Tribal Historic Preservation Officer Program and Annual Apportionments to THPOs Fiscal Year 2012

1. Tribal Historic Preservation Officer Program and Annual Apportionments to THPOsFiscal Year 2012 Presentation at http://www.nps.gov/history/hps/hpg/training.htm

2. Division Chief Contacts HPG Division, Chief Hampton Tucker National Park Service 1201 I (Eye) St. NW Stop 2256, 6th Fl. Washington, DC 20005 202-354-2067 (T) 202-371-1794 (F) Hampton_Tucker@nps.gov THPO Program, Chief James Bird National Park Service 1201 I (Eye) St. NW Stop 2256, 6th Fl. Washington, DC 20005 202-354-1837 (T) 202-371-1794 (F) James_Bird@nps.gov

3. Requirements of the Agreement Between the Tribe & NPS Tribal Historic Preservation Officer Program

4. THPO/NPSPartnership Agreement The Tribe and NPS enter into Partnership in the National Program of Historic Preservation. • In accordance with Section 101(d) (2) (B) of the Act, The Tribe designates the THPO as the official to administer the Tribal Historic Preservation program. • Subsequently, the THPOs are the NPS contact for the THPO agreement and the grant agreement.

5. THPO/NPS Partnership Agreement • The Tribe and NPS enter into Partnership in the National Program of Historic Preservation. • The Tribe agrees to provide an: • Annual Workplan (Scope of Work) • Annual Program Report and Grants Product • Summary Report

6. Annual Program Report • The narrative report must report: • Properties surveyed and inventoried • Section 106 Undertakings reviewed • Educational activities and programs • The Grants Product Summary Form with instructions can be viewed/downloaded from: • www.nps.gov/history/hps/tribal/101Dreg.htm

7. Annual Program Report • The annual reporting requirements are an obligation independent of a grant agreement scope of work and/or product deliverable(s). • An annual program report is due even if no grant agreement is in effect. • Refer to Chapter 6 of the Historic Preservation Fund (HPF) Manual for details about eligible and ineligible activities for all activities to ensure accurate reporting.

8. Operational Funding - Optional • THPOs must apply each year for Historic Preservation Fund grant support. • Applications must include a detailed Workplan and a standard Federal application, which will be reviewed later in presentation. • If the THPO intends to refuse funding support, he/she must forward a statement for the record.

9. Yearly Workplan (Scope of Work) • Workplan is reviewed by the NPS Chief of the Tribal Preservation Program, and must include: • number of properties expected to be added • inventory. • number of Section 106 undertakings reviewed or consulted. • Preservation Education activities. • Detailed explanation of all activities that will be covered by the Federal funds.

10. Partnership Agreement Termination • Either party may terminate the partnership agreement. • The NPS may terminate the grant if the Tribe has not carried out its assumed responsibilities, but must first provide the Tribe an opportunity to correct any deficiencies

11. Guidance on HPF Grants for Tribal Historic Preservation Offices THPO Annual HPF THPO Operations Grant Program This PowerPoint can be downloaded from http://www.nps.gov/history/hps/hpg/training.htm

12. Grant Fiscal Contacts Ginger Carter, Primary Contact Grant Mgmt Specialist 202-513-7233 (T) Ginger_Carter@nps.gov Madeline Konz Grant Mgmt Specialist 202-354-2064 (T) Madeline_Konz@nps.gov Address and fax number: National Park Service 1201 I (Eye) St. NW Stop 2256, 6th Fl. Washington, DC 20005 202-371-1794 (F)

13. NPS THPO Websitehttp://www.nps.gov/history/hps/tribal/101Dreg.htm • Contact Info • Regulations, Manuals • News, Updates • Application, Reporting & Payment Forms and Guidance • Notice of due dates

14. Annual Apportionment Grant

15. Grant Agreements - 2 Year Life • 101d Grants run 2 years maximum. • 75% of funds must be expended and/or obligated by December 31st following the end of the first fiscal year of the grant (15 months from the start date). This requirement has been waived for all THPOs for their FY2011 grants due to late approval of budget by Congress. • 25% carryover into second year is to cover lag time between start of new year and actual award.

16. Grant Application

17. 2012 Application Checklist • Yearly Workplan / Scope of Work • SF424, Application for Federal Assistance • SF424A, Budget for Non-Construction Programs • SF424B, Non-Construction Assurances • SF424C, Budget – Construction Programs – (if applicable) • SF424D, Construction Assurances– (if applicable) • Direct Deposit (new grantees) • Financial Contact form (new grantees) • DI-2010 – Certifications Regarding Debarment – (discontinued) • Environmental Certification - (completed by NPS in FY2012) • Organizational Chart (eliminated) • Copy of Indirect Cost Rate Agreement (now verified on SF425s)

18. THPO Grant Application Process • THPOs complete and submit all required forms to NPS within 45 days of award notification. • All Federal forms can be downloaded from website. DO NOT WAIT FOR NPS TO MAIL APPLICATION FORMS TO YOU. • NPS writes grant agreement and mails to THPO. No counter-signature of THPO is on the agreement. • THPO acceptance of grant is confirmed by THPO drawing down funds from account.

19. Sample form SF424

20. Sample SF424ANon-Construction Budget Form Column 1 (below vertical red arrow) + Line J (beside horizontal red arrow) may not total more than 25% of total budget (indirect and administrative costs) Budget must match activities listed in application

21. Non-Construction Budget Form:Definitions of Line Items and Column Divisions

22. Administration Costs (column 1) Costs incurred when accomplishing activity directly pertinent to budget formation and execution, personnel management, finance, property management, equal opportunity and other “overhead” functions not directly attributable to specific program areas but specific to the HPF grant.

