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Tribal historic preservation officer program and annual apportionments to thpos fiscal year 2012
Tribal Historic Preservation Officer Program and Annual Apportionments to THPOsFiscal Year 2012

Presentation at

Division chief contacts
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)

[email protected]

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)

[email protected]

Tribal historic preservation officer program

Requirements of the Agreement Between the Tribe & NPS

Tribal Historic Preservation Officer Program

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.

  • 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

  • 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:


  • 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.

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.

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.

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

Guidance on hpf grants for tribal historic preservation offices

Guidance on HPF Grants for Tribal Historic Preservation Offices

THPO Annual HPF THPO Operations Grant Program

This PowerPoint can be downloaded from

Grant fiscal contacts
Grant Fiscal Contacts Offices

Ginger Carter, Primary Contact

Grant Mgmt Specialist

202-513-7233 (T)

[email protected]

Madeline Konz

Grant Mgmt Specialist

202-354-2064 (T)

[email protected]

Address and fax number:

National Park Service

1201 I (Eye) St. NW

Stop 2256, 6th Fl.

Washington, DC 20005

202-371-1794 (F)

Nps thpo website http www nps gov history hps tribal 101dreg htm
NPS THPO Website Offices

  • Contact Info

  • Regulations, Manuals

  • News, Updates

  • Application, Reporting & Payment Forms and Guidance

  • Notice of due dates

Grant agreements 2 year life
Grant Agreements - 2 Year Life Offices

  • 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.

2012 application checklist
2012 Application Checklist Offices

  • 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)

Thpo grant application process
THPO Grant Application Process Offices

  • 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.

Sample sf424a non construction budget form
Sample SF424A OfficesNon-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

Non construction budget form definitions of line items and column divisions
Non-Construction Budget Form: OfficesDefinitions of Line Items and Column Divisions

Administration costs column 1
Administration Costs (column 1) Offices

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.

Sample administration costs
Sample Administration Costs Offices

  • 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

Operating costs column 2
Operating Costs (column 2) Offices

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.

Sample operating costs
Sample Operating Costs Offices

  • 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

Subgrants contracts column 3
Subgrants Offices /Contracts (column 3)

  • This column is where the costs of subgrants and/or contracts for work related to the THPO grant are listed.

Indirect costs line j
Indirect Costs (line J) Offices

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.

Indirect cost idc rate agreement
Indirect Cost (IDC) Rate Agreement Offices

  • 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 [email protected] or at 916-566-7111. Their website is:

Indirect cost idc rate agreement1
Indirect Cost (IDC) Rate Agreement Offices

  • 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.

Personnel consultants
Personnel & Consultants Offices

  • 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.

Competitive selection
Competitive Selection Offices

  • 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

Supplies equipment
Supplies & Equipment Offices

  • 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.

Property standards
Property Standards Offices

  • 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.

Property records and forms
Property Records and Forms Offices

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

Disposition property standards
Disposition Property Standards Offices

  • 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.

Other budget category
“Other” Budget Category Offices

  • 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.

Sample sf424c construction budget form
Sample SF424C OfficesConstruction Budget Form

Un allowable costs
(Un)Allowable Costs Offices

  • 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.

Some unallowable costs
Some Unallowable Costs Offices

  • 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

Environmental certification
Environmental Certification Offices

  • 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.

Payment Systems Offices

  • 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.

Direct deposit fiscal contact forms
Direct Deposit & Fiscal Contact Forms Offices

Current SMARTLINK Forms

Required annual fiscal reports due january 31 of each year
Required Annual Fiscal Reports: Due January 31 of each Year Offices

  • 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.

Annual sf425 federal financial report
Annual SF425, Federal Financial Report Offices

Federal grant number

Annual sf425 federal financial report1
Annual SF425, Federal Financial Report Offices

Federal grant number

Annual sf425 federal financial report2
Annual SF425, Federal Financial Report Offices

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.

Carryover form
Carryover Form Offices

The information on this form must correspond with the information on the SF425.

