012-02-15 Ark. Code R. § 1
Purpose
The Arkansas Historic Preservation Program (AHPP) recognizes a lack of financial assistance as one of the largest obstacles to the preservation of historic resources in Arkansas. The purpose of the Historic Preservation and Restoration Grant program is to encourage and promote preservation of Arkansas's historic resources by providing financial assistance for restoration of historic properties.
Funding Source
Grants awarded by the Arkansas Historic Preservation Program (AHPP) are funded through Special Revenues under the Real Estate Transfer Tax passed as Acts 729 and 818 of 1987, the Arkansas Conservation Tax established by Amendment 75, or by the National Park Service, United States Department of the Interior. All grant recipients must follow the policies and procedures of the Arkansas Historic Preservation Program, as well as regulations governing the expenditure of all state and federal funds. The regulations set forth in this manual must be strictly adhered to by both the Arkansas Historic Preservation Program and by all grant recipients.
State and Federal Regulations
All grant recipients must agree to abide by and comply with applicable state and federal regulations and policies, including Fair Labor Standards, Title VI of the Civil Rights Act of 1964 [ 42 USC 2000(d) ] and Section 504 of the Rehabilitation Act of 1973 [ 29 USC Section 794 ], Title IX of the Education Amendment of 1973, and the Americans with Disabilities Act of 1991, as well as all other applicable state and federal laws, regulations, and executive orders dealing with public works, professional services, and bidding procedures.
The Historic Preservation Restoration Grant (HPRG) is awarded in three Option categories.
Option 1
Grants up to $10,000 are available to fund renovation and restoration projects that make properties eligible for nomination to the National Register of Historic Places.
Eligibility: Option 1 grants are available to non-profit, local government, and private property owners. Eligible properties must be 1) listed on the Arkansas Register of Historic Places, and/or 2) identified as non-contributing structures in a National Register District. All owners receiving Option I grant funds must agree to submit a completed National Register nomination with their final invoice.
Option 2
Grants of $10,000 or more are available to fund approved restoration projects for properties listed on the National Register of Historic Places.
Eligibility: Option 2 grants are available to non-profit and local government property owners. Private property owners are not eligible for Option 2 grant funding. Examples of eligible organizations include public and private schools, colleges and universities, libraries, museums, historical societies, local service organizations, churches, and city or county governments. Preference will be given to projects that are not eligible for other AHPP grants, such as County Courthouse Restoration Grants, Model Business Grants, Preservation Education Grants, Main Street Arkansas Downtown Revitalization Grants, or Certified Local Government Grants. Any owner receiving Option 2 grant funds must sign and file an easement agreement with the local circuit or county clerk before grant funds are released (see page 10).
Option 3
Grants of $5,000 to $9,999 are available to fund approved restoration projects for cemeteries listed on the National Register of Historic Places.
Eligibility: Option 3 grants are available to non-profit organizations (501 (c) 3) and units of local government. If the cemetery is owned by any other entity, the grant may be submitted and administered by an eligible non-profit or unit of local government on behalf of the cemetery. Examples of eligible organizations include cemetery preservation organizations, public and private schools, colleges and universities, libraries, museums, historical societies, local service organizations, churches, and city or county governments. Preference will be given to projects that are not eligible for other AHPP grants, such as County Courthouse Restoration Grants, Model Business Grants, Preservation Education Grants, Main Street Arkansas Downtown Revitalization Grants, or Certified Local Government Grants.
Authorized Uses of Historic Preservation Restoration Grants
Grants cannot be used for property acquisition costs or for reimbursement expenses for work done outside the grant period specified in the grant contract. Additionally, acquisition costs cannot be used to satisfy cash match requirements. Grants funds may be used for, but are not limited to, the following types of projects:
Option 1
- Removal of artificial exterior siding and replacement with or repair of original exterior siding.
- Removal of non-historic windows and replacement with original or replications of original windows.
- Removal of historically incorrect or inappropriate additions or modifications to the original structure, including porches, room additions, ornamentation, inappropriate roofing materials and replacements of same with historically correct materials.
