase property before
the project application is approved. While options are not required, project sponsors should be
aware of federal land acquisition policies as explained in Chapter Five. If an option has been
signed, submit one copy of the document along with the required Statement of Just
Compensation and Offer to Purchase or a Waiver of Right to Just Compensation if applicable.
Escrow Agreement(s)
If the project sponsor plans to or has placed the land in escrow with a third party, submit one
copy of the escrow agreement with the application.
Relocation Plan
Submit the relocation plan for land acquisition projects which will involve moving owners
and/or tenants from their dwellings, businesses, or farm operations. Elements of the relocation
plan are explained in Chapter 5.
Development Projects
Certification for Development Projects
If the site was acquired by the park board after September 2, 1971 without federal assistance,
either of two certifications must be provided:
1.
That at the time of acquisition and any relocation, planning had not been initiated by the
park board to obtain LWCF assistance for the project.
2.
That the park board followed the federal procedures under P.L. 9 1-646, the Federal
Uniform Relocation Assistance and Real Property Acquisition Policies Act, to the extent
possible under State law, including the acquisition procedures and provision of relocation
services and benefits to any displaced person.
Chapter Six explains these requirements in more detail.
35
LWCF Grant Application Checklist
All grant applications must submit the following items. Place "y" for yes, "n" for no, or "n/a" for
not applicable next to each item. Each no response must be justified via a written explanation.
Original signatures are required on all documents unless otherwise noted.
Part A: All Projects
___1. Eligibility
___
copy of ordinance establishing the park board under current Indiana law
___
project meets a general need in an approved five-year park and recreation master
plan
___2. Application form, signed by the park board president (Appendix, page 109)
___3. Cost breakdown showing the total cost of every scope item (Appendix, page 146)
___4. Evidence of local funds from fiscal officer or pledges from donors
___5. Program narrative including:
___
project description
___
pre-agreement costs incurred to date
___
accessibility (in conformance with the Architectural Barriers Act of 1968 and
Section 504 of the Rehabilitation Act of 1973)
___
overhead wire burial or removal
___
public participation
___
other federal or state funding
___
historical, archaeological, architectural information
___
relocation of tenants, businesses, or homeowners (acquisition only)
___6. U.S.G.S. Topographic Map, Boundary Map, and Base Map
___7. Preliminary/conceptual plans drawn to scale which include all acquisition and
development (examples in Appendix, pages 151-153)
___8. Color photos (preferably digital) showing the general features of the site keyed to a
map.
___9. Environmental Assessment (Appendix, page 113)
___ description of proposed action
___
alternatives to the proposed action
___
environmental impacts of the proposed action
___ list of agencies and others consulted
___
farmland review
36
___10. Project Rating Criteria. Address each criteria individually with complete responses and
supporting documentation. (Chapter 2, pages 23-27)
___11. Civil Rights Act of 1964, Title VI, Assurance of Compliance form (Appendix, page 133)
___12. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary ExclusionLower Tier Covered Transactions. One signed form (Appendix, page 135)
Part B: Land Acquisition Projects
___14. Supplemental acquisition form (Appendix, page 157)
___15. Statement of value for each parcel being acquired
___16. Option(s) to purchase, if applicable
___17. Escrow agreement(s)
___18. Relocation plan for displaced businesses, owners, or tenants
Part C: After State Approval
___19. Section 106 Historical/Archaeological Review (see Appendix, pages 147-150)
___20. Detailed architectural/engineering plans for all development, with particular attention to
ADAAG guidelines
___21. Easement document(s) for all utilities, transportation, etc.
___22.Full appraisal for each parcel being acquired with LWCF grant
___23. Property Deed for each parcel being acquired
___24. U.S. Army Corps Permit. One copy of the application to or permit from the U.S. Army
Corps of Engineers for construction in the floodway, floodplain, or wetland, where
applicable.
___25.Water Permit(s). One copy of the application to or permit from the DNR Division of
Water and/or the Indiana Department of Environmental Management
___26. Vendor Information Form. (Appendix, page 158)
37
Chapter Four
Grant Approval
The Approval Process
State Recommendation
The park board will be notified after the Director of the Department of Natural Resources
has reviewed the applications and recommended those projects that will be sent on for Federal
approval. If your application was not recommended for funding, the Grants Staff can review the
rating formula with you and explain why points were awarded in some cases and not in others.
Hopefully, the application can be improved before it is submitted again.
After State recommendation, project sponsors will be requested to send additional
information as noted on the checklist in the previous chapter. The additional information is
needed to meet the Federal grant application requirements for complete applications.
Federal Approval
The park and recreation board will be notified after the National Park Service has approved
the grant. Grant recipients will usually be contacted by their U.S. Senator(s) or Congressman.
The NPS and DNR will issue news releases to the local media. In addition, a project agreement
will be sent to the Park Board. The agreement should be signed and dated by the park board as
indicated on the form. The agreement should be sent back to the Division of Outdoor Recreation
along with completed Vendor Information form (see Appendix, page 158). Upon final project
approval by the National Park Service, the agreement will be signed by the Director of the
Department of Natural Resources, the Commissioner of the Department of Administration, the
Director of the Budget Agency, and the Attorney General. A copy of the fully signed agreement
will be returned to the park board once the project has been federally approved.
Project Agreement
The project agreement is a state contract entered into by the Indiana Department of
Natural Resources and the local park board. The agreement will provide information
required for project correspondence and will describe the responsibilities of the State and of
the park and recreation board. Please read the agreement carefully. There are many pieces of
important information included.
The project number will be assigned on the agreement. It is given for federal/state
identification purposes. This 7 digit code number has a 18-00 prefix. The project title will also
be assigned. The project title is to be used on all project correspondence.
Under clause 1, Purpose of Agreement, the amount of the grant is stated. The LWCF
38
grant amount may not exceed 50% of the total project cost. The cost breakdown submitted
with the application will be attached to the agreement.
Clause 2, Term, covers the approval and expiration dates for the grant. The approval date is
the date of the last State signatory. Any work begun before this date, other than those identified
as pre-agreement costs, will not be reimbursed. The expiration date is when the project must be
completed. All work must be finished by this time to be eligible for reimbursement.
The project scope identifies the elements included in the project proposal as approved by the
federal agency. Only those items will be eligible for reimbursement. If the project sponsor needs
to make revisions, the grants coordinator should be contacted before those revisions are made.
State and sometimes federal approval must be granted before revised work can be started if
LWCF reimbursement will be requested.
Other sections of the contract identify specific elements incorporated into the project
agreement, such as the National Environmental Policy Act of 1969, Order of Precedence, and
other requirements.
General Provisions
The General Provisions are divided into three major parts. Part I gives the definitions for the
abbreviated terms used in the provision assurances. Parts II and III are the provision assurances
for acquisition, development and maintenance of projects. These assurances incorporate
maintenance of property for public outdoor recreation use, nondiscriminatory practices, federal
regulations for bidding and contract compliance, project processing, record maintenance, eligible
project costs and many other requirements. A copy of these provisions will be sent to project
sponsors along with the Project Agreement for approved projects. The provisions are an integral
part of the project agreement and must be followed throughout project administration. The
General Provisions may be found beginning on page 99 of the Appendix.
Nondiscrimination
Project sponsors must comply with the nondiscrimination obligations imposed by federal
laws upon states, communities, and organizations who acquire and/or develop facilities for
general public use. The major acts concerning nondiscriminatory practice for which compliance
guidelines have been issued by the Interior Department are Title VI of the Civil Rights Act of
1964, Section 504 of the Rehabilitation Act of 1973, Age Discrimination Act of 1975, and the
Architectural Barriers Act of 1968.
Assurance of Compliance
The Assurance of Compliance (Appendix, page 133) explained in Chapter Three is signed by
the park board as part of a grant application. This agreement states that the park board will
comply with Title VI of the 1964 Civil Rights Act.
The Act states that:
"No person in the United States shall, on the ground of race, color, or national origin be
39
excluded from participation in, be denied the benefits of, or be subjected to discrimination under
any program or activity receiving Federal financial assistance."
According to the federal interpretation, when a project sponsor receives federal funds, the
entire park and recreation system becomes subject to the obligations imposed by Title VI of the
Act. The Act requires that agencies take affirmative measures to insure that all facilities and
programs within their control be open to the general public regardless of race, color, or national
origin. Discrimination is not permitted. Slightly higher fees may be charged to people living
outside the jurisdiction of the park board, but the fee may be no more than double that for
residents.
The following is a summary of the conditions for Title VI. Project sponsors must carefully
study and follow the guidelines to insure compliance with all federal regulations.
1. Prohibited Discriminatory Practices
a.
Any difference in quality, quantity, or the manner in which the benefit is provided,
b.
Segregation or separate treatment in any part of the program,
c.
Restriction in the enjoyment of any advantages, privileges or benefits provided to
others,
d.
Different standards or requirements for participation,
e.
Methods of administration which would defeat or substantially impair the
accomplishment of the program objectives,
f.
Discrimination in any activity or program conducted in a facility built in whole
or part with federal funds,
g.
Discrimination in any employment resulting from a program established primarily to
provide employment or in any employment in a program where employment tends to
affect the service and benefit rendered,
h.
Restriction in the method and/or means used to advise persons of benefits and
services provided to others.
2. Complaints
Any person(s) who believes discrimination exists in a federally-assisted program
because of race, color, or national origin has the right to make a complaint to the officials
responsible for that program.
a.
Prompt investigations will be made of complaints received.
b.
If discrimination is found, negotiation and persuasion will first be used in an
effort to eliminate the prohibited practices.
40
c.
Should these efforts fail, federal assistance may be terminated or discontinued
after a fair hearing.
d.
Other means authorized by law, including court action, may also be used to
enforce nondiscrimination.
No park agency or person may intimidate, threaten, coerce, or discriminate against any
individual because he or she has made a complaint, testified or assisted in Title VI
investigation, proceeding, or hearing. The park board must notify the Department of the
Interior’s office for Equal Opportunity or the National Park Service within five days upon
receipt of a complaint.
3.
Compliance Reports
Records and other information designed to show the extent of compliance with Title VI
agreements must be maintained by park departments and reports sent to the Interior
Department and Division of Outdoor Recreation, as requested. A park board is also
required to inform participants and other interested persons of the provisions of Title VI
regulations and of their applicability to the federal assistance program.
4.
Reviews
The Department of the Interior and the state may conduct reviews prior to awarding
grants, during trips to visit the agency’s project site, and after the project has been finished.
Reports, publications, and other records may be reviewed in the course of these compliance
reviews.
5. Compliance under Title VI
Title VI regulations provide the necessary framework for protecting the rights
guaranteed to the park agencies and to the public under federally-assisted programs.
Compliance will first be sought by affirmative and voluntary means whenever possible. In
addition, the regulations allow the federal government to make pre-grant, field and followup reviews; complaint investigations; informal adjustments; and when necessary, more
formal proceedings in the court system.
6. Affirmative Measures
The following, although not all-inclusive, are considered as basic affirmative measures
necessary to bring recipients of federal assistance and their operations into compliance with
Title VI:
a. Signed Assurance of Title VI Compliance - Applicants for federal assistance should
be aware of the provisions of the 1964 Civil Rights Laws and are required to ensure
compliance prior to receiving Federal assistance by signing a document which states
their intent to comply with the Act.
b. Submittal of pre-award information when requested.
41
c. Minority and female representation on appointed park, advisory, planning, and review
boards and committees. Exclusion of minorities and women could be considered
discriminatory. Inclusion guarantees a voice in the planning, acquisition, and
development of projects and programs by citizens from all backgrounds.
d. Equal emphasis of program administration and program distribution (recreational,
cultural, etc.) and maintenance quality of facilities regardless of location.
Development and implementation of an affirmative action plan to remedy past and
present deficiencies in the employment, training and promotion potential of
minorities and women.
e. A system for reporting and processing alleged complaints of discrimination.
Placement of equal opportunity statements on posters, brochures, and other
informational material inviting all persons regardless of race, color, or national origin
to use programs and facilities.
f. Use of pictures of minorities, women and integrated use facilities, in brochures,
pamphlets, and other informational material. Exclusion could be considered
discriminatory and inclusion provides tangible evidence that all are welcome and
encouraged to use programs and facilities which receive federal assistance.
g. Printed information about programs, sites, and facilities in non-English languages
where there are appreciable numbers of people who do not speak or read English.
h. Equal compensation and assistance for those displaced in the course of a land
acquisition program whether they are majority or minority landowners.
Several practical steps should be considered as a means of implementing the above
measures. Racial/ethnic and gender data should be collected by the recipient to determine if all
persons are benefiting from the federally-assisted program. Identification of persons of
different races should be done on a visual basis only. Programs and employment opportunities
should be advertised and made available to minority groups and women.
Consideration should be given to minority and female enterprises as a means of distributing
the benefit of a federally-assisted program. Programs of a historical nature should take into
consideration contributions made by minority groups and women.
Affirmative action posters must be posted on project sites.
The following paragraph is an example of a Title VI Notification Clause. The Office for
Equal Opportunity requires that all program materials, brochures, program or course
applications, sign-up sheets, contracts signed by private organizations for park use, rental
contracts for concession stands and or all other lease or contracts, contain such a clause. While
all the information contained in this paragraph must be included, the park board may rewrite
this clause to conform to its individual style.
42
Model Title VI Notification Clause
This park board has received Land and Water Conservation Funds. Under Title VI of the
1964 Civil Rights Act, the U.S. Department of Interior prohibits discrimination on the basis of
race, color, national origin, age or handicap. If you believe that you have been discriminated
against in any program, activity, or facility, or you desire further information regarding Title VI,
please write to:
The Office for Equal Opportunity
U.S. Department of the Interior
Office of the Secretary
W hi
D C 20240
Accessibility for Persons with Disabilities
The Architectural Barriers Act of 1968, Section 504 of the Rehabilitation Act of 1973 (as
amended), and the Americans with Disabilities Act of 1990
Three federal acts provide the basis for assuring that discrimination against persons with
disabilities does not occur.
The Architectural Barriers Act of 1968 requires that parks which are acquired or developed
with federal assistance be designed so their facilities are accessible to persons with disabilities.
All LWCF projects must be constructed to provide for accessibility by users with disabilities.
Section 504 of the Rehabilitation Act of 1973 (as amended) states that: "No qualified
handicapped person shall, on the basis of handicap, be excluded from participation in, be denied
the benefits of, or otherwise be subjected to discrimination under any program or activity that
receives or benefits from Federal financial assistance."
The Act emphasizes accessibility for persons with disabilities to programs, activities, and
services. It also applies to employment practices of the recipient agency and some related
contractual and user groups’ services and practices. As part of the Five-Year Park and
Recreation Master Plan, the park board signs a form which states that they agree to comply with
the Architectural Barriers Act of 1968, Section 504 of the Rehabilitation Act of 1973 (as
amended), and the Americans with Disabilities Act of 1990. The following is a summary of the
guidelines:
1. Persons Covered - "Handicapped person" or “person with a disability” means anyone who
has a physical or mental impairment that substantially limits one or more major life
activities. "Major life activities" are defined as functions such as caring for one’s self,
performing manual tasks, walking, seeing, speaking, hearing, breathing and learning.
Drug and alcohol abusers are also covered by Section 504, except when current use of
drugs or alcohol prevents them from performing the duties of their jobs or poses an
immediate threat to public safety or property.
43
2. Program Accessibility - All programs and activities provided by the park board must be
accessible to and otherwise qualified individual with a disability on a "system-wide" basis,
even those not directly receiving federal aid. An "otherwise qualified individual with a
disability" is one who meets the eligibility requirements for program participation or
receipt of services. This means that persons with disabilities must be able to participate in
each type of program or activity at a minimum of one location within the park board’s
jurisdiction. For example, if the park department offers guitar classes at five locations in a
city, at least one of those classes must be accessible to persons with disabilities.
Accessibility may be provided by several methods, including redesigning
equipment, structural changes to a facility, moving programs to accessible locations,
providing aids for persons with disabilities, and home visits. Thus program accessibility
does not mean that every facility must be made structurally accessible or must require
physical modification.
For agencies with fewer than fifteen full or part-time employees, if the situation
arises, after consultation with a person with a disability who wants park and recreation
services, that no alternative exists to provide access other than structural adaptations, the
person may be referred to other providers of services whose facilities are accessible. Such
referrals may be made however, only with advance approval by the Director of the
Department of the Interior’s Office for Equal Opportunity.
3. Employment Practices - The park board must ensure that its employment practices are
nondiscriminatory. Written nondiscrimination policies should include persons with
disabilities. Discrimination against "qualified" individuals is prohibited. A "qualified
handicapped person" or “qualified person with a disability” is one who, with "reasonable
accommodation," can perform the essential functions of the job. Reasonable
accommodation must be provided to employees with disabilities and applicants, unless it
creates "undue hardship."
Examples of accommodations may include (but are not limited to) facility access,
modified work schedules, job restructuring, and permitting work to be done at home or
other locations. All applicants and employees must be informed that discrimination on the
basis of disability is prohibited. The park board must be aware of their responsibility for
effective communication with people who have visual, auditory, mental, and/or learning
impairments. Employees also need to be notified of when, where, and how to file
employment complaints alleging disability discrimination. The board must adopt grievance
procedures for prompt and equitable resolution of complaints. A wide range of
employment practices are covered by Section 504 and the Americans with Disabilities Act.
4. Self-Evaluation and Transition Plan - The park board must conduct a self-evaluation of all
its programs, activities, services, facilities, employment practices, and policies to ensure
compliance with Section 504. The evaluation must be done in consultation with interested
persons, including persons with disabilities or organizations representing persons with
disabilities, and report the areas examined, problems identified, and remedial steps to be
taken. If the park board employs fifteen or more full or part-time employees, the results of
this evaluation must be maintained on file for public inspection for three years after
44
completion.
5. Public Notification - The park board is to notify its employees and the public of the
availability and accessibility of its programs and services, its policy of nondiscrimination,
and procedures for filing complaints. This can be accomplished through its program
publications, posters, the media and recruitment materials. Appropriate steps must be
taken to communicate with persons with impaired vision or hearing, learning disabilities,
or who are mentally retarded.
The public must be informed that the board receives federal financial assistance from the
Department of the Interior, and thus federal law prohibits discrimination on the basis of
disability in the board’s programs and activities. The explanation must also state that if any
individual feels he or she has been discriminated against or desires further information
regarding the Department of the Interior’s nondiscrimination requirements, the person may
write to:
Director - Office for Equal Opportunity
U.S. Department of the Interior
Washington, D.C. 20240
6. Extension of Compliance to Others - If the park board gives, leases, or transfers real
property, it must put a covenant in the agreement transferring the property that
discrimination on the basis of disability will not occur. This obligates the recipient or the
transferee, for the period during which the real property is used for the purpose for
which it was extended, to operate in a nondiscriminatory manner.
When the board has a contract, subcontract or agreement with concessionaires or
organizations (such as health maintenance organizations, insurance agencies, or labor
unions), nondiscrimination clauses must be included in the contractual documents and
ensure that the organizations do not discriminate on the basis of handicap in services to
employees and job applicants.
7. Administrative Requirements - Agencies employing fifteen or more full or part-time
employees must designate one person as being a Section 504 Coordinator, responsible
for compliance with the Act. Such agencies must also adopt grievance procedures for
the prompt and equitable resolution of handicapped discrimination complaints.
Park boards should keep on file sufficient documentation to demonstrate compliance with
Section 504 for federal review purposes. The Department of the Interior’s, Office for
Equal Opportunity will periodically perform on-site and desk audit periodic reviews of
local grant recipients. The Division of Outdoor Recreation staff may also request
evidence of compliance for review purposes. Park boards are expected to resolve any
noncompliance voluntarily; however, available federal sanctions include withholding or
terminating federal funds and judicial enforcements.
45
Project Sequence
Before the project can receive federal approval, the park board must complete the Section
106 Historical Review process. Once federal approval is received, the park board must submit a
full appraisal done by a certified general appraiser with federal experience (for land acquisition
projects only), obtain any necessary permits (i.e. Local, Division of Water, Army Corps of
Engineers, etc.), and submit detailed plans and a bid packet to the Division of Outdoor
Recreation.
After these items are completed, the park board can begin negotiations and purchase the
land, advertise for bids, sign contracts, and start construction. Donations of land, materials,
equipment and labor for the project may be accepted after the grant is federally approved. Cash
gifts may be received both before and after project approval. For acquisition projects, the board
should follow the procedures in Chapter Five. For development projects, the board should refer
to the construction guidelines in Chapter Six. Please note which permits must be secured prior
to construction. Progress billings may be submitted after the project is approved and eligible
costs are incurred. Chapter Seven explains billing procedures and the items needed before
federal funds can be reimbursed. During the project period, the Grants Staff will make periodic
inspections to insure that the development is consistent with the project application. A project
officer from the National Park Service may also inspect the project. The primary contact person
is usually notified prior to these inspections and invited to accompany the inspecting officers.
If changes occur or problems are encountered during the project period, your
grants coordinator should be contacted immediately. As indicated previously, changes
may result in a need to amend the project in order to reimburse the park board for
changes in the project which were not in the initial grant application.
Amendments
During the project period, various situations may result in changes or deviations from the
Project Agreement. An amendment is necessary to alter the signed agreement. Changes that
commonly necessitate an amendment are increases or decreases in the project scope or an
extension of the project period.
Changes in Project Scope
Only those items approved for the project are eligible for federal assistance. Similarly,
facilities must be constructed in the same location as designated on the site plan submitted with
the application. Due to unforeseen changes in project costs or revisions in the plans for the park,
certain items may have to be added or deleted from the project after it is approved. These
changes may require approval by the National Park Service. In the case of adding an item to the
project, construction on that item cannot begin until the amendment is approved. The amount of
federal assistance specified on the Project Agreement may not be increased for that particular
project. Costs incurred above this amount must be paid by the local agency.
All changes in the projects scope should be consistent with the intent of the original
application. If the application specified picnic area development, a swimming pool could not be
46
added by an amendment; however, additional picnic tables, grills, or a shelter could be added.
All changes must be justifiable and the need for change must be documented by a letter,
accompanied by revised cost estimates, construction drawings, and site plans.
Project Period Extensions
All acquisitions and development must take place within the project period, which is
identified in the Project Agreement. The agreement is sent to the projects sponsor after the
project has received federal approval. For most projects, the target date for project completion
will be based on a four-year project period. If the project cannot be completed during the period
identified on the agreement, a request may be submitted for a time extension. The request must
justify why the project cannot be completed before the expiration date. Justifications should
include a time schedule for completing the remaining items. Work performed after the project
has expired will not be eligible for federal assistance. Final payments of work done during the
project period can be made after the project has expired. These payments should document that
the work had been completed before the project period expired.
Projects may be extended for one year if the request is justifiable. This extension should
enable the work to be completed. Projects needing additional time will normally receive an
extension only once.
Project Agreement Amendments
The sponsoring park and recreation agency initiates the amendment by submitting a
request for the change to the Grants Coordinator assigned to your project. This request should
include all project revisions desired, including cost estimates, maps or design plans, and
justification of the need for changes. It is recommended that the Grants Coordinator be
contacted prior to submittal of the amendment request. The staff member will be able to provide
advice on the feasibility of an amendment approval. An amendment for a change in project
scope can be requested anytime prior to the construction of the added item or acquisition of the
added tract. An amendment for an extension of time should be submitted at least sixty days
before the project is scheduled to expire.
It is essential that amendment requests be kept to a minimum. Amendments may cover
items that could not be anticipated in the original project. Major deviations from the original
project will not be accepted. It is the responsibility of the park and recreation board to
thoroughly determine the scope of the project prior to the submission and, upon approval, carry
through with that project.
If approved, two copies of the Amendment to the Project Agreement will be sent to the
park board for signature. After official state signatures are obtained, one copy of the executed
document will be returned to the park board so that both agencies will have signed
amendments for their files.
Project Completion
After completion of the LWCF project, the Grants Staff will conduct a final inspection.
47
The federal agency may also make a final inspection, but this inspection may not take place
until later. If the project has been completed in accord with the Project Agreement, the final
billing can be processed. Additional documentation will be needed for the final billing as
indicated in Chapters Seven and Eight.
For a project to be considered completed and ready for final billing, a permanent Land
and Water Conservation Fund sign must be displayed on the site as described in Chapter
Eight.
The final billing should be submitted within forty-five days of the date of completion
or expiration date, whichever comes first. This procedure will enable both the park board and
Grants to complete the final project data and terminate administrative procedures as soon as
possible. Further long-term obligations regarding project sites are explained in Chapter Eight
48
Checklist for Amendments
Listed below are specific items to be included in submitting amendment requests.
For changes in project scope:
___1. One (1) copy of a revised cost breakdown showing the cost of items completed
and the estimated cost of work yet to be done, including the items to be added to
the project.
___2. For buildings being revised or added to the project, three (3) copies of the floor
plans and elevation diagrams.
___3. Three (3) copies of a revised site plan, showing the locations of the facilities to
be added or plat map showing the location of the additional land to be
purchased.
___4. One (1) copy of a justification for the revisions, which may be included in the
transmittal letter.
For project period extensions:
___1. One (1) copy of a time schedule showing the dates the remaining project items
are to be completed.
___2. One (1) copy of a justification for the project period extension, which may be
included in the transmittal letter.
