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 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
Preface i How to Use this Manual iii
Table
of Contents iv List of Attachments vi
600 General Program Information
1. Program
Summary
2. Legislative
Basis
3. State
Apportionment (
4. Secretary's
Contingency Reserve
5. Definitions
6. Project
Numbering System
7. L&WCF
Program Annual Report
8. Program
Review of State Offices
630 State Plans
1. Plan
Preparation, Procedures and Eligibility
2. Planning
Assistance
640 Acquisition and Development
1. General
Project Criteria
2. Criteria
for Acquisition
3. Criteria
for Development
650 Project Compliance
1. General
Project Compliance
2. Environmental
Policy and Assessment (NEPA)
3. Relocation
and Acquisition Policy (P.L. 91-646)
4. Cultural,
Aracheological and Historic Preservation
5. EEO
Contract Compliance
6. National
Flood Insurance Program
7. Flood
Plains and Wetlands
8. Intergovernmental
Review System (E.O. 12372)
9. Title
VI Guidelines
10. Minority
Business Enterprise Development (MBE)
660 Application and Evaluation Procedures
1. Types
of Applications
2. Application
and Amendment Procedures
3. Application
Forms
4. Open
Project Selection Process
5. Evaluation
Criteria
670 Cost Principles
1. General
Cost Principles
2. Sponsor's
Financial Obligations
3. Allowable
Costs
675 Project Administration
1. General
Administrative Requirements
2. Acquisition
Methods and Appraisals
3. Procurement
Standards
4. L&WCF
Sign Standards
5. Financial
Management and Reporting
6. Payments
7. Audits
8. Project
Termination and Settlement
9. Post-Completion
Responsibilities
INDEX
LIST
OF ATTACHMENTS
600.1A NPS Regional Offices with Responsibility for L&WCF Grants
600.7A Annual Report Print Out
600.8A Checklist
for Project Compliance
630.1A Summary of Legislation Requiring Coordination between SCORP and Other Federal Programs
640.3A Normal
Daily Average Temperature, January
640.3B Mean
Annual Total Snowfall
640.3C Normal
Daily Average Temperature (June)
650.2A Environmental
Certification
650.2B Finding
of No Significant Impact
650.2C CEQ
Regulations for Implementing NEPA
650.2D National
Environmental Policy Act of 1969
650.2E Department
of the Interior Manual - 516 DM 4
650.2F Department
of the Interior Manual - 516 DM 2
650.2G Categorical
Exclusions
650.3A 49
CFR 24, Uniform Relocation and Real
Property Acquisition Regulations
650.5A Notice
of Requirement for Affirmative Action
650.5B Standard
Federal Equal Employment Opportunity Construction Contract Specifications
650.5C Equal
Employment Opportunity Clause
650.5D Certification
of Nonsegregated Facilities
650.8A Excerpts
from E.O. 12372 Regulations (43 CFR Part 9)
650.8B Excerpts
from Department of the Interior Manual - 511 DM 7
650.10A Minority
Business Enterprise Utilization Report
660.3A Application
for Federal Assistance (SF 424)
660.3B L&WCF
Project Agreement and General Provisions
660.3C L&WCF
Amendment to the Project Agreement
660.3D L&WCF
Description and Notification Form
660.3E L&WCF
Grant Document sent to WASO from Regional Office
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
675.3A 43
CFR Part 12.1 - .52, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Government, Common
Rule
675.4A L&WCF
Sign
675.6A Direct
Deposit Sign-Up Form
675.6B SMARTLINK
Payment Request Screen
675.6C Classification
of Amount Requested Form
675.6D Request
for Advance or Reimbursement Form (SF-270)
675.6E Outlay
Report and Request for Reimbursement for Construction Programs (SF-271d)
675.6F Federal
Cash Transactions Report (SF-272)
PROGRAM SUMMARY
1. Purpose. The Land and Water Conservation Fund (L&WCF) Act of 1965 (Public Law 88-578, 78 Stat 897) was enacted "...to assist in preserving, developing and assuring accessibility to all citizens of the United States of America of present and future generations ...such quality and quantity of outdoor recreation resources as may be available and are necessary and desirable for individual active participation..." The L&WCF program provides matching grants to States, and through the States to local governments, for the acquisition and development of public outdoor recreation areas and facilities. Planning grants are also available to the States to help develop Statewide Comprehensive Outdoor Recreation Plans (SCORP).
