Preface

PREFACE

This Land and Water Conservation Fund (L&WCF) Grants Manual sets forth the administrative policies, procedures and guidelines for L&WCF grants awarded to the States by the Department of the Interior, National Park Service. It is intended to serve as a basic reference for those who are engaged in the administrative and financial management of L&WCF grants to States, and to achieve uniformity in the administration of the L&WCF program by the State Liaison Officers.

Participation in the L&WCF program is deemed to constitute a public trust. It is the responsibility of the State to comply with this Manual and all terms and conditions of the grant agreement, to efficiently and effectively manage funds in accordance with the approved budgets, to promptly complete grant assisted activities in a diligent and professional manner, and to monitor and report performance. This responsibility cannot be delegated nor transferred.

The policies and procedures contained in this Manual are subject to applicable Federal laws and regulations, and any changes made to these laws and regulations subsequent to their publication. In the event that these policies and procedures conflict with applicable Federal laws, regulations, and policies, the following order of precedence will prevail:

1. Federal Law

2. The Code of Federal Regulations

3. Terms and Conditions of Grant Award

4. Land and Water Conservation Fund Manual

The State bears primary responsibility for the administration and success of grant supported operations, including performance by third parties under subagreements made by the State for accomplishing nonconstruction and construction project objectives. Except as specifically excluded, the provisions of this Manual shall be applied by the State to subgrantees and contractors performing work under L&WCF grants.

This edition of the L&WCF Grants Manual revises and updates the previous edition, including amendments thereto, issued as Manual Release 140 through Word‚, version 4.0 for Apple Macintosh‚‚ computers. A minimum of two Megabites of RAM is required for optimum efficiency to run the program, although the program will run with one megabite..

The Land and Water Conservation Fund (L&WCF) Program was administered by the Bureau of Outdoor Recreation (BOR) from its beginning in 1965 to 1978 when the Heritage Conservation and Recreation Service (HCRS) was created. HCRS then administered the program until 1981 when the L&WCF was transferred to the National Park Service where the program is currently administered. Inquiries may be addressed to the Chief, Recreation Grants Division, National Park Service (784), P.O. Box 37127, Washington, D.C. 20013-7127.

How to use

HOW TO USE THIS MANUAL

Organization and Numbering Procedure,

Printed Version. This Manual is organized by Part, Chapter, section and paragraph. A typical reference, such as 650.3.2A, indicates Part 650, Chapter 3, Section 2 and paragraph A. To locate certain information, use the Table of Contents to identify the likely Part and Chapter, and/or refer to the index for the specific section and cross references.

Computerized Version. The computerized version is organized identically to the printed version. However, there is no index since any subject can be accessed using Word's keyword search capabilities.

By using the "Find" command under the utilities menu, one can search for any word or phrase in the Manual. Instructions for using "Find" are contained in the Microsoft Word 4.0 user reference manual. (Full Menus should be used.)

The easiest method of finding a major subject heading is to:

1. Make sure that hidden text is shown (go to "Preferences" under the "Edit" pull down menu).

2. Consult the Table of Contents for the Chapter heading.

3. Select Find from the Utilities pull-down menu.

4. Select "Whole Word."

5. Enter the Part and Chapter number preceded by the letter "C". Thus if searching for Chapter 3 of Part 640, enter [C640.3 ]. Do not enter the brackets.

6. Select "Start Search" and wait for the beginning of the Chapter to appear on the monitor.

Paragraphs, such as 640.3.5 may also be accessed directly by searching on [P640.3.5 ]. Similarly, attachments to Chapters can be accessed by entering the Chapter and attachment designation such as [C650.3 att.A ].

An alternative, and faster method for accessing any page in the computerized version of this manual is to use the " G" (Go To) command and entering the appropriate page and section numbers. For example, instead of entering "C640.3" as you would under the Find function, you would enter "p1s17 ." Section numbers are shown in hidden text and parentheses following each chapter title in the Table of Contents.

How to Obtain Copies of this Manual. This Manual and all revisions thereto may be obtained from National Park Service Regional Offices (see 600.1 Attachment A for Regional Office addresses).

TABLE OF CONTENTS

Part Chapter (Section)

Preface i How to Use this Manual iii

Table of Contents iv List of Attachments vi

600 General Program Information

1. Program Summary (S 2)

2. Legislative Basis (S 4)

3. State Apportionment (S 5)

4. Secretary's Contingency Reserve (S 6)

5. Definitions (S 7)

6. Project Numbering System (S 8)

7. L&WCF Program Annual Report (S 9)

8. Program Review of State Offices (S 11)

630 State Plans

1. Plan Preparation, Procedures and Eligibility (S 13)

2. Planning Assistance (S 15)

640 Acquisition and Development

1. General Project Criteria (S 16)

2. Criteria for Acquisition (S 17)

3. Criteria for Development (S 18)

650 Project Compliance

1. General Project Compliance (S 22)

2. Environmental Policy and Assessment (NEPA) (S 23)

3. Relocation and Acquisition Policy (P.L. 91-646) (S 31)

4. Cultural, Aracheological and Historic Preservation (S 35)

5. EEO Contract Compliance (S 36)

6. National Flood Insurance Program (S 41)

7. Flood Plains and Wetlands (S 42)

8. Intergovernmental Review System (E.O. 12372) (S 43)

9. Title VI Guidelines (S 46)

10. Minority Business Enterprise Development (MBE) (S 47)

660 Application and Evaluation Procedures

1. Types of Applications (S 50)

2. Application and Amendment Procedures (S 51)

3. Application Forms (S 52)

4. Open Project Selection Process (S 75)

5. Evaluation Criteria (S 76)

670 Cost Principles

1. General Cost Principles (S 77)

2. Sponsor's Financial Obligations (S 78)

3. Allowable Costs (S 79)

675 Project Administration

1. General Administrative Requirements (S 80)

2. Acquisition Methods and Appraisals (S 82)

3. Procurement Standards (S 83)

4. L&WCF Sign Standards (S 85)

5. Financial Management and Reporting (S 87)

6. Payments (S 88)

7. Audits (S 97)

8. Project Termination and Settlement (S 98)

9. Post-Completion Responsibilities (S 99)

INDEX

LIST OF ATTACHMENTS

600.1A NPS Regional Offices with Responsibility for L&WCF Grants ( S 3)

600.7A Annual Report Print Out (S 10)

600.8A Checklist for Project Compliance (S 12)

630.1A Summary of Legislation Requiring Coordination between SCORP and Other Federal Programs (S 14)

640.3A Normal Daily Average Temperature, January (S 19)

640.3B Mean Annual Total Snowfall (S 20)

640.3C Normal Daily Average Temperature (June) (S 21)

650.2A Environmental Certification (S 24)

650.2B Finding of No Significant Impact (S 25)

650.2C CEQ Regulations for Implementing NEPA (S 26)

650.2D National Environmental Policy Act of 1969 (S 27)

650.2E Department of the Interior Manual - 516 DM 4 (S 28)

650.2F Department of the Interior Manual - 516 DM 2 (S 29)

650.2G Categorical Exclusions (S 30)

650.3A 49 CFR 24, Uniform Relocation and Real Property Acquisition Regulations (S 32)

650.5A Notice of Requirement for Affirmative Action (S 37)

650.5B Standard Federal Equal Employment Opportunity Construction Contract Specifications (S 38)

650.5C Equal Employment Opportunity Clause (S 39)

650.5D Certification of Nonsegregated Facilities (S 40)

650.8A Excerpts from E.O. 12372 Regulations (43 CFR Part 9) (S 44)

650.8B Excerpts from Department of the Interior Manual - 511 DM 7 (S 45)

650.10A Minority Business Enterprise Utilization Report (S 48)

660.3A Application for Federal Assistance (SF 424) (S 53)

660.3B L&WCF Project Agreement and General Provisions (S 70)

660.3C L&WCF Amendment to the Project Agreement (S 71)

660.3D L&WCF Description and Notification Form (S 72)

660.3E L&WCF Grant Document sent to WASO from Regional Office (S 73)

660.3F Federal Assistance Award Data System (FAADS) Reporting Requirements (S 74)

675.1A 43 CFR Part 12.100 - .510, Nonprocurement Debarment and Suspension, Common Rule (S 81)

675.3A 43 CFR Part 12.1 - .52, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government, Common Rule (S 84)

675.4A L&WCF Sign (S 86)

675.6A Direct Deposit Sign-Up Form (S 89)

675.6B SMARTLINK Payment Request Screen (S 90)

675.6C Classification of Amount Requested Form (S 91)

675.6D Request for Advance or Reimbursement Form (SF-270) (S 92)

675.6E Outlay Report and Request for Reimbursement for Construction Programs (SF-271d) (S 94)

675.6F Federal Cash Transactions Report (SF-272) (S 96)

C600.2

LEGISLATIVE BASIS

P600.2.1

1. Purpose. The basic authority for the Land and Water Conservation Fund is stated in Section 1 (b) of the Land and Water Conservation Fund Act of 1965, as amended (78 Stat. 897):

"The purposes of this act are to assist in preserving, developing, and assuring accessibility to all citizens of the United States of America of present and future generations and visitors who are lawfully present within the boundaries of the United States of America such quality and quantity of outdoor recreation resources as may be available and are necessary and desirable for individual active participation in such recreation and to strengthen the health and vitality of the citizens of the United States by (1) providing funds for and authorizing Federal assistance to the States in planning, acquisition, and development of needed land and water areas and facilities and (2) providing funds for the Federal acquisition and development of certain lands and other areas."

P600.2.2

2. Section 6 of the Act contains the basic requirements and conditions for the L&WCF Program of Assistance to States:

"Section 6. GENERAL AUTHORITY; PURPOSES.--(a) The Secretary of the Interior (hereinafter referred to as the "Secretary") is authorized to provide financial assistance to the States from monies available for State purposes. Payments may be made to the States by the Secretary as hereafter provided, subject to such terms and conditions as he considers appropriate and in the public interest to carry out the purposes of this Act, for outdoor recreation: (1) planning, (2) acquisition of land, waters, or interests in land or waters, or (3) development.

(b) APPORTIONMENT AMONG STATES; NOTIFICATION.--Sums appropriated and available for States purposes for each fiscal year shall be apportioned among the several States by the Secretary, whose determination shall be final, in accordance with the following formula:

(1) Forty per centum of the first $225,000,000; thirty per centum of the next $275,000,000; and twenty per centum of all additional appropriations shall be apportioned equally among the several States; and

(2) At any time, the remaining appropriation shall be apportioned on the basis of need to individual States by the Secretary in such amounts as in his judgment will best accomplish the purposes of this Act. The determination of need shall include among other things a consideration of the proportion which the population of each State bears to the total population of the United States and of the use of outdoor recreation resources of individual States by persons from outside the State as well as a consideration of the Federal resources and programs in the particular States.

(3) The total allocation to an individual State under paragraphs (1) and (2) of this subsection shall not exceed 10 per centum of the total amount allocated to the several States in any one year.