49
4–49
Chapter Five
Criteria for Land Acquisition Projects
Site Selection for a Grant Application
An acquisition project would include the purchase of a specified portion of land for outdoor
recreation purposes. A project may involve the acquisition of land to create a new park or
expand an existing park. A project may also consist of the acquisition of land for more than one
park if the parks are connected. An example of a multi-site acquisition project is the purchase
of land for a trail connecting neighborhood parks or parcels for access points along a river to
create a greenbelt park corridor. Do not acquire any land until federal approval has been
obtained.
In determining the boundaries of a project, the sponsor should take into account human considerations, including the socioeconomic effects of the acquisition and subsequent development
on owners and tenants in the adjacent area, in addition to other factors. If a partial taking would
leave an owner with an uneconomic remnant, the park board must offer to acquire the entire
property. Keep in mind that once acquired with Land and Water Conservation Fund assistance,
land must remain in public outdoor recreation use forever. A copy of the deed with LWCF
encumbrance language must be submitted to the DNR after the property is acquired. A sample
of the encumbrance language is shown in the Appendix page 144.
Eligible Types of Acquisition
The types of acquisition that are eligible for assistance include, but are not limited to:
1. Water–Oriented Recreation Sites – Areas with frontage on rivers, streams, lakes,
estuaries, and reservoirs; water bodies themselves; land for creating water
impoundments; and areas that provide special recreation opportunities, such as
floodplains and wetlands.
2. Natural and Scenic Areas – Natural areas, preserves and outstanding scenic areas,
including areas adjacent to scenic highways, where the objective is to preserve the scenic
or natural values, including areas of physical or biological importance and wildlife areas.
These areas must be open to the general public for outdoor recreation use to the extent
that the natural attributes of the areas will not be seriously impaired or lost.
3. Community Parks – Land within cities and towns for day–use picnic areas, neighborhood
playgrounds, areas adjacent to school playgrounds and competitive nonprofessional
sports facilities, as well as more generalized parklands.
4. County Parks – Sites in rural areas serving county and regional recreational uses, such as
camping, hiking, hunting, fishing and picnicking.
50
5. Linear Parks – Land which forms a greenbelt corridor for recreational use, such as an
abandoned railroad line for a multi–purpose trail, or a series of access points to a river for
boating and fishing.
6. Existing Recreational Facilities – Privately owned facilities, such as swimming pools,
golf courses and youth camps, which will no longer be operated by the private sector.
Park and recreation boards considering the acquisition of land and/or facilities which are
in recreation use should determine the nature and intent of that use. The acquisition of an
area or facility which is operated for public recreation is only eligible for LWCF
assistance if it can be documented that the facility will be lost to recreation use if it is not
acquired by the park and recreation board. Real property with recreational improvements
may also be eligible for a project if it has not been available for public use or if it’s
primary purpose has not been for recreation.
7. Structures – The acquisition of structures on property is only allowed if the use will be
for outdoor recreation, support of outdoor recreation activities or the structures have no
value and are demolished to enable recreational development to take place. Project
proposals must list all improvements and their proposed use or disposition.
Ineligible Types of Acquisition
Generally, LWCF assistance will not be made available for:
1. Historic Sites and Structures – Exceptions may be made only when it is demonstrated
clearly that the acquisition is primarily for outdoor recreation purposes and that the
historic aspects are secondary to the primary recreation uses.
2. Museums – Sites to be used for museums or primarily for archaeological excavations.
3. School Sites – Land to help meet a public school’s minimum site size requirement, as
established by state or local regulations.
4. Professional Facilities – Areas and facilities to be used primarily for semi–professional
and professional arts and athletics.
5. Fish and Wildlife Sites – Areas and facilities to be used solely for game refuges or fish
production purposes will not receive LWCF assistance; however, such areas and
facilities may be eligible if they will be open to the public for general compatible
recreation, or if they directly serve priority public outdoor recreation needs.
6. Indoor Facilities – Areas to be used mainly for the construction of indoor facilities and
areas where existing indoor recreation facilities, if left in place, will leave insufficient
area at the site for the development of outdoor recreation facilities to justify the cost of
the acquisition.
7. Railroads – Railroad hardware, trestles, stations, yards, and the like if they are to be used
for the commercial operation of railroad trains. Some railroad hardware is reimbursable
when it is necessary for recreation; for instance, a trestle may be used as a bridge for the
51
trail.
8. Lodging Structures – Sites containing luxury lodges, motels, cabins, and similar
elaborate facilities which are to be operated by the park board or a concessionaire to
serve recreators with food and sleeping quarters.
9.
Farmland – Agricultural land primarily for preservation in agricultural purposes.
Limited agricultural land use is eligible; however, only in the event it supports outdoor
recreation such as demonstration farms, wildlife management or hunting.
Early Acquisition
The park board may want to guarantee that land will be available for purchase after grant
approval. This might occur when the property is on the market for sale or a donor wants to give
the land within a given time period for tax purposes. The property may be reserved for the park
board by: (1) having a private third party acquire and hold title to the land, (2) placing the title
in escrow, or (3) securing an option to purchase at a later date.
A third party could be an individual, private business, private educational institution, not–
for–profit organization, or other similar private entity. It may not be a public agency. Under
certain circumstances, special permission may be obtained from the Department of the Interior
for the park board to take title to land prior to grant approval. This section explains these
alternatives.
Options to Purchase
The park board may execute an option to purchase the property, to prevent the land from
being sold prior to the approval of a project. The option may include special terms or conditions
which govern whether or not the buyer will purchase the land. For example, one condition could
be the availability of funds or financing. An option is unacceptable if it is exercised prior to
project approval, unless it specifies that acceptance is contingent on the availability of Land and
Water Conservation Fund money so that the date of the project approval would be the exercise
date.
If an option is signed prior to federal approval of the project, then it should extend until
Fall so it may be exercised after the grant is approved. Since competition for funds is usually
intense, park boards may find it helpful to negotiate an option which can be extended at no
cost for a second year. This could enable the project to compete for funds a second time if it
were not approved the first year.
The purchase price stated in an option must be the amount negotiated after the land has been
appraised and the fair market value offered to the landowner as explained in the section on
negotiated purchases. Only one payment toward the property may be made under an option. A
maximum of 10 percent of the approved appraised value of the property may be paid at the time
the option is transacted. This amount should be applied as part of the purchase price of the
property.
52
Any additional payments made prior to grant approval may make the acquisition ineligible.
It is important to keep documentation of the option payments which are required for
reimbursement later. Project sponsors are encouraged to consult with the Grants Staff before
negotiating an option to insure the eligibility of reimbursement on the land acquisition under the
option conditions.
Escrow Agreements
A landowner may want to transfer title to the land by a certain date to avoid paying taxes.
The park board may not be in position to accept immediate title to the property since project
applications usually receive federal approval late spring or early summer of the following
application. In such instances, the warranty deed can be held “in escrow” by a third party,
usually a bank, foundation or not–for–profit organization. An escrow agreement may state that
acceptance of title by the park board is contingent upon federal approval of the Land and Water
Conservation Fund project or may indicate a date after which title may be transferred to the park
board if federal funds are not received. The important factor is that title must not be transferred
until the project is approved.
Since the transaction is not actually completed and recorded while the land is in escrow,
the landowner is still subject to taxes on the property during the escrow period. The park board
should consult with its attorney about the responsibility of the board to pay the taxes.
Waiver of Retroactivity
The value of land purchased or donated prior to federal grant approval is not normally
eligible for reimbursement. Exceptions may be made only when immediate action is necessary
and the time necessary to process an application would result in losing an opportunity to acquire
a significant piece of property. If this situation arises, a park board may obtain special approval,
called a “waiver of retroactivity”, to take title to the property prior to project approval.
To request a waiver of retroactivity, submit the following:
1.
justification for the early acquisition,
2.
location and site maps, and
3.
an environmental assessment of the proposed park.
The Division of Outdoor Recreation will forward the request to the National Park Service for
approval. The federal government must approve the waiver of retroactivity before the land can
be acquired.
If a waiver is given, the land value will be eligible for assistance only if a LWCF grant is
later approved. Granting a waiver is only an acknowledgement of the need for immediate
action; it does not imply a qualitative approval of the project. The retroactive costs are incurred
at the applicant’s risk, since the granting of a waiver does not in any way insure approval of the
grant request. A project for land acquired under a waiver may only be submitted for federal
approval within one year of when the waiver is given. Waivers should be obtained only when
53
absolutely necessary. Other means of preserving the value of the land, such as escrow
agreements and having private third entities hold title are preferred.
State and Federal Acquisition Policies
The Department of the Interior and the State of Indiana require procedures for the acquisition
of property that are fair, consistent, and directed toward giving the property owner the full
measure of compensation authorized by law, promptly, with a minimum of inconvenience, and
without prolonged negotiation or costly litigation. All acquisitions must conform to the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (42 U.S
.C. 4601 et seq.).
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
prescribes policies and procedures to insure fair, equitable, and uniform treatment of persons
whose land is acquired by federal and federally-assisted programs. The provisions of the Act
apply to the acquisition of all real property for, and the relocation of all persons displaced by,
projects which received Land and Water Conservation Fund assistance. The Act applies
regardless of whether Land and Water Conservation Fund assistance is used for acquisition or
development. For example, a park board cannot knowingly circumvent the federal law by
acquiring the land with local funds and not follow the regulations of the Act and then apply for
development funds in a later project. For all development projects, proof must be supplied that
the project site was acquired in accord with P.L. 9 1–646 if the land was acquired after
September 2, 1971. This is explained in more detail for development projects in Chapter Six.
There are two major sections to the law: policies regarding the acquisition of land and
relocation benefits to landowners. Each section will be discussed separately in this chapter.
The acquisition procedures explained in this chapter should be read with extreme care. If the
procedures are not followed, the park board could encounter severe problems in being
reimbursed regardless of the method of acquisition.
Appraisals
The park board should contract a state certified general appraiser preferably with previous
federal experience to appraise an acquisition. The appraisal must be completed in accord with
the Uniform Appraisal Standards for Federal Land Acquisition policies. This document can be
downloaded at http://www.justice.gov/enrd/land-ack/Uniform-Appraisal-Standards.pdf. Once
complete the appraisal is then transmitted to the Department of Natural Resources for review
and approval. Do not acquire land until the appraisal is approved by the Department of Natural
Resources.
There are two sets of criteria for completing an appraisal. The Waiver Valuation may be
used for land whose estimated value is less than $25,000; and the formal appraisal is required
for land value of $25,000 or more.
If the Department of Natural Resources determines an appraisal is unnecessary because
the valuation problem is uncomplicated and the estimated value of the real property is
$10,000 or less based on a review of available data, the State may unilaterally waive the
appraisal and instead prepare a waiver valuation per 49 CFR 24.102(c)(2)(ii). The
54
Department of Natural Resources may raise the waiver valuation cap up to $25,000 provided
the acquiring agency offers the owner the option to have an appraisal, and the owner elects to
have the agency prepare a waiver valuation instead. Thus, the Department of Natural
Resources may increase the $10,000 cap to $25,000 with the consent of the landowner.
The person preparing the waiver valuation must have sufficient understanding of the
local real estate market to be qualified, and shall not have any interest, direct or indirect, in
the real property being valued for compensation. Further guidance on waiver valuations can
be found on the Federal Highway Administration’s Website.
Averaging the values of two or more appraisal reports to estimate the fair market value of a
property is unacceptable and does not meet the Federal Uniform Relocation Assistance and
Real Property Acquisition Policies Act. Although State laws may require a park agency to
prepare more than one appraisal report, only the appraisal which represents the value to be
offered to the landowner should be submitted for LWCF project purposes.
Please inform your appraiser that federal Land and Water Conservation Fund monies will be
used and that he or she needs to adhere to the Uniform Appraisal Standards for Federal Land
Acquisition policies. This document can be downloaded at http://www.justice.gov/enrd/landack/Uniform-Appraisal-Standards.pdf.
It is important that the appraisal answer all items completely. The report should be
submitted in narrative form, include separate sections for each major item, have maps, pictures,
and a full listing of comparable sales. The landowner must be given the opportunity to
accompany the appraiser on their inspection of the property.
For the grant application, one copy of either the appraisal or an appraiser’s statement of
value must be submitted. A statement of value is an appraiser’s letter stating the value of the
property which establishes the land value for the project application. It is recommended that
the same appraiser be hired to do the full appraisal later if a statement of value is submitted
with the project application. Reimbursement will be based on the value in the approved
appraisal.
The following is a list of common shortcomings of appraisals which will result in rejection.
1. In almost all cases of a partial acquisition, the appraisal must include a before and after
valuation.
2. All appraisals must include a valid legal description of the area being appraised.
3. Color photographs of the subject and comparable sales are required.
4. The definition of market value used must be from the Uniform Appraisal Standards for
Federal Land Acquisitions.
5. The definition of highest and best use and the determination of "larger parcel" must be
pursuant to the Uniform Appraisal Standards for Federal Land Acquisitions.
55
6. An adjustment grid with the subject and comparable sales is required.
7. A narrative explanation of all adjustments is required.
8. Typographical errors and/or poor or incorrect terminology may result in the appraisal
being rejected.
9. The appraisal must address the current intended use and user.
10. Location maps are required and at least one map that reflects the subject property in
relation to all comparable sales.
An appraisal, if competently compiled by a qualified person, should be an acceptable
estimate of property value. It cannot be assumed to be an absolute statement of value. The
approved appraisal value is the floor value for establishing the amount of just compensation
which must be offered to the owner at the initiation of negotiations. The negotiations between a
willing seller and a willing buyer will sometimes set a price that is higher than the appraisal, and
this market place value must be considered with the appraised value in establishing the
reasonable limits of LWCF assistance.
Methods of Acquiring Land
Negotiated Purchases
This section outlines specific procedures under the Uniform Relocation Assistance and Real
Property Acquisition Policies Act to follow in acquiring land through negotiated purchases
involving LWCF assistance. The following steps must be followed by the park board in
negotiating with the landowner.
1. Make initial contact with the seller to see if the land will be available for sale. At this
point the price should not be negotiated since the purchase amount must be based on an
appraisal.
2. Determine whether the owners or tenants will be eligible for relocation assistance.
Booklets are available which explain relocation assistance and can be given to the
landowner or tenant. The property residents must be advised of their rights to relocation
assistance.
3. Have the land appraised by a certified general appraiser with federal “Yellow Book”
experience, giving the landowner an opportunity to accompany the appraiser. Qualified
appraisers can be located using Indiana’s online search for licensed professionals
available at https://mylicense.in.gov/EVerification/. Enter only information for License
Type (choose “Certified General Appraiser”), Status (choose “Active”), and County or
City, State, and/or zip code. The landowner must be given the opportunity to accompany
the appraiser on his or her inspection of the property.
4. Submit the appraisal to the Grants Staff. The Department of Natural Resources’ Division
56
of Land Acquisition has a review appraiser on staff to confirm that the Uniform
Relocation Assistance and Real Property Acquisition Policies Act and the Land and
Water Conservation Fund guidelines have been met. At this point, the park board will
know the fair market value of the property to be acquired.
5. Inform the owner in writing of the value of the property based on the results of the
appraisal and offer to purchase the property for this price. It is not necessary to show the
appraisal itself to the landowner. Also, inform the landowner of their eligibility for
relocation benefits. The authorized agent of the park and recreation board and the
property owner must sign Statement of Just Compensation and Written Offer to
Purchase letter, which should indicate the appraised value of the property. Contact your
state grant coordinator to obtain the appropriation just compensation letter.
6. Based on the written offer at the appraised value, the final selling price may be
negotiated. If the purchase price is more than the appraised value, additional
documentation explaining the difference in value will be needed, as explained later in
this section. If the price is less than the appraised value, the acquisition is called a
“bargain sale”, and a Waiver of Right of Just Compensation must be signed by the
landowner as explained in the section on bargain sales. At this point, the park board may
sign an option to purchase if desired. Contact your state grant coordinator to obtain the
appropriation waiver of just compensation letter.
A grant application may be submitted during any of the above steps to acquire the land. The
appraisal, however, must have been submitted and approved prior to Step 5. Again, the land can
only be acquired during the approved project period to be eligible for reimbursement of
acquisition costs. The above procedure is mandatory and must be followed for all negotiated
purchases.
Park boards should be aware that state regulations, which apply to acquisition by public
agencies for which federal funds are not provided, follow the same sequence of steps, except
that the Department of Natural Resources does not review local documentation. The state also
stipulates relocation benefits for landowners and tenants.
Purchases Higher than Appraised Value
When the park board believes that the negotiated price is an adequate indication of market
value, yet it is higher than the approved appraised value, a detailed and well documented
statement on this difference with all pertinent appraisal documents should be submitted. This
statement should explain why the appraisal may not reflect the true value and what steps the
park board took to establish the true value. This statement should include a history of
negotiations, documenting discussions of price between the landowner and the park board.
The statement may indicate the importance of the proposed purchase as opposed to other
alternative sites, or other justification regarding the need to purchase the subject property at a
higher amount. If the National Park Service agrees that the negotiated price represents a
reasonable estimate of the property value, that amount can be eligible for assistance if
sufficient funds are available in the grant. This statement is to be submitted with the billing for
the property.
57
Contract Sales
Sometimes a seller or purchaser desires to spread payments for a tract of land over several
years. “Contract Sales”, where installment payments are made over a specified period of time at
the end of which the buyer receives title, are not acceptable for LWCF projects. In the event that
payments are not paid when due, the seller could foreclose and regain complete ownership of
the land. Thus the federal and local funds would have been spent with nothing to show for the
expenditure. Another reason is the deed and legal ownership of the land is retained by the seller
until the last payment property value is made.
Reimbursement of costs incurred cannot be made until the land is paid for in full and title is
received. Consequently, if the payments for the land were spread over several years, the
participant could not receive reimbursement for any payments until all payments were made.
A suggested acceptable alternative is to subdivide a tract into smaller parcels. The park board
may acquire full title to each parcel individually and receive reimbursement as each is acquired.
This does not jeopardize the investment of public funds and improves the cash flow of the
project sponsor. Assistance for separate parcels may need to be applied for in different grants
over a period of years, depending upon the cost and timing of the acquisition.
Condemnation
Project sponsors should begin each land purchase by following the steps for a negotiated
purchase. If an agreement does not appear possible after a reasonable period of negotiation, the
project sponsor may undertake condemnation proceedings. Condemnation should not be
advanced or delayed in order to induce an agreement on price.
The value of land acquired through condemnation will be based on a court award.
Reimbursement will be based on the court judgment, including interest expenses awarded by the
court as part of just compensation, up to the approved amount of the grant. It is important that
the case go through all proceedings, and ultimately, a court award. If the purchase price is
negotiated out of court, reimbursement will be based on an appraisal completed in accord with
the requirements set forth by the Federal Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended, unless the National Park Service approves a
higher negotiated price based on justification supplied by the project sponsor.
In condemnation cases, the park board must follow state law for condemnation procedures,
and the landowners/tenants must still be informed of their rights to relocation benefits and the
negotiated purchase steps be followed until the case is entered in court.
Land Donations
The value of a land donation from a private individual or organization can be used as part of
or all of the sponsor’s share of the project cost. The donated value may be matched with federal
funds for the acquisition of adjacent land or development on the donation or an adjacent site. A
letter of intent to donate the property to the park board from the landowner must accompany the
project application.
58
A written Offer to Purchase and a Statement of Just Compensation are not necessary when
acquisition is by full donation. The act of donation itself precludes the necessity for these
documents, which relate only to negotiated purchases and bargain sales. Relocation benefits
must still be offered to owners and tenants for donations as well as purchases.
For land donations valued at $25,000 or more, a formal appraisal is required. A Waiver
Valuation may be acceptable when the land has a value less than $25,000, the appraisal
problem is uncomplicated, and the land owner consents to this method of valuation. The
appraisal is then transmitted to the Department of Natural Resources for review and approval.
After approval, the fair market value will be the basis for the value of the land donation.
One copy of either the appraisal or a Statement of Value must be submitted with the LWCF
grant application. If a statement of value is submitted, it is recommended that the appraiser
providing the statement be hired, if the project is approved, to complete the full narrative
appraisal. Since a land donation may constitute all or part of the local matching share of a
project, it is important that the land value be established early, to enable the park board to take
full advantage of the donated land value and at the same time prevent the project sponsor from
having to provide additional local funds if the land value is later found to be less than
anticipated.
Land donations are not directly reimbursed instead they are credited to the grant account
when acquired. When appropriate documentation is submitted acknowledging the transfer of
land to the park board, a letter acknowledging the credit for the land will be sent to the park
board. If the land donation has met the amount of the local match the future development costs
will be reimbursed at 100%. For example, a park board has been awarded a $200,000.00 LWCF
grant. Their local match is a donated parcel of land appraised at $200,000.00 and they plan to
spend $200,000.00 to develop their new park. When they receive title to the parcel, the board
will submit the property deed to their grant coordinator. Then, the coordinator will issue a letter
acknowledging that the local match of $200,000.00 has been credited to the grant. In the future
when the board submits a billing request for the $200,000.00 in development costs they will be
reimbursed at 100%.
Bargain Sale
In some cases, a landowner may be willing to sell real property for less than the full market
value, but is not able to donate the entire value of the land. A bargain sale involves the partial
donation and partial purchase of a tract of land. The difference between the sale price and the
appraised fair market value is considered donated land value. This value may be used as part or
all of the local matching share of the project. The appraisal requirements for full donations also
apply to bargain sales. Under the Uniform Relocation Assistance and Real Property Acquisition
Policies Act, the park board is required to offer the landowner the full appraised value of the
land. When the lesser sale price is negotiated the owner must sign a Waiver of Right to Just
Compensation letter.
A waiver of entitlements under the Act by property owners or displaced persons will be
approved only in fully–documented cases where the reasons for the waiver are explained. The
purpose of the Act is to insure that each displaced person and property owner receives a just and
59
equitable settlement through purchase price and payment of relocation expenses. Few
landowners would voluntarily accept an amount less than their entitlement, although in some
instances landowners may be willing to accept less than the appraised value for their property.
In such instances, the landowner must sign a waiver which includes the following information:
1. That the owner has been fully informed of his or her rights and benefits under 42 U.S.C.
4601 et seq.
2. That the acquiring agency has provided a written Statement of Just Compensation and
Offer to Purchase for the appraised property value (state the amount.)
3. That the owner is satisfied with the negotiated price, even though it is less than the
appraised fair market value.
4. That he or she elected to waive entitlement to the relocation benefits (including the
dollar amount by category of moving expenses, payments for replacement housing,
incidental expenses, etc.)
5. A statement setting forth fully the reasons for accepting a lesser amount than the
appraised value offered by the local agency or for waiving relocation benefits.
The appropriate type of just compensation statement must accompany the billing for the
property. Contact your state grant coordinator for just compensation letter guidance specific to
your project.
Land Purchased from Another Public Agency
Land may be purchased from another public agency. The cost to the park board of land
purchased from another public agency may be eligible for matching funds, subject to the
following conditions.
1. The land was not originally acquired by the other agency for recreation, nor has it been
so managed while in public ownership.
2. No federal assistance was involved in the original acquisition by the other agency,
except Community Development or Revenue Sharing Funds.
3. The selling agency is required by law to receive payment for land transferred to another
public agency. Examples would be public school land that can be used for non–school
purposes only through payment to the school agency, or excess State prison lands that
can be transferred to local government use only on a purchase basis. The support ceiling
will be based on the price paid by the project sponsor for the property or the fair market
value, whichever is less. In some instances the selling agency may be permitted a choice
between various state laws which would set the selling price at different levels
depending upon which law is chosen by the agency. For example, various laws may
apply which would allow the agency to transfer the real property to another public
agency for fair market value, for reimbursement of paid taxes, as a donation, or for other
consideration. LWCF assistance will be limited to the minimum amount for which the
60
property could be transferred legally and only in those instances for which there is an
attorney general’s opinion or established case law.
4. The requirement of appraisal, history of conveyances, and evidence of title are the same
as other purchases.
5. If the selling agency is Federal, fair market value must be paid.
Exchange of Real Property
Land owned and administered by the park and recreation board may be traded for more
valuable land administered by another public agency or land owned by a private party. The
amount of Fund assistance will be based on the amount of cash, if any, that must be paid by the
park and recreation board in addition to the land conveyed, subject to appraisal requirements.
Both parcels must be adequately appraised.
For example, the park and recreation board exchanges a property appraised at $10,000 for a
privately owned property appraised at $12,000, and pays the difference of $2,000 cash. The
amount to be reimbursed is 50% of $2,000 or $1,000. If the other party is a public agency,
items (1) through (5) above for purchase from another public agency apply.
Relocation Assistance
Relocation Benefits
A resident on residential, business, or farm property to be acquired may be eligible for
relocation assistance. This resident, who can be either a landowner or a tenant, may be
reimbursed for expenses incurred in moving from the purchase property to a new dwelling. The
purpose of providing relocation benefits is to enable a property resident to move to a new
residence or business location without undue personal hardship.
These costs are based on maximum and minimum schedules specified in the Law.
Relocation costs are to be paid for moving expenses, replacement of business or housing,
search, closing and other costs the occupant may incur while moving into another dwelling
or relocating a business.
Landowners are also entitled to reimbursement of certain incidental expenses incurred in
conveying title. These costs may be incurred even though no one was living on the property at
the time of the purchase. These costs include:
1. Recording fees, transfer taxes, revenue stamps, notary fees, or similar expenses.
2. Penalty costs for prepayment of pre-existing recorded mortgages as may be required to
convey a clear title.