2. Delegation of Authority. The L&WCF Act authorizes the Secretary of the Interior to provide financial assistance to States for outdoor recreation purposes. Except for the apportionment of funds among States and the approval of Contingency Reserve projects, this authority has been delegated to the Director of the National Park Service (NPS). The Regional Directors are authorized to exercise the program and administrative authority of the Director within the geographic area comprising the region for which they have responsibility. Limitations to this delegation include the Director's authority to act on all recommendations to the Secretary involving the apportionment of L&WCF monies and the allocation of Contingency Reserve Fund assistance; and to approve or disapprove formal arrangements where by the State agrees to assume certain responsibilities in the administration of the L&WCF program.
3.
Appointment of State Liaison
Officer. To be eligible for assistance under the
L&WCF Act, the Governor of each State shall designate in writing an
official who has authority to represent and act for the State as the State
Liaison Officer in dealing with the Director of NPS for purposes of the
L&WCF program. The State Liaison
Officer (SLO) shall have authority and responsibility to accept and to
administer funds paid for approved projects.
Upon taking office, a new Governor shall officially, in writing, redesignate
the present State Liaison Officer or appoint a new individual to represent and
act for the State in dealing with the L&WCF program.
4.
Apportionment of Funds. L&WCF
monies are apportioned to the States by the Secretary of Interior each fiscal
year in accordance with the apportionment formula contained in the L&WCF
Act. This formula includes a factor for
equal distribution of a portion of the fund among the States, as well as
factors for distribution on the basis of population and need. Funds are apportioned to the individual
States, the District of Columbia, Puerto Rico, the Virgin Islands, Guam,
American Samoa, and the Government of the Northern Mariana Islands (when such
islands achieve commonwealth status) which are collectively referred to as
"the States" for the purposes of this program. Funds may be made available through the
States to political subdivisions of the State and other appropriate public
agencies, including recognized Indian tribes which otherwise qualify for
L&WCF assistance.
5.
State Planning Requirements. To be
eligible for L&WCF assistance for acquisition or development grants, each
State shall prepare a Statewide Comprehensive Outdoor Recreation Plan (SCORP),
and update and refine it continually.
The SCORP identifies capital investment priorities for acquiring,
developing, and protecting all types of outdoor recreation resources within a
State; it assures continuing opportunity for local units of government and
private citizens to take part in their State's outdoor recreation and
environmental planning programs; and it provides a practical tool for
coordinating all State outdoor recreation and environmental conservation
programs. Planning grants and technical
assistance are available through the L&WCF program to help the States
develop and update their SCORP planning process.
6.
Acquisition and Development Grants.
L&WCF assistance may be available 1) to
acquire lands and waters or interests in lands and water for public outdoor recreation,
and 2) to develop basic outdoor recreation facilities to serve the general
public. To be eligible for assistance,
projects must be in accord with the Statewide Comprehensive Outdoor Recreation
Plan, be sponsored by a governmental agency, and meet other State and Federal
requirements.
7. Contingency Reserve Fund. A small
portion of the Fund is set aside in a Contingency Reserve Fund from which the
Secretary of Interior may obligate assistance to individual projects on the
basis of need.
8. Basis for Assistance. L&WCF assistance is provided on a 50/50 matching basis to individual projects which are submitted through the State Liaison Officer to the National Park Service for approval. Project costs shall be determined in accord with OMB Circular A-102 and A-87, the L&WCF Grants Manual and all claims shall be subject to verification by Federal audit.