(4) The Secretary shall notify each State of its apportionments; and the amounts thereof shall be available thereafter for payment to such State for planning, acquisition, or development projects as hereafter prescribed. Any amount of any apportionment that has not been paid or obligated by the Secretary during the fiscal year in which such notification is given and for two fiscal years thereafter shall be reapportioned by the Secretary in accordance with paragraph (2) of this subsection, without regard to the 10 per centum limitation to an individual State specified in this subsection.

(5) For the purposes of paragraph (1) of this subsection, the District of Columbia, Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands (when such islands achieve Commonwealth status) shall be treated collectively as one State, and shall receive shares of such apportionment in proportion to their populations. The above listed areas shall be treated as States for all other purposes of this title.

(c) MATCHING REQUIREMENTS.--Payments to any State shall cover not more than 50 per centum of the cost of planning, acquisition, or development projects that are undertaken by the State. The remaining share of the cost shall be borne by the State in a manner and with such funds or services as shall be satisfactory to the Secretary. No payment may be made to any State for or on account of any cost or obligation incurred or any service rendered prior to the date of approval of this Act.

(d) COMPREHENSIVE STATE PLAN REQUIRED; PLANNING PROJECTS.--A comprehensive statewide outdoor recreation plan shall be required prior to the consideration by the Secretary of financial assistance for acquisition or development projects. The plan shall be adequate if, in the judgment of the Secretary, it encompasses and will promote the purposes of this Act: Provided, That no plan shall be approved unless the Governor of the respective State certifies that ample opportunity for public participation in plan development and revision has been accorded. The Secretary shall develop, in consultation with others, criteria for public participation, which criteria shall constitute the basis for the certification by the Governor. The plan shall contain -

(1) the name of the State agency that will have authority to represent and act for the State in dealing with the Secretary for purposes of this Act;

(2) an evaluation of the demand for and supply of outdoor recreation resources and facilities in the State;

(3) a program for the implementation of the plan; and

(4) other necessary information, as may be determined by the Secretary.

The plan shall take into account relevant Federal resources and programs and shall be correlated so far as practicable with other State, regional, and local plans. Where there exists or is in preparation for any particular State a comprehensive plan financed in part with funds supplied by the Housing and Home Finance Agency, any statewide outdoor recreation plan prepared for purposes of this Act shall be based upon the same population, growth, and other pertinent factors as are used in formulating the Housing and Home Finance Agency financed plans.

The Secretary may provide financial assistance to any State for projects for the preparation of a comprehensive statewide outdoor recreation plan when such plan is not otherwise available or for the maintenance of such plan.

(e) PROJECTS FOR LAND AND WATER ACQUISITION; DEVELOPMENT.--In addition to assistance for planning projects, the Secretary may provide financial assistance to any State for the following types of projects or combinations thereof if they are in accordance with the State comprehensive plan:

(1) ACQUISITION OF LAND AND WATERS.--For the acquisition of land, waters, or interests in land or water (other than land, waters, or interests in land or waters acquired from the United States for less than fair market value), but not including incidental costs relating to acquisition. Whenever a State provides that the owner of a single-family residence may, at his option, elect to retain a right of use and occupancy for not less than six months from the date of acquisition of such residence and such owner elects to retain such a right, such owner shall be deemed to have waived any benefits under sections 203, 204, 205, and 206 of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (84 Stat. 1894) and for the purposes of those sections such owner shall not be considered a displaced person as defined in section 101(6) of that Act.

(2) DEVELOPMENT. -- For development of basic outdoor recreation facilities to serve the general public, including the development of Federal lands under lease to States for terms of twenty-five years or more: Provided, That no assistance shall be available under this Act to enclose or shelter facilities normally used for outdoor recreation activities, but the Secretary may permit local funding, and after the date of enactment of this provision not to exceed 10 per centum of the total amount allocated to a State in any one year to be used for sheltered facilities for swimming pools and ice skating rinks in areas where the Secretary determines that the severity of climatic conditions and the increased public use thereby made possible justifies the construction of such facilities.

(f) REQUIREMENTS FOR PROJECT APPROVAL: CONDITION. -

(1) Payments may be made to States by the Secretary only for those planning, acquisition, or development projects that are approved by him. No payment may be made by the Secretary for or on account of any project with respect to which financial assistance has been given or promised under any other Federal program or activity, and no financial assistance may be given under any other Federal program or activity for or on account of any project with respect to which such assistance has been given or promised under this Act. The Secretary may make payments from time to time in keeping with the rate of progress toward the satisfactory completion of individual projects: Provided, That the approval of all projects and all payments, or any commitments relating thereto, shall be withheld until the Secretary receives appropriate written assurance from the State that the State has the ability and intention to finance its share of the cost of the particular project, and to operate and maintain by acceptable standards, at State expense, the particular properties or facilities acquired or developed for public outdoor recreation use.

(2) Payments for all projects shall be made by the Secretary to the Governor of the State or to a State official or agency designated by the Governor or by State law having authority and responsibility to accept and to administer funds paid hereunder for approved projects. If consistent with an approved project, funds may be transferred by the State to a political subdivision or other appropriate public agency.

(3) No property acquired or developed with assistance under this section shall, without the approval of the Secretary, be converted to other than public outdoor recreation uses. The Secretary shall approve such conversion only if he finds it to be in accord with the then existing comprehensive statewide outdoor recreation plan and only

upon such conditions as he deems necessary to assure the substitution of other recreation properties of at least equal fair market value and of reasonably equivalent usefulness and location: Provided, that wetland areas and interests therein as identified in the wetlands provisions of the comprehensive plan and proposed to be acquired as suitable replacement property within the same State that is otherwise acceptable to the Secretary, acting through the Director of the National Park Service, shall be considered to be of reasonably equivalent usefulness with the property proposed for conversion.

(4) No payment shall be made to any State until the State has agreed to (1) provide such reports to the Secretary, in such form and containing such information, as may be reasonably necessary to enable the Secretary to perform his duties under this Act, and (2) provide such fiscal control and fund accounting procedures as may be necessary to assure proper disbursement and accounting for Federal funds paid to the State under this Act.

(5) Each recipient of assistance under this Act shall keep such records as the Secretary shall prescribe, including records which fully disclose the amount and the disposition by such recipient of the proceeds of such assistance, the total cost of the project or undertaking in connection with which such assistance is given or used, and the amount and nature of that portion of the cost of the project or undertaking supplied by other sources, and such other records as will facilitate an effective audit.

(6) The Secretary and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access for the purposes of audit and examination any books, documents, papers, and records of the recipient that are pertinent to assistance received under this Act.

(7) Each State shall evaluate its grant programs annually under guidelines set forth by the Secretary and shall transmit, so as to be received by the Secretary no later than December 31, such evaluation to the Secretary, together with a list of all projects funded during that fiscal year, including, but not limited to, a description of each project, the amount of Federal funds employed in such project, the source of other funds, and the estimated cost of completion of the project. Such evaluation and the publication of same shall be eligible for funding on a 50-50 matching basis. The results of the evaluation shall be annually reported on a fiscal year basis to the National Park Service, which agency shall forward a summary of such reports to the Committees on Interior and Insular Affairs of the United States Congress by no later than March 1 of each year. Such report to the committees shall also include an analysis of the accomplishments of the fund for the period reported, and may also include recommendations as to future improvements for the operation of the Land and Water Conservation Fund program.

(8) With respect to property acquired or developed with assistance from the fund, discrimination on the basis of residence, including preferential reservation or membership systems, is prohibited except to the extent that reasonable differences in admission and other fees may be maintained on the basis of residence.

(g) COORDINATION WITH FEDERAL AGENCIES.--In order to assure consistency in policies and actions under this Act, with other related Federal programs and activities (including those conducted pursuant to title VII of the Housing Act of 1961 and Section 701 of the Housing Act of 1954) and to assure coordination of the planning acquisition, and development assistance to States under this section with other related Federal programs and activities, the President may issue such regulations with respect thereto as he deems desirable and such assistance may be provided only in accordance with such regulations."

C600.5

DEFINITIONS

P600.5.1

1. The definitions given below apply to terms used in this Manual.

ACCRUED EXPENDITURES: Accrued expenditures are the charges incurred by the grantee during a given period requiring the provision of funds for: (1) goods and other tangible property received; (2) services performed by the employees, contractors, subgrantees, and other payees; and (3) amounts becoming owed under projects for which no current services or performance are required.

ACCRUED INCOME: Accrued income is the earnings during a given period which is a source of funds resulting from (1) services performed by the grantee; (2) goods and other tangible property delivered to purchasers; and (3) amounts owed to the grantee for which no current services or performance are required by the grantee.

ACT: The Act of Congress, approved September 3, 1964, entitle "Land and Water Conservation Fund Act of 1965" (78 Stat. 897), as amended.

ADVANCE BY TREASURY CHECK: A payment made by a Treasury Check to a grantee: 1) upon request before cash outlays are made by the recipient, or 2) through the use of predetermined payment schedules before cash outlays are made by the grantees.

ADVISORY COUNCIL (ACHP): The Advisory Council on Historic Preservation.

AGREEMENT: A contract executed between the United States and a State setting forth mutual obligations with regard to all or part of a specific project.

AMENDMENT: An official alteration of the project agreement which, when signed by the State and the Service, modifies the agreement in a specified manner.

APPLICANT: The State.

APPORTIONMENT: The amount of funds annually reserved for a State by the Secretary of the Interior from Congressional appropriations for financially assisting projects under the provisions of the Act.

APPROPRIATION: The amount of funds which the Congress makes available yearly from the Land and Water Conservation Fund for purposes of the Act.

APPROVAL: The signing by the Director or designated official of a project agreement and/or amendment resulting in the obligation of a specified amount of Federal funds for a specific purpose.

ARCHITECTURAL CONCEPT: Sketches, layouts, renderings, and similar drawings describing a proposed facility.

ASSISTANCE: Grant funds made available by the Service to a State in support of a public outdoor recreation project.

BOR: Bureau of Outdoor Recreation - the agency of the Department of Interior which administered the L&WCF program from its beginning in 1965 to 1978 when it was transferred to HCRS.

CASH CONTRIBUTIONS: Cash contributions represent the grantee's cash outlay, including the outlay of money contributed to the grantee by other public agencies and institutions, and private organizations and individuals.

CONSOLIDATED PROJECT GRANT: A L&WCF grant which includes several acquisition, development and/or combination projects or "elements" in one application and agreement. Consolidated project elements are identified by a capital letter at the end of the project number (e.g., 00-01234D).

CONTINGENCY FUND GRANT: A grant from the Contingency Reserve, usually awarded in national competitions based upon specific needs and selection criteria. Contingency grants are awarded outside the usual State apportionment and project selection process. Grants are made for special needs under the direct authority of the Secretary of the Interior

CONTINGENCY RESERVE: Also known as Secretary's Contingency Fund. That portion of Land and Water Conservation Fund money appropriated by the Congress for State use that is not immediately apportioned to the States, plus any funds reverted from expired apportionments, which is granted at the Secretary's discretion to meet specially-defined or emergency needs.

DATE OF COMPLETION: The date when all work under a project is completed or the date in the grant award document, or any amendment thereto, on which Federal assistance ends whichever comes first.