3. The pro rata portion of real property taxes which would apply to the period after the date
title vests in the government or the effective date of possession by the government,
whichever is earlier.
61
Often these costs are paid by the park board when the land is acquired. Payment of these
costs should be documented at the time of billing. When a park board determines that the land
proposed for purchase may involve relocation, the Grants Staff should be contacted for
brochures, forms, and guidelines for procedures and in determining costs.
It is essential that landowners be informed of relocation benefits. They must also receive
payment unless the benefits are voluntarily waived.
Relocation Plan
A relocation plan shall be developed for projects where land acquisition will cause
displacement of persons from their dwellings, business, or farm operations. The relocation plan
shall be undertaken during the planning phase of the project, but prior to the initiation of land
acquisition negotiations for the project. Based on this plan, the project sponsor should proceed
with a project only after it has been determined that within a reasonable period of time prior to
displacement, decent, safe and sanitary replacement housing will be available. Then information
brochures and forms for claiming costs should be distributed to the persons to be relocated. A
relocation plan must include:
1. The number of individuals, families, businesses, farms, and non-profit organizations to
be relocated.
2. The availability of decent, safe, and sanitary replacement housing within the financial
means of the individuals and families being relocated;
3. The estimated total cost of payments to displaced persons for all benefits under 42
U.S.C. 4601 et seq. for replacement housing; and
4. The estimated cost of administering required relocation services to displaced persons.
The relocation plan may be coordinated with the Department of Housing and Urban
Development and other agencies performing relocation in the area. A park and recreation board
may contract with a city relocation agency, such as the Community Development Department,
or a private firm to handle relocation services. The plan must be submitted with the project
application. Relocation costs should be part of the cost estimates for the project. Payments to
relocated persons are eligible to be reimbursed on a 50% basis.
Appeals
Although technical assistance is available through the Department of Natural Resources, the
project sponsor will be responsible for all negotiations with landowners or tenants concerning
relocation benefits. These persons relocated have the right to appeal the determination of the
amounts they are eligible to receive and need to be informed in writing of their right to appeal.
Formal appeals may be submitted by relocated individuals to the Department of Natural
Resources. Department staff will review all data concerning the calculation of relocation
payments. If the person is still dissatisfied, a hearing will be scheduled. The applicant shall be
given a full opportunity to be heard at the appeal hearing. After the hearing, the result may still
be appealed through the judicial review of the Indiana Court System. Appeals will not be heard
62
by the Department of the Interior.
Waiver of Relocation Benefits
As indicated in the land acquisition section on bargain sales, tenants and landowners may
waive their rights to relocation benefits. In such instances a waiver must be signed. Work with
your state grant coordinator to obtain the appropriate documentation for waiver of relocation
benefits.
On September 2, 1971, Indiana became eligible to participate in the federal relocation law.
As provided in Indiana Public Law No. 97, page 445 of the 1971 Acts of Indiana, public
agencies must pay relocation assistance to persons displaced by acquisition of their property for
public improvements. Any land purchased by a park board, whether or not federal assistance is
involved, is subject to paying relocation benefits; however, project sponsors may decide that
federal land acquisition regulations are too restrictive and may decide to purchase the property
with local funds and then submit a development project application in a subsequent year.
Circumvention of the federal or state land acquisition procedures will jeopardize the
eligibility of a future development projects. The federal law specifies that such a deliberate
refusal to follow the proper land acquisition procedures will make all future development
projects ineligible for federal assistance.
Land Acquisition Costs
Eligible Costs
Costs eligible for reimbursement in an acquisition project are:
1.
Purchase of real property through negotiated purchase or condemnation.
2.
Real property acquired by donation from a private individual or organization will be
credited towards the park board's match.
3.
Incidental and relocation costs only as allowed by the Uniform Relocation Assistance
and Real Property Acquisition Policies Act.
4.
Acquisition of land from another public agency at the lowest cost allowed by law.
5.
The difference in value between property exchanged for a tract of land having greater
value.
Ineligible Costs
Costs ineligible for reimbursement in an acquisition project include:
1.
Boundary surveys, appraisals, title search(es), legal fees, fines, and penalties paid by
the park and recreation board.
63
2.
The value of real property donations required by law or ordinance (mandatory
dedication).
3.
Incidental costs relating to real property acquisition and interests in real property
unless allowable under the Uniform Relocation Assistance and Real Property
Acquisition Policies Act.
4.
Taxes for which the park and recreation board would not have been liable to pay.
5.
Damage judgments arising out of acquisition whether determined by judicial decision,
arbitration, or otherwise.
6.
The value of, or expenditure for, lands acquired from the United States at less than fair
market value.
Date When Costs Are Incurred
Confusion often arises in acquisition projects on the exact date when costs are incurred.
To be eligible for matching assistance, costs must be incurred within the project period (from
the date of federal approval to the date of project expiration). Acquisition costs are incurred
on the date when the earliest of any of the following transactions take place:
1.
Park board accepts deed or other appropriate conveyance.
2.
Park board makes full payment for the property.
3.
Park board makes first payment in a series of spaced or time payments.
4.
Park board makes the first or full payment as stipulated in an option agreement. (The
cost of the option, if included as part of the purchase price, is an allowable cost.)
5.
Park board makes first partial or full payment to an escrow agent.
PROJECT SPONSORS SHOULD NOT ACCEPT TITLE TO THE PROPERTY UNTIL
AFTER THE APPRAISAL HAS RECEIVED APPROVAL. The appraised value must be
confirmed by either the DNR or the Federal Government otherwise, if there is a difference
between the price paid and the approved appraised value, the park board may not be able to
recover their funds.
Transfer of Title
According to Indiana statutes, land is considered as transferred on the date when the
warranty deed is accepted by the previous landowner and the park board. If reimbursement will
be requested for the cost of acquisition, the deed cannot be signed by the seller/donor and buyer
until after the project has been approved by the Federal Government and the appraisal has been
approved.
Property Rights, Control, and Tenure
64
Adequacy of Title
For lands included in a project proposal, the project sponsor must have title or adequate
control and tenure of the project area in order to provide reasonable assurances that a conversion
to a use other than public outdoor recreation will not occur. Copies of the property titles or other
appropriate documents must be submitted as part of a project’s documentation.
The most common method of acquiring property is by fee simple title. This is the preferred
method of acquisition since it gives the holder an absolute right to the property within
limitations imposed by state or federal law.
Title to land may be conveyed by warranty or quit claim deed to the park and recreation
board. Neither the State of Indiana nor federal government will obtain title to a local area or
facility acquired with LWCF assistance. The project sponsor must submit a description of the
character and nature of the title received before requesting reimbursement. This evidence of title
must include the property deed and either a written opinion from the park board’s attorney on
the adequacy of title or a title insurance policy. A survey may be required when there is
reasonable doubt about the exact location of the boundary or size of the tract being acquired.
The project sponsor is responsible for quieting claims against title and for replacing property
found to have defective title with other properties of equivalent value, usefulness, and location,
as approved by the Department of the Interior.
Reservations, Adverse Rights, and Deed Restrictions
Oil, gas, mineral, or other reservations and rights held by others are permissible only if it is
determined that recreation purposes and the environment would not be adversely affected. Such
reservations and adverse rights must be described in the narrative of the project proposal, and
how they will be dealt with to avoid impacting recreation and the environment.
Often landowners desire to specify restrictions in the property deed. The most frequent
example would be that the land can only be used for park purposes. If a deed restriction for park
purposes indicates the grantor’s intent and does not provide for reversion of title upon failure to
comply with the grantor’s wishes, the condition may be acceptable. In certain situations a
landowner may retain a life estate, under which he or she retains while living. Beware that deed
restrictions can severely limit the highest and best use of land, and therefore limit its value. In
donations, “park only” restrictions should be removed prior to appraisal, since the land will be
dedicated for outdoor recreational use in perpetuity by the LWCF Act.
Land which has a reversionary clause in the deed whereby the landowner could repossess the
property if it ceased to be used solely for the purpose specified in the deed may make the project
ineligible, since the LWCF Act requires that the land must be held in outdoor recreational use in
perpetuity. If a reversionary clause in the deed specifies that the land must be developed for a
specific purpose, even though the project includes that type of development, the project may be
ineligible. A development project to construct a facility on land with a reversionary clause in the
deed may also be ineligible, even though the land may have been acquired without federal
funds. Federal approval is required to acquire or develop land with reversionary clauses or
outstanding interests in the property deeds. The Grants Staff should be consulted prior to
65
submitting a project application involving deed clauses and restrictions.
If at a later date the rights to subsurface reservations or other deed restrictions adversely
affect recreation use of the land or facilities, the park board will be responsible for acquiring
property of equivalent usefulness, location, and value.
Outstanding property rights may affect the value of land. Examples include mineral rights,
transportation rights–of–way, utility easements, and other deed restrictions. An appraiser should
be fully aware of, and take into consideration, the legal description of the property and, where
appropriate, the effect of the loss of these rights on its value.
Development on Land Acquired with LWCF Assistance
Outdoor Recreation Uses
Areas acquired may serve a wide variety of outdoor recreation activities including, but not
limited to walking for pleasure, sight–seeing, swimming and other water activities, fishing,
picnicking, nature study, boating, hunting, shooting, camping, horseback riding, bicycling,
hiking, skiing, and other outdoor activities.
Acquisitions Involving Compatible Uses
Non–recreation uses that are compatible with and secondary to recreation such as water
conservation, timber management, grazing, and other natural resource uses may be carried out
within a project area. Such uses must be clearly described in project proposals.
Also, some types of recreation facilities that are not eligible for LWCF assistance may be
built with local monies on LWCF project sites if they are approved prior to construction by the
State and National Park Service. Such facilities should not cause a 6 (f) conversion, as
explained in Chapter Eight.
Future Development Conditions
It is not necessary that the future development be carried out with LWCF assistance or that the
proposed unassisted development receives prior approvals so long as it is in accord with the
purposes for which the acquisition was made. Once the land is acquired, it must always be used
for public outdoor recreation purposes.
On land where federal LWCF funds were reimbursed on the acquisition, certain regulations
for the development of facilities must be followed. All facilities must be accessible for users of
all abilities, especially persons with disabilities. The construction of facilities which will
compete with those provided by the private sector should generally be avoided. Chapter Six
explains other development requirements, such as state and federal permits and approvals,
which need to be obtained for construction projects.
Acquisition for Delayed Development
66
LWCF assistance may be available to acquire property for which the development of outdoor
recreation facilities is planned at a future date. In the interim, between acquisition and
development, the property should be open for those public recreation purposes which the land is
capable of supporting or which can be achieved with minimum public investment. Non–
recreation uses such as agriculture occurring on the property at the time of acquisition may only
continue for a short duration which will be determined on a case-by-case basis by the Division
of Outdoor Recreation in conjunction with the National Park Service. In such cases, the project
sponsor will not receive reimbursement on the acquisition until the non–recreation use is
terminated.
The acquired land must, at a minimum, be open and available for public outdoor recreational
use prior to closeout of the project. The site must be signed, operated, and maintained for public
use. The project application must include:
1. Written request to continue the non-recreation use during the interim period.
2. Assurance that any income received by the project sponsor for the non-recreation use will
be used for future park development.
3. Assurance that the non-recreation use will be terminated as determined by the Division of
Outdoor Recreation and the National Park Service.
4. Why immediate acquisition of the property is necessary.
5. What facilities will be developed and when such development will occur. Minimal
accommodation for public use will include parking, signage, and open space.
6. What, if any, non-recreation uses will be continued on the property and when such uses
will be terminated.
7. The type of public recreation access that will be provided during the interim period.
This policy does not prevent the continuation or introduction of non-recreation uses such as
timber management, grazing, and other natural resource uses, not including agriculture. These
must be clearly described in the project application, compatible with and secondary to the
outdoor recreation uses intended for the property and approved by the National Park Service.
Summary of Acquisition Procedures
The following steps apply to all acquisitions; steps 4, 5, and 6 may be omitted for full
donations.
1. Make contact with landowner regarding availability of the property and secure
permission to appraise. Obtain information on the owner’s and any tenant’s eligibility for
relocation benefits.
2. Have the land appraised according to the Uniform Appraisal Standards for Federal Land
Acquisitions (“Yellow Book”) by a state certified general appraiser. The landowner must
67
be given the opportunity to accompany the appraiser.
3. Submit the appraisal for approval by the Department of Natural Resources.
4. Offer to purchase the property for the approved appraised value using a Statement of Just
Compensation and Offer to Purchase letter obtained from your state grant coordinator.
Also inform the landowner and any tenants of their eligibility for relocation benefits.
5. Negotiate the selling price.
a. If the owner wishes to donate part of the land’s value, the acquisition will be
considered a bargain sale and the owner needs to sign a Waiver of Right of Just
Compensation letter. Similarly, if a person to be relocated does not want
reimbursement for relocation expenses, that person needs to sign a similar waiver
for these benefits.
b. In cases where the sale price is negotiated higher than the appraised value, a
Statement of Difference in Value may be submitted to the Department of Natural
Resources as justification for the higher price. LWCF assistance may be provided
for the increased amount, but is not guaranteed.
c. If the property is obtained through eminent domain, the court award will be the
basis for the LWCF assistance.
6. An option to purchase may be obtained once the price has been determined for a
negotiated purchase.
7. Federal grant approval and a Categorical Exclusion (Chapter 2) must be received by this
point unless a Waiver of Retroactivity has been obtained or the title will be put into
escrow.
8. Obtain title insurance or an abstract opinion, and then title to the land. The park board
will pay for the land, closing, and incidental acquisition costs and any relocation
benefits.
9. A reimbursement request for the federal LWCF half of the acquisition costs may be then
submitted to the Grants Staff once the proper LWCF perpetuity in public outdoor
recreation language has been recorded with or in the deed at the county courthouse and
submitted to the IDNR.
68
Chapter Six
Site Development and Facility Construction
Considerations for a Development Grant
A development project may consist of new construction or the renovation of a facility or
group of related facilities designed to provide opportunities for public outdoor recreation on
lands or waters owned by the park and recreation board. Projects must meet the needs of local
citizens, be attractive, safe, and compatible with the site’s natural features.
Once developed, a project must remain in public outdoor recreation use for the life of the
facility. In addition, the land on which the facilities were constructed falls under the jurisdiction
of the Land and Water Conservation Fund Act which specifies that the land must remain an
outdoor recreation site in perpetuity. The deed to the site must be re-filed or an attachment filed
with the LWCF encumbrance language and a copy sent to the IDNR. Any proposed changes in
the use of the site or facility must receive prior approval from the Department of Natural
Resources and in some cases, the National Park Service.
Site Location, Control, and Tenure
Facilities may be built only on park sites under the control and tenure of the park and
recreation board. If the land is owned by another city or county department or local
governmental unit, the title must be transferred to the park board. If it is owned by the city or
county in general, and the ordinance establishing the park board does not vest control of the
property in the park board, the appropriate city or county body must pass an ordinance vesting
control of the site in the park board.
Eligible Types of Development
Development projects that are eligible for assistance include, but are not limited to, the
following:
1. Boating – Facilities for motor boating, sailing, canoeing, kayaking, rowing, and other
boating activities. These facilities may include docks, berths, launching ramps,
breakwaters, mechanical launching devices, boat lifts, storage spaces, sewage pumpout
facilities, fuel depots, and excavated boat basins and channels. Marinas must be operated
in accord with the Federal Marina Policy in the Appendix (page 122).
2. Camping – Tent and trailer sites, tables, fireplaces, restrooms, information stations,
69
snackbars, and utility outlets. Cabins and group camp dormitories of simple austere
design to serve groups on a “first come, first served” basis may also qualify.
3. Energy Conservation – Solar energy systems, earth berms, window shading devices,
energy lock doors, metal halide lights, insulation, and other energy efficient design
methods and materials. Additionally, power systems which maximize a facility’s use of
renewable or non–polluting energy resources such as windmills and water power systems
may also be eligible as support facilities.
4. Exhibit Facilities – Arboretums, outdoor nature exhibits, nature interpretive centers,
community gardens, certain types of zoo facilities, and other similar developments.
Exhibit facilities will not be funded if the primary function is for academic, historic,
economic, entertainment, or other nonrecreation purposes. This restriction includes
fairgrounds, archaeological research sites, and others.
5. Fishing and Hunting – Trails, fishing piers and access points, initial clearing, planting of
forage and cover, stream improvements, wildlife management areas, fish hatcheries, etc.
6. Picnicking – Family and group picnic shelters, tables, fireplaces, grills, and trash
receptacles.
7. Renovated Facilities – Extensive renovation or redevelopment to bring a facility up to
standards of safety, quality, and attractiveness suitable for public use. Renovations are
most often made to meet public health and safety requirements. Renovation projects are
not eligible if the facility’s deterioration is due to inadequate maintenance during the
reasonable life of the facility.
8. Spectator Facilities – Amphitheaters, bandstands and modest seating areas related to
playfields and other eligible facilities. Spectator facilities may not be primarily for
professional, semi–profissional, or interscholastic events. Bleachers or modest seating
areas are encouraged near recreation facilities.
9. Sports and Playfields – This includes a wide variety of sport facilities, including fields for
baseball, softball, soccer, football, basketball, tennis courts, outdoor racquetball courts,
golf courses, equestrian arenas, running tracks, playgrounds, and tot lots.
10. Sport Shooting – Examples include rifle/pistol ranges, trap/skeet fields and archery
ranges. If the project proposes the construction and/or renovation of a shooting/archery
range for general public use, funding should be sought through the Shooting Range grant
program. Contact the Division of Outdoor Recreation for details.
11. Swimming – Swimming beaches, outdoor pools, wading pools, spray pools, wavemaking
pools, lifeguard towers, bathhouses, and other similar facilities. Some indoor pools are
eligible as outlined under Eligible Sheltered Facilities. Contact the Division of Outdoor
Recreation for details.
12. Trails – Funds are available for development and marking of overlooks, turnouts and
trails for nature walks, hiking, bicycling, horseback riding, exercising, skiing,
70
snowmobiling, OHV's and other trail activities.
13. Winter Sport Facilities – Such as cross country ski trails, downhill ski runs, jumps, lifts,
slopes, and snowmaking equipment. Also included are facilities for ice skating,
tobogganing, iceboating, sled runs, ice hockey rinks, and warming shelters.
14. Support Facilities for Outdoor Recreation – Includes entrance and circulation roads,
fences, utilities, sanitation systems, dams, erosion control works, maintenance structures,
parking areas, rest-room buildings, concession stands, walkways, operation and
maintenance facilities, and others. Some landscaping equipment to make a recreation
facility operational and certain materials and supplies required by the State Board of
Health are eligible. Roads outside the boundaries of the park which provide access to the
recreation site and are not part of a state, county, or local road system are eligible. The
access corridors must be owned or adequately controlled by the project sponsor. The
principle objective must be to serve the park and visitors. Relocation of power lines,
dredging, and restoration of publicly owned lakes are also eligible. Support facilities must
serve eligible recreation facilities. Projects which consist only of support facilities are not
eligible for funding.
15. Eligible Sheltered Facilities – Swimming pool and ice skating rinks located in areas
which meet the federal cold climatic criteria may be enclosed partially or completely to
protect them against cold weather conditions and to significantly increase recreation
opportunities. The amount of funds available for sheltered facilities is limited, but project
sponsors may use their own funds and enclose a facility after receiving approval from the
State and the National Park Service. The size of the shelter must not exceed that required
to enclose the facility and necessary support facilities, for the specified recreational
activities.
Ineligible Types of Development
The types of development that are ineligible for assistance include, but are not limited to:
1.
Amusement Facilities – Such as carousels, ferris wheels, children’s railroads, pioneer
towns, livestock and produce exhibits, commemorative exhibits, and convention
facilities.
2.
Facilities Exclusively for Persons with Disabilities – Development of outdoor
recreation facilities and/or support facilities to be used exclusively by persons with
disabilities.
3.
Housing – Construction of, and/or furnishings for, employee residences. Construction
or renovation of lodges, motels, luxury cabins, or non–austere cabins.
4.
Historic Preservation – Restoration or preservation of historic structures.
5.
Interpretive Facilities – Development of facilities which go beyond interpreting the
project site and its immediate surrounding area.
71
6.
Mobile Recreation – Such as playmobiles, swimmobiles, show wagons, puppet
wagons, and portable bleachers.
7.
Professional Activities – Development of areas and facilities to be used primarily for
semi–professional or professional arts and athletics, such as professional types of
outdoor theaters or performance areas.
8.
Sheltered Facilities – Enclosures which convert an outdoor facility such as a basketball
court or picnic shelter into an indoor facility.
9.
School Athletic Facilities – Development of school athletic facilities, such as stadiums
or running tracks for interscholastic athletics. Athletic fields with grandstands or more
bleacher seating than would normally be required for park and recreation department
athletic programs. Facilities needed to meet the physical education and athletic
program requirement of a school or facility that will be used more than 50% of the
time by the schools.
10. Support Facilities – Facilities such as roads and sewer systems developed to
exclusively serve ineligible facilities. Roads which are part of state, county, or local
road systems extending beyond or through the boundaries of the project area. Projects
which consist of only support facilities and do not include recreational development.
11. Zoo – Facilities at a zoo for indoor displays, or interpretive areas, and permanent
housing which are not displayed in an outdoor setting.
In general, the construction of ineligible recreation facilities on land purchased with Land
and Water Conservation Fund assistance will not be permitted unless all of the following
conditions are met:
1. They are financed by other than LWCF monies.
2. They are compatible with the outdoor recreation uses of the area.
3. Approval is obtained from the IDNR’s Division of Outdoor Recreation and Federal
Government prior to construction.
Eligible Development Costs
Professional Services
Consultants for LWCF projects may be hired through the competitive bidding process. A
scope of services desired by the park board needs to be prepared and normal advertisement
procedures followed. The park board should request proposals from firms and select several of
those submitting proposals for an interview. Firms should be selected based on their
professional qualifications, experience, and quality of past performance. Hiring the lowest
bidder is not required; however, a written explanation of the process used in hiring a consultant
must be submitted to the grants section with the contract. During the negotiation process, all
bidders must be treated equally and given the same opportunities to revise their bids. Park
72
boards should consult with their attorney regarding hiring a consultant according to I.C. 5–16–
11 and other applicable laws.
Federal regulations will not allow payment of consulting fees on a percent of the
construction contract basis. The consultant may be paid according to: (1) fixed price, (2) hourly
basis, (3) daily basis, or (4) actual expenses incurred. The contract must specify the payment
method.
Consulting fees may not be paid to federal, state or project sponsor’s employee unless such a
payment is specifically agreed to by the IDNR and the NPS.
Typical eligible consultant costs include: feasibility studies, site planning, Environmental
Assessment preparation, cost estimates, archaeological work, and construction plans and
specifications. Costs incurred for designing facilities not developed in the project are ineligible.
Preagreement costs necessary to prepare the application are eligible and must be identified in
the project application. If a consultant is hired after the application is submitted, the project
sponsor must notify the Grants Staff.
Construction
Allowable construction costs include all necessary construction activities, from site
preparation (including demolition, excavation, grading, etc.) to the completion of a facility.
Construction may be carried out through a contract with a private firm, by use of the park and
recreation board’s own personnel and equipment (force account), or by in–kind contributions.
Regulations regarding these three types of construction are explained in this chapter.
Contract Construction Wages
Wage rates established for construction project employees in contracts over the State
threshold must equal the prevailing wage rate for the area. Since those rates change periodically,
a new State Wage Rate Scale must be requested and included in the specifications when
construction is bid in a LWCF project.
The LWCF program is not subject to the Davis Bacon Act, so contractors are not bound to
construction wage rates established by the U.S. Department of Labor, unless other federal
funds subject to the Davis Bacon Act are used as the local share. To obtain the current
prevailing wage rate scale for an area, please contact:
Indiana Department of Labor
Wage & Hour Division
402 W. Washington Street, Room 195
Indianapolis, IN 46204
Telephone: 317–232–2673
Supplies and Materials
Supplies and materials may be purchased for a specific project or may be drawn from a
central stock. The former should be charged to a project at their actual price, less discounts,
73
taxes, rebates, etc. and the latter should be charged at cost under any recognized method of
pricing which is consistently applied. Incoming transportation charges are a part of these costs.
Eligible project supplies are those needed for the construction of a project such as trash bags
for clearing away debris along a route for a new trail. Supplies needed for the operation and
maintenance of a facility are not eligible. Examples include paper towels, toilet tissue,
cleansers, soap and others.
Equipment
The cost of renting equipment to construct a facility is generally eligible for LWCF
matching assistance. The cost of purchasing equipment may also be eligible, but sponsors must
provide the grants coordinator with information which clearly shows that it is more economical
to purchase an item than to lease it. These items might include air compressors, concrete
equipment, pumps, tools, etc.
Permanent recreational equipment, installed as part of the site facilities, is eligible for
matching assistance. Examples would include life guard stands, bicycle racks, picnic grills, and
trash receptacles. Equipment such as bases for a softball field or tennis and soccer nets, which
are necessary to make a facility initially operational, are also eligible. Only the first of such
items may be claimed for reimbursement.
Information and Interpretation
Fund assistance may share the costs of providing information directly related to a project, as
distinguished from publicity. These may include: signs giving information and directions at the
entrances of recreation areas and other necessary places throughout the project site; display
boards; dioramas; interpretive facilities for the explanation of items of interest; and other
facilities required to explain the site and bring it to public attention.