L&WCF
grants shall be made available on a 100% basis in accord with Public Law 96-205
to the Insular Areas participating in the L&WCF program (i.e.. the Virgin
Islands, Guam, American Samoa, and the Government of the Northern Mariana
Islands when such islands achieve commonwealth status). However, the Secretary
reserves the right to require up to 50 percent matching funds for grants
awarded from the Contingency Reserve to the Insular Areas and this reservation
will be applied on a project by project basis.
9. Project Program Administration. The State Liaison Officer is responsible for administration of the L&WCF program in his/her State. This includes implementation of an ongoing SCORP planning process; evaluation and selection of projects in accord with an Open Project Selection Process; assuring compliance of projects with the requirements of this L&WCF Grants Manual; preparation and submission of applications, amendments and billings; inspection of projects to insure proper completion, operations and maintenance; and other functions necessary for proper program administration and management.
10. Conversion Policy. The L&WCF Act requires the States to operate and maintain by acceptable standards the properties or facilities acquired or developed for public outdoor recreation use. Further, Section 6(f)(3) of the L&WCF Act requires that no property acquired or developed with L&WCF assistance shall be converted to other than public outdoor recreation uses without the approval of the Secretary of the Interior and the substitution in accord with the SCORP of other recreation properties of at least equal fair market value and of reasonably equivalent usefulness and location.
11. Where to Send Inquiries. Generally, all correspondence should be addressed to the appropriate Regional Office of the National Park Service with responsibility for the L&WCF program (see Attachment 600.1A).
National Park Service Offices with
Responsibility for L&WCF Grants:
REGION OFFICE ADDRESS STATES
Mid-Atlantic
Regional Director, NPS CT, DC, DE, MA, MD,
143 S. 3rd Street ME, NH, NJ, NY, PA,
Philadelphia, PA 19106 RI, VA, VT, WV
215-597-7995
Southeast
Regional Director, NPS
AL, FL, GA, KY, MS,
75 Spring Street, 10th Fl.
NC, PR, SC, TN, VI
Atlanta, GA 30303
404-331-2608
Mid-West
Regional Director, NPS
IA, IL, IN, KS, MI,
1709 Jackson Street MN, MO, NE, OH, WI
Omaha, NE 68102
402-221-3201
Southwest
Regional Director, NPS
AR, LA, NM, OK, TX
P.O. Box 728
Santa Fe, NM 87501-0728
505-988-6815
Rocky Mountain
Regional Director, NPS
CO, MT, ND, SD, UT,
P.O. Box 25287 WY
Denver, CO 80225
303-969-2500
Pacific Northwest
Regional Director, NPS AK, ID, OR, WA
83 South King Street, Suite 212
Seattle, WA 98104-2887
206-553-4720
Western
Regional Director, NPS
American Samoa, AZ, CA, Guam, HI, 600 Harrison St., Suite 600 NV, Northern Marianas Islands
San Francisco, CA 94107-1372
415-774-3972
Washington D.C. Offices
Recreation
Grants Div. - 784 Accounting
Operations Div. - 309
U.S.
Department of the Interior U.S.
Department of the Interior
NPS
NPS
P.O.
Box 37127
P.O. Box 37127
Washington,
D.C. 20013-7127 Washington,
D.C. 20013-7127
LEGISLATIVE BASIS
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."
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."
STATE APPORTIONMENT FORMULA
1. Apportionment Percentage to States. The Act creates a Fund consisting of certain earmarked revenues from which the Congress may annually appropriate money for public outdoor recreation purposes. As provided in the annual appropriation act, funds shall be made available for State and Federal purposes with not less than 40 percent appropriated for Federal purposes.