- Replacement and/or reconstruction of missing historic features, including columns, porches, exterior ornamentation, chimneys, and exterior architectural details.
Option 2
- Repair or replacement of failed roofs with historically correct materials and appropriate design.
- Repair of failed foundations.
- Repair of failed structural components, i.e. joists, rafters, floors, load-bearing walls, trusses, columns, beams, etc.
- Projects to bring property into compliance with the ADA.
- Repair or replacement of failed masonry.
- Repair or replacement of failed windows with historically correct windows.
- Repair or replacement of failed mechanical, plumbing, and/or electrical system(s) if the existing system(s) jeopardizes the integrity of the property.
- Removal of asbestos or lead paint.
- Repair and/or installation of seismic reinforcement.
- Repair, evaluation and/or protection of archeological resources.
In general, for Option 2 grant applications, highest priority is assigned to projects mitigating a threat to a structure's integrity and survival. Additionally, it should be stressed that these grants are not intended for general maintenance projects.
Option 3
- Preservation Activities
Preservation refers to activities that help perpetuate and care for historic burial sites, including planning, maintenance, documentation, and education. Examples:
* Perform an individual stone survey for entire site
* Develop a preservation plan with a conservator
* Initial site clean-up
* Reset markers in bases
* Archeological consultant to assess boundaries
* Projects to aid in the security of the site
* Perform a vegetation survey
* Comply with ADA minimum standards
- Conservation Activities
Conservation refers to mechanical and chemical process used to treat damaged markers. Examples:
* Clean markers using proper materials and methods
* Repair of broken, chipped, cracked markers by conservator
* Clean and/or repair enclosures such as plot coping, gates, and cast iron fencing
- Stabilization Activities
Stabilization refers to treatments executed to retain the greatest cultural and structural integrity of the artifact and the site overall, with a minimum of intervention into the historic fabric. Examples:
* Projects to arrest erosion
* Projects to control standing water or flooding of property
* Projects to document and stabilize markers until services of conservator can be acquired
* Repair retaining walls
* Repair roads and/or walkways
- Restoration Activities
This option may only be used in conjunction with historic building/fencing that may be found on site, such as chapels, mausoleums, vaults, and gatehouses, that can be found in many of the state's historic cemeteries. Restoration implies significant intervention, which should be avoided whenever possible. When a mausoleum, for example, has deteriorated to the point where partial rebuilding is required, restoration is appropriate. True restoration includes documentation and research to determine the original appearance of the artifact, its structure and the treatment required.
NOTE: In general, the greater the threat a particular problem poses to an object, site or structure's integrity and survival, the higher the priority it will receive during the grant application evaluation process. Additionally, it should be stressed that these grants are not intended for general maintenance projects.
Planning the Project
An applicant for any Historic Preservation Restoration Grant must first determine the scope of the project to be funded. Historic preservation is an expensive endeavor, and most projects require careful prioritization. Five tips for developing a good project are:
- Understanding your project. Before you begin this project, you must determine the appropriate treatment. There are three approaches to the treatment of historic properties -preservation, restoration, and rehabilitation.
Preservation - focuses on the maintenance and repair of existing historic materials and retention of a property's form as it has evolved over time. (Protection and Stabilization have now been consolidated under this treatment.)
Restoration - depicts a property at a particular period of time in its history, while removing evidence of other periods.
Rehabilitation - acknowledges the need to alter or add to a historic property to meet continuing or changing uses while retaining the property's historic character.
These treatments are defined by the National Park Service. You may learn more by visiting http://www.nps.gov/tps/standards/rehabilitation.htm or by contacting the AHPP Technical Services Coordinator.
- Ask an expert. An architect can be invaluable in helping you to determine your needs and planning your project. In addition to giving an estimate of the project cost, an architect can also provide information on structural priorities and efficient scheduling. Also, feel free to contact the AHPP if you have questions regarding project funding priorities or guidelines for the appropriate treatment.