Methods of Developing Facilities
Development of a project site may be by contract, force account, in–kind contribution, or a
combination of these methods. The method(s) which will be used must be indicated in the
Program Narrative as part of the grant application. The procedures regarding each of these
construction methods are explained below.
Contract
The most common method of developing an area is by contract because the project sponsor
is assured that the construction will be completed by a designated date according to
predetermined work standards.
The Federal Government requires that competitive, open bidding be undertaken for all
federally assisted contracts in excess of $100,000, unless this requirement is waived by the
federal agency. State law requires that all construction over $150,000 be competitively bid, also.
All construction associated with a Land and Water Conservation Fund project which exceeds
$100,000 must be competitively bid, as required by federal law. It is recommended that the park
board contact their city attorney for the most up-to-date information, since these laws
74
periodically change. Please note that the total contract, rather than the amount of federal
assistance, shall be the governing factor in determining whether contracts or subcontracts
exceed $100,000.
Park and recreation boards must inform bidders that Land and Water Conservation Fund
monies will be used to assist in the park development, and that all relevant requirements will
apply. It is preferable to include this information in the bid invitations or in notices released
prior to bid invitations.
If an architectural or engineering firm prepares the specifications, make sure their standard
contractual statements do not conflict with state or federal requirements. Conflicts may include
termination terms, breach of contract, and types and amounts of bonds required.
The contracts must be written in such a way that the construction specifications, including
the state contract provisions, are incorporated into the scope of the contract. Failure to follow
these procedures will jeopardize reimbursement for the project.
A copy of all plans and construction specifications, including addenda must be submitted to
the grants coordinator for approval prior to advertising for bids. In addition, copies of the bid
tabulation summary sheet and all construction contracts must be submitted within fifteen days
after award of the contract. Change orders to the contract should first be cleared with the grants
coordinator before the change order is negotiated.
The contract award should be made to the individual or firm whose bid is most advantageous
to the park and recreation board. Contracts must be awarded to responsible contractors or
suppliers who have the ability to perform successfully under the terms and conditions of the
contract. Consideration should be given to such matters as contractor integrity, record of past
performances, financial and technical capability, and accessibility to the necessary resources.
When the park and recreation board considers the lowest bidder unqualified, incapable, or
not responsible, the next lowest bidder may be awarded the contract. If a no–bid contract is
awarded by the board, or a contract is awarded to other than the lowest bidder, a letter of
justification for this action must be sent to the grants coordinator with the bid summary.
Department of Natural Resources approval must be obtained prior to awarding the contract in
these two cases.
Force Account
The second method which may be utilized to develop a project site is through force
account. A park and recreation board may choose to use its own employees, equipment, or
materials in the development of facilities, rather than contract with an outside company.
Force account cannot be used to circumvent a competitive bidding process. Federal law
requires that all construction over $100,000 be competitively bid. The Federal Government
does not limit the amount of work which can be done by force account, so in accordance with
State law, all force account work on LWCF projects must cost no more than $100,000.
Further interpretation of the Indiana laws regarding this issue should be directed to the State
Board of Accounts at (317) 232-2521.
75
If a park and recreation board plans to claim force account costs, this intent must be stated in
the application documentation and in the explanation of any subsequent project amendment
requests. The Appendix contains a Force Account Labor Form (page 139) which is completed
by the laborer and confirmed by the project manager. This statement is needed to certify the rate
and number of hours the laborer worked on the project.
In–kind Contributions
LWCF assisted facilities may also be developed by in–kind contributions which might
consist of labor, equipment, materials, and supplies donated to the park and recreation board by
private organizations or individuals. In–kind contributions are eligible in a project only to the
extent that there are additional acquisition and/or development costs to be met by the federal
assistance requested for that project. These must be fully described and explained in the project
proposal.
The donation is either the value of the donation or the cash spent by the sponsor for
additional acquisition or development, whichever is less.
Example: Land valued at $10,000 is donated to the park board and they proceed to develop
the property for recreational use. Development costs will be $6,000. The total project value is
therefore $16,000 and the matching share would be $8,000. But because only $6,000 was
actually spent, and since a grant in excess of that would constitute a profit to sponsor, the federal
share is reduced accordingly.
Sponsor’s share (amount of the $10,000 donated development applied to the project) $ 6,000
LWCF Assistance .........................................................................................…………..$ 6,000
Total .............................................................................................................................. $12,000
Both the Division of Outdoor Recreation and the National Park Service must agree on the
park and recreation board’s method of valuing in–kind contributions of goods and services
before project approval for such contributions to be considered as part or all of the board’s
matching share. Unexpected donations which occur after project approval may also be eligible
for reimbursement if requested by the park board and agreed to by the State. The procedures for
determining the value of in–kind contributions from private sector sources are as follows:
1. Valuation of Volunteer Services – Volunteer services may be contributed by professional
and technical personnel, consultants, and skilled or unskilled labor. Each hour of
volunteer service may be counted as part of the park and recreation board’s matching
share if the service is an integral and necessary part of an approved project. The records
of in–kind contributions of personnel services must include time sheets containing the
signature of the person whose time is contributed and of their supervisor verifying that
the record is accurate. The Donated Labor Form in the Appendix (page 141) may be used
for this purpose.
The value of donated personal services should be figured at the rate paid to an entry level
laborer. Sponsors must contact the local fiscal officer (clerk–treasurer, comptroller, or
76
county auditor) and ask for a letter specifying the amount paid to general laborers, and
from that information calculate the value of the donated service. If the donor is
professionally skilled in the trade or service being provided, such as an electrician
installing the electrical wiring or a plumber connecting the water supply, the rate this
individual is paid in their trade may be claimed for matching assistance. A letter from the
donor’s employer, on company letterhead, must document this rate. The method for
determining donated labor must be calculated in the project application and
documentation substantiating the wage rate to eventually be claimed must be provided.
Chapter Seven gives more detail on the required documentation.
2. Valuation of Donated Supplies, Materials and Equipment – The value of supplies,
materials, and equipment which are donated should be reasonable and not exceed the
current market prices at the time they are received for the project. Records of in–kind
contributions must indicate the fair market value by listing the comparable prices from
other vendors or the amount paid by the donor.
3. Valuation of Loaned Equipment – Occasionally, equipment used in the construction of a
park will be loaned to the project sponsor. The sponsor may claim the value of equipment
used as an in–kind contribution to the sponsor’s share of project costs. The computation
of equipment use rates can be based on the rates of local suppliers. These rates must be
documented on company letterhead. In order to receive reimbursement, project sponsors
must supply documentation signed by the donor stating: the date(s); number of hours
used per date; the type and model number of the equipment used; price per hour or day;
and total cost claimed as a donation.
4. Valuation of Other Donations – Other donations received by the board specifically for
and in direct benefit to the project may be accepted as part of a local agency’s matching
share, provided that the values of these donations are adequately supported and
permissible under the law. Such donations must be reasonable and properly justifiable.
Project Reviews
Another step in processing a project requires the submission of the project plans and the
specifications to various agencies for the appropriate reviews. This section discusses the major
reviews required for the development projects. Occasionally, one review may cause the need for
another review by an agency not listed in this section.
Fire Prevention and Building Safety Review
If a park and recreation board proposes the development of a new building or alterations to
an existing building, the plans and specifications for the new construction must be sent to the
Department of Fire and Building Services for review at least one month before the bids are to
be let or construction started. These plans are to be prepared by an architect or engineer
registered in the State of Indiana, or under his or her other direct supervision. Sponsors
completing projects in Marion County must submit four sets of plans and specifications; all
other sponsors need to submit only three. The Department will distribute copies of the plans to
the State Board of Health if necessary. For more information, a park and recreation board may
77
write to the following address:
Indiana Department of
Fire and Building Services
402 W. Washington St., Rm. E 246
Indianapolis, IN 46204
Telephone: 317–232–6422
Applicants should expect to pay a fee for this review.
Water Pollution Review
If a park and recreation board proposes construction of a sanitary sewer system, including
additions or alterations to existing systems, plans and specifications must be submitted directly
to the Indiana State Board of Health for review and issuance of a construction permit. Such
projects include public buildings, restrooms, dump stations for campgrounds, pools,
bathhouses, etc. The plans submitted must show all water supply lines and where those lines
connect into existing systems. Copies of the permit application forms, and additional
information related to these requirements may be obtained from:
Indiana State Dept. of Health
Division of Sanitary Engineering
2 North Meridian Street
Indianapolis, IN 46204
Telephone: 317–233-7173
If there is a question as to whether a project will require a permit, be sure to call before
project construction begins. Applicants can expect to pay a fee to obtain a permit.
Division of Water Review
Construction in the 100 year floodplain or alterations to the shoreline or bed of a public fresh
water lake requires a permit from the IDNR’s Division of Water. Such construction may include
fills, buildings, dams, excavations, bridges, piers, or levees. It also includes recreation
development such as picnic shelters, ballfields, tennis courts, fishing ponds, swimming areas, or
picnic and playground equipment.
Indiana Department of Natural Resources
Division of Water
402 West Washington Street, Room W262
Indianapolis, IN 46204
Telephone: 317-232-4160
www.in.gov/dnr/water/permits
Applicants should expect to pay a fee for this review.
Flood Insurance
78
The Federal Flood Disaster Protection Act of 1973 (P.L. 93–234), requires the purchase of
flood insurance for certain types of facilities constructed in the floodplain. Indiana regulations
apply to existing developments as well. Communities affected by designated flood hazard areas
as determined by the Department of Housing and Urban Development and later by the Federal
Emergency Management Agency, will initially be required to join the flood hazard insurance
program. Project sponsors may wish to contact their city/county executive or the Division of
Water regarding the community’s status in the flood insurance program and the eligibility of
existing park structures for insurance.
Army Corps of Engineers
Section 404 of the Federal Water Pollution Control Act, Amendments of 1972 gave the U.S.
Army Corps of Engineers regulatory responsibilities to maintain certain water quality in our
nation’s navigable waters. A 1975 court case mandated that the Corps’ authority be expanded to
regulate the disposal of dredged or fill material in all water of the United States. Thus, anyone
proposing construction that will involve the discharge of dredged or fill material will be
required to obtain a Corps of Engineers’ permit.
Along with the discharge of material which has been dredged or excavated from any waters
of the United States, the following additional types of activities are regulated by this program:
site development fills for recreational, industrial, commercial, residential, and other uses;
causeways or road fills; dams and dikes; artificial islands; property protection and/or
reclamation devices such as riprap, groins, seawalls, breakwater, bulkheads and fills; beach
nourishment; levees; sanitary landfills, and backfill required for the placement of structures
such as sewage treatment facilities.
Applications for a permit under this program may take up to six months to be approved.
Project sponsors are urged to contact the applicable district office of the Corps of Engineers
well in advance of the application deadline, so that processing of the project is not delayed.
Applications for permits should be submitted to either office listed below, depending on the
location of the project.
The Louisville U.S. Army COE
Regulatory Division
P.O. Box 59
Louisville, KY 4040 1-0059
Phone: 502-315-6733
FAX: 502-315-6677
http://www.lrl.usace.army.mil/
U. S. Army Corps of Engineers
South Bend Field Office
2422 Viridian Dr. Suite 101
South Bend, IN 46628
Phone: (574) 232-1952
FAX: (574) 232-3075
79
Division of Outdoor Recreation Review
Another review required for all development projects is a review of the plans,
specifications, and contracts by the grants coordinator. The project will be reviewed for
compliance with federal accessibility regulations. State regulations regarding bidding
procedures must be adhered to. The project will be reviewed for compliance with the scope of
the project as written in the Project Agreement. Sponsors needing additional information
regarding this review should contact their grants coordinator at the following address:
Indiana Dept. of Natural Resources
Division of Outdoor Recreation
402 W. Washington Street, Room 271
Indianapolis, IN 46204
Telephone: 317–232–4070
Fax: 317-233-4648
www.in.gov/dnr/outdoor
Other Considerations Regarding Development
In addition to the types of development costs and methods of developing facilities, there are
other factors which may be considered for a Land and Water Conservation Fund development
project. These considerations are explained as follows.
Private Facility Competition
Throughout the planning stages of a project, a park and recreation board should be careful
not to create a competitive situation with private outdoor recreation facilities. In those instances
where a community’s recreation needs are being adequately met through private investment,
proposals that will compete with privately financed and operated developments already
providing identical or similar recreation opportunities should be avoided. If such a situation will
result from a LWCF assisted project, it must be explained in the project application.
Design of Facilities for Persons with Disabilities
The National Park Service (NPS) requires that all facilities developed with assistance from
the Land and Water Conservation Fund must be designed in conformance with Section 504 of
the Rehabilitation Act of 1973 and the Architectural Barriers Act of 1968. These Acts ensure
that structures financed with Federal funds are designed and built accessible for persons with
disabilities. Project sponsors should consider the needs of persons with disabilities in every
park’s design. Project sponsors are encouraged to refer to the American's with Disabilities Act
and Architectural Barriers Act Accessibility Guidelines (ADAABAAG) for design standards.
Using universal design is preferred because it addresses the needs of all citizens.
The Access Board is an independent Federal agency responsible for developing and
maintaining accessibility guidelines and standards which can be downloaded from their website
www.accessboard.gov or requested from:
80
The Access Board
1331 F Street, NW, Suite 1000
Washington, DC 20004-1111
(800) 872-2253 (v) (800) 993-2822 (TTY)
email: [email protected]
Temporary Signage
Project sponsors are required to display signs identifying the use of Land and Water
Conservation Funds on project sites. Permanent signs must be installed on all project sites after
projects are completed, as explained in Chapter Eight. During the project period a temporary
sign must be erected for all development projects.
LWCF signs are to be posted for development projects at the time construction action is
initiated. The temporary sign must remain until the project is completed and a permanent sign is
installed. In the case of combination projects, temporary signs will be installed at the time of the
development is initiated, with the sign acknowledging both acquisition and development.
Publicizing an acquisition project, by the installation of signs, may adversely affect land
negotiations. Therefore, a temporary sign is optional. The display of dollar amounts for
acquisition projects is optional since it may jeopardize land negotiations. In all cases, a
permanent sign must be displayed after the land has been acquired.
Temporary signs are to be similar to the illustration on the permanent signs. Unless
precluded by local sign ordinances, the sign shall be large enough to read when posted at a
reasonable location. The name of the sponsoring park board should be noted and the second line
identifies the type of recreation project; acquisition, development, or both. The sign should be
painted in contrasting but not obtrusive colors. The cost of constructing the temporary sign is
eligible for matching assistance.
Acquisition Requirements Affecting Development
In order to prevent the circumvention of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended (42 U.S.C. 4601 et seq.), which is
explained in Chapter Five, a provision in the law mandates compliance with the Act for future
development projects.
If the proposed development project will be built on land that was acquired within the past
five years, assurances must be given that the Uniform Relocation Assistance and Real Property
Acquisition Policies Act was observed, even if no federal money was used to purchase the land,
unless the local agency can document that planning to obtain LWCF assistance had not been
initiated at that time. Documentation might include the time initial contacts were made with the
state Grants Staff regarding a project submission, or the receipt of Land and Water
Conservation Fund requirements. Assurances must be given that (42 U.S.C. 4601 et seq.) was
followed.
Documentation needed to verify that proper land acquisition procedures were followed
81
might include evidence that the landowner was offered and/or paid the appraised value for the
property. Many project sponsors have used Land and Water Conservation Funds, Community
Development Funds, or another federal assistance program to acquire park property. In such
instances, adherence to the federal law would be relatively easy to document. As part of the
Program Narrative of the application, the project sponsor is asked to indicate when the land for
the park was purchased. If the park land was purchased within the last five years, the Grants
Staff will advise the project sponsor on the type of documentation that will be needed.
It must be remembered that all lands acquired after September 2, 1971, are subject to the
requirements of P.L. 9 1–646 if future federal funds for development are contemplated. Project
sponsors that disregard proper land acquisition procedures will jeopardize future development
grants.
82
Chapter Seven
Obtaining Reimbursement
Reimbursement
After the National Park Service has approved the project and reserved LWCF monies and the
appropriate permits, approvals, plans etc. have been obtained, the park and recreation board may
take title to the land or begin development. The grant funds will be made available to the park
board on a reimbursement basis. In order to receive the money reserved for the project, a billing
must be submitted to your grants coordinator. The staff will process this information and
transmit the billing request to the NPS. It takes a minimum of five weeks for the park board to
receive reimbursement. As of July 1, 2006 the State of Indiana Auditor requires electronic funds
transfer to reimburse grant programs. The Vendor Information form in the Appendix (page 158)
should be completed and returned to the grant coordinator along with the signed State project
agreement.
Cash Flow
Since the grant program is administered as a reimbursement process rather than an
immediate grant, project sponsors must first pay the bills and then request 50% reimbursement.
During the more active periods of the project work, the project sponsor may encounter times
when the cash flow for expenses increases and the reimbursements are not returned in time to
assist in the bill payments. In those instances, the park and recreation board may have to transfer
funds among its own accounts or request a short term loan from another city account, such as
the city utilities. These transfers are permissible; however, the clerk–treasurer or auditor must
be aware of the proper Board of Accounts procedure to follow. Remember that the project must
be correctly entered in the park board budget in order for an interdepartmental transfer to occur.
The total amount of the project costs must be appropriated in the budget, although half of this
amount can be shown as coming from federal funds rather than local tax sources.
Figure 1
Billing #
1
2
3(final)
Totals
Costs
Incurred$60,000
20,000
20,000
100,000
Reimbursement
Request$30,000
10,000
10,000
50,000
83
Project
Balance
$100,000
70,000
60,000
50,000
For example, if a park board were to receive a $50,000 grant for a $100,000 project, the
reimbursement cycle could progress as in Figure 1.
Incurred Costs
To be eligible for matching assistance, costs must be incurred within the project period. The
park and recreation board may not take title to land or begin development until after the project
has been approved by the National Park Service. The only costs incurred before project
approval that are eligible for reimbursement are professional services, archaeological services,
and grant application preparation fees which were documented as preagreement costs in the
project application. Other preagreement costs are not eligible for matching assistance.
Costs incurred after the project has expired are ineligible for assistance. Items added to a
project by a change in scope amendment must be approved before costs may be incurred for the
items.
Reimbursing Land Donations
When land donations are part of an LWCF project scope, the rate of reimbursement will be
greater than the typical 50%. Land donations are not directly reimbursed instead they are
credited to the grant account when acquired. If the land donation has met the amount of the
local match the project development costs will be reimbursed at 100%. For example, a park
board has been awarded a $200,000.00 LWCF grant with a total project cost of $400,000.00.
Their local match is a donated parcel of land appraised at $200,000.00 and they will spend
$200,000.00 to develop their new park. When they receive title to the parcel and the LWCF
encumbrance language has been added to the deed, the grant coordinator can reimburse their
development costs at 100%.
If the donated land value does not meet the total amount of the local match, billing requests
will be reimbursed at a ratio based on the grant award to the remaining development costs. For
example, the park board has a $400,000.00 total project cost with a $200,000.00 grant award. If
their donated land value equals $100,000.00 they will spend $300,000.00 on development costs.
Therefore, reimbursements will be based on the ratio of the grant award to the remaining total
project cost, which in this example is two-thirds.
Billing #
1 (partial)
2 (final)
Totals
Donated Land Value
Credit
Costs Incurred
$100,000
$100,000
$210,000
$90,000
$300,000
84
Grant
Reimbursement
at 2/3
$140,000
$60,000
$200,000
Project
Balance
$400,000
$90,000
0
Income Generated on Project Site
Income earned by the project sponsor during the project period from sources other than the
intended recreation use will either be used to reduce the total project cost (thus reducing the
grant by 50% of the earned income), or for additional acquisition or development at the site.
Examples of such income include the sale or rental of structures, the sale of timber or crops, and
the lease or rental of the land. Income from user fees or concessionaire operations related to the
recreational facilities is not included. An explanation of all anticipated types of income must
accompany the project application. The income may have to be deducted from project
reimbursements and appropriate documentation submitted to indicate the amount being
deducted.
After the project period, any income from the extraction of subsurface minerals or the sale of
structures or improvements acquired with LWCF assistance must be used to (1) reduce future
LWCF grants to the park board, or (2) to further outdoor recreation acquisition or development at
the project site or another park operated by the park board. The use of such income shall be
approved by the state and National Park Service in a formal agreement.
Billing Submittal
Separate billings must be submitted on each project for which a park board has a LWCF
grant. These billings should be numbered consecutively, beginning with number one. Billings
may be submitted monthly; however, project sponsors are encouraged to submit billings on a
quarterly basis. The federal amount of each billing should total at least ten percent of the LWCF
grant amount, with the exception of the final billing.
Billing Documentation
There are several types of documentation which must be submitted with each billing. All
billings are submitted on the Grant Billing Form (Appendix, page 137), accompanied by various
supporting documents depending upon the type of project. One copy of the billing form is
submitted with each reimbursement request. A blank form is in the Appendix, and copies may
be made for subsequent billings. Billing forms may also be obtained in electronic format by
contacting the Grants Staff.
Acquisition Projects
A billing request for acquisition costs should include the following items:
1. Claim Vouchers – One copy, front and back, of itemized claim vouchers. Claim
vouchers must be certified (signed) by the authorized board members and the proper city
or county officials. The project name and number should be specified on the claim
vouchers. The warrant number of the check payment should also be entered on the
vouchers.
2. Cancelled Checks – One copy, front and back, of the cancelled check corresponding to
each claim voucher.
85
3. Warranty Deeds – Two copies of the recorded warranty deed for each parcel transferring
title land to the park and recreation board.
4. Statement of Just Compensation and Offer to Purchase – Two copies of the Statement of
Just Compensation and Offer to Purchase Form, signed by the former landowner of a
negotiated purchase or bargain sale acquisition. Contact your state grant coordinator for
the proper form.
5. Waiver of Just Compensation –Two copies of the Waiver of Just Compensation Form
signed by the former landowner for a bargain sale acquisition. Contact your state grant
coordinator for the proper form.
6. Court Award – Two copies of the court award indicating the land value if the acquisition
is by condemnation.
7. Relocation Information – One copy of the relocation forms and supporting data. Special
forms for computing the relocation costs are available from the Grants Staff.
8. Closing statements – One copy of the closing statement or other documentation showing
that incidental expenses were paid by the board whether or not federal reimbursement is
being requested.
Development Projects
A billing for development costs should include the following items:
1.
Invoices – One copy of invoices from firms or individuals performing work, supplying
materials or equipment for the project. The project name and number should be specified
on invoices. The eligible costs should be identified if items which are not part of the
project are included.
2.
Claim Vouchers – One copy, front and back, of itemized claim vouchers corresponding
to the invoices. The claim vouchers must be certified (signed) by the authorized park and
recreation board members and the proper city or county officials. The project name and
number should be specified on both claim vouchers. If the claim voucher contains items
which are not part of the federal project, all eligible items need to be identified. The
eligible items should be designated with the project number. This designation should be
made at the time the claim voucher is prepared.
Park and recreation boards are tax exempt and therefore, cannot be reimbursed for
payment of sales tax. If sales tax is inadvertently included in a vendor’s invoice, it should
be identified as an ineligible cost and deducted from the billing.
3.
Cancelled Checks – One copy, front and back, of the cancelled checks corresponding to
the claim vouchers. If the check includes payment for ineligible items, the amount
included in the billing should be written on the check and labeled as ineligible.
4.
Force Account Information – If force account costs are claimed in a development billing,
86
the following types of information are required.
a.
Payroll – One copy of the board’s payroll for the time period for which force
account costs are being claimed. The names of those individuals for which
force account cost are claimed should be circled.
b.
Cancelled Checks – One copy, front and back, of the cancelled checks
corresponding to the force account items. The amount paid for eligible costs
should be indicated on the checks by writing “Eligible Costs” across the checks
and the amount.
c.
Force Account Labor Form – One copy of the form, which includes a statement
that the individuals for which force account costs are claimed, performed the
listed work. This statement should be signed by both the employee and the park
superintendent. An example of this statement may be found in the Appendix
(page 139).
5. In–kind Contributions – The following documentation is required for each of these types
of these contributions.
a.
Donated Labor – The Donated Labor Form, in the Appendix (page 141), must be
completed for each person donating labor for construction and signed by the
donor and park board supervisor. The per hour value of the labor donations will
usually have been documented in the project application by clerk–treasurer’s
and/or employers’ letters as explained in Chapter Three. If a skilled construction
person donates time and has not previously provided evidence of his or her
hourly wage rate, it should be submitted with the billing.
b.
Donated Materials – A letter from the donor, which briefly describes the items
and indicates they were given for the park project, must be provided. To
establish the value of the gift, quotations of prices for similar materials should be
provided from two local commercial suppliers. The lower of the two will
establish the donated value.
c.
Donated Equipment – A letter from the donor, which briefly describes the
equipment and its use in the project construction, must be submitted. For
equipment to be installed in the park, quotations from suppliers of the purchase
price of similar equipment will be the value for billing purposes. In the case of
construction equipment, quotations of local rental rates from other suppliers and
the donor may be used to determine the donated rate per hour. The donor’s letter
for construction equipment must indicate the dates, hours, and type of work
performed for the project.
d.
Donated Cash – Since these contributions are used to pay expenses for a project,
the regular payment documentation will suffice for cash gifts.
Billing Assembly
87
To speed the process, billing documents should be compiled in an orderly manner. One copy
of the signed Grant Billing Form, claim vouchers, cancelled checks, and invoices are required.