DIRECT EXPENDITURES OR DIRECT COSTS: Those expenditures or costs that can be associated with a specific project.

DIRECTOR: The Director of the National Park Service or any other officer or employee of the Service to whom the Director's authority is delegated.

DISALLOWED COSTS: Disallowed costs are those charges to a grant which the Service or its representative determines to be unallowable.

DISBURSEMENTS: Disbursements are grantee payments in cash, by check or by electronic funds transfer represented by valid invoices and documentation.

EXPENDITURES: Payments or outlays by cash, check or electronic funds transfer represented by valid invoice and disbursement documentation. (See disbursements.)

FEDERAL FUNDS AUTHORIZED: Funds authorized represent the total amount of the Federal funds authorized for obligations and establish the ceilings for obligation of Federal funds.

FISCAL YEAR: A period of time which begins on October 1 and ends on the following September 30.

FORCE ACCOUNT: Official bookkeeping record(s) established for the purpose of accounting for costs associated with Force Account work.

FORCE ACCOUNT WORK: The performance of work on a development project with the forces and resources of the project sponsor, including personal services, equipment, and materials, as opposed to development by contract with an outside organization or individual.

FUND: The Land and Water Conservation Fund (L&WCF) the financial resource created and maintained through authority and operation of the Act.

GENERAL PROVISIONS: The special terms of the Project Agreement (see Attachment 660.

GRANT: The act of providing a specific sum of money toward the execution of a specific project, consistent with the terms of a signed agreement. Also the amount of money provided.

GRANTEE: Grant recipient. See PARTICIPANT.

GRANT CLOSEOUT: The process by which the Service determines that all applicable administrative actions and all required work of the project have been completed.

HCRS: Heritage Conservation & Recreation Service - agency that administered L&WCF program from 1978 to 1981, before its transfer to NPS.

INDIAN TRIBE: Indian tribes, bands, nations or other organized group which exercises governmental functions and which is recognized by the Secretary of the Interior as eligible for the special programs and services provided by the United States to Indians because of their status.

INDIRECT COSTS: Those costs related to the operation of the State's grants program but which, because of their incurrence for common or joint objectives, are not specifically identified with individual projects (see OMB Circular A -87, formerly FMC. 74-4).

IN-KIND CONTRIBUTIONS: In-kind contributions represent the value of noncash contributions provided by (1) the grantee; (2) other public agencies and institutions; and (3) private organizations and individuals. In-kind contributions may consist of the value of services directly benefiting and specifically identifiable to the project.

INSULAR AREAS: The Virgin Islands, Guam, American Samoa, The Trust Territory of the Pacific Islands, and the Commonwealth of the Northern Marianas Islands. (Note that the Virgin Islands, Guam, American Samoa and the Commonwealth of the Northern Marianas Islands are the only insular areas eligible for L&WCF grants.)

LETTER OF CREDIT: An instrument certified by an authorized official of a grantor agency which authorizes a grantee to draw funds needed for immediate disbursement in accord with the provisions of Treasury Circular No. 1075. As of 1991, Letters of Credit are no longer used; they have been replaced by the SMARTLINK Payment Management System (see SMARTLINK).

MAJOR CONSTRUCTION: Construction work with a total cost of $100,000 or more including any complex of structures or group of interrelated or appurtenant facilities.

MARKET VALUE: The most probable price in terms of money which a property should bring in competitive and open market under all conditions requisite to a fair sale, the buyer and seller, each acting prudently, knowledgeably and assuming the price is not affected by undue stimulus.

NATIONAL REGISTER: The National Register of Historic Places.

NPS: The National Park Service.

OBLIGATIONS: For grants purposes, obligations are the amounts of dollars awarded or approved in specific grant agreements which will require payment (outlays) when work is completed and billed at a later date.

OUTLAYS: Outlays represent charges made to the grant project. Outlays can be reported on a cash or accrued expenditure basis.

PARCEL: A piece of land, regardless of size, in one ownership (title).

PARTICIPANT: The State agency or other public agency receiving Fund assistance. Also referred to as the grantee, grant recipient or project sponsor.

PLANS AND SPECIFICATIONS: The detailed working drawings and technical specifications necessary to guide the construction, determine the scope of the work, and provide a firm basis for competitive bidding and contractual obligations.

POLITICAL SUBDIVISION: A city, town, township, borough, county, parish, district, or other political unit created under authority of State law.

PROGRAM INCOME: Earnings by the grantee realized from the grant-supported activities. Such earnings exclude interest income and may include, but will not be limited to, income from service fees, sale of commodities, usage or rental fees, sale of assets purchased with grant funds, and royalties on patents and copyrights. Program income can be reported on a cash or accrued income basis.

PROJECT COSTS: All necessary charges made by a grantee in accomplishing the objectives of a project during the project period.

PROJECT PERIOD: The specified period of time covering the approved portions of a project during which all work must be accomplished.

PROJECT SPONSOR: See Participant.

PROJECT TYPES:

A. Planning Project: The preparation by the State of the Statewide Comprehensive Outdoor Recreation Plan, or the subsequent updating of that plan.

B. Acquisition Project: The acquisition of real property or interest and rights thereto for a well-defined outdoor recreation area and/or purpose.

C. Development Project: The development of structures, utilities, or facilities necessary for the outdoor recreation use of an area.

D. Combination Project: Acquisition of real property and the subsequent development of outdoor recreation facilities in a single project.

PUBLIC AGENCY: Any non-private entity which serves a governmental purpose. The term includes but is not limited to State agencies, political subdivisions, Indian tribes, and public authorities and commissions that have governmental functions. For purposes of this Manual, it does not include agencies of the Federal Government.

QUALIFICATION: The determination by the Service that a project is in accord with the Statewide Comprehensive Outdoor Recreation Plan and meets other Service criteria for recreation projects. Qualification does not constitute an obligation of funds or a commitment to obligate funds, but rather a technical finding of a project's adequacy and eligibility at the time of qualification.

REAL PROPERTY: Land, immovable improvements on land, and rights appurtenant thereto.

REGIONAL OFFICE: One of the NPS Regional Offices that has been delegated authority to process and approve L&WCF grants and amendments.

REGIONAL DIRECTOR: Director of an NPS Regional Offices.

REIMBURSEMENT BY TREASURY CHECK: A payment made to a grantee with a Treasury check upon request for reimbursement from the grantee. An alternative to electronic funds drawdown through SMARTLINK.

SCORP: Statewide Comprehensive Outdoor Recreation Plan (see State Plan).

SECRETARY: The Secretary of the Interior.

SERVICE: The National Park Service (NPS)

SINGLE PROJECT GRANT : A grant made for a single project or project element, as contrasted to a Consolidated Grant; project number has no identifying letters (but may have three "X"s - e.g., 00-01345 or 00-01345XXX).

SMARTLINK: The SMARTLINK Payment Management System, a computerized, on-line drawdown program accessible directly to grantees. It replaced the former Treasury Letters of Credit drawdown system, and is a billing system to provide payment on completed work under L&WCF grants.

SPONSOR: The grant recipient or grantee. See Participant.

STAGE: A logical, identifiable portion of a project, consisting of one or more elements of acquisition, development or planning, specifically activated by a signed agreement or amendment.

STAGED PROJECT: A project that consists of two or more stages that are

activated by an agreement and one or more subsequent amendments.

STATE: Any State of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, Guam, American Samoa and the Northern Marianas Islands. In the L&WCF program, it is sometimes used as a synonym for GRANTEE or PARTICIPANT.

STATE HISTORIC PRESERVATION OFFICER (SHPO): The person designated by the Governor to act for the State on cultural, archeological, and historic preservation matters.

STATE LIAISON OFFICER (SLO): The person designated by the Governor to act for a State in routine matters pertaining to the L&WCF program.

STATE PLAN: The comprehensive statewide outdoor recreation plan (SCORP) prepared by each State consisting of a planning agreement, an assessment and policy plan, and an action plan.

SUPPORT CEILING: The maximum amount of financial assistance that will be provided on a project as specified in the agreement.

SUPPORT FACILITIES: Those facilities that are not themselves used for recreation but are, nevertheless, required for public recreational use of an area, such as access roads, parking areas, water systems, sanitary facilities, etc.

SUSPENSION: The suspension of a grant is an action by the Service which temporarily suspends Federal assistance under the project pending corrective action by the grantee or pending a decision to terminate the grant by the Service.

TERMINATION: The termination of a project means the cancellation of Federal assistance, in whole or in part, under a project at any time prior to the date of completion.

TRACT: A piece of land, composed of one or more contiguous parcels.

UNOBLIGATED BALANCE: The portion of the funds authorized (apportioned) by the Federal agency which has not been obligated by the grantee as shown on the Federal agency records and is determined by deducting the cumulative obligations from the funds authorized.

UNPAID OBLIGATIONS: The dollar amount of legal obligations on approved grants which have not yet been paid out to grantees.

URBANIZED AREA: According to the Bureau of the Census, a central city, or twin cities, and surrounding closely settled territory. (A "central city" is a city of 50,000 inhabitants or more in 1980 or a special census conducted by the Bureau of the Census; "Twin cities" are cities with contiguous boundaries with a combined population of at least 50,000 inhabitants, with the smaller of the two cities having a population of at least 15,000.)

WITHDRAWAL: The unilateral retraction by the State of a previously approved project prior to reimbursement of any project costs incurred by the project sponsor.

C600.8

PROGRAM REVIEW OF STATE OFFICES

P600.8.1

1. Purpose. This chapter contains instructions to the Regional Offices concerning the review of the States' L&WCF programs and an outline in workbook form to be used in accomplishing those reviews. The workbook contained as Attachment A of this chapter outlines factors to be considered in the evaluation of a State's performance and in determining how the Service can assist the State in improving its grants-in-aid program.

The review of a State's program is an on-going process which culminates in a visit to the State offices and a report of that visit.

Regional offices are responsible for continually monitoring each State's administration of the L&WCF program. The State visit represents not only a fact-finding mission, but an opportunity to address those problems, concerns and opportunities that have been previously identified through a systematic analysis of the State's program using in-house sources, previous on-site visits, etc.

P600.8.2

2. Program Review Workbook. The Attachment A workbook contains the basic agenda items which serve as a guide for the on-going review process. It is to be completed by the end of each review cycle (State visit and report of findings). The workbook represents the minimum required level of review. Regional Office staff are encouraged to supplement it with additional inquiries. All sections of the workbook are to be completed by Regional staff. Under no circumstances can States be asked to fill in workbook sections.

It is recommended that a file containing basic information (e.g. , workbooks, previous reports) on each State's administration of the L&WCF program be maintained by the Regional Office to ensure continuity from one review cycle to the next.

P600.8.3

3. State Review Team Members of the team reviewing State offices must be carefully selected by Regional Office program managers. All members should have a thorough knowledge of the program areas they review; program reviews are not intended as on-the-job training for inexperienced Service personnel although new staff members are encouraged to accompany the review team for training purposes when appropriate.