2. The Amount Apportioned is Essentially a Reserve. Apportionment of funds to the States does not confer absolute entitlement to such funds. The apportionment is evidence of a commitment by the Federal Government to withhold from other uses a specified amount for a State for a given period of time. The amounts apportioned are subject to Office of Management and Budget quarterly apportionments to the Land and Water Conservation Fund (L&WCF) monies which set legal limits on the amounts which can be obligated each fiscal quarter for all purposes under the L&WCF. To receive apportioned funds, the States must (a) prepare and maintain a comprehensive statewide outdoor recreation plan that has been found by the Service to be adequate for the purposes of the Act; (b) submit and receive approval of projects requiring the use of apportioned funds; and (c) request the Federal Government to obligate apportioned funds for use on approved projects.
3. Basis for Apportionment. Apportionment of the appropriation is made by the Secretary in accord with the legislative mandate state in Section 6(b) of the L&WCF Act. The amount apportioned to each State is the amount of new authority for obligation each State will have in the fiscal year unless Congress or the President decides later to defer or rescind some portion of the amount.
4. Notice of Apportionment. The Secretary will notify each State of its apportionment following an appropriation of funds by the Congress.
5. Reports on Status of States Apportionment. The Service will notify each State periodically, of the status of each fiscal year's apportionment. This financial report shall include for each fiscal year: the total amount of current apportionments (including adjustments), the total obligations, and the total expenditures. The report will also notify the State of the balance remaining available in each apportionment. The State is expected to maintain its own accounting records on the status of apportionments.
6. Life of State Apportionments. The funds apportioned to a State will remain available for obligation during the fiscal year in which notification is given and for two fiscal years thereafter. Any portion of an apportionment that remains unobligated at the expiration of this 3-year period shall revert to the Secretary for reapportionment among the several States on the basis of need as determined by the Secretary.
7. Disposition of Unexpended Balances of Obligated Funds. Funds obligated for an approved project will remain available for expenditure by the project sponsor until the project is completed or terminated. All projects should be completed within 5 years (see 660.2.7B). When the total project expenditures are less than the obligated amount and the 3-year period for obligation availability has expired (see 600.3.6), the unexpended balance will revert to a special account which may be reapportioned to the State. This special account, containing previously apportioned but unexpended funds, does not confer entitlement to such funds by the State (see 600.3.2). The special account policy was established to allow States the opportunity to utilize monies saved from good management of the program (projects completed for less-thananticipated funds), and in 1981 the special account was revised to include all deobligated monies with no restrictions as to whether or not deobligation occurred within or after the 3-year period for obligation availability. The Secretary, may, at his/her discretion reapportion such unexpended balances back to the respective State from which it came on the basis of need. The determination of need for each State will reflect the efficient management of their obligations and outlays, the demand for additional funding, and satisfactory compliance with all L&WCF program requirements.
The procedure for the issuance of a Certificate of Reapportionment will include a review of each State's request for reapportionment funds available. The State's identification and justification of need, their obligation and outlay rate, and compliance with all program requirements will be considered in the review. The authority to review and approve each State request for reapportionment has been delegated to the Chief, Recreation Grants Division, Washington Office. Upon approval, Regional Directors are authorized to issue the Certificate of Reapportionment. Any funds not reapportioned back to a State within six months from the end of the fiscal year in which the reapportionment funds become available will revert to the Secretary's Contingency Reserve Fund.
Reapportionment Process:
(1) State requests funds from Region. Region reviews State request.
(2) Regional recommendation and a copy of the State's request is sent to the Chief, Recreation Grants Division, WASO.
(3) WASO reviews request, assigns Certificate Number or rejects.
(4) Region receives WASO approval memo with Certificate Number and prepares Reapportionment Certificate.
(5) Original Certificate signed by Regional or Acting Regional Director and sent to WASO Finance Division.
(6) One copy of Certificate with transmittal letter sent to State.
One copy of Certificate sent to WASO Recreation Grants.
(7) Finance posts Certificate, after which State may proceed with fund requests (usually during same month).