It is recommended that the invoice, claim voucher, and cancelled check for each payment be
stapled together separately, along with any other applicable acquisition or construction
documents as outlined earlier. For donated elements, each contribution should be listed on the
billing form and the supporting evidence of value and donation indicated above should be
stapled together separately.
These supporting materials for payments and gifts should be compiled into one stack with the
billing form on top. A transmittal letter should identify any items on claims that were deducted
due to ineligibility and provide a short summary of the project’s status to date.
Although a claim or invoice may be familiar to the project sponsor, it may be highly
questionable for processing by the State. Claims or invoices marked simply “paint”, “lumber”,
“plumbing supplies” or claims which are illegibly written will be returned for further
explanation. Construction materials need to be properly identified with a project scope item
such as “paint for tennis court”. Failure to identify all eligible costs may result in a billing
process delay. In most cases, questionable items will not be reimbursed.
Final Billings
Billings may be submitted for up to ninety–five percent of the project costs prior to final
billing. Reimbursement for five percent of the project costs is withheld until the project is
completed and a final inspection is made by the Grants Staff. One copy of the signed Post
Construction Certificate (Appendix, page 143) must accompany the final billing for
development projects. This form, which is in the Appendix, is completed by the supervising
architect or engineer on the project. If the project did not involve a consulting architect or
engineer, then the park board’s engineer should inspect the project and sign the Post
Construction Certificate. The final billing should be submitted to your grants coordinator within
sixty days of the project completion or expiration, whichever comes first.
Project sponsors should expect the final billing to take longer to process than progress
billings, and should arrange their financing accordingly. An “as built” or “as acquired” site plan
which clearly delineates the completion date, property dimensions, and location of the LWCF
scope items or parcels of land acquired must be submitted with the final billing. This site plan
will serve as a permanent part of the record of LWCF assistance at the park, and thus must be
agreed to by the Department of Natural Resources and National Park Service. The Grants Staff
will work with the park board in documenting the final site plan. When the plan is mutually
satisfactory to NPS, the state, and park board, the project sponsor must file the “as
built/acquired” site plan and the form entitled Federal Protection Conditions for Outdoor
Recreation with the deed (plat map) records for the project maintained by the county in the
courthouse/office building. This statement explains the permanent federal protection afforded
the site. Evidence that these items have been recorded must be received by the Grants Staff
before the final reimbursement will be issued.
88
Billing Checklist
The park and recreation board president or the superintendent will want to review
the billing to make sure that it has been properly assembled. These checklists have
been developed to aid this review.
Acquisition Billing Checklist
_______ 1. One of the Grant Billing Form.
_______ 2. One copy, front and back, of the itemized claim vouchers, unless the entire
acquisition is by donation.
_______ 3. One copy, front and back, of cancelled checks.
_______ 4. One copy of the recorded warranty deed.
_______ 5. One copy of the Statement of Just Compensation and Offer to Purchase for
negotiated purchases and bargain sales.
_______ 6. One copy of the Waiver of Right of Just Compensation (for bargain sales).
_______ 7. One copy of the court award concerning the land value for acquisition by
condemnation, if applicable.
_______ 8. One copy of the relocation forms and supporting information, if applicable.
_______ 9. One copy of the closing statement or other documentation showing that incidental
expenses were paid by the project sponsor, as required.
Development Billing Checklist
______ 1. One copy of the Grant Billing Form.
______ 2. One copy of the invoices for development costs.
______ 3. One copy, front and back, of itemized claim vouchers.
______ 4. One copy, front and back, of cancelled check
______ 5. One copy of the force account information, if applicable.
a. Payroll
b. Cancelled Checks
c. Force Account Labor Form
______ 6. One copy of the in–kind contribution information, if applicable.
a. Donor's Letter or Donated Labor Form
b. Evidence of Value
______ 7. One copy of the Post Completion Construction Certificate, if a final billing.*
______ 8. A short summary of the project's status to date.
* Before final reimbursement can be processed, the applicant must show proof that the "Federal
Protection for Outdoor Recreation" attachment has been included as a covenant to the deed.
89
Chapter Eight
Closeout and Post Completion Responsibilities
Project Completion
The date of completion is when all work in the scope of a LWCF project has been
completed, or the project expiration date occurs, whichever comes first. The project sponsor
should submit the final billing and closeout documents within sixty days of the date of
completion.
Upon notification of project completion, your grants coordinator will conduct a final
inspection. The National Park Service may also make a final inspection, but it may not take
place until a later date.
Final billing documentation is explained in Chapter Seven. Final billings must include
closeout documents along with the “as built” or “as acquired” site plan. The plan must identify
the work funded by the grant, completion date, boundaries of federal jurisdiction, and otherwise
be similar to the site plans illustrated in Chapter Three. In some cases, there may be no changes
from the site map submitted with the grant application other than labeling it with the completion
date. The grants and NPS staff may need to make additional notations or revise information on
the map. When the final version has been agreed upon by all parties, copies will be provided to
the park board, IDNR, and NPS.
This site map becomes part of the permanent records of the IDNR and the NPS. It is also to
be kept permanently in the project sponsor’s public property records and available for public
inspection with the project agreement. It must be identified as having been acquired or
developed with Land and Water Conservation Fund assistance and also state that it must remain
in public outdoor recreation use in perpetuity.
The park board must also officially record the final site plan, along with a copy of the
Federal Protection Conditions for Outdoor Recreation found in the Appendix (page 144), with
the deed records for the site which are maintained in the county courthouse/office building. The
federal protection attachment explains the permanent protection provided by the LWCF Act
against conversion of the park to uses other than public outdoor recreation. Evidence that these
two documents have been recorded must be submitted before the final reimbursement will be
returned to the park board.
In order for a project to be considered completed and ready for final billing, a permanent
Land and Water Conservation Fund sign must be displayed on the site.
LWCF Acknowledgement Sign
90
A Land and Water Conservation Fund sign must be permanently displayed on all projects
when completed. The sign should give adequate recognition to each agency involved in the
acquisition or development of the particular site, and indicate the project was a cooperative
program for outdoor recreation assisted by the Land and Water Conservation Fund. The cost of
constructing the sign is eligible for matching assistance and should be included in the cost
breakdown with the project application.
The permanent sign should be made of materials that will withstand the elements and be
placed on the park sign or gatehouse, away from vandals. The size of these signs may vary, but
they should not be smaller than the example shown on page 159. For those park and recreation
boards which do not desire to design and construct their own signs, vinyl signs are available for
purchase by contacting:
Indiana Park and Recreation Association
P.O. Box 3906
Carmel, IN 46082
Telephone: 317-573-4035
Fax: 317-573-3991
www.inpra.org
Audits and Record Retention
In addition to the documents submitted to the State, copies of all construction plans,
specifications, bid advertisements, bid tabulations, contracts, and change orders must be
retained by the park board for a period of three years, commencing after the final
reimbursement has been received, or until audit findings have been resolved. Records regarding
acquisition projects should also be kept, particularly a history of negotiations with the
landowner. All accounting records and project data are subject to State and Federal audit. The
Federal Government reserves the right to question any item for which reimbursement was
received until an audit is made. All park and recreation board files are subject to audit by the
State Board of Accounts, which reviews fiscal procedures for state and federal compliance.
The State Board of Accounts is required to audit all local units. If federal funding has been
received, the audit must meet the requirements of Office of Management and Budget (OMB)
Circular A–128. Federal assistance will be examined in detail and any negative findings will be
highlighted. A copy of the audit report must be sent to the Grants Staff for project records.
Negative findings will be handled on a case–by–case basis. Negative findings must be resolved
before any future grants will be approved. Audit requirements are stated in the Project
Agreement.
Inspections
Upon project completion, a final inspection will be made by the Grants Staff prior to
authorization of the final reimbursement. Completed projects are inspected periodically by the
Division of Outdoor Recreation and copies of the inspection report are sent to the park board.
91
These inspections are made to ensure that 1) the site is being used for the purposes intended, 2)
the park is attractive and properly maintained, 3) the area is accessible and open to the general
public, 4) a Land and Water Conservation Fund sign is posted at the site, and 5) there appears to
be adequate staff to ensure proper safety and servicing to the facilities. It must be emphasized
that neither the State of Indiana, nor the Federal Government, has any desire to become
involved in the daily operation and maintenance of a funded facility. The operation and
maintenance requirements are no more restrictive than those desired by the taxpayers for the
park they have helped to finance.
Operation and Maintenance
Property acquired or developed with Fund assistance must be properly operated and
maintained for general public use. The site should appear attractive and inviting to the public.
Proper sanitation and sanitary facilities should be maintained in accord with health standards.
The site should be maintained for safe public use. Buildings, roads, trails, and other
improvements should be kept in reasonable repair throughout their lifetime to prevent undue
deterioration and to encourage public use. Evidence of vandalism should be repaired as quickly
as possible.
General Public Use
The park should be open for general public use at reasonable hours and times of the year
according to the type of area or facility. Property acquired or developed with federal assistance
shall be open to entry and use by all persons regardless of race, color, religion, gender, national
origin, age, handicap or place of residence. The park cannot be restricted for use by only certain
residents. A higher user fee may be charged to out–of–city or out–of–county residents, but it
may be no more than twice that charged to residents. Where there is no charge for residents, but
a fee is charged to nonresidents, nonresident fees cannot exceed fees charged at comparable
State or local public facilities. Reservation, membership, or annual permit systems must also be
available to nonresidents and the period of availability must be the same for both residents and
nonresidents. These provisions apply only to the recreation areas described in the Project
Agreement.
Project sponsors may impose reasonable limits on the type and extent of use of areas and
facilities acquired or developed with LWCF assistance when such a limitation is necessary for
the protection of the site. Thus, limitations may be imposed on the number of persons using an
area or facility or the types of use, such as “hunters only” or “hikers only”. All limitations shall
be in accord with the grant agreement and amendments.
Facilities may also be scheduled for use by private groups, such as a ballfield for a Little
League or shelter for a family reunion. Such a reservation system cannot be used to the extent
that a facility is reserved for the exclusive use by special interest groups and is never available
during general use hours for the public at large. Permits for the use of facilities must be in
accord with federal nondiscrimination provisions.
92
Nondiscrimination Audits
The Department of the Interior, Office for Equal Opportunity periodically conducts desk and
on–site audits of local park agencies which have received LWCF assistance. The reviews
involve compliance with Title VI of the Civil Rights Act and Section 504 of the Rehabilitation
Act, as explained in Chapter Four and the Appendix beginning on page 133. An audit may take
place long after a project has been completed since grant recipients must comply with the
nondiscrimination provisions forever. Project sponsors are responsible for voluntary compliance
with any audit findings which need to be resolved.
Perpetual Park Use
Property acquired or developed with assistance from Land and Water Conservation Fund
must be retained and used for public outdoor recreation in perpetuity. Any property so acquired
or developed shall not be wholly or partly converted to other than public outdoor uses without
the approval of the Secretary of the Interior. Land acquired or developed with Fund assistance
cannot be sold or converted into non-park uses, such as for public roads, schools, libraries, or
overhead utility corridor.
Indoor recreation facilities may be constructed with local funds on Fund assisted land as long
as the facility development is compatible with outdoor recreation uses. Such facilities must be
brought to the attention of the Division of Outdoor Recreation prior to their construction.
In general, compatible indoor recreation facilities will be permitted as long as the amount of
land converted to indoor recreation use is only a small portion of the total park area.
Construction of non-recreational buildings, such as a fire station or a city hall will not be
allowed since the land would be converted to non-recreation use. All future development on
LWCF assisted land must be designed to be accessible to persons with disabilities even if
federal assistance was not requested nor used for the development.
Retention of Outdoor Facilities
Since this program funds only outdoor facilities, they cannot be converted for permanent
indoor use. For example, a picnic shelter built with Land and Water Conservation Funds cannot
be enclosed to become an indoor picnic pavilion or a community center. The structure could be
temporarily enclosed to become a warming house for ice skating or other winter sports
activities, because this use would be as a support facility for outdoor recreation. The only
exceptions to permanently enclosing facilities for indoor recreation are swimming pools and ice
rinks.
Federal requirements also apply to future improvements on a LWCF assisted facilities. For
example, lighting of a LWCF assisted ballfield would have to include the replacement of power
lines underground. All future utility lines must be placed underground.
93
Project sponsors are not required to continue operation of a facility beyond its useful life;
however, the LWCF Act requires that project sponsors continue to maintain property defined in
the Project Agreement for public outdoor recreation use. If, in the judgment of the State, the
facility is needed and was lost through neglect or inadequate maintenance, then replacement
facilities must be provided at the current value of the original investment.
Leasing of Project Sites
A park board may provide for the operation of a site acquired or developed with LWCF
assistance by leasing the facility to another party. The park board must irrevocably agree to
provide suitable replacement property should the public use of the leased facility be restricted or
the outdoor recreation resource be compromised.
All lease documents for the operation of LWCF assisted projects by private organizations or
individuals must address the following:
1. In order to protect the public interest, the project sponsor must have the clear ability to
periodically review the performance of the lessee and terminate the lease if its terms and
the provisions of the grant agreement, including standards of maintenance, public use,
and accessibility, are not met.
2. The document should clearly indicate that the leased area is to be operated by the lessee
for public outdoor recreation purposes in compliance with provisions of the Land and
Water Conservation Fund Act and implementing guidelines.
3. The document should require that the area be identified as being publicly owned and
operated as a public outdoor recreation facility in all signs, literature, and advertising and
the lessee be identified as such so the public will not be misled into believing the area is
private. Signs should also be posted identifying the facility as open to the public.
4. The document should require that all fees charged by the lessee to the public be
competitive with similar private facilities.
5. The lessee must include requirements that the lessee comply with Title VI of the Civil
Rights Act and Section 504 of the Rehabilitation Act in providing equal opportunity for
public use of the park facility and in the lessee’s employment practices. The site must
also be maintained to be accessible to persons with disabilities under the Architectural
Barriers Act and the Americans with Disabilities Act.
6. The lease term must be for a limited number of years and may not be automatically
renewable, since the permanent transfer of property rights is not allowed under the
LWCF program.
Conversions of Use
As previously stated, property acquired or developed with assistance from the Land and
Water Conservation Fund may not be converted to a non–outdoor recreation use. Section 6(f)(3)
94
of the Land and Water Conservation Fund Act specifically prohibits such conversions without
the prior approval of the U.S. Department of the Interior. Typical types of conversions are:
1. Property interests are conveyed by the project sponsor to another party for full or partial
control of the land, which would result in uses other than public outdoor recreation as
approved by NPS. This includes granting any control of the land, such as through
easements, rights–of–way, and leases, for the construction and maintenance of a utility
line, pipeline, irrigation ditch, road, or similar facility. It applies to above and below
ground impacts.
2. Non–outdoor recreation uses (public or private) are made of the project area, or a portion
thereof. This could include the construction of structures or facilities by the project
sponsor or others which would not be compatible with the existing outdoor recreation
uses, such as fire stations, civic centers, libraries, schools, and communication towers.
A possible exception could occur if the project sponsor, without relinquishing any control
over the area, would allow another party to construct an underground utility or similar
development. This would apply if the construction would not impair the present and future
recreational use of the property and the surface area would be restored to allow for
outdoor recreational use. A temporary construction permit must be prepared and no
permanent transfer of property rights may occur.
3. Ineligible indoor recreation facilities are developed within the project area. This might
occur if a facility such as a community center or indoor tennis center were built on a
project site without prior federal approval. Generally, if the park site is large and sufficient
outdoor recreation space will remain indoor recreation facilities may be allowed. On small
sites, however, where an indoor facility would dominate the space and restrict the usability
of the park for outdoor activities, such proposals will not be considered.
4. Public outdoor recreation use of property acquired or developed with LWCF assistance is
terminated. This might occur, for example, if the park or facility were closed, which could
be for a variety of reasons. Included would be title to the land reverting to a previous
owner due to reversionary clauses in the deed or another party exercising outstanding
rights which disrupt park use, which might happen with mineral extraction.
The above actions are not all–inclusive and other kinds of actions could result in a Section
6(f) conflict. The authority to make a final determination as to whether a potential section 6(f)
conflict exists rests with the National Park Service.
In certain situations a conversion cannot be avoided and the approval of NPS must be
sought. Land that is converted must be replaced with land of equal value, usefulness, and
location. Repayment of the amount of Land and Water Conservation Fund assistance in lieu of
replacement property will not be allowed, nor will construction of replacement facilities.
Conversion Prerequisites
Conversion requests will be considered by the IDNR only if the following prerequisites have
been met by the park board:
95
1. All practical alternatives to the conversion have been evaluated and rejected on a sound
basis.
2. Replacement property of equivalent value, usefulness, and location is available. The land
must constitute or be part of a viable outdoor recreation area, and meet the acquisition
criteria in Chapter Five. Depending upon the situation, the replacement property need not
provide identical recreation experiences or be located at the same site, provided it is in a
reasonably equivalent location. It must, however, be administered by the same park board
as the converted property. If LWCF funds were provided for acquisition of the original
project site, the replacement property must usually be acquired from private ownership.
Public land may not be used for substitution on acquisition projects unless it meets the
criteria in Chapter Five, for land acquired from other public agencies. This ensures that the
public recreation estate is increased as it was under the grant. This condition holds if the
first acquisition was by purchase or donation.
In the case where federal LWCF assistance was provided only for the development of
facilities, the replacement land may either be acquired from the private sector or be nonrecreation land in other public ownership under the Chapter Five criteria, even if the other
public land is transferred without cost. If the conversion is approved, the replacement land
will be placed under LWCF 6(f) protection for permanent outdoor recreation use.
3. The fair market value of both the converted land and the replacement property must be
established in appraisals prepared according to the appraisal criteria in Chapter 5.
Property improvements must be excluded from all fair market value considerations for
replacement property. Exceptions are allowable only in those cases where replacement
property contains improvements which directly enhance its outdoor recreation utility. The
appraisals must be approved by the Department of Natural Resources and National Park
Service.
4. An Environmental Assessment must be prepared according to the format in the Appendix
(beginning page 113) for both the conversion land and the replacement site. Public
notification and opportunity for comment at a public meeting are a part of the assessment
process, as is archaeological clearance.
5. The proposed replacement property must be in accord with the state comprehensive
outdoor recreation plan.
6. Coordination with other federal agencies, including environmental and wetland reviews,
must be completed prior to submittal of the proposal to the IDNR.
7. The replacement land must be acquired in accord with the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970, as amended (42 U.S.C. 4601 et seq.),
as explained in Chapter Five. The replacement site may not be acquired nor the original
project area be converted to another use until after the IDNR and National Park Service
have approved the conversion.
Conversion Proposals
96
The request for a conversion is submitted to the Division of Outdoor Recreation. The
proposal must include:
1. A narrative explanation of the proposed conversion, alternatives considered and reasons
why they were rejected.
2. Two appraisals, one for the area to be converted and one for the replacement property.
3. Location and site maps for both sites.
4. An Environmental Assessment addressing the replacement site, including documentation
of public input and archaeological clearance.
5. Photographs of the two areas.
6. An explanation of coordination with other governmental units, especially federal agencies.
When the Grants Staff receives a conversion request, the proposal is reviewed and a field
inspection made of the two sites. If the state staff concurs with the local proposal, the request
will be forwarded to the National Park Service for approval.
97
Appendix
Land and Water Conservation Fund Project Agreement General Provisions..................................... 99
Overhead Wire and Environmental Intrusion Requirements............................................................ 107
Application Form.............................................................................................................................. 109
Application Form Instructions.................................................................................................. 110
Sample Application Form................................................................................................................. 112
Environmental Assessment............................................................................................................... 113
Environmental Impact Statements .................................................................................................... 120
Indiana’s Rare Plants and Animals ................................................................................................... 121
Federal Marina Policy....................................................................................................................... 122
Civil Rights Act of 1964 Title VI Guidelines................................................................................... 123
Assurance of Compliance Civil Rights Act of 1964, Title VI Rehabilitation Act of 1973 Age
Discrimination Act of 1975 .............................................................................................................. 132
Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion ............... 134
Grant Billing Form............................................................................................................................ 136
Billing Form Instructions......................................................................................................... 137
Force Account Labor Form............................................................................................................... 138
Force Account Labor Form Instructions.................................................................................. 139
Donated Labor Form......................................................................................................................... 140
Donated Labor Form Instructions............................................................................................ 141
Post Construction Certificate ............................................................................................................ 142
Federal Protection for Outdoor Recreation....................................................................................... 143
Sample Cost Breakdown................................................................................................................... 145
Information Needed to Begin the Section 106 Review Process ....................................................... 146
Section 106 Review Checklist .......................................................................................................... 147
Sample Building Plan ....................................................................................................................... 150
Sample Acquisition Site Plan ........................................................................................................... 151
Sample Development Plan................................................................................................................ 152
Information for All Base Maps......................................................................................................... 153
Base Map Information for Acquisition Projects ....................................................................... 154
Base Map Information for Development Projects .................................................................... 154
Supplemental Acquisition Form ....................................................................................................... 156
98
Land and Water Conservation Fund
Project Agreement General Provisions
Part I - Definitions
A.
The term "NPS" or "Service" as used herein means the National Park Service, United States
Department of the Interior.
B.
The term "Director" as used herein means the Director of the National Park Service, or any
representative lawfully delegated the authority to act for such Director.
C.
The term "Manual" as used herein means the Land and Water Conservation Fund Grants Manual
(NPS-34).
D.
The term "project" as used herein means a single project, a consolidated grant, a project element
of a consolidated grant, or project stage which is subject to the project agreement.
E.
The term "State" as used herein means the State or Territory which is a party to the project
agreement, and, where applicable, the political subdivision or public agency to which funds are
to be transferred pursuant to this agreement. Wherever a term, condition, obligation, or
requirement refers to the State, such term, condition, obligation, or requirement shall also apply
to the recipient political subdivision or public agency, except where it is clear from the nature of
the term, condition, obligation, or requirement that it is to apply solely to the State. For purposes
of these provisions, the terms "State," "grantee," and "recipient" are deemed synonymous.
F.
The term "Secretary" as used herein means the Secretary of the Interior, or any representative
lawfully delegated the authority to act for such Secretary.
Part II - Continuing Assurances
The parties to the project agreement specifically recognize that the Land and Water Conservation Fund
assistance project creates an obligation to maintain the property described in the project agreement
consistent with the Land and Water Conservation Fund Act and the following requirements.
Further, it is the acknowledged intent of the parties hereto that recipients of assistance will use moneys
granted hereunder for the purposes of this program, and that assistance granted from the Fund will result
in a net increase, commensurate at least with the Federal cost-share, in a participant's outdoor recreation.
It is intended by both parties hereto that assistance from the Fund will be added to, rather than replace or
be substituted for, State and local outdoor recreation funds.
A.
The State agrees, as recipient of this assistance, that it will meet the following specific
requirements and that it will further impose these requirements, and the terms of the project
agreement, upon any political subdivision or public agency to which funds are transferred
pursuant to the project agreement. The State also agrees that it shall be responsible for
compliance with the terms of the project agreement by such a political subdivision or public
agency and that failure by such political subdivision or public agency to so comply shall be
deemed a failure by the State to comply with the terms of this agreement.
B.
The State agrees that the property described in the project agreement and the signed and dated
project boundary map made part of that agreement is being acquired or developed with Land and
Water Conservation Fund assistance, or is integral to such acquisition or development, and that,
without the approval of the Secretary, it shall not be converted to other than public outdoor
recreation use but shall be maintained in public outdoor recreation in perpetuity or for the term of
the lease in the case of leased property. The Secretary shall approve such conversion only if it is
found to be in accord with the then existing comprehensive statewide outdoor recreation plan and
only upon such conditions deemed necessary to assure the substitution of other recreation
properties of at least equal fair market value and of reasonably equivalent usefulness and location.
99
This replacement land becomes subject to Section 6(f) (3) protection. The approval of a
conversion shall be at the sole discretion of the Secretary, or his designee. Prior to the completion
of this project, the State and the Director may mutually alter the area described in the project
agreement and the signed
and dated project boundary map to provide the most satisfactory public outdoor recreation unit, except that
acquired parcels are afforded Section 6(f)(3) protection as Fund reimbursement is provided.
In the event the NPS provides Land and Water Conservation Fund assistance for the acquisition and/or
development of property subject to reversionary interests with full knowledge of those reversionary
interests, conversion of said property to other than public outdoor recreation uses as a result of such
reversionary interest being exercised is approved. In receipt of this approval, the State agrees to notify the
Service of the conversion as soon as possible and to seek approval of replacement property in accord with
the conditions set forth in these provisions. The State further agrees to effectuate such replacement within a
reasonable period of time, acceptable to the Service, after the conversion of property takes place. The
provisions of this paragraph are also applicable to: leased properties acquired and/or developed with Fund
assistance where such lease is terminated prior to its full term due to the existence of provisions in such
lease known and agreed to by the Service; and properties subject to other outstanding rights and interests
that may result in a conversion when known and agreed to by the Service.
C.
The State agrees that the benefit to be derived by the United States from the full compliance by the State
with the terms of this agreement is the preservation, protection, and the net increase in the quality of public
outdoor recreation facilities and resources which are available to the people of the State and of the United
States, and such benefit exceeds to an immeasurable and unascertainable extent the amount of money
furnished by the United States by way of assistance under the terms of this agreement. The State agrees that
payment by the State to the United States of an amount equal to the amount of assistance extended under
this agreement by the United States would be inadequate compensation to the United States for any breach
by the State of this agreement. The State further agrees, therefore, that the appropriate remedy in the event
of a breach by the State of this agreement shall be the specific performance of this agreement.