In general the State review team shall have expertise in both grants administration and SCORP planning and the capability to work towards satisfactory solutions . If possible, the Regional grants chief or a senior project officer should serve as team leader when the review team is selected. Program administrators and project officers from the State shall be available for consultation during the State review. In addition , project officers from other States in the Region may be invited to participate.

The Service's Regional review appraiser should accompany the review team if justified by the State's current appraisal record.

The Regional Director may assign one staff member to coordinate all program reviews in the Region to assure consistency and uniformity.

P600.8.4

4. State Visits

A. Frequency. Ideally, visits to State offices are to be conducted annually. This is especially important for States with inexperienced staff, those which have been determined ineligible, those having significant problems in obligating or expending funds, and those with a continuing history of administrative or compliance problems. At a minimum, reviews in the State office must be conducted every two years. Exceptions may be made in the territories of American Samoa, Guam, the Virgin Islands, and the Commonwealth of the Northern Marianas which, because of their small programs, may be reviewed every five years at the discretion of the regional office. Those States with excellent L&WCF programs may be eligible for mini-reviews. See Chapter 600.8.6.

B. Purpose. The annual visit to the State office is an opportunity for the Regional Office staff to:

(1) Discuss the resolution of problems noted in the previous report.

(2) Discuss new problem areas affecting program administration.

(3) Gain insight into State systems and operations.

(4) Provide technical assistance.

(5) Review selected L&WCF project files for possible noncompliance.

(6) Review adequacy of selected L&WCF project appraisal documents.

(7) Gather information to complete agenda items contained in the State review workbook.

C. Background Information. Prior to visiting the State, the reviewers should obtain information on how the State administers its program. The following suggested actions should assist the team in its efforts.

(1) Complete as much of the workbook as possible prior to visiting the State office. Use current information already in the Region or readily available from the State. The workbook is not to be sent to the State for completion in whole or in part.

(2) Program reviews are a cooperative effort. Notify the SLO and Grants Chief by letter of the coming visit. Include the workbook agenda and ask whether the State has any special interests or questions to be addressed during the visit.

(3) Obtain an organization chart, copies of any new/proposed legislation affecting the L&WCF program, and a copy of the State guidelines provided to local sponsors for their use in preparing project applications.

(4) Review the Annual Report and the previous program review report.

(5) Review key SCORP items such as special studies, the Open Project Selection Process and the implementation program.

(6) Review obligations and expenditure rates and geographic distribution of projects within the State.

(7) Select at random from five to ten projects for review in the time available. This selection should focus on reduced documentation acquisition and development projects, those recently completed as well as active ones , and should include an active or recently completed SCORP planning project. Suggested checklists for use in the project reviews are included in Attachment A of this chapter.

(8) Select several appraisals for review. Choose among those approved by the State since the last program review. include those done for Section 6 (f)(3) purposes too.

(9) Prepare a brief on projects with problems, policy questions, new policy and/or legislation affecting the L&WCF program, and other pertinent areas not addressed in the workbook.

D. Initial Meeting. Upon arriving in the State offices, the Regional review team should meet with the State grants staff, SLO and other State officials as appropriate to develop a cooperative approach, to discuss current problems and establish goals for the program review.

E. Workbook Preparation. It should not be necessary to ask each of the workbook questions during the State visit. Basic questions can be answered from general knowledge, materials already on hand, or from items specifically requested from the State in advance. Once these basics are completed, a review team member can discuss individual program areas with State officials completing the remaining questions during or after the discussion. Strict "question and answer" sessions are discouraged in favor of letting State officials explain program issues while the review team member guides the conversation.

F. Close-out Meeting. Prior to departing, a close-out meeting shall be held with the State staff, SLO and other officials to thoroughly and frankly discuss the review results, including an analysis of the problem areas identified and recommendations for improvement.

P600.8.5

5. Report of findings. The review team should complete the program review with a written report which is to be sent within ninety (90) days of the on-site visit.

A. Scope. As a minimum, the report shall contain a discussion of the items listed below.

(1) Status report on previous recommendations. The report shall briefly list each of the findings or recommendations from the previous program review, indicate whether it has been implemented, and the month and year of implementation. The report shall also list any actions which were to be taken by the Regional office, the implementation status and the month and year of implementation. This follow-up on previous recommendations is one of the most important aspects of the program review.

(2) Major problem areas. The deficiencies identified prior to and during the State visit shall be listed and the findings discussed.

(3) Recommendations. Each deficiency shall include an outline of the actions needed for improvement as well as a time frame for resolution.

(4) Follow-up. The report shall include actions to be taken by the Service to improve coordination with the State, to clarify policy issues or to respond to any other matters discussed during the State visit.

Regional Offices are encouraged to expand upon these minimum requirements by including positive comments covering specific areas or overall program performance in the body of the report. Alternatively, such comments may be highlighted in the transmittal letters in order to reduce the length of the report of findings.

The transmittal letters shall summarize the negative findings and recommended corrective actions discussed in more detail in the body of the report

Since the State files maintained by the Regional Office will contain the completed workbook covering the State's methods of program administration, it is unnecessary to include such information in the report of findings unless the Regional Office opts to do so.

B. Distribution. The report of findings shall be transmitted to the Governor, the SLO, the State grants staff and other involved parties. A copy of the report and the letter to the Governor shall be sent to the Washington office.

C600.8 att. A

I. PROGRAM ADMINISTRATION

A. Organization, Staffing and Interrelationships. Discuss the following:

1. Planning Staff

- size and adequacy of the staff in relationship to the workload

- individual responsibilities

- L&WCF experience

- training opportunities

- role and function in relationship to the grants staff

- role in OPSP development and project selection

2. Grants Staff

- size and adequacy of staff in relationship to the workload

- individual responsibilities; note whether responsibilities are split on a regional basis

- L&WCF experience

- training opportunities

- role in OPSP development and project selection

3. Appraisal review staff (if applicable)

- in house, other State agency, contract

- experience/qualifications

4. Finance staff (if separate from above)

- experience in L&WCF

- relationship to L&WCF staff

- percentage of time spent on L&WCF

5. Field staff (if applicable)

- L&WCF experience and training

- percentage of time spent on L&WCF

B. Funding - Does the planning and grants staff receive sufficient funding to support:

1. the inspection program

2. publications such as SCORP, technical assistance, etc.

3. other necessary equipment - computers, etc.

C. Other programs - list all programs administered by grants and planning staff and show percentage of time devoted to each.

D. Delegations of Signature Authority

1. Are delegations of signature authority on file current and correct?

2. Is the Direct Deposit Sign-Up form (form SF-1199A) authorizing SMARTLINK drawdowns current and correct?

E. State Legislation - Describe any proposed or pending legislation at the State level which may affect:

1. administration of the L&WCF program

2. park and recreation departments and concerns such as the development of a State L&WCF-type grants program

II. CROSS-CUTTING MANAGEMENT ISSUES

A. Indirect Cost Rate

1. List the current approved indirect cost rate and the rate the State is actually charging (if different)

2. If the indirect cost rate is not current, describe the status of negotiations.

3. Is the State aware of the L&WCF 15 percent legislative limitation imposed on its use for certain years?

4. Is the work time of State SCORP planners included as part of the indirect cost rate? Is their work time also included as part of the SCORP planning grant? Is there duplicate funding?

B. Follow-up System - Does the State utilize a system to monitor and follow-up on project problems involving inspections, conversions, etc? If so, describe.

C. Automatic Data Processing

1. Do the State grants and/or planning staffs have adequate access to computerized data and make efficient use of computer hardware and software? If not fully utilized, why not?

2. Which State processes/systems need to automated?

3. Are NPS computer printouts and databases fully utilized?

4. Are State database systems sufficiently compatible with NPS?

If not, explain.

5. Does the State advise NPS of needed corrections in the NPS database?

D. Reporting Requirements

1. Were the following reports prepared and submitted to NPS on time and was the information complete and correct?

- Annual report

- Relocation report

- Annual performance report

- Quarterly MBE reports (when required)

III. STATEWIDE COMPREHENSIVE OUTDOOR RECREATION PLANNING

A. Assessment and Policy Plan (APP) - the following items assume an NPS-approved Plan is in place.

1. Are goals and objectives described in the APP being implemented?

2. Describe those APP goals and objectives which are being addressed by means other than the implementation programs (s).

3. How is SCORP planning coordinated with other planning efforts such as those of the Governor's office, the State budget cycle, historic preservation, natural resource and wetlands and tourism?

4. What is the extent of commitment to the APP from the Governor's office, other State agencies, and interest groups?

5. How does the State monitor, evaluate and report progress and problems to NPS, State agencies, local agencies and interest groups?

- On a regular or as needed basis? How often?

6. How is the APP used?

- At the NPS Regional level, eligibility only? other uses?

- At the State level, what uses are made of the APP by parks and recreation and by other State agencies?

- At the local level, as a justification or resource for local activities/issues? Others?

7. How does the State obtain and document ongoing public participation in the planning process?

- Who participates?

- How?

- Is there proportional participation by minority populations, the elderly and handicapped?

- Is there proportional participation by small and rural communities?

- Are urban areas proportionally represented?

- Is there adequate geographic representation?

8. What is the State's schedule for the development of its next APP?

- Is it on target?

9. What special studies or research is resulting from the SCORP planning efforts? Is it innovative and possibly useful to other States?

B. Implementation Program - the following items assume an NPS-approved program is in place.

1. Is there a one or two year Action Program? Is the time period workable or should it be changed?

2. Describe how the Action Program is being implemented?

3. How is progress monitored?

4. Are the established priorities for L&WCF funding being followed? Cite examples.

5. Will the current implementation program be revised?

- When?

- What will the revisions entail?

6. Is the planning for the next implementation program on schedule? If not, why?

C. Planning Grants

1. Is work progressing according to the established schedule?

If not, why? What is being done to get back on schedule?

2. If portions are contracted out, was the contract executed in accord with 43 CFR Part 12.100 -12.510? List contracts and amounts.

3. Are new grants or amendments to existing ones planned? if so, why?

4. Are reimbursement requests made on a regular schedule?

5. Is NPS written approval of progress reports obtained prior to seeking reimbursement?

6. Are work products submitted to NPS as they are completed?

- If not, how does this affect timely approval of products, eligibility, etc?

IV OPEN PROJECT SELECTION PROCESS

A. Priority Rating Systems

1. Has NPS approved the State and local rating systems now in use? When?

- If not, when will they be submitted for approval?

2. Were the systems revised following completion of the latest SCORP APP or AP (or was a certification that changes were not necessary submitted to NPS)?

B. Project Selection

1. Does the listing of top-rated projects compare to those submitted to NPS?

2. Were projects with the highest numerical score by-passed in favor of others? If so, why?

3. Did the overall top-rated projects also rank high with respect to the SCORP-related criteria?

- Were projects which rated high in SCORP criteria by-passed if

favor of others? if so, why?

- Does the system filter out projects which are not related to SCORP?

4. Does the State emphasize funding of acquisition over development projects? vice-versa? why? legal constraints?

5. Is there evidence of attempts to allocate funds on a "fair share" basis? If so, explain?

6. Who makes the final selection of projects?

7. Is the rating system used to rank projects under other State grant programs? If so, which ones?

8. How does the State handle amendments to approved projects with respect to the Open Project Selection Process?

- staged projects

- cost overruns

- scope increases/decreases, or changes

- time extensions

9. What are the State's L&WCF application due dates?

C. Other

1. Did the State inform all potential project sponsors about the availability of program funding within the last two years?