- Phase it out. Funds for HPRG are often limited, and few applicants receive the total amount requested in their application. By dividing the project into phases, you provide a way for funding to be used effectively even if you don't get everything you requested. You can apply for more funding in the next grant cycle.
- Know your limitations. Administering a grant project requires time and attention to detail. Please don't commit yourself or your organization to a project if you are unwilling to invest the necessary resources to complete it. In the same vein, don't commit yourself to a cash match unless you can be sure it will be in place when you sign the grant contract.
- Paint a Picture. Writing a grant application requires that you provide enough detail for the reviewer to objectively consider your proposal. The reviewer may not be able to visit the property in person, so your description and photographs will be the only presentation they will have. However, note that a lengthy description may detract from your proposal, so please strive to be detailed yet concise. Photographs are essential! They should be clear and depict the serious deterioration, or proposed restoration and rehabilitation areas.
Grants are awarded annually. The technical staff of the AHPP reviews applications for completeness and project eligibility. The staff forwards the completed rating sheet and any additional recommendations to the Historic Preservation Grants Selection Committee, consisting of the following members:
Selection Criteria
The Grants Selection Committee uses the following primary criteria to evaluate proposals:
- Degree of urgency and level of threat.
- Historic significance of property.
- Proposed use and local impact the project will have to the community.
- Evidence that the objectives of the project can be achieved within the timeframe set forth by AHPP.
- Evidence that the budget is realistic and reasonable.
- Qualifications and experience of the applicant and contractors participating in the project.
- Past performance of applicant on previous grant projects. Applicant must be in good standing with the Department of Arkansas Heritage regarding all grants previously received from agencies of the Department.
- Evidenced support of fund source for matching funds.
- Completeness of application.
Eligibility vs. Fundability
With limited funding and because AHPP is ultimately concerned with protecting and preserving the state's historic resources, grant funding recommendations largely favor those project activities which correct conditions that imminently threaten the structural viability of the property - sealing the envelope of the building (roof, window, masonry projects); and addressing failing foundations and other structural issues. Because of federal mandates placed on public buildings, projects involving ADA components also receive priority consideration. Also, conditions which present a hazard to the building's occupants (unvented gas heaters, fire safety issues, etc.) or to the building itself (hazardous electrical wiring) are priorities for grant funding.
As a general rule, projects involving sidewalks, interior finishes, correcting inappropriate past "remodels," etc. in a building that is accessible and structurally sound may be assigned a lower priority and receive no funding. The AHPP staff understands that these are worthy projects and would greatly enhance the public's use of these properties. Unfortunately, limited funding may mean that while these projects are eligible, they are not necessarily competitive or fundable.
Notification
A notification letter from the Governor of the State of Arkansas will be sent to all applicants who were approved for grant funding.
If an applicant receives a notification letter that they have been awarded a grant they must attend a grant administration workshop in Little Rock at a time and location determined by AHPP. Attendance is mandatory for the grant recipient or project manager. Failure to attend the Grant Administration workshop may result in cancellation of the grant award and reallocations of the funds to other projects. The workshop will provide training on how to administer your grant, and answer any questions you may have. (Grant recipients who have attended training in the past two years may be exempt from this training with written approval from the AHPP Grant Administrator.)
Cash Match
A 2:1 cash match is required for Option 1 and Option 2 Historic Preservation Restoration Grants. AHPP will provide two-thirds of the total project cost and the Applicant must provide the remaining one-third (i.e., a minimum $10,000 grant award requires a cash match of at least $5,000). In-kind labor or material will not be considered. The Grant Recipient must provide certification/documentation of cash match when the grant contract is signed.
Option 3 grant recipients must provide a 20% match of the total project cost (i.e., a minimum $5,000 grant award requires a match of $1,000, 50% of which may be in-kind materials, services, and/or labor.
Grant Contract
Each grantee must sign a contract with the AHPP and comply with all of its terms. The contract is included in the grant award packet provided at the grant administration workshop.