D.
The State agrees to comply with the policies and procedures set forth in the Land and Water Conservation
Fund Manual. Provisions of said Manual are incorporated into and made a part of the project agreement.
E.
The State agrees that the property and facilities described in the project agreement shall be operated and
maintained as prescribed by Manual requirements.
F.
The State agrees that a permanent record shall be kept in the participant's public property records and
available for public inspection to the effect that the property described in the scope of the project agreement,
and the signed and dated project boundary map made part of that agreement, has been acquired or
developed with Land and Water Conservation Fund assistance and that it cannot be converted to other than
public outdoor recreation use without the written approval of the Secretary of the Interior.
G. Nondiscrimination
1.
By signing the LWCF agreement, the State certifies that it will comply with all Federal laws relating
to nondiscrimination as outlined in the Civil Rights Assurance appearing at Part III-I herein.
2.
The State shall not discriminate against any person on the basis of residence, except to the extent that
reasonable differences in admission or other fees may be maintained on the basis of residence as set
forth in the Manual.
Part III - Project Assurances
A.
Applicable Federal Circulars
The State shall comply with applicable regulations, policies, guidelines and requirements including OMB Circular
A-i 02 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local
100
Governments), 43 CFR Part i 2 (Administrative and Audit Requirements and Cost Principles for Assistance
Programs, Department of the Interior), A-87 (Cost Principles for State and Local Governments), and A-i 28 (Audits
of State and Local Government) as they relate to the application, acceptance and use of Federal funds for this
federally assisted project.
B.
Project Application
1.
The Application for Federal Assistance bearing the same project number as the agreement and associated
documents is by this reference made a part of the agreement.
2.
The State possesses legal authority to apply for the grant, and to finance and construct the proposed facilities.
A resolution, motion or similar action has been duly adopted or passed authorizing the filing of the application,
including all understandings and assurances contained herein, and directing and authorizing the person
identified as the official representative of the State to act in connection with the application and to provide such
additional information as may be required.
3.
The State has the ability and intention to finance the non-Federal share of the costs for the project. Sufficient
funds will be available to assure effective operation and maintenance of the facilities acquired or developed by
the project.
C.
Project Execution
1.
The project period shall begin with the date of approval of the project agreement or the effective date of a
waiver of retroactivity and shall terminate at the end of the stated or amended project period unless the project
is completed or terminated sooner in which event the project shall end on the date of completion or
termination. For project elements added to a consolidated grant, the project period will begin on the date the
project element is approved.
2.
The State shall transfer to the project sponsor identified in the Application for Federal Assistance or the
Description and Notification Form all funds granted hereunder except those reimbursed to the State to cover
administrative expenses.
3.
The State will cause work on the project to be commenced within a reasonable time after receipt of notification
that funds have been approved and assure that the project will be prosecuted to completion with reasonable
diligence.
4.
The State will require the facility to be designed to comply with the Architectural Barriers Act of i 968 (Public
Law 90-480) and DOI Section 504 Regulations (43 CFR Part i 7). The State will be responsible for
conducting inspections to insure compliance with these specifications by the contractor.
5.
The State shall secure completion of the work in accordance with approved construction plans and
specifications,
and shall secure compliance with all applicable Federal, State, and local laws and regulations.
6.
In the event the project covered by the project agreement, including future stages of the project, cannot be
completed in accordance with the plans and specifications for the project; the State shall bring the project to a
point of recreational usefulness agreed upon by the State and the Director or his designee.
7.
The State will provide for and maintain competent and adequate architectural/engineering supervision and
inspection at the construction site to insure that the completed work conforms with the approved plans and
specifications; that it will furnish progress reports and such other information as the NPS may require.
8.
The State will comply with the terms of Title II and Title III, the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646), 94 Stat. 1894 (1970), and the applicable regulations
and procedures implementing such Act for all real property acquisitions and where applicable shall assure that
the Act has been complied with for property to be developed with assistance under the project agreement.
101
9.
The State will comply with the provisions of: Executive Order 11988, relating to evaluation of flood hazards;
Executive Order 11288, relating to the prevention, control, and abatement or water pollution, and Executive
Order 11990 relating to the protection of wetlands.
10.
The State will comply with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973, Public Law 93-234, 87 Stat. 975, approved December 31, 1976. Section 102(a)
requires the purchase of flood insurance in communities where such insurance is available, as a condition for
the receipt of any Federal financial assistance for construction or acquisition purposes, for use in any area that
has been identified as an area having special flood hazards by the Flood Insurance Administration of the
Federal Emergency Management Agency. The phrase "Federal financial assistance" includes any form of
loan, grant, guaranty, insurance payment, rebate, subsidy, disaster assistance loan or grant, or any other form
of direct or indirect Federal assistance.
11.
The State will insure that the facilities under its ownership, lease or supervision which shall be utilized in the
accomplishment of the project are not listed on the Environmental Protection Agency's (EPA) list of Violating
Facilities, pursuant to 40 CFR, Part 15.20 and that it will notify the NPS of the receipt of any communication
from the Director of the EPA Office of Federal Activities indicating that a facility to be utilized in the project
is under consideration for listing by the EPA. The State agrees to comply with all applicable standards, orders,
or regulations issued pursuant to the Clean Air Act of 1970. The State further agrees to insert this clause into
any contract or subcontract in excess of $100,000.
12.
The State will assist the NPS in its compliance with Section 106 of the National Historic Preservation Act of
1966 as amended (16 U.S.C. 470), Executive Order 11593, and the Archaeological and Historic Preservation
Act of 1966 (16 U.S.C. 469a-1 et seq.) by (a) consulting with the State Historic Preservation Officer on the
conduct of investigations, as necessary, to identify properties listed in or eligible for inclusion in the National
Register of Historic Places that are subject to effects (see CFR Part 800.8) by the activity, and notifying the
Federal grantor agency of the existence of any such properties, and by (b) complying with all requirements
established by the Federal grantor agency to avoid or mitigate adverse effects upon such properties.
13.
The State will comply with Executive Order 12432, "Minority Business Enterprise Development as follows:
(1)
Place minority business firms on bidder's mailing lists.
(2)
Solicit these firms whenever they are potential sources of supplies, equipment, construction, or services.
(3)
Where feasible, divide total requirements into smaller needs, and set delivery schedules that will
encourage participation by these firms.
(4)
For any project involving $500,000 or more in grant assistance (except for projects involving acquisition
only) the State or recipient shall submit, prior to the commencement of construction and every fiscal
year quarter thereafter until project completion, reports documenting the efforts to hire minority business
firms. These reports, SF 334, will be submitted one month following the end of each fiscal quarter (i.e.,
January 31, April 30, July 31, and October 31) to the appropriate National Park Service Regional Office.
(5) The Department of the Interior is committed to the objectives of this policy and encourages all recipients
of its grants and cooperative agreements to take affirmative steps to ensure such fairness.
The National Park Service Regional Offices will work closely with the States to ensure full compliance
and that grant recipients take affirmative action in placing a fair share of purchases with minority
business firms.
14.
D.
The State will comply with the intergovernmental review requirements of Executive Order 12372.
Construction Contracted for by the State Shall Meet the Following Requirements:
1.
Contracts for construction shall comply with the provisions of 43 CFR Part 12 (Administrative
102
and Audit Requirements and Cost Principles for Assistance Programs, Department of the
Interior).
E.
2.
No grant or contract may be awarded by any grantee, subgrantee or contractor of any grantee or
subgrantee to any party which has been debarred or suspended under Executive Order 12549. By
signing the LWCF agreement, the State certifies that it will comply with debarment and
suspension provisions appearing at Part III-J herein.
3.
In accordance with the "Stevens Amendment" (to Section 623 of the Treasury, Postal Service and
General Government Appropriations Act), for procurement of goods and services (including
construction services) having an aggregate value of $500,000 or more, the amount and
percentage (of total costs) of federal funds involved must be specified in any announcement of
the awarding of a contract.
Retention and Custodial Requirements for Records
1.
Financial records, supporting documents, statistical records, and all other records pertinent to this
grant shall be retained in accordance with 43 CFR Part 12 for a period of three years; except the
records shall be retained beyond the three-year period if audit findings have not been resolved.
2.
The retention period starts from the date of the final expenditure report for the project or the
consolidated project element.
3.
State and local governments are authorized to substitute microfilm copies in lieu of original
records.
4.
F.
The Secretary of the Interior and the Comptroller General of the United States, or any of their
duly authorized representatives, shall have access to any books, documents, papers, and records
of the State and local governments and their subgrantees which are pertinent to a specific project
for the purpose of making audit, examination, excerpts and transcripts.
Project Termination
1.
The Director may temporarily suspend Federal assistance under the project pending corrective
action by the State or pending a decision to terminate the grant by the Service.
2.
The State may unilaterally terminate the project or consolidated project element at any time prior
to the first payment on the project or consolidated project element. After the initial payment, the
project may be terminated, modified, or amended by the State only by mutual agreement.
3.
The Director may terminate the project 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 conditions
of the grant. The Director will promptly notify the State in writing of the determination and the
reasons for the termination, together with the effective date. Payments made to States or
recoveries by the Service under projects terminated for cause shall be in accord with the legal
rights and liabilities of the parties.
4.
The Director or State may terminate grants in whole, or in part at any time before the date of
completion, 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 shall
agree upon the termination conditions, including the effective date and, in the case of partial
termination, the portion to be terminated. The grantee shall not incur new obligations for the
terminated portion after the effective date, and shall cancel as many outstanding obligations as
possible. The NPS may allow full credit to the State for the Federal share of the non-cancelable
obligations, properly incurred by the grantee prior to termination.
5.
Termination either for cause or for convenience requires that the project in question be brought to
a state of recreational usefulness agreed upon by the State and the Director or that all funds
103
provided by the National Park Service be returned.
G.
Lobbying with Appropriated Funds
The State must certify, for the award of grants exceeding $100,000 in Federal assistance, that no Federally
appropriated funds have been paid or will be paid, by or on behalf of the State, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the awarding, extension, continuation,
renewal, amendment, or modification of this grant. In compliance with Section 1352, title 31, U.S. Code, the State
certifies, as follows:
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, and
officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing
or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative
agreements) and that all subrecipients shall certify accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by Section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject
to a civil penalty of not less than $10,000 and not more than $100, 000 for each such failure.
H. Provision of a Drug-Free Workplace
In compliance with the Drug-Free Workplace Act of 1988 (43 CFR Part 12, Subpart D), the State certifies, as
follows:
The grantee certifies that it will or continue to provide a drug-free workplace by:
(a)
Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such prohibition;
(b)
Establishing an ongoing drug-free awareness program to inform employees about: (1) The dangers of drug
abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in
the workplace;
(c)
Making it a requirement that each employee to be engaged in the performance of a grant be given a copy
of the statement required by paragraph (a);
(d)
Notifying the employee in the statement required by paragraph (a) that, as a condition of employment
under the grant, the employee will:
(1) Abide by the terms of the statement; and
104
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug
statute occurring in the workplace no later than five calendar days after such conviction;
(e)
Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2)
from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must
provide notice, including position title, to every grant officer on whose grant activity the convicted employee was
working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall
include the identification number(s) of each affected grant;
(f)
Taking one of the following actions, within 30 calendar days of receiving notice under
subparagraph (d)(2), with respect to any employee who is so convicted;
(1) Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local health, law
enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs (a), (b), (c), (d), (e) and (f).
The State must include with its application for assistance a specification of the site(s) for the performance of work
to be done in connection with the grant.
I.
Civil Rights Assurance
The State certifies that, as a condition to receiving any Federal assistance from the Department of the Interior, it
will comply with all Federal laws relating to nondiscrimination. These laws include, but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-1), which prohibits discrimination on the basis of race, color,
or national origin; (b) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits
discrimination on the basis of handicap; (c) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101 et.
seq.), which prohibits discrimination on the basis of age; and applicable regulatory requirements to the end that no
person in the United States shall, on the grounds of race, color, national origin, handicap or age, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or
activity conducted by the applicant. THE APPLICANT HEREBY GIVES ASSURANCE THAT it will immediately
take any measures necessary to effectuate this agreement.
THIS ASSURANCE shall apply to all aspects of the applicant's operations including those parts that have not
received or benefited from Federal financial assistance.
If any real property or structure thereon is provided or improved with the aid of Federal financial assistance
extended to the Applicant by the Department, this assurance shall obligate the Applicant, or in the case of any
transfer of such property, any transferee, for the period during which it retains ownership or possession of the
property. In all other cases, this assurance shall obligate the Applicant for the period during which the Federal
financial assistance is extended to it by the Department.
THIS ASSURANCE is given in consideration of and for the purpose of obtaining any and all Federal grants, loans,
contracts, property, discounts or other Federal financial assistance extended after the date hereof to the Applicant
by the Department, including installment payments after such date on account of applications for Federal financial
assistance which were approved before such date.
The Applicant recognizes and agrees that such Federal financial assistance will be extended in
reliance on the representations and agreements made in this assurance, and that the United State shall
have the right to seek judicial enforcement of this assurance. This assurance is binding on the
Applicant, its successors, transferees, assignees, and subrecipients and the person whose signature
appears on the grant agreement and who is authorized to sign on behalf of the Applicant.
J.
Debarment and Suspension
Certification Regarding Debarment, Suspension and Other Responsibility Matters –
105
Primary Covered Transactions
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from covered transactions by any Federal department or agency;
(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to
obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation
of Federal or State antitrust statutes or commission or embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statement, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification;
and
(d) Have not within a three-year period preceding this application/proposal had one or more public
transactions (Federal, State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this proposal.
The State further agrees that it will include the clause "Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion - Lower Tier Covered Transactions" appearing below in any agreement entered into with
lower tier participants in the implementation of this grant. Department of Interior Form 1954 (DI-1954) may be used
for this purpose.
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier
Covered Transactions
(1) The prospective lower tier participant certifies, by submission of this application that neither it nor its
principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded
from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this application.
106
Overhead Wire and Environmental Intrusion
Requirements
The following policy has been developed to provide quality outdoor recreation opportunities
through the Land and Water Conservation Fund Program. While the scope of environmental
intrusions is quite broad, overhead utility lines are the most frequent problem.
Overhead utility lines are a major detraction from the natural quality of many outdoor recreation
areas and must be eliminated where possible. Project sponsors are expected to 1) take all reasonable steps to insure the burial, screening, or relocation of existing overhead lines at development
or acquisition projects where such lines intrude upon the site's character, and 2) insure that all
new electric wires under 15 KV, and telephone wires are placed underground.
The federal policy with respect to overhead wires is as follows:
1. In a grant application, all existing utility lines on or adjacent to the project site must
be fully described, preferably including photos. The proposal must clearly state what
action will be taken to bury, remove, reroute, screen or otherwise remedy the intrusions.
If removal, burying or rerouting is not feasible, and explanation is necessary. The
possibility of relocating the project to an alternate site may also be considered.
2. All Fund assisted utility installations must be placed underground unless it can be
demonstrated to be technically or economically infeasible. This may result in increased
cost in providing utilities at Fund assisted areas, but these costs are eligible for Fund
Assistance.
3. Future utilities, installed in parks which previously received LWCF assistance, must
also be placed underground unless burial is technically or economically feasible.
Other environmental intrusions should also be carefully documented and their treatment should
be given the same consideration. In addition, the following guidelines should be followed closely
in developing the project.
Existing High Voltage Wires (60 KV and above). Since in most cases burial or
relocation would be excessively costly or technically infeasible, project with existing high
voltage wires will be judged on an individual basis. The overall advantages and
desirability of the project will be weighed against the disadvantages caused by the wires.
The rationale of the final decision will be documented.
1.
Proposed High Voltage Wires. On any area which has been assisted by a Land and
Water conservation Fund grant, the intrusion or crossing by high voltage wires will not be
permitted under the provision of the Land and Water Conservation Fund Act without prior
approval of the National Park Service.
2.
107
Existing Low Voltage electric (under 60 KV) and Telephone Wires. Before a project
is approved, the possibility and feasibility of burying, screening and relocating overhead
low voltage or telephone wires will be carefully explored and documented. In general, it is
entirely practical to bury lines of less than 15 kilovolts. It may or may not be feasible to
bury those between 15 and 60 KV. These need to be considered on an individual basis.
Every effort will be made to eliminate such overhead wires. If the decision is made to
approve the project, leaving the wires exposed, the record must include the justification.
3.
Proposed Low Voltage Electric and Telephone Wires. When low voltage electric and
telephone lines are to be installed as part of the LWCF assisted project, they are to be
buried. Those under 15 KV will be buried; those between 15 and 60 KV will be buried or
screened depending on the circumstances. Since, in most cases, this is no more or only
slightly more expensive and almost always improves the quality of the project, exceptions
to this policy are to be made only on an individual project basis and only when there is the
strongest justification for making an exception. The record will include this justification.
4.
Grant proposals will not be approved if mass recreation use (swimming, picnicking, spectators,
etc.) is contemplated or proposed beneath overhead utility wires.
108
Interactive version online at
https://forms.in.gov/Download.aspx?id=10697
Application Form Instructions
Budget Information
1. Preliminary Expenses
Enter any costs incurred prior to grant award and/or submittal. Eligible types of costs
include archaeological literature searches, architectural/engineering preliminary design
services, and grant application preparation services. Other costs are not eligible.
2. Land, Structures, and Rights-of-way
State the value of all land and rights to land which will be acquired in the project, whether by
negotiated purchase, condemnation, donation, or bargain sale.
3. Architectural and Engineering Basic Services
Specify the anticipated costs for architectural/engineering design services, including project
plan and specification preparation, project inspection fees, and any other necessary professional services.
4. Relocation Expenses
Enter anticipated costs for providing relocation assistance to affected (displaced) individuals,
groups, or businesses.
5. Construction and Equipment
State the projected costs for all construction, materials, and labor costs which will be incurred
in this project.
6. Total
Add lines 1 through 5. This amount will equal the total cost for acquisition and development.
7. Program Income
Enter the amount of income which will be generated by timber sales, cash cropping, or other
revenue which will be generated by the site during the LWCF project. This must be reduced
from the total on line 6.
8. Net Project Amount
Subtract line 7 from line 6 and enter the result here.
9. Contingencies
Add a contingency amount which would cover cost increases due to inflation, time delays,
and other unanticipated costs. This may not exceed 10% of the total project cost.
10. Total Project Amount
Add lines 8 and 9 and enter the amount here. This figure must match the total project cost
which is on the cost breakdown.
110
11. Grant Request
State the amount of LWCF assistance which will be requested for this project. This usually
will be 50% of line 10. It may not exceed the grant application limit established by the
Natural Resources Commission.
12. Method of Financing Applicant’s Share
Identify the amount and source(s) of the park board's share (usually 50%). The total must
equal the amount specified in the evidence of local share item on the application checklist.
Explain details of the costs in the remarks section.
111
Environmental Assessment
The Environmental Assessment is to be written as a narrative, descriptive statement. Each of the
sections is to be identified by title with the narrative included under each section. The outline of
suggested elements to include in each section is provided for your use. Do not reference an item
by its letter in the narrative. For example, do not reference a code number such as “Item I. A. 1.
$50, 000,” but rather describe the proposal in several sentences. Persons reading the document
will not have the outline to which to refer for coded statements.
I. THE PROPOSED ACTION
The first section includes a description of the proposed project and the surrounding environment.
A. Description of the Project
Project Proposal. What is the purpose of the project? When will the project begin and end? What
is the size of the project? How many acres will be acquired and/or how many phases of
development are anticipated? Where is the project located? Submit a U.S.G.S map (or xerox
copy) showing the project boundaries. Submit well-labeled photos (where at, facing what
direction) of the site. What is the project cost?
Project Type. Describe in more detail the scope of the project being submitted. For acquisition
include the number of tracts, method for development projects, list the facilities to be
constructed. Describe in detail any secondary development which will occur (i.e. sewer lines,
utilities, access roads). Describe all earth moving activities, draining, paving, filling, vegetative
clearing, and/or dredging. Elaborate on any aspect affecting surface water or drainage of the
project.
Local Needs. Indicate the types of park users to be served, such as youngsters, families, senior
citizens, physically handicapped. Describe how this project meets local needs identified in the
local park and recreation master plan. Reference other state, local, or regional plans in which the
project is identified. Site page numbers of the plans referenced.
Funding. Explain any previous actions or proposed actions for which other federal funding has
been used or is anticipated to be used. If non-federal funds will be used, indicate the source of
the local share of the project cost.
B. Description of the Environment
1. Physical Conditions. Describe the site. Information which can be included in the description
follows:
Soil conditions which might affect the site’s use such as its stability, permeability or
compatibility.
113
Presence of water such as streams, wetlands, lakes, ponds, or floodplain lands. Is the project
located in a segment of a designated State Natural, Scenic or Recreational River? Any wetlands
or areas within the 100 year floodplain need to be delineated on a site map. Data on floodplains
may be obtained from Flood Information Maps currently produced by the Federal Emergency
Management Agency. Some early maps were produced by the Department of Housing and Urban
Development. The maps have been distributed to many local planning commissions, city
engineers, county surveyors, libraries, and consultants. The information may also be obtained by
sending location and site maps with a request for the site’s flooding history and predictions to:
IDNR, Division of Water
402 W. Washington Street
Indianapolis, IN 46204
317-232-4160
Vegetation on the site: ground cover, shrubs, flowers, trees, agricultural crops, open grassland.
Fish and wildlife species, particularly if the site is a habitat or breeding area.
NOTE: Consulting with a local college or university biology department might be helpful in
answering letters (c) and (d).
Special features such as location within a school park complex, reclamation area, landfill, nature
preserve, unique geological area, mineral resources.
Man-made development such as houses, building, roads, levees, dams, utility systems, overhead
transmission lines.
g. Other factors contributing to the uniqueness of the site including topography, current land use
or zoning, access. Describe in detail any ecologically sensitive areas such as steep slopes,
wetlands, or forests.
2. Social and Economic Conditions. Describe the area surrounding the site as it relates to the
project. Describe any economic conditions affected by the project.
Surrounding land use—Residential, commercial, farmland. Anticipated changes in this use
caused by the park development.
Number of people and families, farms, or businesses on the site to be relocated, number of
people living in the surrounding area.
Racial or ethnic groups and low income or depressed areas to be served.
Availability of and competition with other private or quasi-public outdoor recreation facilities in
the area.
e. Employment opportunities caused by the project.
For land acquisition, the amount of taxes to be lost compared to the tax base.
114
Any management agreements with local groups to operate or maintain the park.
3. Archaeological, Architectural and Historical Conditions.
Archaeology-mounds, cultural remains, artifacts, fossils of prehistoric animals or plants, prehistoric dwellings or villages. A letter from a qualified archaeologist must accompany the
application.
Architecture-styles, buildings, districts or towns of architectural importance.
c. History-people, events, battles, structures, roads, museums, cemeteries, churches, districts or
towns of historical importance. Indicate if the project site or any structure on or adjacent to the
site is listed in the Indiana Historical Preservation Program and Survey or on the National
Register of Historic Places.
II. ALTERNATIVES TO THE PROPOSED ACTION
This section should explain the reasonable alternatives to the proposed action described in
Section I. This explanation should center upon the possible alternatives which were actually
examined during the planning process, especially in the early stages. Both the beneficial and
adverse environmental impacts of each alternative are to be discussed in sufficient detail to allow
a realization of the long range impacts of the alternatives. The basis for rejection of each
alternative should also be discussed. Alternatives could include the following:
No action (must be included in every assessment)
Postponing the action pending further study
Same development on another site
Other development on the same site
Different location of facilities on the site
Other methods of constructing facilities to serve the same purpose
Acquiring a different site
Acquisition and development of the site, rather than just acquisition
Leasing the land instead of acquiring it
Increase or decrease in the scope of the project
III. ENVIRONMENTAL IMPACTS OF THE PROPOSED ACTION
This section will be an objective discussion of the environmental impacts of the proposed action,
including further related actions, if any, which are contemplated.
115
“Impacts” are defined as direct or indirect changes in the existing environment, whether
beneficial or adverse. To the extent that it applies, the discussion will include impacts of the
action, including environmental damage which could be caused by park users, upon economic,
cultural aesthetic, and social conditions as well as upon the physical and biological environment.
Elements on which impacts are unknown or only partially understood should be indicated. Any
off-site impacts, such as increased traffic on neighborhood roads or an increase in noise levels to
surrounding area, should be described.
All impacts will be discussed in this section. This will specifically include a discussion of each
adverse impact and how it will be mitigated. If the impact will not be able to be mitigated, the
reason must be included.
As an example, a project might include the acquisition of a parcel of farmland from which a
family must be relocated. The project might also consist of the development of the site for a trail
system including underground electrical, sewer and water systems; modern comfort stations and
pit toilets; roads, parking lots and parking spurs; picnic tables, grills and trash cans; signs and
trail markers; conversion of the existing house to a combination comfort/control station; and site
improvement, seeding and landscaping.