- how was this accomplished? obtain samples

- did the notification include: types of areas and facilities available for funding; a statement of the State's overall objectives for L&WCF funds; guidance on how to apply, an explanation of how the OPSP works; a listing of selection criteria?

2. How did the State obtain public participation in the preparation and revision of the OPSP?

- was the general public as well as user/constituent groups given an opportunity to comment?

- were the State's efforts effective?

- were any comments included in the final version?

3. How does the State encourage projects which directly benefit special populations (Blacks, Hispanics, Native Americans and Asian Americans, the elderly and the handicapped)?

- have these efforts been successful?

- if not, why?

4. Does the State use an advisory board, commission, or legislative committee to assist in project selection?

- Does this body have decisional authority or is it advisory only?

- How is the membership selected?

- What is their length of term?

- Does the membership reflect the ratio of minority to non- minority population of the State?

V PROJECT (PRE-APPROVAL)

A. Local Manual

1. Has the State developed its own G.I.A. manual for local applicants?

2. How and when is the manual provided to potential applicants?

3. Does it adequately reflect current Federal requirements?

B. Waivers - Does the State's review and selection procedure result in a large number of waiver of retroactivity requests?

C. Donations - Is donation of private real property encouraged? If so, how?

D. E.O. 12372 (Intergovernmental Review System)

1. Does the State comply with its intergovernmental review requirements?

- does it have a review system which includes the L&WCF program or are other means of notification being used?

2. Does the Single Point of Contact receive grant proposals in advance of final action as provided for in the State review system?

E. Historic/Archeological Review

1. Describe the State's mechanism to ensure the identification and consideration of effect of projects listed on or eligible for the National Register of Historic Places.

2. After reviewing the sample projects, does project documentation indicate review and/or sign off by the SHPO?

F. Appraisal, Appraisal Review and Relocation

1. Appraisal Review System

- are field checks by review appraisers made? in what cases?

- does the State routinely require more than one appraisal?

- are all appraisals reviewed by NPS?

- what is the degree of State involvement in local appraisals (list of appraisers provided; selection of appraiser reviewed; guidance provided at project approval; technical assistance as needed)?

2. Spot Check of Recent Appraisals

- assure appraisals are less than two years old and represent a variety of resource (in-town, country, large and small parcels, unusual problems) and Section 6 (f)(3) conversion cases.

3. Appraisal history since last Program Review

- number received for NPS review

- number approved on initial NPS review

- number rejected by NPS

- number amended and approved after original rejection

- number rejected after amending

- major problems noted since last review

G. Environmental Review

1. Do the environmental assessments submitted with projects comply with the format detailed in the L&WCF Grants Manual?

2. Are environmental certifications used when projects meet the criteria for categorical exclusion?

H. Documentation checklist (other Federal programs) - describe controls to ensure compliance with:

1. Flood Disaster Protection Act

2. Title VII - Contract compliance

3. Endangered Species Act

4. Clean Air and Water Acts

5. Prime and Unique Farmlands protection

6. Floodplain and Wetland requirements

7. Dingell-Johnson (Wallop-Breaux)/ L&WCF coordination

8. Debarment and Suspension

9. Drug Free Workplace

10. Other laws and regulations

I. Pre-award inspections - Do State files contain copies of pre-award inspection forms in accordance with the State inspection agreement?

J. Section 6 (f)(3) Boundary maps

1. Are legible and dated boundary maps maintained for each project? Do they meet L&WCF Grants Manual requirements?

K. Control and Tenure - What procedures does the State follow to assure adequate site control? Do those procedures vary for acquisition and development projects?

VI. PROJECT (ACTIVE STAGE)

A. Contracts/Project Periods

1. What is the standard period for the Federal-State agreement?

- acquisition projects

- development projects

2. What is the standard period for the State-local agreement?

- acquisition projects

- development projects

3. Are the State-local project periods noted above justified in lights of the increased emphasis on the timely expenditure of funds?

4. Are the sponsors meeting their target dates during the project period?

5. Do the State-local contracts incorporate new program requirements such as Section 504, Debarment and Suspension, Drug Free Workplace, etc?

B. Finance

1. Billings/Review

- are reimbursement requests carefully reviewed prior to billing to avoid future billing adjustments and audit exceptions?

- Are such requests processed and promptly submitted?

- Does the State obtain approved appraisals prior to first billing?

2. Reimbursements

- is the State experiencing any problems in its use of the SMARTLINK

payment management system.

- how long does the process take from submission of billing documentation to receipt of the reimbursement by a local jurisdiction.

- how long does it take for the State to issue a check to project sponsors after it receives the Federal reimbursement?

- are States not on SMARTLINK experiencing problems with checks or processing billing reports?

3. Obligation Rate

- Did the State obligate its entire apportionment by the end of the prior fiscal year? If not, why?

- Are any problems anticipated this year? If so, describe.

4. Expenditure Targets

- Did the State meet its annual expenditure target for the most recent fiscal year? If not, why?

- will the State meet its target for the current year? If not, why?

5. Expired Projects with Unpaid Balances

- How many expired projects have unpaid balances?

- is the State making satisfactory progress in closing them out?

C. Plan Certifications - How does the State ensure that construction plans and specifications meet health, accessibility and safety standards?

D. Performance Reports and Inspections

1. Does the State submit complete performance reports with its billings or does it use the optional annual consolidated report?

2. Does the State submit progress inspection reports in accordance with its compliance inspection agreement?

3. Does the State submit the following close-out documentation within 90 days of project completion or expiration of the project period:

- final inspection report when needed

- final billing

- revised DNF form if changes have occurred

- as built or as acquired plan if changes have occurred

- a list of facilities developed or acres acquired

E. Donations

1. Describe any difficulties experienced by the State in administering the donation of labor, materials and equipment.

VII COMPLIANCE

A. Audits

1. Are Single Audit Act (A-128) requirements being fully implemented?

- at the State level?

- for subrecipients?

2. Has there been a pattern of program deficiencies identified in previous audits which need to be resolved?

B. Inspections and inspection agreements

1. Does the State have a current compliance inspection agreement with NPS? Is it adequate or is revision necessary?

2. Are the agreed-to inspections being performed in a timely manner?

3. Is the State responsive to resolving problems they uncovered or those uncovered by NPS?

4. Does the State utilize personnel from other State agencies or divisions to assist in conducting inspections? Is this effective?

C. Record Retention

1. Are project files, including boundary maps, current and accessible?

2. Is record retention consistent with L&WCF Grants Manual requirements?

3. Does the State utilize microfilming and/ or computers for record maintenance?

D. Reminder letters - Does the State communicate frequently with project sponsors to outline their continuing L&WCF responsibilities? When? With what frequency?

E. Conversion monitoring/certifications

1. Describe any additional State monitoring efforts regarding post completion compliance, specifically conversions.

2. Are there any unresolved Section 6 (f)(3) conversions? If so, list them outlining the State's plans for meeting L&WCF requirements in each case.

3. Describe the State's position regarding its future compliance responsibilities including new initiatives such as compliance certificates from project sponsors, staffing, etc.

4. Describe State efforts to establish accurate Section 6 (f)(3) maps for older projects.

F. Program Income

1. Describe the disposition of program income from rental of structures, sale of timber, sale of agricultural crops or extraction of subsurface mineral resources.

2. Does the State monitor the extraction of subsurface resources in light of the impact on public recreation use and the environment?

G. Delayed Development

1. Are there L&WCF acquisition projects that remain undeveloped even though they were scheduled for development within three years and competed in the OPSP on that basis? If so, list them outlining the sponsor's plans for development.

VIII CIVIL RIGHTS

A. Review of Recipients

1. Are the proper agreements, which provide assurance to comply with Civil Rights requirements, in order? (Between both recipient and NPS and recipient and sub-recipient).

2. Has the recipient provided notification to participants and beneficiaries of its policy of non-discrimination and identified the Federal agency to which a person may file a formal complaint?

3. Do contracts and agreements between recipients and concessionaires or user groups contain assurances to comply with Civil Rights requirements?

4. Has the recipient completed a Section 504 self-evaluation and transition plan (if necessary)?

- If a "large" recipient, has it appointed a 504 coordinator and provided notification of such to participants and beneficiaries?

- Were the self-evaluation and transition plan completed with assistance from handicapped persons and/or advocacy groups?

- Were both programs and structures evaluated?

5. Does the recipient have a formal complaint procedure?

6. Were there violations of handicapped accessibility standards noted during site inspections?

CHECKLIST FOR PROJECT COMPLIANCE

Project Title______________________________

Project No._________ Date Approved__________

NPS Review Officer ________________________

Review Date _____________________________

Documents in State files

(yes/no/not applicable)

Project Application

OMB No. 80-RO184, if applicable ________________

SF 424 ________________

E.O. 12372, Intergovernmental

Review comments ________________

SCORP reference showing concurrence ________________

Environmental Assessment or

Certification (Assessment should show

compliance with various environmental

acts and Executive Orders) ________________

Control and tenure documents (titles, leases,

easements, special use permits) ________________

Location maps ________________

Section 6(f)(3) project boundary

map (for projects approved after 7/25/78) ________________

Site development plan ________________

Parcel maps ________________

Floor plans and their certification ________________

Cost Estimate Breakdown ________________

Acquisition Schedule ________________

Development schedule for acquisition project ________________

Project Agreement and Amendment forms ________________

--Federal - State ________________

--State - Local ________________

Description and Notification Form (Element

sheets if a Consolidated Project) ________________

Waiver of Retroactivity ________________

Assurances of Compliance

--Title VI of the Civil Rights Act (DI 1350) ________________

--Section 504 of theRehabilitation Act ________________

Site Inspection Reports

--preaward ________________

--progress ________________

--final ________________

--post completion ________________

Competitive Use Determination (marinas,

campgrounds, etc.) ________________

Billings/Progress Reports (at least 1 per year) ________________

Permits

--Coast Guard ________________

--Corps of Engineers ________________

P.L. 91-646 date of acquisition (for

development projects) ________________

Compliance with other Federal laws and

regulations not included above: ________________

--Flood Disaster Protection Act of 1973 ________________

--Architectural Barriers Act of 1968 ________________

--EEO Contract Compliance (E.O 11246) ________________

--Disbarment and Suspension (E.O. 12549) ________________

--Section 106 of the National Historic

Preservation Act of 1966 ________________

CHECKLIST FOR REVIEWING COMPLIANCE WITH

PROVISIONS OF PUBLIC LAW 91-646

Project Title______________________________

Project No._________ Date Approved__________

NPS Review Officer ________________________

Review Date _____________________________

Documents in State File

(yes/no/not applicable)

1. Appraisal Documentation including review

material and written State approval, or

recommendation for approval, of the

appraisal report (Reviewed and approved

prior to initiation of negotiations see 675.2.7) ________________

2. Evidence that owner was offered opportunity

to accompany the appraiser ________________

3. Adequate statement of just compensation

provided along with written offer to purchase.