Conservation Easement
Recipients of Option 2 grants must convey a Deed of Conservation Easement for the affected property before receiving any grant funds. An easement is a voluntary transfer of some rights inherent in property ownership. The historic preservation easement is a right or limitation, set forth in a legal instrument or deed, which allows the donor to retain ownership and possession of a historic property while granting a government agency or qualified non-profit organization the authority to protect the historic, cultural, architectural, or archeological characteristics of the property.
The agreement may be called a "preservation," "conservation," "scenic," "interior," "open space," "exterior," or "facade" easement. The name has less to do with the way the agreement works than with the kind of resource it protects.
In each instance, the "easement," as it is legally termed, must contain binding and enforceable covenants that run with the land and structure. These covenants obligate the owner to refrain from actions that are incompatible with the preservation of and/or historic integrity of the property. The Deed of Conservation Easement document must be executed in accordance with AHPP conservation easement program procedures.
In the rare case of a grant that funds restoration of a structure not attached to any real property (a National Register-listed boat, for example), AHPP may seek an alternative Historic Preservation Agreement to extend protections to the structure equal to those of the Deed of Conservation Easement.
At the grant administration workshop, AHPP Conservation Easement Coordinator will provide detailed instructions, templates and materials for grantees to use to complete and file the easement document.
Project Technical Review/Approval
All grant-supported projects must be in accordance with the Secretary of the Interior's Standards for Rehabilitation and Guidelines for Rehabilitating Historic Buildings, a copy of which is included in the grant award packet or may be read in detail at
http://www.nps.gov/tps/standards/rehabilitation.htm.Before any grant-assisted work is done, the AHPP must review the final plans and specifications of the project to ensure compliance with these standards.
When preparation for the project is complete, the grantee must forward project plans and specifications to the AHPP staff before work starts. Failure to do so will result in denial of grant funds. If clarification or additional information is required, the AHPP staff will contact the grantee. The AHPP will conduct a final review of all project plans and required documents. When plans are approved, the AHPP Director will provide written authorization for work to begin. Grantee may not begin work until written authorization is given.Please allow 30 days from AHPP's receipt of the project plans and specifications to receive the project initiation letter.
AHPP staff members may inspect the project before, during, and after the completion of the work. Once work has begun, the site visits may be made without notification to the grantee. An AHPP photographer may photograph the project.
The grantee and/or the project architect are encouraged to contact the AHPP with questions at any time before or during work on the project. No changes in the project can be made after AHPP gives final approval to the plans unless such changes are submitted in writing to AHPP and approved in writing by the AHPP beforehand. If changes are not approved, final work may not be approved and full funding for the project could be denied. In the event of unforeseen problems, the AHPP staff will work to find a solution satisfactory to both the grantee and the AHPP.
For Option 3 grants, AHPP requires an archeological consultation during a scheduled site visit by an Arkansas Archeological Survey station archeologist. Information about how to schedule those site visits will be included in the grant award packet.
Project Time Limits
Unless otherwise authorized, all projects must be completed within the time period specified in the grant contract. Extensions are granted only in very special cases, and are strongly discouraged. If a grantee is unable to meet a project deadline, they are required to submit a written request for an extension of time at least 14 days prior to the deadline. This request will be reviewed by the AHPP, and the grantee will be notified as soon as possible of the action taken. A request for an extension does not guarantee it will be granted. If the grantee does not meet the established deadline and/or does not request and receive an extension, the grant will be terminated on the contract end date and funds will be reallocated. A grantee who encounters serious financial problems after accepting a grant, or who is for some other reason unable to proceed with the project, should immediately inform the AHPP. The funds will then be reassigned or returned to the AHPP according to the procedures specified in this manual.
Allowable Expenses
The following is a list of some of the more frequently used allowable costs. To be considered allowable, all costs must appear in the approved work-cost breakdown.
- Historical, architectural, or archeological research necessary to implement and carry out project work.
- Architectural, engineering, or contractor fees necessary to implement and carry out project work.
- Supplies and materials, as indicated in the detailed project description.
- Rental or lease of project equipment.
- Exterior restoration.
- Structural repairs.