The site preparation and construction will affect the physical conditions of the site. Grading and
leveling will loosen the soil and make it more vulnerable to erosion. This process will also after
the topography of the site. Vegetative cover will quite likely be removed, possibly reducing
wildlife habitat. Rain water drainage patterns may be moved to a new locations due to site
preparation. Obviously, the number and types of man-made developments on the site will be
changed. The construction of this public outdoor recreation facility will also allow for the
introduction of many motor vehicles in the area which will increase the noise and pollution
levels, use of and additional wear on existing local roadways.
Relocation of the family to a new area will change the social conditions of the site and the
surrounding area. The provision of the camping and picnicking facilities will increase the
opportunity for social interaction of people in the recreational setting.
Transferring the land from private to public ownership will have an impact on the economic
conditions because land will be removed from the tax roles. Zoning of the land may change from
agriculture to recreation. Additional employment opportunities may become available as a result
of the operation and maintenance of the campground.
These environmental effects should be discussed objectively and, if possible, quantitatively. For
instance, each project will probably improve the social conditions of the site and surrounding
area by upgrading the public outdoor recreation opportunities available on the site. Such
recreation impacts should be stated in terms of recreation area served, activity occasions
provided, expected peak day use, and other applicable units of measurement that quantify the
impact of the proposed action.
Indirect changes, as well as partially understood effects, should be indicated. For example, the
development of a new golf course will have some impact upon the traffic load on the roads
surrounding the recreational area. The increased load and the type of vehicles should be
116
estimated as nearly as possible. The National Park Service requires that environmental impacts
be considered for the following elements.
Land use (project site and surrounding area). Will the project increase noise or traffic into the
area that will adversely affect the surrounding residences or businesses? Will current land uses
around the park change?
If the proposed project involves the acquisition and/or development of land that will taken out of
agricultural production, this issue must be discussed. The county Soil Conservation Service
(SCS) office is to be contacted for a determination on the status of the site as “prime farmland”.
The SCS agent will visit the site and prepare a letter indicating what percentage of the site, if
any, is prime farmland.
If the project does contain “prime farmland”, the impact of the removal of this land from
agricultural production must be discussed in the environmental impact section. The amount of
farmland available in the county is the key factor in determining the impact.
If this section does not apply to the proposed project, a statement verifying no effect on
agriculture is still to be included in Section III of the Environmental Analysis.
Fish, wildlife, and vegetation The Endangered Species Act requires all applicants seeking federal
funds to consider the impact of the project on any plant or animal endangered species, this
section must be addressed in all environmental documents.
A list of endangered species is available from the Division of Nature Preserves (see next
document in the Appendix). The project sponsor should have a qualified person look at the site if
it contains areas of undisturbed vegetation or habitat. A local naturalist, fish and wildlife
biologist or other person knowledgeable about plants and animals in the area can be used to
conduct a preliminary reconnaissance. The Environmental Analysis submitted should document
the efforts to determine the presence of any endangered species on the site.
If there are no known endangered plants or animals, a statement to the effect is to be made.
Assurances are to be given that any future development on the site will be stopped if it appears
an endangered species may be affected by the action.
Other fish, wildlife, and vegetation not listed on the endangered species list may be adversely
affected by the project. The loss of any habitat or breeding area should be discussed.
Floodplains and wetlands Direct and indirect impacts on floodplains and wetlands are to be
considered. Any measures taken to minimize flood damage to property or harm to lives should
be discussed. The project may be a valuable asset to the area, protecting it from other negative
uses. These positive impacts can also be included. Assurances should be given that appropriate
Army Corps of Engineers review and permits for construction in the floodway by the Indiana
Natural Resources Commission will be obtained.
Geology, soils, and mineral resources Loss or preservation of unique geological formations and
the effect of construction on soil conditions should be discussed. The potential or lack of
potential extraction of fuel or mineral resources is also to be included.
117
Air and water quality and resources Construction may involve a temporary decrease in air or
water quality. The construction of a permanent water impoundment will obviously alter current
conditions. Any construction in the floodplain should be noted and these impacts evaluated.
Historic/archaeological resources If there are known historic, archaeological or architectural
resources, impacts on the construction need to be discussed. If none exist, a statement should be
made to that effect.
Transportation/access/utilities Development of a park may place a strain on existing roads or
utility systems. Transportation patterns may also be affected.
Consumption of energy resources Is the project and its development energy efficient? Do roads
provide adequate access to facilities, but do not encourage needless driving? Are facilities
designed to be energy efficient? Have alternative sources of energy been explored such as using
solar energy to heat water for restrooms or a bathhouse?
Accessibility for People with Disabilities. Has the project been designed to allow maximum use
by persons with disabilities? Discuss design adaptations which are going to be made.
Finally, the project sponsor must consider the impact of the project or the park on its future
operation and maintenance. Will new staff have to be hired or new maintenance equipment
purchased? Do any of the facilities require special order or costly supplies? How vandal-proof
are the facilities? Project sponsor must be realistic about the additional costs which are going to
be needed for operation and maintenance. New parks and facilities cannot be operated for free.
IV. INDIVIDUALS AND AGENCIES WHICH REVIEWED THE PROJECT
The final section should list the individuals and agencies which were consulted during the
formation of the proposal and the environmental impact assessment. This section should briefly
summarize public meetings held in conjunction with the proposal and the assessment. Persons
that may have reviewed the project are as follows:
City or county council
Planning Agencies
Neighborhood associations
Regional or state clearinghouses
Department of Natural Resources
Soil Conservation Service
State Board of Health
Administrative Building Council
In particular, reference studies or coordination efforts between agencies that contributed to the
118
project.
Public notification of the preparation of any type of environmental assessment is required by
Federal Regulation 40 CFR 1506.6. For most small projects, this type of notification can be done
at the public meetings held in conjunction with the application process. Comments received can
be included with this document or summarized as part of the public participation element section
of the Program Narrative. For larger projects, the project sponsor would obtain a copy of the
regulation from the Division of Outdoor Recreation. For projects involving floodplains and
wetlands, the public meetings and notices of the meetings need to specifically indicate that the
project is proposed for a floodplain or wetland.
119
Environmental Impact Statements
The majority of projects will need to complete only the Environmental Assessment. Some
projects which involve major acquisitions or large developments may be required to submit a
detailed Environmental Impact Statement. This statement will not generally need to be
completed until after it is determined whether federal funds will be available for the project.
Projects which may need an Environmental Impact Statement could include acquisition or
development under the following conditions:
1.
Marshes, wetlands, unique animal or plant ecosystems, lakes, streams, or marine areas are
affected significantly.
2.
The acquisition of land would involve a major relocation of households and/or businesses.
3.
The acquisition of significant amounts of land which would foreclose other beneficial or
unique uses of land; such as “prime” agricultural land, valuable timber lands, strategic
or critical mineral, water or transportation facilities.
4.
The development of the project land for outdoor recreation would significantly change
the use patterns of the area surrounding the LWCF assisted facility.
5.
An archaeological or historical site on or eligible for nomination to the National
Register of Historical Places would be adversely affected by the acquisition and or
development project.
6.
Highly controversial issues over the environmental effects of the project exist are
expected.
7.
The land being acquired, developed, or affected by the project contains threatened or
endangered species of flora or fauna, rare minerals or a unique geologic formation.
The Division of Outdoor Recreation will supply the project sponsor with an outline for
preparing an Environmental Impact Statement. Project sponsors who feel their projects might
fit any of the above criteria should contact a grants coordinator in the Division of Outdoor
Recreation prior to submitting an application.
A project which potentially involves significant environmental impacts would require a
complete Environmental Impact Statement. The statement is reviewed by a variety of federal
agencies prior to an approval or disapproval being given to the project.
120
Indiana’s Rare Plants and Animals
A checklist of rare plants and animals in Indiana has been developed to maintain a current list of
endangered and threatened species. The director of the Indiana Department of Natural
Resources has the legislative authority for the conservation of endangered natural resources in
Indiana. The Division of Fish and Wildlife and Division of Nature Preserves are responsible for
the conservation of animals and plants, respectively, and each has developed the lists included
in the publication. The Division of Nature Preserves also maintains a list of rare insects. Species
are listed in alphabetical order by scientific name within each category of state classification.
Indiana Classification and Protection
Vertebrates and mollusks classified as endangered in Indiana are protected from "taking"
pursuant to the Nongame and Endangered Species act of 1973 (Indiana Code 14-2-8.5) and Fish
and Wildlife Administrative Rules (310 IAC 3.1-2-7). The Division of Fish and Wildlife also
classified "any animal species, about which some problems of limited abundance or distribution
in Indiana are known or suspected and should be closely monitored" as special concern. Plants
and insects are classified as endangered, threatened or rare. Plants and insects are protected by
the Nature Preserves Act (310 IAC 5-1-4,9) which prohibit the picking or molesting of trees,
shrubs, vines or flowers occurring on Nature Preserves, Museum and Historic Sites, Wetland
Conservation Areas, Wildlife Habitat Trust Areas, and lands owned, licensed and leased to the
IDNR. State parks, state forest and state reservoir properties provide protection under 310 IAC
5-1-9, paragraph d.
Federal Classification and Protection
Species are classified as federally endangered or threatened pursuant to the Endangered Species
Act of 1973 (Public Law 93-205 as amended) and are listed under 50 CFR 17.11 (animals) and
17.12 (Plants). This act prohibits the "taking" of animals listed as endangered or threatened.
Federally listed plants are protected when federal funding or permits are required. The federal
government also maintains a Notice of Review for Plants and Animals. The following lists
include those species that are formally listed as endangered or threatened.
This is not intended to be complete listing of all restrictions applied to the protection of
endangered or threatened plants and animals. To order the pamphlet please contact the:
Division of Fish and Wildlife
402 W. Washington Street Room 273
Indianapolis, IN 46204
317-232-4080
Division of Nature Preserves
402 W. Washington Street Room 267
Indianapolis, IN 46204
317-232-4052
or
http://www.in.gov/dnr/naturepreserve/4725.htm
121
Federal Marina Policy
Marinas which are acquired or developed with Land and Water conservation fund grants are
subject to the following conditions:
1.
An equitable method of allocating berth space shall be used in all marinas.
Allocation methods shall include:
a.
Annual or multi-year lotteries, or
b.
Posted waiting lists where berth space is filled in the order of receipt of
applications, or
c.
Another method selected by the applicant that responds to local conditions and
equitably allocates space among all parties
In each instance, adequate public notice shall be provided announcing the availability
of berth space and describing application procedures. The project sponsor shall
determine the most equitable method under which lease holders may compete for
future berth space vacancies. The Program Narrative in the grant applications shall
describe the allocation system to be used.
2.
Commercial charter fishing or sightseeing boats are permissible marina lease holders
due to their potential for expanding public waterfront access; however, it is not
intended that these users occupy a significant number of marina berths and
accordingly, project sponsors should establish reasonable limits on the number of
berth spaces provided for such users.
New Marinas receiving LWCF assistance shall also be subject tot he following
provisions:
3.
Berth lease terms shall not be transferable to any other party.
4.
Berth space for transient boaters shall be provided.
5.
Marinas located in urban areas shall include specific design provisions for non-boater
public access. Such access, which expands water-based recreation opportunities, may
be met by providing walkways, observation points, fishing piers and/or related
facilities. Limited access to the actual marina berths may be retained.
122
ATTEST
Civil Rights Act of 1964
Title VI Guidelines
1. GENERAL
A. Authority • These guidelines are issued under authority of Title VI of the
Civil Rights Act of 1964, 42 U.S.C. 2000d, et. seq; Executive Order 11764;
Department of Justice Regulations 28 CFR 42; and Department of Interior
Regulations 43 CFR 17.
B. Purpose • (43 CFR 17.1; 28 CFR 42.401) These guidelines provide detailed
information on the compliance requirements of Title VI of the Civil Rights
Act of 1964 to the end that no person in the United States shall, on the
grounds of race, color or national origin, be excluded from participation in,
be denied benefits of, or be otherwise subjected to discrimination with
respect to federally assisted programs administered by the Department of the
Interior. Included in the guidelines are procedures for filing complaints and
the responsibilities of the Department and its grantees in attaining compliance
with the Act.
C. Definitions • (43 CFR 17.12; 28 CFR 42.402)
(1) “Act” means the Civil Rights Act of 1964, and any guidelines, rules, and
regulations of the Department effectuating Title VI of this Act.
(2) “Applicant” means a qualified entity which submits an application for
assistance under the Land and Water Conservation Act.
(3) “Department" means the U.S. Department of the Interior.
(4) “Director” means the Director of the Office for Equal Opportunity of the
Department.
(5) “Federal Financial Assistance” means
(a) the grants and loans of Federal Funds,
(b) grants or donations of Federal property and interests in property,
(c) the detail of Federal personnel,
(d) the sale or the 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 a consideration
which is reduced for the purpose of assisting the recipient in recognition
123
of the public interest to be served by such sale or lease to the recipient,
and
(e) any Federal agreement, arrangement, or other contract which has as
one of its purposes the provision of assistance.
(6) “Primary Recipient” or “Grantee” means a State that is authorized to
contract for or extend Federal financial assistance to itself or to a
subrecipient for the purpose of carrying out a program of the Department.
(7) “Subrecipient” or Subgrantee” means any political subdivision or
instrumentality of a State, public or private institution, or any entity or
individual to whom Federal financial assistance is extended.
(8) “Compliance Reviews”
(a) “Post Award Compliance Review” means an onsite, comprehensive
assessment of the Title VI compliance of an agency that has received
Federal Financial assistance from the Department. Such reviews are
designed to determine if programs and activities of the agency are
administered and operated in compliance with the Act.
(b) “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.
(9) “Compliance Officer” means an Equal Opportunity Specialist
assigned the responsibility of conducting Title VI
Compliance Reviews.
(10) “Covered Employment” means employment practices covered by Title
VI.
D. Covered Employment • (43 CFR 17.3(6)(c); 28 CFR 42.409) Where
employment practices directly affect services to beneficiaries under a federally
assisted program to which these guidelines apply, that recipient’s or
subrecipient’s employment practices shall be subject to the nondiscrimination
provisions of the Act. Enforcement of the Act with respect to covered
employment practices shall not be superseded by State or Local merit systems
relating to such employment practices.
2. COMPLIANCE RESPONSIBILITIES
A. OEO Responsibility • The Office for Equal Opportunity (OEO), 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 National Park Service (NPS)
subjected to discrimination on the basis of race, color, or national origin. This
124
shall be accomplished through continuing policy direction, oversight, and
compliance reviews of selected recipients and subrecipients as well as
technical assistance and program evaluation of NPS Regional Offices.
B. NPS Responsibility • The National Park Service as primary grantor of federal
assistance for fishing access and development, has direct responsibility for
assuring that the State and subrecipients are in compliance with the provisions
of the Act.
The NPS shall execute its responsibilities through:
(1) providing guidance to the States in establishing an open project
selection process to allocate federal assistance among applicants,
(2) notifying (OEO) of any inconsistencies with Title VI having arisen from
onsite facility reviews conducted by NPS personnel, and
(3) cooperating with OEO toward seeking a satisfactory resolution of any
inconsistencies found, including efforts toward seeking voluntary
compliance enforcement procedures and follow-up reviews.
C. Primary Recipient Responsibility • (43 CFR 17.4) (28 CFR 42.407) The states, as primary
recipients of assistance are responsible to give reasonable assurance that the applicant
and all subrecipients will comply with the requirements imposed by Title VI, including
methods of administration which give reasonable assurance that any noncompliance will
be corrected. This shall be accomplished through:
(1) establishing an objective project selection process,
(2) providing the State Civil Rights Agency or Authority (if it exists) the opportunity to
comment upon applications submitted,
(3) notifying OEO of any inconsistencies with Title VI having arisen from onsite facility
reviews conducted by State Personnel (where the inconsistency cannot be corrected at
the State level),
(4) cooperating with OEO toward seeking a satisfactory resolution of any inconsistencies
found, including efforts toward seeking voluntary compliance, enforcement procedures and follow-up reviews, and
(5) assuring that each subrecipient/applicant is provided a copy of these guidelines.
D. Coordination of Responsibility • The Office for Equal Opportunity will periodically
conduct compliance reviews of the State’s administration of federal programs, including
the compliance of subrecipients with the Act. OEO and NPS will provide the State,
subrecipients and applicants for assistance with such technical assistance as necessary to
reasonably assure compliance with the Act. Federal, State and local officials are expected
to cooperate fully toward securing voluntary compliance where deficiencies in program or
125
facilities may be found.
3. TITLE VI COMPLAINT PROCEDURES
A. General • (28 CFR 42.408) (43 CFR 17) This section prescribes the procedures of
the Department and its primary recipients with respect to the prompt processing and
disposition of complaints.
B. 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 may personally, or by
representative, file a complaint.
C. How, When, and Where to File • (28 CFR 42.408) All complaints filed under Title VI
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 instruct the complainant to reduce the complaint to
writing and submit it to the OEO, 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 discriminatory official or recipient; the basis of the
complaint and the date of the alleged discrimination.
Complaints must be filed within 180 days from the date of alleged discrimination. The
time limit for filing may 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 recipients, such complaints shall be forwarded to the Office for
Equal Opportunity within 10 days.
(1) Public Notification of Right to File a Complaint. The NPS shall be responsible for ensuring
that its recipients inform the public of their right to file a complaint. Where primary recipients
extend Federal assistance to subrecipients, the primary recipient shall also be responsible for
ensuring that this standard is met. (28 CFR 42.405).
(a) This is to be accomplished by distribution and display of posters
explaining the nondiscrimination provisions to Title VI as they
apply to State and subrecipient recreation programs.
(b) NPS and its recipients shall also include information on Title VI
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. Where a percentage of the population in excess
of 10% (or 5,000) speaks a language other than English, the above
described materials should be prepared in the appropriate language.
D. Complaint Processing • (28 CFR 42.408) (43 CFR 17.6)
126
(1) 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 primary
recipient.
(2) Complaints Log. Recipients shall maintain a log of any Title VI complaint received.
Moreover, OEO 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
number, the complainant’s name, address, and telephone number. The 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. (28 CFR 42.408).
(3) Routing responsibilities. When NPS or any primary or subrecipient 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 650.9.3C. OEO shall acknowledge its receipt and notify
the recipient, as well as NPS, of the assigned case number.
(4) Determination of Jurisdiction. Upon receipt of a complaint by the Department, the
Office of Equal Opportunity shall determine whether the complaint comes within the
purview of the Act. 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. Upon receipt of such a complaint, the OEO
shall notify the NPS, recipient and complainant’s representative of its actions.
E. Complaint Investigations • (43 CFR 17.6(d))
(1) Scope. Investigation shall be confined to issues and facts relevant to allegations in
the complaint.
(2) 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 risk of compromising
confidentiality. Except where essential to the investigation, 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 permission to do so
must be secured.
(3) Conduct of Investigation. Upon determination of jurisdiction by the Department, the
Office for Equal Opportunity shall promptly initiate an investigation of the matter.
(4) 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 of the matter.
127
(5) Investigation by Primary Recipients. The Director, within 10 working days of the
receipt of a complaint, may authorize a primary recipient to investigate the complainant and make findings and recommendations subject to OEO approval. Upon delegation of authority by the Director, a primary recipient may investigate complaints filed
against subrecipients. The investigative report will be provided to OEO within 30
days of authorization to investigate. The primary recipient may not investigate any
complaint in which it, or any of its officers or employees is implicated. If at any time
prior to its completion, it is determined that investigation of a complaint has been
improperly conducted, the Director may withdraw the primary recipient’s authority to
investigate. If the complainant is dissatisfied with the findings of the investigation,
the complainant may appeal the findings to OEO for its decision within 5 days of the
complainant’s review.
4. COMPLIANCE REVIEW PROCEDURES
A. General • 928 CFR 42.407) (43 CFR 17.6a) This section prescribes the types of
compliance reviews which will be conducted periodically to ensure that the
Department’s public fishing programs are operated in compliance with the Act. Such
reviews will cover NPS, primary recipient and subrecipient operations.
B. Compliance Review Responsibilities • (28 CFR 42.411) (43 CFR 17.5) The Office for
Equal Opportunity shall periodically conduct onsite compliance reviews and desk
audits of NPS primary recipients and subrecipients. Moreover, primary recipients shall
review the operations of its subrecipients. These reviews shall be accomplished in
accordance with Section 650.9.4E. The Office that conducts the compliance review
shall prepare and issue a report on its findings and recommendations to the reviewed
entity. Often the outside review is completed to assist the review entity in voluntarily
complying with the Act; however, remedial action must be initiated by the recipient or
subrecipient to correct the deficiency(s). Where conditions of noncompliance have
been found, such conditions must be resolved by the recipient 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 the OEO upon request.
C. Determinations of Compliance • All determinations of compliance with the Act shall
be made by the OEO. It is expected that NPS will review Title VI aspects of the
program in conjunction with ongoing program reviews.
D. Selection Criteria
(1) Post Award Reviews. In the selection of recipients and subrecipients for postaward review, OEO shall base selections on such factors as:
(a) available compliance information collected from previous reviews;
(b) frequency of past compliance reviews conducted of the recipients;
(c) community racial patterns;
128
(d) Title VI complaints of alleged discrimination;
(e) size of the federally assisted program or activity; and
(f) amount and type of Federal assistance to the recipient.
E. Compliance Reviews •
(1) Compliance Reviews of Primary Recipients by OEO. Recipient compliance shall be
based on the following:
(a) Whether the primary recipient, in allocating Federal funds, has considered the
criteria set out in Section 650.9.2C in meeting the nondiscrimination provisions
of Title VI.
(b) Whether the primary recipient is adequately providing Title VI information to its
subrecipients and by what means (i.e. through posters and brochures). Where
necessary, whether bilingual information is also available.
(c) Whether Title VI complaints received by the primary recipient are forwarded
immediately to OEO.
(d) The frequency and quality of all compliance assistance provided by the primary
recipient for its subrecipients.
(e) Whether Title VI compliance responsibilities have been designated to qualified
primary recipient staff personnel and whether such responsibilities are being
effectively executed.
(2) Compliance Reviews of Subrecipients. Subrecipient compliance with the Act shall be
based on the following:
(a) Whether and by what means the subrecipient notifies the public that its programs
are offered on a nondiscriminatory basis.
(i) Whether the Title VI An "Equal Opportunity for All" poster or one
comparable visible in conspicuous areas on the premises.
(ii) Where mailing and/or telephone lists are used to inform the public of subrecipient programs, whether such lists are comprised of a racial and ethnic
cross-section of the community.
(iii) Where necessary, whether bilingual informational materials are provided to
the public.
(b) Whether racial data concerning minority participation in subrecipient programs is
gathered and maintained for review, where program participation has been found
to be deficient.
129
(c) Adherence to Title VI complaint procedures pursuant to Section 650.9.3.
(d) Whether records indicate that complaints of alleged discrimination have been
received and forwarded to OEO.
(e) Where planning and advisory groups exist, whether membership includes
minority representatives.
(f) Whether services and programs are comparable in minority and majority communities with respect to development and maintenance standards.
(g) Whether all persons have an equal opportunity to participate in programs and
activities without discrimination or segregation by race, color or national origin.
More specifically:
(i) Accessibility of facilities and services to the minority community.
(ii) Where admission fees are charged for program participation, whether such
fees are equal in both minority and majority communities.
(iii) Adequacy of outreach program to the minority community.
F. If Non-Compliance is Found • (28 CFR 42.411)
(1) Voluntary Compliance Defined. Voluntary Compliance means willingness to correct
conditions of noncompliance identified by complaint investigations or compliance
reviews. Departmental regulations (43 CFR 17.7) require the resolution of an apparent
condition of noncompliance by informal means whenever possible.
(2) Procedures for Achieving Voluntary Compliance.
(a) In every case where a complaint investigation or compliance review results in a
finding of noncompliance, the Director shall notify the primary or subrecipient
through certified mail of the apparent noncompliance. The notice shall clearly
identify the conditions of noncompliance and offer a reasonable time to willingly
comply.
(b) The Office for Equal Opportunity shall record the date the recipient received notice,
and shall note and record the last day afforded the primary or subrecipient for
voluntary compliance before initiating the administrative process to terminate
Federal assistance.
(c) The primary or subrecipient 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.
(d) The Director or his designee shall approve the primary or subrecipient’s voluntary
130
compliance plans, methods, procedures, and proposed actions if such approval will
result in compliance with the Act.
(3) Sanctions available to the Department. When an applicant for or a recipient of Federal
financial assistance is found to be in noncompliance with the Act, and compliance
cannot be achieved by voluntary means, the Act provides several enforcement alternatives. If discrimination based on race, color, national origin, or any other technical
violation of the Act 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 may initiate administrative proceedings for the termination
of current and future funding. Alternatively, the OEO may enforce the Act, by “any
other means authorized by law.” Although not explicitly stated by the Act, 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
primary or subrecipient can become effective until the Office for Equal Opportunity has:
(a) Advised the primary or subrecipient of its failure to comply and determined that
compliance cannot be secured by voluntary means.
(b) Made an express finding on the record after opportunity for hearing of a failure by
the applicant or primary or subrecipient to comply with a Title VI requirement.
(c) Obtained approval of the action to be taken from the Secretary of the Interior
(43 CFR 17.7 (c)).
(d) Ensured that the Secretary has filed with the committee of the House and the
committee of the Senate having legislative jurisdiction over the program involved.
(e) Submitted a full written report of the circumstances and the grounds for such
action to the Secretary.
G. If No Conditions of Non-Compliance Are Found • Where the Director or his designee
determines that review and investigation findings do not support an allegation of
discrimination, the complaint shall be administratively closed. Within 5 working days of
the closing date, the compliant will be notified through certified mail of the decision and
given the reason(s) for the decision reached.