(Establishes date negotiations began) ________________

4. Owner was offered and paid no less than the

approved appraisal of fair market value.

If purchase price exceeded fair market value

is there adequate justification? ________________

5. Properly documented waiver of just

compensation, if required ________________

6. Were incidental costs incurred by the owner

reimbursed as required by Title III? ________________

7. Were owners and/or tenants advised of their

rights to relocation benefits?` ________________

8. Were displaced persons furnished with

appropriate relocation advisory service in

accord with Chapter 650.3.4.B., 650.3.7..and

Relocation Act Section 205? ________________

9. Were comparable home rental and purchase

surveys made in the determination of

replacement housing benefits? ________________

C630.1

STATE PLAN PREPARATION, PROCEDURES AND ELIGIBILITY

P630.1.1

1. Purpose. This Chapter explains the objectives, eligibility requirements, and guidelines for the States and the National Park Service (NPS) in preparing and reviewing Statewide Comprehensive Outdoor Recreation Plans (SCORP). The SCORP is required by Section 6 (d) of the L&WCF Act of 1965, as amended.

The guidelines are based on provisions of the L&WCF Act, related Federal statutes, and determinations of the NPS Director regarding planning considerations essential for effective administration of the L&WCF program.

The Governor and/or the officially designated State Liaison Officer (SLO) are the officials authorized to act for the State, as specified under the various provisions of this Part.

P630.1.2

2. Requirements of the Land and Water Conservation Fund Act of 1965, as Amended. The L&WCF Act of 1965, as amended, requires a SCORP from each State prior to consideration by the Secretary of the Interior for financial assistance for acquisition or development projects.

The L&WCF Act explicitly requires the SCORP to include the following:

A. The name of the State agency that will have the authority to represent and act for the State in dealing with the Secretary for purposes of the Land and Water Conservation Fund Act of 1965, as amended;

B. an evaluation of the demand for and supply of outdoor recreation resources and facilities in the State;

C. a program for the implementation of the plan;

D. certification by the Governor that ample opportunity for public participation has taken place in plan development; and

E. other necessary information, as may be determined by the Secretary. (Such information is described in this Chapter, which may be amended in the future).

The Plan shall take into account relevant Federal resources and programs and shall be correlated so far as practicable with other State, regional and local plans.

P630.1.3

3. Goals and Objectives of the Plan. The goals of the plan and its associated planning process are to direct each State's use of its L&WCF apportionment.

The objectives of the plan and its associated planning process are to:

A. fulfill the purposes of the L&WCF Act as stated in Chapter 600.2 of this Manual;

B. provide each State the maximum opportunity and flexibility to develop and implement its plan:

C. describe the role of the L&WCF in the State's provision of outdoor recreation opportunities and the States policies for use of its L&WCF apportionment;

D. provide a basis for determining each State's L&WCF eligibility; and,

E. ensure relevant, influential and timely planning for the State's use of its L&WCF apportionment.

Each State is encouraged to conduct outdoor recreation planning beyond the minimum required to maintain L&WCF eligibility (see Chapter 630.2d). Under Section 8(a) pf P.L. 90-543, as amended, and Section 11(a) of P.L. 90-542, as amended, respectively, the Secretary is directed to encourage States to consider in their plans the needs and opportunities for establishing recreation and historic trails and wild, scenic and recreational river areas.

4. Plan Requirements. The minimum requirements of the plan are:

A. the plan must describe the process and methodology(s) chosen by the State to meet the guidelines as set forth in this Chapter;

B. the planning process must include ample opportunity for public participation, involving all segments of the State's population.

C. the plan must be comprehensive. The plan will be considered comprehensive if it:

(1) identifies outdoor recreation issues of statewide importance based upon, but not limited to, input from the public participation program. The plan must also identify those issues that the State will address through the L&WCF, and those issues which may be addressed by other means,

(2) evaluates demand, i.e., public outdoor recreation preferences, but not necessarily through quantitative statewide surveys or analyses, and

(3) evaluates the supply of outdoor recreation resources and facilities, but not necessarily through quantitative statewide inventories;

D. the plan must have an implementation program which identifies the State's strategies, priorities, and actions for the obligation of its L&WCF apportionment. The implementation program must be of sufficient detail to demonstrate that projects submitted to NPS for L&WCF funding implement the plan;

E. the plan must contain a wetlands priority component consistent with Section 303 of the Emergency Wetlands Resources Act of 1986. At a minimum, the wetlands priority component must:

(1) be consistent with the National Wetlands Priority Conservation Plan, prepared by the U.S. Fish and Wildlife Service,

(2) provide evidence of consultation with the State agency responsible for fish and wildlife resources, and

(3) contain a listing of those wetland types which should receive priority for acquisition; and

F. the plan may consist of a single document or may be comprised of multiple documents as long as the guidelines as set forth in this Chapter are met.

P630.1.5

5. Plan Cooperation. An effective working partnership between each State and NPS is necessary. Consultation should cover such elements as scheduling, planning methodology(s), public participation, and NPS assistance needed by the State.

Each State is strongly encouraged to consult and coordinate its planning process with NPS on a regular basis, especially at the start of its planning cycle, to ensure that the planning process and its products are mutually acceptable. At its discretion, the State may enter into a formal planning agreement with NPS on an annual or multi-year basis to formalize consultation procedures, NPS technical assistance required, and other planning matters.

P630.1.6

6. Submission of Plan Documentation. The minimum documentation required to be submitted by each State to NPS as evidence of conformance with this Chapter is a new or revised plan at least once every five years. The Plan must be approved by the State's Governor or designated Liaison Officer. The Plan must contain a certification by the Governor that ample opportunity for public participation has taken place in development of the plan. A total of 10 copies of the plan must be submitted to the State's NPS Regional Director. Amendments to the plan may be submitted at any time. Amendments will follow the same review and approval procedures as the original Plan.

P630.1.7

7. Eligibility Criteria Related to Planning. Each State will be deemed eligible for participation in the L&WCF when its plan meets the requirements of the L&WCF Act. Evidence of an adequate planning process is provided by the maintenance of a current and complete plan, which must be published once every five years, and progress toward implementation of the plan. Failure to maintain and implement an adequate plan will be considered sufficient justification for termination of the State's eligibility for participation in the L&WCF.

Upon a finding by NPS that the State's plan is inadequate, the State may be placed on probation, through written notification of the State's designated Liaison Officer, for a period of 90 days, within which time it must initiate action to correct the identified deficiencies. If the State fails to take corrective action(s) within this 90 day probation period, the Regional Director will suspend the State's eligibility and specify to the State those scheduled actions required to regain eligibility. The State may appeal to the NPS Director within 30 days following placement on probation or declaration of ineligibility. Appeals will be considered by the Director within 60 days prior to termination of the State's eligibility. The decision of the Director will be final.

P630.1.8

8. Transition. Current NPS commitments to individual States regarding eligibility will be honored. Plans in various stages of completion may continue to be developed under previous guidelines or may opt to adopt these current guidelines. In any instance, States are encouraged to develop planning processes and make changes as necessary to conform with this Chapter as rapidly as possible. When current eligibility expires, the State will be eligible for continued participation in the L&WCF as soon as its plan meets the guidelines as set forth in this Chapter.

C630.2

PLANNING ASSISTANCE

P630.2.1

1. Purpose. The purpose of this Chapter is to specify objectives and requirements governing use of planning grants from the Land and Water Conservation Fund. Such grants are to be used for developing and maintaining Statewide Comprehensive Outdoor Recreation Plan (SCORP) programs, as described in Chapter 630.1.

P630.2.2

2. Use of L&WCF Planning Grants. Since planning grants are intended for development and maintenance of SCORPs as decision-making and management tools, planning proposals funded must be aimed at either (1) solving a problem identified in the last approved SCORP effort, or (2) developing new data and decision tools identified as essential to completion of an upcoming SCORP.

P630.2.3

3. Pre-Application Consultation. All planning grants should be the result

of joint consultations between the Service and the grantee on priority needs, within the context of a State's continuing and systematic outdoor recreation planning process. Prior to formal submission of any application, the grantee must provide NPS with a brief narrative proposal (not a formal preapplication), discussing objectives, scope, costs, approaches and products in relation to its overall SCORP program, for review by and discussion with the Service's Regional Office. Following Service review of such proposals, they must be discussed in a conference between State and Regional Office personnel to assure mutual understanding on objectives, timing, scope, costs, methodology and products of all proposed work elements. For projects of limited scope and complexity, a telephonic conference may be used instead of a personal meeting. However the results of the NPS-State conference, in whatever form, should be carefully documented in project records, particularly when necessary to assure future understanding by both parties about the planning approach to be used and results expected.

P630.2.4

4. Eligible Applicants. Only the State Liaison Officer or agency designated by the Governor as being responsible for maintaining the SCORP program is eligible to apply for planning assistance from the Fund. Responsibility for executing a planning project or a portion thereof may be subcontracted to an appropriate non-Federal governmental agency (general purpose or special purpose government unit) or to another public or private planning organization. In all cases, however, the designated State agency is obligated to supervise and to be responsible for all work performed, and must be directly involved in production of the final products of the grant and in the development of any policies or action options expected to result from project work.

P630.2.5

5. Eligible Planning Projects. To be eligible for Fund assistance, a project must have a clearly defined end product which addresses needs, problems or issues identified in a State's currently approved SCORP documents or is otherwise essential, in the judgement of the State and the Service to production of an upcoming SCORP. It may be explicitly identified as part of a future planning program contained in the current SCORP policy plan or implementation program; or be logically implied, in the judgement of Service reviewers, by discussions of planning needs in such current SCORP documents; or, respond to a specific planning deficiency identified by the Service as part of its periodic review of a State's planning program and State SCORP submissions.

A. Projects may include surveys, planning studies, data collection and analysis, public participation efforts, and other activities essential to production of a SCORP policy or implementation plan.

B. Management studies related to improved financing, operation, maintenance or other use of administrative resources to sustain recreation programs, including evaluations of the overall capabilities of State and local governments fully to protect and utilize their outdoor recreation investments may be funded when clearly related to a State's overall SCORP program and to meeting the requirements of Section 6(f)3 of the L&WCF Act for continued operation and maintenance of all Fund-assisted areas and facilities.

C. Studies of natural, ecological, or recreational resource areas, demonstration studies and topics of statewide significance or national concern are also eligible. These studies must meet the following criteria:

(1) The study, through either its methodology or results, must be of statewide significance, and the study area must have potential or recognized natural, ecological, or recreational values that need to be carefully evaluated through the SCORP process.

(2) The proposal must address a priority problem identified in approved SCORP documents or be essential for the development of decision-making information for an upcoming SCORP. The study must go beyond "basic research" or simple data collection to provide information likely to be used for State or local decision-making on outdoor recreation issues and programs, so that it may provide specific recommendations for inclusion in the State's published SCORP.

(3) The proposal must include a justification indicating how the project would contribute toward maintenance of the State's overall SCORP program and future State Plan submissions.