SECRETARY'S CONTINGENCY RESERVE
FUND
1. Authority. Sec. 6(b) of the L&WCF Act requires the Secretary of the Interior (1) to apportion 60 to 80 percent of each year's appropriation among the States on the basis of need, and (2) to reapportion any unobligated amounts from expired apportionments among the States on the basis of need. The Secretary's Contingency Reserve Fund consists of sums reserved from the annual appropriations and reverted sums from expired apportionments which will be apportioned or reapportioned by the Secretary on a project-by-project determination of need. No money from the Contingency Reserve may be obligated or otherwise committed for any project without the prior approval of the Secretary.
2. Specific Criteria. Requests for assistance from the Contingency Reserve must meet the same basic requirements as required for assistance from the State's regular apportionment. Contingency Reserve requests will be considered on the basis of the extent to which the project meets the following criteria:
A. The project must fall within one of three categories:
(1) Acquisitions which necessitate urgent action (no false emergencies);
(2) Demonstration programs initiated by the Secretary which identify new ideas in outdoor recreation or encourage State and local governments to meet identified critical needs; or
(3) Emergency situations brought about by natural disasters which necessitate urgent action to provide lost recreational opportunities when other sources of funding such as Disaster Relief Act funds are not available.
B. The State's regularly apportioned funds are insufficient because they have been obligated or officially committed to other high priority projects and it is imperative to seek Contingency Reserve funds to avoid the loss of a significant opportunity. However, projects submitted under the Secretary's Demonstration program will be considered without regard to the status of the State's regular apportionment.
C. The project is easily accessible to large numbers of people and is outstanding in the quality or quantity of recreational opportunities provided.
D. The project sponsor can demonstrate that it has a planning program which has identified its open space and recreation resource needs and associated implementation program. Where appropriate, the implementation program must demonstrate the effective use of zoning measures and other positive land use controls.
E. The project fulfills a critical need identified in the SCORP and Action program and would otherwise have a high priority for funding from the State's regular apportionment.
The Secretary may from time to time expand or modify these criteria to meet the changing needs and priorities of the American public.
3. Amount of Assistance. In appropriate cases, the Secretary may limit Contingency Reserve assistance to less than the full Federal share of a project and require the project sponsor to provide the balance of the funds from other sources. (see Section 600.4.7) Amounts granted from the Contingency Reserve must be matched in the same manner as amounts granted from the regular apportionments. (see Section 600.4.7)
4. Application Procedures. Requests for assistance from the Contingency Reserve should be submitted on the same forms and in the same manner as requests for assistance from the State's regular apportionment. In addition, the proposal should also include:
A. A statement that Contingency Reserve assistance is requested and the amount of Reserve assistance requested placed in Part III, Section E of OMB Form No. 80-RO184.
B. A separate narrative statement of justification for use of Contingency Reserve funds based on the criteria set forth in Section 600.4.2.
C. An Environmental Assessment in accord with Chapter 650.2.
D. A list of commitments against the State's regular apportionment on a project-by-project basis with a copy of the instrument committing funds to each project. This documentation will serve the purpose of indicating the State's inability to assist the project from its regular apportionment.
E. A letter from the Governor addressed to the Secretary of the Interior endorsing the project.
5. Project Execution. Acquisition projects receiving assistance from the Contingency Reserve should be completed within one year from the date of approval. Development projects, however, may require two years for completion. The ending date of the project period on the project agreement will reflect an appropriate project period. The date will be entered on the agreement at the time of approval by the Service.
6. Approval Authority for Contingency Reserve Agreements. The authority to approve agreements for projects involving Contingency Reserve funds is vested with the Director. Unless otherwise specified by the Director, this authority to approve Contingency Reserve Project agreements and amendments to such agreements, is delegated to the Chief, Division of Recreation Grants in Washington.
7. Contingency Reserve Assistance to Insular Areas. Although the eligible Insular Areas (in the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands) may receive up to 100 percent assistance from their regular L&WCF account, the Secretary reserves the right to require up to 50 percent matching funds for grants awarded from the Contingency Reserve. This reservation will be applied on a project by project basis.