H. Referrals to the U.S. Department of Justice. (28 CFR 42.408 &411) The Department
shall report to the Assistant Attorney General of the Civil Rights Division on January 1
and July 1, or each year, the receipt, nature and disposition of all process Title VI
complaints. Any conditions of noncompliance in a recipient program or activity which
cannot be voluntarily resolved by OEO, shall also be reported to the Assistant Attorney
General for appropriate judicial enforcement within 60 days.
131
Assurance of Compliance
Civil Rights Act of 1964, Title VI
Rehabilitation Act of 1973
Age Discrimination Act of 1975
The __________________________________________________________________________
(Name of park and recreation board, hereinafter referred to as "Applicant-Recipient")
HEREBY AGREES THAT IT will comply with the Title VI of the civil rights Act of 1964 (P.L.
88-352) and that all requirements imposed by or pursuant to the Department of the Interior
Regulation (43 CFR 17) issued pursuant to that title, to the end that, in accordance with title VI
of that Act and the Regulation, no person in the United State shall, on the ground of race, color,
or national origin be excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination under any program or activity for which the Applicant-recipient
receives financial assistance from the National Park Service and hereby gives assurance that it
will immediately take any measure to effectuate this agreement.
If any real property or structure thereon is provided or improved with the aid of Federal financial
assistance extended to the Applicant-Recipient by the National Park Service, this assurance
obligates the Applicant-Recipient, or in the case of any transfer of such property, any transferee
for the period during which the real property or structure is used for a purpose involving the
provision of similar services or benefits. If any personal property is so provided, this assurance
obligates the Applicant-Recipient for the period during which it retains ownership or possession
of the property. In all other cases, this assurance obligates the Applicant-Recipient for the period
during which the Federal financial assistance is extended to it by the National Park Service.
THIS ASSURANCE is given in consideration of and for the purpose of obtaining any and all
Federal grants, loans, contracts, property discounts, or other Federal financial assistance
extended after the date hereof to the Applicant-Recipient by the bureau or office, including
installment payments after such date on account of arrangements for Federal financial assistance
which were approved before such date. The Applicant-Recipient recognizes and agrees that such
Federal financial assistance will be extended in reliance on the representations and agreements
made in this assurance, and that the United States shall reserve the right to seek judicial
enforcement of this Assurance. This assurance is binding on the Applicant-Recipient, its
successor, transferees, and assignees, and the person or persons whose signature appear below
are authorized to sign this assurance on behalf of the Applicant-Recipient.
THE APPLICANT-RECIPIENT ALSO AGREES to comply with the Rehabilitation Act of
1973 and the Age discrimination Act of 1975 and all requirements imposed by or pursuant to
the Department of the Interior Regulation (43 CER 17) issued pursuant to these titles, to the
end that, no person in the United States shall, on the grounds of age or handicap be excluded
from participation in, be denied the benefits of, or be otherwise subjected to discrimination
under any program or activity for which the Applicant-Recipient receives financial assistance
132
from the national Park Service and hereby gives assurance that is will immediately take any
measures to effectuate this agreement.
_______________________________________
Signed
Name of Park Board
Park Board President
_______________________________________
Park Board's Address
_______________________________________
Date
______________________________________
City, State, Zip
133
Attest ____________________________________
Park Board Secretary
Certification Regarding Debarment, Suspension,
Ineligibility, and Voluntary Exclusion
Lower Tier Covered Transactions
1. By signing this proposal, Applicant is providing the certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the Applicant knowingly rendered an
erroneous certification, in addition to other remedies available to the Federal Government, the
Department of Natural Resources (DNR) may pursue available remedies, including suspension and/or
debarment.
3. The Applicant shall provide immediate written notice to its assigned IDNR grants coordinator if
at any time the Applicant learns that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
4. The terms “covered transaction,” “debarred,” “suspended,” “ineligible,” “lower tier covered
transaction,” “participant,” person,” “primary covered transaction,” “principal,” “ and “voluntarily
excluded,” as used in this clause, have the meanings set out in the Definitions and Coverage sections of
rules implementing Executive Order 12549.
5. The Applicant agrees by submitting this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is
debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the IDNR or National Park Service.
6. The Applicant further agrees by submitting this proposal that it will include this clause entitled
“Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion-Lower Tier
Covered Transaction,” without modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. The Applicant may rely upon a certification of a prospective participant in a lower tier covered
transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is erroneous. An Applicant may decide the method
and frequency by which it determines the eligibility of its principals. Each participant may, but is not
required to check the Nonprocurement List on file with the IDNR’s, Division of Outdoor Recreation
grants staff.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings. 9. Except for transactions authorized under
paragraph 5 above, if an Applicant knowingly enters into a lower tier covered transaction with a person
who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the IDNR may pursue available
remedies, including suspension and/or debarment.
134
I. The ___________________________________ (Applicant) certifies, by submission of this proposal,
that neither It nor its principals is presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this transaction by any Federal department or
agency.
II. If the Applicant is unable to certify to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
(Signature)
(Date)
(Typed Name and Title of Authorized Representative)
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 49 CFR Part 12, Section 12.510, Participants’ responsibilities. The regulations were
published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211). To obtain a copy of
the regulations, contact:
U.S Dept. of the Interior
Acquisition and Assistance Division
Office of Acquisition and Property Management
18th and C Streets, N. W. Washington, D.C. 20240
135
Interactive version online at
https://forms.in.gov/Download.aspx?id=10784
Billing Form Instructions
One copy of the LWCF Billing Form must be completed in order to request
reimbursement. Instructions for the completion of the form are as follows:
1–4. Self–explanatory.
5.
Circle “partial” unless this is the final close–out billing.
6.
Note if this is the first, second, third, etc. billing submittal for reimbursement.
7.
Indicate the period that is covered by the work incurred for this billing. For example:
From May 16, 1992 to August 4, 1992.
8.
If more than one billing form is used, mark each consecutively and note the total
number of pages. For example: Page 3 of 5
9.
Indicate the name of the vendor, individual, or contractor to whom payment was made.
In the case of donations, identify the donor.
10. Provide the number from the check that was used to pay the vendor in column #9. In case
of
donations, indicate by the word “donation.”
11. Fill in the total dollar amount as written on the check for which reimbursement is
being
claimed or the full value of the donation.
12. Indicate the amount of the figure in column #11 that is eligible for reimbursement. This
amount is usually the same as that in column #11 except when several items, eligible and
ineligible, have been included on the same check. For example: If twenty poles were
purchased to light a ballfield, but only seven were used at the LWCF project site, then
the
price of seven lights should be indicated in column 12.
13. Describe exactly what was purchased for each reimbursable item. Identify the facility
so that the grants coordinator can determine the eligibility of the item. For example:
Seven poles for lighting the new ballfield.
14. Add all of the figures in column 12 and indicate the sum here.
15. Divide the figure in item #14 by 2 and indicate the amount here. This will be the amount
of the reimbursement check for this billing.
16. The park board president or person responsible for project administration must certify to
the accuracy of the reimbursement request.
17. Fill in the current date.
137
Interactive version online at
https://forms.in.gov/Download.aspx?id=10789
Force Account Labor Form Instructions
The Force Account Labor Form documents the labor costs of park employees who worked on
a Land and Water Conservation Fund project. To justify these expenses, the Force Account
Labor Form must be submitted along with copies of payroll.
Column headings are self–explanatory. The employee’s entire day must be documented. If
the employee spent half a day on the project site, an entry must be made for the remainder of
the day.
Overtime pay is not normally eligible unless a written justification accompanies the force
account sheet. The justification should explain the circumstances surrounding the additional
time needed to complete the work. Overtime reimbursement will be considered only when an
employee is working full–time for a period of several days or weeks at the project site. A rule
to remember is that salaries and wages for persons working on LWCF–assisted projects shall
not exceed wage rate for similar persons working on similar jobs.
139
Interactive version online at
https://forms.in.gov/Download.aspx?id=10788
Donated Labor Form Instructions
This form is used to document labor costs of volunteer workers who worked on
the Land and Water Conservation Fund project. To justify their donated time, the
completed form must be submitted with the billing.
One form must be completed for each person, listing the date(s), hour(s), wage
rate, and type of work completed on the project. The form must be signed by the
donor and their supervisor (usually the applying Agency's president). A statement
from the local fiscal officer, which certifies the wage rate must be included, if it
had not already been submitted.
If a Volunteer is employed in a skilled trade and they were providing that skill for
the project, then their time may be valued at their normal rate. A statement of their
hourly wage on company letterhead must be provided.
If a Volunteer is not employed in a skilled trade, the sponsor must provide a
statement of the wage rate paid to the entry level municipal laborers. That is the
rate that will be reimbursed.
141
Interactive version online at https://forms.in.gov/Download.aspx?id=10787
Federal Protection for Outdoor Recreation
The property indicated on the attached as-built plan was acquired and/or developed with a
grant from the Federal Land and Water Conservation Fund (LWCF). This grant program is
administered at the federal level by the by the National Park Service (NPS) in the U.S.
Department of the Interior and at the State level by the Divisions of Outdoor Recreation in the
Indiana Department of Natural Resources. Grants are made to local units of government,
usually the park and recreation board, to acquire or develop local parks. The recipient agency is
identified on the site plan.
The Land and Water Conservation Fund Act of 1965 (Public Law 88-578; 78 Stat. 897) in
Section 6(f)(3) states that property acquired or developed with LWCF assistance shall be
retained and used for public outdoor recreation in perpetuity. Any property so acquired or
developed shall not be wholly or partly converted to other than public outdoor recreation uses
without the approval of the Indiana Department of Natural Resources and the U.S. Department
of the Interior. The Department of the Interior has the ultimate authority to disapprove
conversion requests and/or reject proposed property substitutions.
Conversions generally occur in the following situations:
1. Property interests are conveyed for non-public outdoor recreation uses.
2. Non-outdoor recreation uses (public or private) are made of the project area
or a portion thereof.
3. Indoor recreation facilities, which are not support facilities for outdoor recreation,
are developed within the park.
4. Public outdoor recreation use of the property is terminated.
Examples of typical conversions are: new public thoroughfares, utility lines, indoor recreation
facilities (community centers, swimming pools, ice rinks, etc.), other civic structures (fire
stations, schools, libraries, fairgrounds, town halls, etc.), and the introduction of exclusive
(nonpublic) uses.
If a conversion cannot be avoided, the local unit of government will be held responsible to see
that real property of equivalent value, usefulness and location is provided to replace that
converted at the park site as indicated on the attached site plan. Repayment of the grant funds
or the provision of replacement facilities is not an acceptable form of mitigation.
LWCF regulations also specify that all future utilities constructed or renovated on the site must
be installed underground, and the local project sponsor signed an agreement providing this
assurance in the grant documentation. Disposition of any existing overhead lines was agreed to
during the project, and may be noted on the attached site plan. Future utility lines not serving
143
the park will need approval prior to their construction.
For property owned by the local unit of government (the park and recreation board or other
governmental unit) the provisions of Section 6(f)(3) of the L WCF Act apply in perpetuity, and
thus continue with the land even after any LWCF assisted facilities have served their useful
lives and been discontinued.
Proposed conversions must receive advance approval from the Indiana Department of Natural
Resources and the U.S. Department of the Interior. Replacement property must receive federal
approval prior to its acquisition. Conversion requests involve specific detailed documentation.
Please contact the Indiana Department of Natural Resources to obtain further information
regarding a conversion. The agencies to contact are:
State and Community Outdoor Recreation Planning Section
Division of Outdoor Recreation
Indiana Department of Natural Resources
402 W. Washington Street, Room #271
Indianapolis, IN 46204
(317) 232-4070
FAX (317)233-4648
Midwest Region,
National Park Service
U.S. Department of the Interior 601 Riverfront Drive
Omaha, NE 68102
(402) 661-1736
FAX (402) 661-1565
144
Sample Cost Breakdown
City Park Trail and Amenities
1.
Unit Cost
Preliminary expenses
archaeological review
preparation of site plan
application preparation
150.00
500.00
1,000.00
2.
Acquisition of 20 acres for linear
greenway
50,000.00
3.
Architectural and engineering fees
2,500.00
4.
Construction of Trail
grading
asphalt surfacing
sub base(recycled concrete)
15,000.00
40,000.00
10,000.00
Construction of restroom building
construction of restroom building
waterline and drinking fountain
electricity
solar lighting
15,000.00
2,000.00
4,000.00
10,000.00
6.
Landscaping
3,500.00
7.
Interpretive Signage
5,000.00
8.
Picnic Shelter
grading
shelter kit
donated labor
10 benches and picnic tables (made
of post consumer recycled materials)
5.
Total
5,000.00
12,000.00
3,000.00
3,000.00
$181,650.00
145
Information Needed to Begin the Section 106
Review Process
(Updated as of October 26, 2004)
A review process for actions proposed to taken by, funded, permitted, or licensed by a Federal agency is
mandated by Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §
470f) and is spelled out in regulations of the Advisory Council on Historic Preservation at 36 C.F.R. Part
800). To begin the Section 106 review process, an official of the Federal agency must establish whether
there is an undertaking that has the potential to affect historic properties and, if so, identify properties
(buildings, structures, objects, sites, or districts) that are either listed in the National Register of Historic
Places or eligible for listing. Under many of the funding programs of the U.S. Department of Housing
and Urban Development (“H.U.D.”), by Federal law a state or local government (often referred to as the
“Responsible Entity”) has been delegated the environmental responsibilities that H.U.D. otherwise
would have to fulfill. In such cases, the appropriate official of the Responsible Entity is the Federal
agency official for Section 106 purposes. The Federal agency may authorize its applicant for funding or
licensing or a consultant to begin the Section 106 process with the State Historic Preservation Officer (or
“SHPO”), but formal findings and determinations must be made by the Federal agency.
The Section 106 process, as governed by 36 C.F.R. Part 800, typically has up to five steps:
Step 1: Initiate the Section 106 process
Step 2: Identify historic properties
Step 3: Assess adverse effects
Step 4: Resolve adverse effects
Step 5: Implement any agreement reached to resolve adverse effects
Because the process is designed to be followed systematically, it is generally not advisable to try to
cover all of the steps in the initial submission. However, it is usually reasonable and productive to deal
with Step 1 and much of Step 2 in the initial submission to the SHPO. The list below identifies the kinds
of information and materials that we recommend the Federal agency or its authorized applicant or
consultant mail or deliver to the SHPO at the following address:
State Historic Preservation Officer Indiana Department
of Natural Resources Division of Historic Preservation
and Archaeology
402 West Washington Street, Room W274
Indianapolis, Indiana 46204-2739 telephone
number 317-232-1646
website: http://www.in.gov/dnr/historic/2830.htm
The SHPO or his staff at the DHPA will notify Federal agency or its authorized applicant or consultant if
basic elements needed in the submission for SHPO review are missing. The SHPO will attempt to send
such notifications within 30 days after receipt of the submission.
146
Section 106 Review Checklist
Checklist
Step 1: Initiate the Section 106 process
The initial letter to the SHPO should include as much as possible of the following information
about the undertaking:
___A) The formal name of the undertaking (if any) or a short-hand characterization of the
undertaking (e.g., the Rehabilitation of the Smalltown School for Senior Housing or
the Metropolis Downtown Streetscape Project).
___B) The name, mailing address, and other contact information for the Federal agency (or
Responsible Entity) or for the State agency that is being asked to provide funding, to
issue a license or permit, or otherwise to approve the undertaking.
___C) The Federal or State funding, licensing, or permitting program or programs (e.g.,
Community Development Block Grant, Transportation Enhancement, State Revolving
Fund, Section 404 Permit, or Construction in a Floodway Permit) from which either
financial assistance or approval will be sought for this undertaking.
___D) The name, mailing address, and other contact information for the applicant for Federal
funding or a license or permit, if the Federal agency is not conducting the undertaking
by itself.
___E) If the Federal agency (or Responsible Entity) wishes to authorize its applicant or its
applicant’s agent (e.g., a grant administrator, an attorney, or an architectural,
engineering, environmental, or historic preservation consultant) to initiate the Section
106 process with the SHPO, then provide a copy of a letter or other written evidence of
that authorization to the SHPO. Keep in mind that only the Federal agency (or
Responsible Entity) has the authority to make formal determinations (e.g., the
boundaries of the area of potential effects or the eligibility of properties for the
National Register of Historic Places) or findings (e.g., “no historic properties affected,”
“no adverse effect,” or “adverse effect.”)
___F) Name the consulting parties (i.e., those local governments, local historical or historic
preservation organizations, county historians, neighborhood associations, adjoining
landowners, and the like, whom the Federal agency or its applicant have reason to
believe might have an economic, legal, or historic preservation interest in the
undertaking and whom the Federal agency or its applicant have invited or intend to
invite to participate in the Section 106 process.
___G) A written description of the location of the undertaking (i.e., street or road; address, if
any; city of town-or township, if in a rural area; and county.)
___H) If possible, a detailed scope of work for the undertaking, or if such detail is not yet
available, then as complete a description as possible of all major elements of the
147
undertaking (e.g., excavation, filling, grading, paving, partial or total demolition of a
building or structure, new construction, construction of an addition, remodeling, or
moving.)
Step 2: Identify historic properties
The initial letter also should include as much as possible of the following kinds of
information: Determine the scope of identification
___A) Propose the area or areas of potential effects (i.e., the geographic area or areas within
which an undertaking may cause changes in the use or character of historic properties, if any such
properties exist; this includes effects that are direct or indirect, cumulative, later in time, or
at a distance); and provide a map or a good quality photocopy of a map containing the
following:
i)
The boundaries of the area of potential effects clearly outlined in dark ink
(highlighter and pencil do not photocopy well) on the a copy of the relevant
portion of a town, city, county, or U.S. Geological Survey quadrangle map.
ii)
The precise location of the project area (i.e., the area where work will take place
and where materials may be stockpiled or heavy equipment parked when not in
use) within the boundaries of the area of potential effects clearly identified in dark
ink (highlighter and pencil do not photocopy well). Please note, the precise location
of the project area is not the same thing as the area of potential effects.
iii)
The names of nearby landmarks clearly labeled (e.g., major streets, roads,
highways, railroads, rivers, lakes).
Evaluate historic properties
___B) If possible, using the same map, show the precise location of any buildings, structures,
objects, sites (other than archaeological sites), and districts or parts of districts within the area of
potential effects (e.g., addresses and a site map with properties keyed to it) that may be
affected by the project;
___C) Gather and organize documentation on the history and possible significance of buildings,
structures, and objects within the area of potential effects including the following: known
or approximate dates of original construction; a description of any known modifications
to individual buildings, structures, objects, sites, and districts; associations with
significant events or persons, and any other historical information known about the
properties, within the area of potential effects that might shed light on their significance.
___D) Describe the existing condition of any vacant land within the project area; in particular,
state whether or not the ground is known to have been disturbed by construction,
excavation, grading, or filling, and, if so, indicate the part or parts of the project area that
have been disturbed; agricultural tilling generally does not have a sufficiently severe
impact on archaeological sites to constitute a disturbance of the ground for this purpose.
___E) Document the sources checked (e.g., correspondence, bibliographical citations [e.g., title,
author, page number], or copies of relevant materials obtained from oral history
interviews, sample field investigations, field surveys, background research, consultation
with a county historian, a local historical or historic preservation organization, or
reference materials such as the interim report of a local historic sites and structures
148
inventory);
___F) Provide recent, clear photographs or good quality computer-generated images (not
photocopies), keyed to a site plan, showing the exterior (and interior, if feasible) of any
buildings, structures, objects, districts, or sites (excluding archaeological sites, whose
location should not be disclosed to the public) that could be affected in any way (such
as by demolition, rehabilitation, expansion, taking of right-of-way, or visual
modification or obscuration) by the project;
Depending on the nature of the undertaking and the kinds of properties it could affect, the
SHPO may request additional information, such as the report of an archaeological
investigation of a parcel of land. However, it is advisable to wait until the SHPO has
commented on the initial submission of information before expending additional time and
funds on preparing such information.
If no historic properties are found within the area of potential effects, or if there clearly will be
no effect on any historic properties that have been identified, then the Federal agency could
issue a finding of “no historic properties affected” and provide the SHPO with documentation
of the basis of that finding, provided that it or its authorized applicant or consultant has
consulted about those issues with the SHPO. However, it generally is not advisable to provide
such a finding from the Federal agency within the initial submission, because the process
requires that the Federal agency consult with the SHPO before making determinations and
findings--absent an agreement with the SHPO to conduct the process in an expedited manner-and because the SHPO may have information or opinions on the significance of properties or
the undertaking’s effect on them that the Federal agency may not have.
Similarly, the SHPO might request additional information about the effect of the undertaking
on an historic property or about the feasibility of avoiding or minimizing an adverse effect
(e.g., a structural report on a building to be demolished or photographs of work areas and
detailed plans and specifications of proposed rehabilitation work). This information usually
need not be provided in the initial submission to the SHPO, however.
For more information on the Section 106 process, refer to the Federal regulations at 36 C.F.R.
Part 800, which are available on the Internet at www.achp.gov.
149
Sample Building Plan
150
Sample Acquisition Site Plan
151
Sample Development Plan
152
Information for All Base Maps
1. Title Square including:
a. Name of project
b. Scale of Map
c. Name of person/agency preparing map
d. Date
e.
County, Township, Range, and Section number
2. North orientation arrow
3. Names of water bodies - lakes, rivers, streams, etc.
4. Acreage of any water impoundments
5. If applicable, show corporation limits
6. Identify all roads and highways including any rights-of-way on park property. Give proper
name and road number.
7. Show total boundary of existing park. The project area should be shown in
sufficient detail so as to be legally identifiable. Acceptable methods of
identification include:
a.
Deed references
b.
Adjoining owners, easements, water bodies, or other natural land marks
c.
Metes and bounds, or Government surveys. Note: if the park is very large and the
project includes only one segment of the park, include a general map that shows
the total park and location of the project site. The base map can be an enlargement
of the project site and its immediate surroundings.
8. Identify any unique or significant natural features on the site.
9. Locate all existing improvements including:
a. Structures
b. Park Roads
c. Parking Lots
d. Recreation activity areas (ball fields, picnic areas)
10. Locate all utility lines.
a. Specify whether they are overhead or buried.
b. Specify which overhead wires are proposed for burial as part of this project.
c. Locate any high voltage transmission lines which cannot be buried.
d. Locate any transformers or substations on the site.
153
11. Locate any other outstanding rights and interests such as:
a. Gas lines
b. Water lines
c. Sewer lines
d. Dedicated drainage ways
e. Railroad tracks
f. Billboards
g. Deed/lease restrictions, reversionary interests
12. Identify any other improvements or features such as:
a. Wells
b. Septic systems
c. Water towers
d. Transmission towers
Base Map Information for Acquisition Projects
In addition to the general information, the following items should be included. Color coding is advisable
to differentiate between land already acquired for park use, land to be acquired as part of this projects, or
land proposed for future acquisition.
1. Identify all parcels proposed for acquisition in this application. Provide name of owner, acreage,
and parcel number that corresponds to those listed on the Supplemental Acquisition Form.
2. As applicable, identify the location and acreage of existing park land and/or any parcels
proposed or future acquisition.
3. Indicate present zoning/use of the site and surrounding area.
4. Locate any public roads on the site which are vacated or scheduled to be abandoned as part of this
project.
Base Map Information for Development Projects
In addition to the general information, the following items should be included. Color coding is
advisable to differentiate existing facilities, those proposed for development as part of this project and
any future development on the park site.
1. Locate all facilities proposed for development in this project such as:
a. Structures
b. Roads and parking lots
c. Bridges
d. Utility services (sewer, water, electrical)
e. Activity areas - ball fields, swimming pool, golf course, tennis
courts. Each facility should be drawn to scale to fit into the
project boundaries.
2. Locate any existing future facility development
154
3. Identify any site adaptations which accommodate the people with disabilities such as:
a. Curb cuts
b. Signed parking spaces for the disabled
c. Hard-surfaced walkways
d. Railings
e. Ramps
If the project includes both acquisition and development, include both types of base maps.
155
Interactive version online at
https://forms.in.gov/Download.aspx?id=7159
LWCF Sign
INDIANA DEPARTMENT
OF NATURAL RESOURCES
DEPARTMENT OF THE
INTERIOR
DIVISION OF OUTDOOR
RECREATION
NATIONAL PARK
SERVICE
LOCAL AGENCY NAME
158
Support Conservation Through The Natural Resources Foundation.
Donations of money or property are accepted to promote the work of the IDNR.
Support the Indiana Heritage Trust!
Buy an Environmental License Plate. Your donation will purchase natural areas for
preservation and recreation.
For more information about the heritage trust or the
Natural Resources Foundation contact:
Natural Resources Foundation 402 West Washington Street
Indianapolis, Indiana 46204-2212 (317) 233-4020.
Under Title VI of the 1964 Civil Rights Act, Section 504 of the Rehabilitation Act of 1973, the Age Discrimination Act of 1975, Title IX of the
Education Amendments of 1972, the U.S. Government prohibits discrimination on the basis of race, color, national origin, age, sex, or handicap. If
you believe that you have been discriminated against in any program, activity, or facility as described above, or if you desire further information
please contact the Department of Natural Resources, Executive Office, Indianapolis, Indiana.
printed on recycled paper

Similar documents

×

Report this document