(4) The study must further the overall purposes of the SCORP process, as defined by the L&WCF Act; i.e, it must be relevant to identified needs for outdoor recreation resources and programs within the State and to the State's present or future actions to to meet such needs. The Service, in consultation with the State, will evaluate all such proposals to determine their relationship to a State's overall planning needs. This evaluation will include an assessment of whether the monetary, personnel and other resources devoted to a special study will contribute to or detract from the accomplishment of other high priority planning objectives identified in SCORP submissions or in the Service's reviews of a State's continuing planning process.

(5) The study should include a public participation program through which concerned public and private agencies or organizations and interested citizens can be kept informed of, and allowed to comment on, study objectives and results.

(6) Responsibility for the overall project, as well as its different elements, must be clearly identified if more than one agency is to be involved.

(7) When public land protection measures are proposed, the study must include an examination of the feasibility of any alternatives to fee simple acquisition of the resources to be protected.

D. Studies or other investigations which are primarily aimed at promoting tourism, or other State and local economic activities or the promotion of private recreation expenditures through recreation development are not eligible for planning grant assistance. However, studies aimed at analyzing or documenting the contributions of outdoor recreation resources to a State's economy or environment or at improving State decisions on the appropriate public and private roles in the management of various recreation resources may be eligible for funding when they meet other appropriate criteria for eligibility as outlined elsewhere in this section.

E. Detailed plans for capital projects, sketch or site plans, individual area master plans, economic feasibility studies, landscape designs, or architectural and engineering studies are not eligible for planning grant assistance.

F. Planning proposals must take into account past studies of the same or similar resources or programs to ensure that the proposed efforts do not duplicate earlier research. They must consider any relevant Federal resources, plans, or programs and be correlated, so far as practicable with other State, regional and local plans.

G. Two or more planning projects may be carried out concurrently providing they do not duplicate one another. Work items funded under an L&WCF planning grant must not overlap with work items assisted by another L&WCF grant, or financially-assisted under other Federal programs, or otherwise accomplished with Federal personnel or resources.

H. When a grant proposal involves funding of outdoor recreation work elements as part of a larger, "consolidated and simplified" State plan, as authorized by Executive Order 12372, particular assurance must be provided by the grantee that the L&WCF grant will be used for direct support of outdoor recreation planning work items and not, either directly or indirectly, of non-recreation planning items related to such areas as housing, transportation, or general economic development.

I. Planning grants may not encompass any costs for acquisition of land or interests in land or for development of new facilities. Nor may land acquisition or development costs be used as any part of a grantee's matching share of eligible planning costs.

6. Available Funding. Up to 50% of the total cost of an eligible planning project is available to a State, on a reimbursement basis, from its Land and Water Conservation Fund apportionment account. However, grants to the Insular Areas may be made available on a 100% basis (see Section 600.1.8). While there is no dollar limit on the amount of a State's apportionment which can be used for planning grants, the Service reserves the right to limit the size of specific projects based upon each State's planning needs and the relationship of planning costs to overall funding resources. For this reason, Regional Directors should consult with Washington program offices (as part of the Pre-Application consultation process, see 630.2.3) before approving any planning grant or amendment for which the total L&WCF obligation will exceed $100,000 or 5 percent of a State's most recent apportionment, whichever is greater.

7. Allowable Costs. Project costs incurred to sustain an ongoing outdoor recreation planning process are reimbursable as part of an approved planning project. These include the preparation, publishing and distribution of appropriate documents, such as core SCORP documents, supplemental recreation policy or action plans and related studies. Costs of data collection and processing, public participation activities, special studies, etc. are also eligible for assistance (see Part 670). Contracted professional services for eligible planning activities may be allowed, if, in the Service's judgement, overall responsibility for planning policies and action recommendations is clearly retained by the State Liaison Officer or other designated State agency. All contracts awarded by a grantee must be in accord with the the procurement standards and procedures of Uniform Administrative Requirements Grants and Cooperative Agreements to State and Local Governments (43 CFR 12.1-12.52 - formerly A-102 requirements) as outlined in Section 675.3 of this Manual (see CFR excerpt at Section 675.3, Attachment A.)

8. Acknowledgement of Assistance. When assistance from the Land and Water Conservation Fund is provided for a project, the resulting document shall include the following acknowledgement:

"The preparation (updating, revision) of this plan (study, analysis, etc.) was financed in part through a planning grant from the National Park Service, Department of the Interior, under the provisions of the Land and Water Conservation Fund Act of 1965 (Public Law 88-578, as amended)."

This statement may be expanded at the State's discretion to reflect the manner in which the non-Federal share of the total cost was financed.

9. Intergovernmental Review - E.O. 12372. A copy of the planning grant application must be submitted to a State's Single Point of Contact (SPOC or State Clearinghouse ) in accordance with the intergovernmental review requirements of Executive Order 12372 (see Chapter 650.8). L&WCF planning grant applications should include assurances that the recreation planning objectives and products of the grant are in accord with comprehensive State planning goals, as determined by the Governor or State agency designated to coordinate overall planning. Comment by way of the E.O. 12372 process is usually the best way to accomplish this, although other types of assurance may be provided if appropriate.

Submissions to the SPOC should normally consist of copies of the material provided to NPS in the application package (described in 630.2.10 below), but a notice of intent including a description of project purpose, scope, cost, beneficiaries may be used if it contains sufficient detail to allow the SPOC to provide potentially interested agencies with an opportunity to comment on the proposed effort. State Single Points of Contact should arrange for review comments by interested organizations and submit all comments to the sponsor for forwarding to NPS within the prescribed review period. Refer to Chapter 650.8 for further requirements.

10. Project Application. The complete, single project application process must be used for all planning grants. (see 660.1.2). The standard application form used for Federal construction assistance programs (SF 424 and OMB 80-R0184) is used when applying for Land and Water Conservation Fund planning assistance. It must be accompanied by the appropriate required attachments, including a Description and Notification Form (see Attachment 660.3D).

A. Standard Application Form. Instructions for the use of OMB 80-R0184 found in Attachment 660.3A apply to planning applications with the following exceptions:

(1) Part II, Section A. In addition to the shaded parts, items 5, 7 and 9 are not applicable to planning grants. These should be answered with the letters N/A.

(2) Part II, Section B. None of the items on this sheet are applicable to planning grants. Mark all items N/A.

(3) Part III, Section B. Items 3 through 12 are not applicable to planning grants. Planning costs should be entered in Item 13. Attach a sheet summarizing the major project elements, their estimated costs and staffing requirements, and the estimated beginning and ending periods of work on each element. The breakdown of work items should be sufficiently detailed to permit a clear understanding of the work to be performed and the basis for estimated costs. This requirement may be answered in part by reference to the detailed narrative incorporated into the Project Agreement, NPS 10-902 (see 630.2.10.B., below.)

(4) Part III, Section C. Not applicable.

(5) Part III, Sections D and E. Self-explanatory.

(6) Part IV. Applicants should respond to Item 3c in addition to

those items not shaded. Item 3c and Item 5a can be answered by reference to the detailed narrative attached to the Project Agreement Form - NPS 10-902 (see 630.2.10B, below).

B. Project Agreement Form NPS 10-902. A project agreement form must be completed for all planning projects. Attachment 660.3B provides instructions for its preparation. For planning grants, the "Project Scope" section of the agreement must also reference and incorporate a more detailed narrative attachment which covers the following items:

(1) Identification of the objectives of the grant, with reference to planning needs identified in existing SCORP documents or other justification in terms of the project's compatibility with overall SCORP program priorities.

(2) The planning products that will result and how they will contribute to maintenance of the SCORP program and preparation of future policy plans or implementation programs; and, if appropriate, the relationship of a new proposal to other planning grants received by a State.

(3) The general approach to be used, including a schedule of key events, the breadth of study coverage, and cost estimates for each work item indicating how funds will be used by object class (personnel, travel, equipment, consultant contracts, etc.)

(4) A discussion of the personnel, organizations or outside consultants that may be used to implement the project, with an explanation of any special knowledge or expertise which they will provide.

This narrative will also serve to meet the requirements of Part IV of OMB 80-RO184 [see above - Part 630.2.10A]

C. E.0. 12372 Comments. Comments received through the E.O. 12372 Single Point of Contact review, along with a statement of the consideration given to those comments, must be submitted with the project. If comments were requested but not received a statement to that effect should be included.

D. Certified Project. Project certification procedures described in Chapter 660.5 are not applicable to planning projects.

11. Regional Review. Project applications will be reviewed by the Regional

Office to determine if all planning assistance requirements have been met. This evaluation will focus on the following specific criteria:

A. The project must be an integral part of the SCORP process and clearly essential to maintenance of the SCORP as a decision-making or management tool. If need for the project is not explicitly identified in current SCORP documents, there must be mutual agreement between the Service and the grantee on the priority need for the project effort as part of a State's overall recreation planning program

1. Timing, scope, costs and methodology of the project must be appropriate to the planning benefits received and complementary to any other planning efforts needed to address identified deficiencies in a State's overall planning program.

2. Project work elements must be clearly identified with reasonable scheduling, staffing and cost estimates assigned to each element.

3. Grant products such as published plans, studies, new policies or procedures to be adopted, reports, evaluations or other documents must be explicitly identified.

C. Both the agency requesting the assistance and the project itself must be eligible for planning assistance from the Land and Water Conservation Fund.

D. The requirements of Executive Order 12372 relating to review and comment by the State Clearinghouse must have been completed.

E. There must be no duplication of Federal assistance for work items funded under the project.

12. Amendments. Changes which materially alter the scope, change the cost or the completion time of a project must be approved by the Service. When a State wishes to change its project it should discuss the proposed changes with Regional Office personnel prior to submitting an amendment to the project agreement. (see Attachment 660.3C) Amendments will be reviewed and processed following the same procedures used for a complete planning project. Only those changes considered to be major and substantive will be required to receive E.O.12372 clearinghouse review. Planning projects should normally cover a period of two years or less to ensure timely completion and close-out of complex work efforts and reduce audit problems. In no case should a single planning grant include elements from more than one complete SCORP cycle (Policy Plan to Policy Plan), except where costs of publication and distribution of a SCORP document from a previous cycle may be reasonably included as a public participation element in the next SCORP cycle.

13. Regional Action. The Regional Director shall act to approve or disapprove all planning projects and amendments within the limits of his authority, and shall notify the project sponsor in writing regarding his action on the project or amendment.

14. Financial Procedures. Adequate financial records must be maintained to

support all the costs involved in a project. A documentation "trail" adequate to withstand audit should be maintained. Generally accepted accounting and auditing principles will apply to project records, accounts and documentation. Such records must be in accord with the principles established in OMB Circulars A-102 and A-87 for prevention of fraud, waste and abuse in Federal programs. Particular attention should be paid by the grantee to good records of in-house personnel costs attributable to the planning grant. Time distribution records must be maintained for each individual for whom L&WCF grant costs are to be claimed. Careful records of time spent on SCORP elements are especially important when personnel are splitting their time between one or more SCORP projects and other planning or administrative duties. To guard against fraud, waste and abuse or possible disallowance of legitimate grant costs, it is recommended that grantees establish a separate tracking account for each planning grant and perform updates of staffing and other charges to such accounts on a regular (e.g., biweekly or monthly) basis. For the same reasons, at-least-annual billings on planning projects of more than one year's duration are recommended. No grantee billings, or electronic drawdowns can be made without Service review of a billing progress report covering expenditures and accomplishments under the grant (see Part 630.2.15, below.)