Non-allowable Expenses
Historic Preservation and Restoration Grants do not reimburse the following costs:
- Any item not listed in the approved work-cost breakdown.
- Deficits.
- Contributions or donations to other organizations or individuals.
- Capital expenditures defined as tangible property costing $100 or more and having a life span of two or more years.
- Entertainment expenses, including refreshments, flowers, reception costs, etc.
- Interest and other financial costs.
- Lobbying expenses.
- New construction (some exceptions apply).
- Interpretive expenses (some exceptions apply).
- New pavement of parking lots, roads or walkways (some exceptions apply).
- Furnishings, draperies, or carpeting.
- Work done prior to grant award and after approved grant end date.
- Installation of artificial siding, incompatible replacement windows, or the use of incompatible materials of any type.
- Real estate, property acquisition costs, or legal filing fees.
- Grant writing or grant administration fees.
Grant Payments
Since grants are based on anticipated federal funds or state revenues and not on existing funds, grant amounts could be reduced at any time during the grant period The schedule of grant payments will depend upon the nature of the project. Grant payments will be made directly to the grantee. No payment will be made to the grantee unless payment requests are accompanied by progress or final reports as applicable. The grantee should use the following procedures:
A copy of each form required for grant payments will be provided in the grant award packet. Please make copies as needed.
Reporting
Grantees are required to submit reports during the grant period according to the grant agreement. Progress reports are required at least quarterly and must accompany any partial payment request. A final project report is required no later than 30 days after completion of the project. This report must include certification/documentation of cash match, photos and total project costs. Full or final payment requests must be accompanied by the final project report.
Financial Records
Grantee shall make all finance records available for audit. Records should be kept on file by the grantee for at least three years after completion of project.
Reassignment of Funds
Occasionally during the course of the grant cycle AHPP identifies additional funds available for HPRG grants. These funds usually result from a grantee's decision to decline a grant award. When additional HPRG funds are identified, the Historic Preservation Grant Selection Committee will meet to determine the reassignment of any unused grant funds previously awarded. The funds may only be awarded to another qualified applicant with a current grant proposal on file. The Grant Selection Committee will use the same criteria to reassign these midterm funds that are used to award the initial grants.
Architects
Only architects licensed by the State of Arkansas can be employed on projects receiving AHPP grant funds. The architect prepares plans, specifications, a work-cost breakdown, and other required contract documents for submission to AHPP, and will supervise the project.
The architect selected by the grantee is encouraged to meet with the Arkansas Historic Preservation Program staff to discuss the project in detail.
Project Specifications
Project specifications MUST contain the following statement:
"The Contractor is cautioned that this project involves largely RESTORATION WORK and maintaining the building in its present form is of utmost importance. The contractor shall use construction procedures calculated to protect the building. Any damage shall be repaired or replaced to present condition or better at no cost to the owner. This project involves state funds and carries the resultant obligations and restrictions."
Bid Documentation
City or county agencies are governed by the bid procedures enumerated in the Arkansas Public Works Law (ACA 22-9-201 et seq) and must maintain the following bid documentation:
The Application form provided by AHPP is a document that requests detailed information of the applicant and property. While preparing your application you may contact the AHPP Grant Administrator for assistance. Incomplete application materials may not be reviewed, so carefully review each item of the Application form. The Application Instructions begin on the next page.
Historic Preservation Restoration, Option 1 and 2 - Application Instructions Cover Sheet
Option 1 - Grants up to $10,000 to fund renovation and restoration projects that make properties eligible for nomination to the National Register of Historic Places. Eligible properties must be 1) listed on the Arkansas Register of Historic Places, and/or 2) identified as non-contributing structures in a National Register District. (A district is an area of a town or city that is listed on the National Register of Historic Places.)
Option 2 - Grants of $10,000 or more are to fund approved restoration projects for properties that are owned by a non-profit organization or municipality, and listed on the National Register of Historic Places.