DEFINITIONS
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.
PROJECT NUMBERING SYSTEM
1. Applicability. Each project, including projects proposed for the Secretary's Contingency Reserve Fund, shall be assigned a separate official Service number by the Regional Office, whether or not it is ultimately approved. Agreements, amendments, and all other documentation relating to a given proposal, including letters and memorandum, shall contain this number.
2. System for Numbering: A 7-digit system shall be used as follows:
A. First two digits: State Identification Number
|
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. |
|
|
|
|
||
B. Next five digits: The Project Number is serially assigned in chronological order of receipt. This number shall also serve, after project approval, and in conjunction with the State Identification Number, as the project agreement number.
C. Amendment to Agreement: Amendment numbers shall be added immediately following the project number by using a decimal point and appropriate number (beginning with 1) in serial order.
3. Use of Numbering System: A project number shall be used only once and shall be the official method of identifying each project and related project documentation.
A. Immediately upon receipt of a project proposal, the Regional Office shall assign the 7-digit basic identification number consisting of the 2-digit State number, followed by (but separated by a dash) the 5-digit project number. These numbers shall be permanently affixed to the case file, and shall serve as a permanent reference number.
Example:
08-00004
State
of Fourth project
Colorado proposal received
from
Colorado
B. Whenever the original project agreement is altered, the amendment number assigned to the executed amendatory document shall be serially increased.
Example:
08-00004.1
First
Amendment
C. Elements within a consolidated project shall be identified on the DNF Form by the State with a capital letter. Begin with the letter "A" and proceed through the alphabet as needed, except do not use the letter "O". If there are more than 25 elements continue numbering "A1", "B1" etc.
08-00004A First element approved within a
consolidated
project.
08-00004Z Twenty-fifth element approved within a
consolidated
project.
08-00004A1 Twenty-sixth
element approved within a consolidated
project.
L&WCF PROGRAM ANNUAL REPORT
1. Authority. Section 6(f)(7) of the Land and Water Conservation Fund Act of 1965, as amended, requires that each State evaluate its L&WCF grant program annually under guidelines set forth by the Secretary and to transmit 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 source of other funds, and the estimated cost of completion of the project. The results of this evaluation are to be reported annually to the Service on a fiscal year basis. The Service, in turn, shall forward a summary of these reports to Congress. The annual report to Congress shall include an analysis of L&WCF grant, planning and other accomplishments during the reporting period, and may also include recommendations as to future improvements for the operation of the L&WCF program.
2. State Annual Report. The following guidelines have been prepared to assist the States in preparation of the Annual Report to Congress. The amount of data compilation by the States has been kept to a minimum in an effort to ensure that the preparation of this annual evaluation will not be an administrative burden on the States.
To further reduce paperwork burdens on States, all analytical information provided by States in Parts II or III of their annual L&WCF reports will be used to the fullest extent possible by the Service in its regular evaluations of State grants administration and planning processes (cf. Manual Parts 600.8 - Program Reviews and 630.1.6 - SCORP requirements).
A. Part I - Project Review and Evaluation. To assist the States in the preparation of the required project listing, the Service will forward to each State Liaison Officer by November 15, a computer printout of all projects approved by the Service during the previous fiscal year. The printout will also indicate the total funds obligated to amendments during the same period and the number of amendments processed (see Attachment 600.7A).
Projects will be listed numerically with project name and include project sponsor, project type, coded list of the activities and facilities associated with the project, acres to be acquired, acquisition costs, and the amount of L&WCF assistance obligated to the project. States will review this project listing and supply corrections where appropriate, and will insert data on total project costs and the amount and source of other funds (Federal, State, local and donations) in the spaces provided on the printout.