15. Reimbursements. Because of the special features of L&WCF planning grants as compared to capital grants for acquisition or development, it is essential to ensure adequate project tracking and cost documentation on a periodic basis throughout the life of each planning project. All reimbursement requests for planning grants must be accompanied by a billing progress report. States, whether on direct billings (Treasury check) or using the SMARTLINK automated drawdown method must obtain Service approval of their progress report BEFORE payments are requested. When requesting planning grant reimbursements, States will submit to their NPS Regional Office the Progress Report described in Part 630.2.16, below. NPS will review and approve such reports, then process direct billings or provide the grantee with a letter authorizing a SMARTLINK drawdown for the approved reimbursement amount.

16. Progress Reports. Reports of progress toward the completion of a planning project must be submitted with each billing for the costs incurred. Progress Reports must include:

(a) a list of the major work items (elements) agreed to in the project scope of the grant contract;

(b) a narrative description of the status of work for each item in the project;

(c) identification of any elements that are behind schedule and of what problems have caused delay;

(d) actual or projected completion dates for each work item;

(e) if appropriate, evaluations of the success or failure to date of the planning approaches used and of any effects of project work to date on State policies or improved management of State programs;

(f) estimated costs incurred during the billing period for each work item; and,

(g) total costs incurred and total costs previously billed for all parts of the project to date.

For planning grants with a project period of more than one year and for which no billings or drawdowns have been requested during the past year, a report of this type must be submitted to NPS by March 31 of each year, as covered in Part 675.5. Notwithstanding the provisions of Part 675.5.C. on alternative consolidated performance reports, a separate report is required on each active planning grant for which no reimbursement has been requested within the preceding twelve months.

In addition to reports of project progress, work accomplished as a part of a planning grant should be included in the planning evaluation required as a part of each State's Annual Report on Land and Water Conservation Fund activities (see Part 600.7).

C640.1

GENERAL PROJECT CRITERIA

P640.1.1

1. Purpose. The L&WCF Act authorizes the Secretary of Interior to provide financial assistance to States for the acquisition and/or development of public outdoor recreation areas and facilities found to be in accord with the Statewide Comprehensive Outdoor Recreation Plan. Such assistance shall be on a matching basis to a maximum fifty (50) percent of the total project related allowable costs. However, grants to the Insular Areas may be made available on a 100% basis (see Section 600.1.8). The States are encouraged to share the benefits derived from the L&WCF program among all State and local agencies responsible for providing public outdoor recreation opportunities.

P640.1.2

2. Project Sponsors. Only States may apply directly to NPS for L&WCF assistance, however, funds may be made available through the States to political subdivisions of the State and other appropriate public agencies. Proposed projects may be sponsored by a State agency or a public agency of a subordinate unit of government. All project proposals submitted to the Service must be recommended by the State Liaison Officer or by the State agency acting for the State Liaison Officer. No grant or contract may be awarded by any grantee of subgrantee or contractor of any grantee or subgrantee to any party which has been debarred or suspended under Executive Order 12549 (see 660.5.3E).

P640.1.3

3. Relation to State Plan. Only project proposals in accordance with the Statewide Comprehensive Outdoor Recreation Plan (SCORP) may be considered. Project proposals may be submitted for approval only during the time in which the State sustains its eligibility for participation in the L&WCF program. Projects received during a period of ineligibility will be returned to the State as inactionable. This does not mean that the projects have been disapproved nor prevents them from being resubmitted by the State as soon as eligibility has been regained.

P640.1.4

4. Project Proposals. The State has the initial prerogative and responsibility for determining the scope and effort involved in a project proposal. A project can be designed as follows: 1) Acquisition and/or development work at one site, 2) acquisition and/or development work, sponsored by a single State agency and/or local unit of government, at several sites, or 3) a particular type of facility, such as swimming pools or miniparks, sponsored by State agencies and/or local units of government and located at several sites.

The Service reserves the right to require the segmenting of project proposals into smaller projects or the combining of small related projects into a larger one when, in the judgement of the Service, such proposals do not lend themselves to effective and economical management and costing.

A project proposal, except in the most unusual circumstances, should embrace only those efforts that can be accomplished within a five-year period.

P640.1.5

5. Types of Projects.

A. Acquisition. These include the acquisition of land and waters or partial rights to them.

B. Development. These include the development of certain outdoor recreation activity and support facilities needed by the public for recreation use of an area.

C. Combined. When it is advantageous to do so, a State may submit projects which combine acquisition and development.

P640.1.6

6. Multiple-Purpose Projects. Multi-purpose projects which involve uses other than outdoor recreation may be eligible for assistance under the Act. The State must include a careful and complete justification and explanation with each proposal. Two general types of multiple-purpose projects are eligible for assistance:

A. Projects in which a specifically designated portion of the multiple-purpose area or facility will be used primarily for outdoor recreation and/or outdoor recreation support, such as picnicking facilities adjacent to a new public reservoir. Fund assistance is limited to the designated outdoor recreation area and/or facility and support facility.

B. Projects which will provide identifiable outdoor recreation benefits as a whole, as opposed to specific segments of it. For example, a water impoundment constructed primarily for flood control might also have important recreation benefits. In such a case, at the Service's discretion, assistance might be made available only for the portion of the cost, on a pro rata basis, of the facility which is clearly attributable to outdoor recreation above and beyond the facility's cost for its non-recreation function.

The proposal must fully disclose the nature and extent of other uses and the relationship of the proposed outdoor recreation project to the total area and development. Additionally, if the project is located in a floodplain, the project proposal must evaluate the flood hazard to the Fund-assisted facility. (see Chapters 650.6 and 650.7).

P640.1.7

7. Assistance from Other Agencies. Project proposals submitted to the Service for L&WCF assistance may also be submitted to other public agencies for aid. The State or local matching share of an approved project may consist of other Federal financial assistance only where the statutory provisions of the subsequent Federal grants program explicitly allows recipients to use such assistance to match other Federal funds (see Section 670.1.5). The application to the Service should describe any such submissions, and the Service should immediately be notified if these result in assistance or the promise of assistance by another organization.

P640.1.8

8. Control and Tenure. 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 under Section 6(f)(3) of the L&WCF Act will not occur without Service approval. Copies of the property titles, leases, easements, or other appropriate documents must be on file at the State level and available for Federal inspection.

A. Property that is proposed for acquisition and/or development and which is subject to reversionary interests upon discontinuation of the recreation use may be eligible to receive Fund assistance. The Service's determination in this regard will rest on the compatibility of uses proposed by the project sponsor with that stipulated in the reversionary clause and receipt of satisfactory assurances from the State that the property so assisted will be replaced in accord with specific Section 6(f)(3) provisions applicable to such future conversion should the reversionary interest be exercised.

Such assurances are contained in the General Provisions of the Project Agreement and may also apply to termination provisions included in leases and special use permits, provided such revocation is not at the sole discretion of the lessor except in the case of Forest Service Term Special Use Permits. (see Section 640.3.4)

B. Properties subject to outstanding interests, such as mineral rights that, if exercised, may not be compatible with the continued viable use of the area for outdoor recreation, may also be agreed to under certain specific conditions. The Service will agree to such a future conversion based upon a State's present agreement that these lands will be replaced in accord with Section 6(f)(3) provisions. This specific assurance provision is contained in the General Provisions of the Project Agreement (i.e., Attachment 660.3B).

It should be noted the above paragraphs A and B are only concerned with those reversionary rights or outstanding interests that, should they occur or be exercised, would result in the project area not being viable for continued public outdoor recreation use as determined by NPS at the time of project submission and where the State certifies and the Service agrees that the possibility of the reversionary interest or outstanding rights being exercised is remote. These decisions will be made on a case by case basis. When significant outstanding rights are involved, the project application will also contain an opinion of Counsel from the State and if appropriate, an opinion from local Counsel, that the State or recipient has the authority to enter into a grant contract which may require the provision of replacement land. Other rights and interests which, if exercised, will not adversely affect the recreation utility or viability of the area can be excepted from Section 6(f)(3) purview upon recommendation of the State and concurrence by the Service (see Sections 660.2.6 and 660.5.2C(2)).

9. Leasing of Lands Acquired and/or Developed with L&WCF Assistance.

A project sponsor may provide for the operation of a L&WCF assisted facility by leasing the facility to a private organization or individual. As the principal grantee, the State is ultimately accountable for assuring compliance with the applicable Federal requirements and therefore the delegation or transfer of certain responsibilities to subgrantees or leases does not relieve the State of its compliance burden. Accordingly, the State 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. (see also 675.9.8 Post-Compliance Responsibilities)

All lease documents for the operation of L&WCF assisted projects by private organizations or individuals must address the following:

A. In order to protect the public interest, the project sponsor must have a 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.

B. 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.

C. 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 that the lessee be identified as such as not to mislead the public into believing that the area is private. Signs should also be posted identifying the facility as being open to the public in accord with Chapter 675.4.

D. The document should require that all fees charged by the lessee to the public must be competitive with similar private facilities.

E. The document should make clear that compliance with all Civil Rights and accessibility legislation (e.g., Title VI of Civil Rights Act, Section 504 of Rehabilitation Act, Americans with Disabilities Act) is required, and that compliance will be indicated by signs posted in visible public areas, statements in public information brochures, etc.

10. Use of Existing Public Land for Matching Purposes. Existing governmentally owned lands cannot be used as a part of the non-Federal matching share of a project unless such land is to be acquired by the sponsoring agency from another agency and there is a statutory requirement that the selling agency be reimbursed for the value of the property. Further, property cannot be "donated" between a State and its political subdivisions to serve as a match for grant assistance. (Also see 670.3.4K)

01 - Ala.	15 - Hawaii	26 - Mich.	37 - N.C.	49 - Utah
02 - Alaska	16 - Idaho	27 - Minn.	38 - N.D.	50 - Vt.
04 - Ariz.	17 - Ill.	28 - Miss.	39 - Ohio	51 - Va.
05 - Ark.	18 - Ind.	29 - Mo.	40 - Okla.	53 - Wash.
06 - Calif.	19 - Iowa	30 - Mont.	41 - Oreg.	54 - W.V.
08 - Colo.	20 - Kans.	31 - Neb.	42 - Pa.	55 - Wis.
09 - Conn.	21 - Ky.	32 - Nev.	44 - R.I.	56 - Wyo.
10 - Del.	22 - La.	33 - N.H.	45 - S.C.	60 - A.Q.
11 - D.C.	23 - Me.	34 - N.J.	46 - S.D.	66 - Guam
12 - Fla.	24 - Md.	35- -N.M.	47 - Tenn.	69 - C.M.
13 - Ga.	25 - Mass.	36 - N.Y.	48 - Tex.	72 - P.R.
78 - V.I.