Definition of Terms
Application Packet Format
The HPRG application packet should be organized using the following manner, with sections numbered accordingly:
[ TICK ] Option 1 applicant must attach any historic photos or documentation of the historic appearance of the property. Historic black and white photographs of any size will be accepted
[ TICK ] If available, applicants should attach information sheets that describe the materials proposed and/or product information.
[ TICK ] Attach any detailed cost estimates provided by architect or consultant. When possible include additional estimates that provide an alternate project cost.
[ TICK ] Attach letters from project partners confirming financial commitment either for grant cash match, ongoing operations, or use of the building.
Historic Preservation Restoration - Grant Application
OPTION1AND2
Name of architect___________________________________________
Architectural Firm___________________________________________
Mailing Address____________________________________________
City, State, Zip______________________________________________
Daytime Telephone Number_____________________________________
Fax________________________________________________________
E-mail Address________________________________________________
Does the architect/engineer have experience working with historic properties? If yes, please list three recent projects.
Line Item Budget Includes material cost, labor, and architect/consultant fees for each phase. List the work phases in the logical order or priority of completion. When possible attach more than one estimate from architect or consultant.
Description | Amount |
Phase 1 | |
Phase 2 | |
Phase 3 | |
Phase 4 |
Option 1 and 2 applicants provide a 2 to 1 cash match (two-thirds to one-third). For example, a $10,000 grant award requires a cash match of at least $5,000. No in-kind materials or labor will be accepted.
Cash Match______________________________________
Amount Requested from AHPP___________________________
Total Project Cost_______________________________________
Income/Revenue
Funding Source for Cash Match | Amount |
COLORED PHOTOS(Insert one color photo of the north, south, east, and west elevation. Also, Insert close-up color photos of each problem area and include a descriptive caption. Format photos to 4 x 6 or 5 x 7.)
If there are more than eight problem areas, you may insert additional color photos.
Historic Preservation Restoration, Option 3 - Application Instructions
COVER SHEET
Application Form (Options 3)
`
Application Packet Format
The HPRG application packet should be organized in the following manner, with sections numbered accordingly:
[ TICK ] If available, applicants should attach information sheets that describe the materials proposed and/or product information.
[ TICK ] Attach any detailed cost estimates provided by architect or consultant. When possible include additional estimates that provide an alternate project cost.
[ TICK ] Attach letters from project partners confirming financial commitment either for grant cash match, ongoing operations, or use of the building.
Historic Preservation Restoration - Grant Application
OPTION3
How much time is required to complete this project? Please insert a timeline, allow for architect/engineering/conservator services and contractor bidding. (Can this project be completed by May 1?)
Name____________________________________________________
Firm______________________________________________________
Mailing Address_____________________________________________
City, State, Zip_______________________________________________
Daytime Telephone Number_____________________________________
Fax________________________________________________________
E-mail Address_______________________________________________
Does the architect/consultant/conservator have experience working with historic properties? If yes, please list three recent projects.
Line Item Budget includes material cost, labor, and professional fees for each phase. List the work phases in the logical order or priority of completion. When possible attach more than one estimate from architect or consultant.
Description of Proposed Work | Amount |
Activity 1 | |
Activity 2 | |
Activity 3 | |
Activity 4 |
NOTE: Option 3 applicants must provide a 20% match, 50% of which may be in-kind (documented donations of materials, labor, and services). Example: If the total cost of a project is $8,000, the applicant must provide $1,600 match ($800 cash, $800 in-kind). The amount requested from AHPP would be $6,400.
Match | Cash: | In-kind: |
Amount Requested from AHPP | ------ | ------ |
Total Project Cost | ------ | ------ |
Income/Revenue
Identify funding sources for cash match, in-kind donations and amount of each financial commitment. (Attach letters from project partners confirming financial commitment for grant cash match; ongoing operations; or use of the building.)
Source for Match | Amount |
(cash) | |
(cash) | |
(in-kind) | |
(in-kind) |
What is the annual operating budget to maintain and operate this property? Identify financial sources.
If there are more than eight problem areas, you may insert additional color photos.
012.02.15 Ark. Code R. § 001