B. Part II - Program Analysis. Each State shall provide in concise narrative form, an evaluation of its L&WCF program during the preceding fiscal year. The evaluation shall include:
(1) An indication of how projects approved during the year have contributed to meeting the priority needs, goals, and actions identified in the State's Comprehensive Outdoor Recreation Policy Plan and/or Action Program.
Each objective, goal or need identified as a high priority shall be stated briefly and followed by no more than one page of narrative, including statements indicating the number of projects and total Fund amount affecting each priority objective identified in the State plan and the type of recreation opportunities provided.
(2) A table showing the levels of competition under the State's Open Project Selection Process during the fiscal year, and comparing the total number of applications or preapplications and total dollar amount (L&WCF shares) applied for with the number of grants and dollar amount actually awarded or committed (though not necessarily obligated) from L&WCF monies available to the State within the fiscal year.
(3) A discussion of progress made in improving and implementing its Statewide Comprehensive Outdoor Recreation Planning (SCORP) program during the fiscal year, including:
(a) A status report on work items completed or in progress under the State's schedule for delivery of upcoming Policy Plan or Action Program submissions, including results of surveys, special studies or citizen participation efforts under the SCORP program.
(b) A report on adoption of new policies or other significant actions (other than L&WCF grant funding reported under (1), above) to implement priorities identified or recommended in the current SCORP, including legislative or financial initiatives, organizational, management or procedural improvements or other State actions that may improve outdoor recreation resources and opportunities.
(c) Analysis of any other public or private actions influenced by the SCORP program, including significant uses of the SCORP by local governments, non-profit groups, private enterprises or individual citizens.
C. Part III - Optional. To further strengthen the Federal-State partnership under the Land and Water Conservation Fund program and to better enable the Service to assist the States in the conservation, development, and utilization of outdoor recreation resources, each State is encouraged to provide a supplement to its annual report. This supplement may be used to highlight other recent accomplishments or concerns expected to have a significant impact on outdoor recreation resources or needs within that State. The following items are suggested for possible discussion. However, this list is not all inclusive and may be expanded at State discretion:
(1) Programs or issues related to meeting recreation needs at the local level.
(2) Programs or issues related to meeting recreation needs of the handicapped, elderly and other minorities.
(3) Status of existing or proposed non-Federal financial or technical assistance programs such as State or local bond issues, dedicated revenues or advisory services.
(4) Impacts of national park, forest or fish and wildlife resources and programs on overall State objectives for outdoor recreation and efforts by State and Federal agencies to coordinate recreation resource responsibilities.
(5) Private sector roles in providing recreation opportunities within the State.
(6) State or local policy or management initiatives, including legislative or executive actions that will effect availability of outdoor recreation opportunities (e.g., State scenic river and trail programs, land use control measures, other conservation measures affecting recreation resources).
(7) States may also include statements of concerns or recommendations about future improvements in the operation of the L&WCF program. These may relate to either administrative or legislative issues. State concerns about needs for administrative improvements or legislative actions should be briefly stated and recommendations justified in terms of the problems to be solved.
3. State Submissions. Each State shall submit three copies of its annual report to the appropriate Regional Office on or before December 31. Each Regional Office will review and summarize State reports, and prepare a regional summary to be included in the Service's report to Congress. These regional summaries and two copies of each State report must be transmitted to Washington Office by January 31 of each year.
4. Service Report. The Service shall transmit to Congress, by March 1 of each year, a report summarizing all State annual reports for the preceding fiscal year, including compiled, State-by-State listings of project funding activity during the reporting period. This report will also include an analysis of other Fund accomplishments and summarize proposed administrative or legislative recommendations by the States for improvements in the L&WCF program. Individual State reports and listings of projects funded during the fiscal year will be retained by the Service and be available for review upon request.