23. Sample Administration Costs • Preparation of Personnel Payroll • Audits • Collection, storage, and retrieval of management information related to central administrative control • Administrative and support services or equipment needed for or related to the above

24. Operating Costs (column 2) Costs applied to a specific program area activity described in Chapter 6 of the Historic Preservation Fund Manual that contribute to the accomplishments of the THPO responsibilities.

25. Sample Operating Costs • Personnel costs for staff performing specific tasks related to THPO projects/goals • Equipment/supplies needed for specific THPO projects • Travel expenses for THPO program meetings/conferences

26. Subgrants /Contracts (column 3) • This column is where the costs of subgrants and/or contracts for work related to the THPO grant are listed.

27. Indirect Costs (line J) Costs incurred for a common or joint purpose benefiting more than one cost objective, and not readily assignable to the HPF grant without effort disproportionate to the results achieved.

28. Indirect Cost (IDC) Rate Agreement • Each THPOs indirect costs cover a different set of expenses. What is included in the IDC is determined and stated in the agreement the Tribe signs with the NPS’s National Business Center (NBC). • NBC can be contacted at ics@nbc.gov or at 916-566-7111. Their website is: http://www.aqd.nbc.gov/services/ICS.aspx

29. Indirect Cost (IDC) Rate Agreement • The THPO must have a current IDC to charge indirect costs to the HPF grant. • NPS will check the Annual and final SF425, Federal Financial Form, indirect cost section, to confirm that a current IDC has been signed.

30. Personnel & Consultants • Personnel - Direct employees of the Tribe, staff, or Elders. • Consultant/Contractor – Those providing professional advice or services on the basis of a written agreement for a fee, including those providing professional advice or services. Competitively selected.

31. Competitive Selection • All Consultants/Contractors MUST BE competitively selected unless special approval given by NPS. (3 or more bids solicited) • Procurement Standards, competitive selection form and donation value forms are on program website. Use and retain in records for audits. • Consultants/Contractors fee limit of 120% of Federal GS-15, step 10 (see www.opm.gov).

32. Documentation of Competition

33. Supplies & Equipment • Supplies: Includes non-construction or conservation items costing less than $5,000. • Equipment: Includes non-construction or conservation items costing $5,000. • Items $5,000 or more require NPS approval prior to purchase.

34. Property Standards • See Chapter 19 of HPF Grants Manual (link on HPF Grant website) and current OMB Circular A-102. • Nonexpendable personal property – Tangible personal property, including equipment, having a useful life of more than 1 year and an acquisition cost $5,000 or more. • Inventory of property must be taken every 2 years.

35. Property Records and Forms Grantees must keep records of all grant funded property (including those costing less than $5,000): • Description of property • Serial number, model number, etc. • Grant number under which funds were used to purchase property • Whether title vests with grantee or Fed Gov’t • Acquisition date • Amount if depreciation at budget year’s end • Location and condition of property • Unit cost • Ultimate disposition data

36. Disposition Property Standards • Property costing less than $5,000 – Grantee may use the property for other activities without reimbursement to NPS or sell the property and retain the proceeds. • Property costing $5,000 or more - Grantee will use the property for the program for as long as needed. When no longer needed, grantee will contact NPS for instructions as to allowed uses or disposition.

37. “Other” Budget Category • This includes anything that does not fit into any other category. • If the majority of your costs fall into “other” you must add an explanation of what is included in these costs.

38. Sample SF424CConstruction Budget Form

39. (Un)Allowable Costs • Chapters 6 and 13 of HPF Manual -information on allowable and unallowable costs. • Cost Principles 2 CFR 225 (Replaces OMB Circular A-87) and 43 CFR 12. • Costs must be reasonable and defendable.

40. Some Unallowable Costs • Curation of artifacts after the project end date • Entertainment and Alcoholic Beverages • Honoraria (stipends to elders allowed) • Lobbying/fundraising • Most meals/food • Mitigation expenses • NAGPRA activities • Indirect Costs if no current IDC in place

41. Environmental Certification • NPS is responsible for determining and documenting whether the work under each grant is “categorically excluded” from National Environment Protection Act (NEPA) requirements or if it requires an Environment Assessment (EA) or Environment Impact Statement (EIS) • NPS will complete this form for THPOs in FY 2012.

42. Payment System

43. Payment Systems • Current payment system (SMARTLINK) and payment process will be changing for all NPS grantees in FY 2012. • New paperwork and instructions to enroll in new system will be provided to THPOs once we received them. • New THPOs in 2012 may still have to sign-up in current payment system depending on when the system change takes place.

44. Direct Deposit & Fiscal Contact Forms Current SMARTLINK Forms

45. Annual Reporting Requirements

46. Required Annual Fiscal Reports: Due January 31 of each Year • THPOs must submit an SF425, Federal Financial Report, and a Carryover Statement to show the status of their expenditures as of December 31st (15 months after the grant’s start date). • The reports must be submitted to NPS 30 days later (no later than January 31). The Carryover Statement requirement has been waived for the 2011 grants.

47. Annual SF425, Federal Financial Report Federal grant number

48. Annual SF425, Federal Financial Report Federal grant number

49. Annual SF425, Federal Financial Report Even though the approved IDC allows for the THPO to count 75% (or $22,500) of the incurred costs as indirect costs, the Act establishing this grant fund only allows the THPO to charge up to 25% of those costs to this grant award (25% of $80,000 = $20,000) to this grant.

50. Carryover Form The information on this form must correspond with the information on the SF425.