5. Matching Assistance. L&WCF planning grant assistance may be available to the States for the preparation and publication of their annual reports and evaluations. A separate planning project or an amendment to an existing planning project may be submitted in the normal manner in order to cover prospective costs, or such costs may be recouped through the State's existing method for indirect costs reimbursement. A State may wish to publish sufficient copies of its annual report for distribution to State legislators, governmental units and concerned citizens as a means of documenting grant and SCORP accomplishments and soliciting future input.

PROGRAM REVIEW OF STATE OFFICES
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.
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.
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.
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.
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.
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? ________________
STATE PLAN PREPARATION,
PROCEDURES AND ELIGIBILITY
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.
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.
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.
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.
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.
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.
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.
Summary of Legislation Requiring
Coordination Between SCORP and Other
Federal Programs
• Federal Outdoor Recreation Coordination Act (P.L. 88-29) - provides for coordinating Federal activities related to outdoor recreation, and for developing a nationwide outdoor recreation plan. The Act authorizes the Secretary of the Interior to formulate and maintain a comprehensive nationwide outdoor recreation plan, taking into consideration the plans of the various Federal agencies, States, and their political subdivisions.
• Federal Water Project Recreation Act (P.L. 89-72) - provides uniform policies with respect to recreation, fish and wildlife benefits, and costs of Federal multipurpose water resource projects. The Act requires the Secretary of the Interior to report on the extent to which proposed recreation and fish and wildlife development conforms to and is in accord with the Statewide Comprehensive Outdoor Recreation Plan.
• Water Resources Planning Act (P.L. 89-80) - provides financial assistance to the States in order to increase State participation in coordinated planning of water and related land resources. The Act requires full coordination between comprehensive water resources planning and the SCORP for approval by the Water Resources Council.
• National Historic Preservation Act (P.L. 89-665) - establishes a program for the preservation of historic properties. The Act provides that no grant may be made under its provisions unless the application is in accordance with the comprehensive statewide historic preservation plan which has been approved by the Secretary of the Interior after considering its relationship to the Statewide Comprehensive Outdoor Recreation Plan.
• Colorado River Basin Project Act (P.L. 90-537) - authorizes the construction, operation, and maintenance of the Colorado River Basin Project. The Act requires conservation and development of the fish and wildlife resources and the enhancement of recreation opportunities in accordance with the provisions of the Federal Water Project Recreation Act, cited above. This includes conformity with the Statewide Comprehensive Outdoor Recreation Plan.
• Wild and Scenic Rivers Act (P.L. 90-542) - implements the policy of preserving selected rivers or sections thereof in their free-flowing condition. The Act requires the Secretary of the Interior to encourage the States to consider the needs and opportunities for establishing State and local wild, scenic and recreational river areas, when developing their Statewide Comprehensive Outdoor Recreation Plan.
• National Trails System Act (P.L. 90-543) - institutes a national system of recreation and scenic trails. It prescribes the methods and standards by which components may be added to the system. The Act directs the Secretary of the Interior to encourage States to consider, in their Statewide Comprehensive Outdoor Recreation Plans, need and opportunities for establishing park, forest, and other recreation trails on lands owned or administered by States, and recreation trails on lands in or near urban areas.
• Bankhead-Jones Farm Tenant Act. - authorizes the Secretary of Agriculture to furnish financial assistance in carrying out plans for works of improvement for land conservation and utilization. It requires that such public works which provide for water-based fish and wildlife or recreational development shall be consistent with Statewide Comprehensive Outdoor Recreation Plans.
• The Emergency Wetlands Resources Act of 1986 (P.L. 99-645) - requires that SCORPs contain a wetlands priority component consistent with Section 303 of the Act, including consideration of wetlands protection needs and problems consistent with the National Wetlands Priority Conservation Plan and a listing of those wetland types, if any, that should receive priority for acquisition. Evidence of coordination and consultation with the State agency primarily responsible for wetlands planning is also required.
PLANNING ASSISTANCE
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.
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.
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.
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.
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
B.
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).
GENERAL PROJECT CRITERIA
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.
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).
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.
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.
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.
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).
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.
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)