Thpo operations grant payments
THPO Operations Grant Payments Offices

  • As of January 1, 2011, THPOs were put on “reduced review” status. This means that THPOs may draw down funds from their payment accounts without having to submit payment request to NPS for approval.

  • There are conditions for being on “reduced review” payment status

Conditions of reduced review status
Conditions of Reduced Review Status Offices

  • 1. By drawing down funds directly from the Payment Management System, the THPO agrees to all conditions outlined herein, and confirms that it is following all Federal Cost Principles (OMB Circular 2 CFR 225 and A-133), Uniform Administrative Requirements (OMB Circulars A-102 and 2 CFR 215) and the requirements and regulations of the National Historic Preservation Act and Historic Preservation Fund Manual.

  • 2. Reduced Review status is conditional. NPS will move a THPO back to a "full review" status if it falls out of compliance with any one of its THPO Operational grants or draws funds down for one of the other NPS or HPF funded grant programs (Tribal Project Grants, Save America's Treasures, Preserve America, etc.) without prior NPS approval.

Thpo operations grant payments1
THPO Operations Grant Payments Offices

  • 3. NO ADVANCES may be drawn under reduced review; however, you may draw reimbursements as soon, and as often, as you need them. Funds should be available for draw down within hours of your request provided they are submitted by 5:00 pm EST.

  • 4. THPOs must maintain detailed records of each request in their files. Auditors will require NPS to collect documentation regarding random draw downs from a large number of THPOs (as we currently do with SHPOs) during the annual audit of the NPS grant programs.

    THPOs will be required to provide the correct, requested information to NPS within 24 hours. By providing this information to the auditors, NPS will be able to document that THPOs are capable of handling the responsibility of being on reduced review.

Thpo operations grant payments2
THPO Operations Grant Payments Offices

  • 5. Reduced review status will be in effect for the apportioned THPO Operational grants ONLY. As stated before, payment requests must continue to be submitted to NPS for approval before drawing down funds for any other NPS or HPF funded grant, unless specified otherwise by that grant program.

Full review status payments
Full Review Status Payments Offices

  • For THPOs not on “reduced review” the NPS Grant Manager will go over the correct procedures for requesting funds.

Smartlink contact info
SMARTLINK Contact Info Offices

For assistance, instructions, passwords, or problems contact:



Grant expiration and close out
Grant Expiration and Close-Out Offices

  • Final Expenditures - All funds expended/obligated in contracts or purchase orders by end date of grant – September 30th. No grant extensions allowed.

  • Final Payment Drawdownsand/or payment requests must be completed by December 31st following the end date.

Grant expiration and close out1
Grant Expiration and Close-Out Offices

  • Final SF424a and 424c Budgets - For 2011 and future grants, final budget breakdown must be submitted to NPS on an SF424a and 424c by January 31st following the end date of the grant. For 2010 grants, final budgets may be submitted on the Tribe’s letterhead.

  • Final SF425, Federal Financial Report, must also be submitted.

Audits due 9 months after grantee s fiscal year end date
Audits – Due 9 Months After Grantee’s Fiscal Year End Date

All grantees who expend more than $500,000 of Federal funds (combined from all sources) in a single fiscal year must complete a Single Agency Audit.

A completed SF-SAC and Single Agency Audit reporting package must be submitted electronically to the Federal Audit Clearinghouse within 30 days after receipt of the auditor's report or 9 months after the end of the THPO's fiscal year (i.e., if the fiscal year end date is June 30, then the

9 month due date is March 30), whichever is earlier.

The cost of performing the audit may be charged to the grant.

Audit information webpage:

Federal funding accountability and transparency act ffata
Federal Funding Accountability and Transparency Act (FFATA)

  • Federal requirement

  • All Tribes MUST be registered in the Central Contractor Registration (CCR) system to obtain Federal funding

  • Tribes must enter all subawards of $25,000 or more, into the FFATA Subaward Reporting System (FSRS) within 30 days of award. For NPS awards, this begins in FY 2013.

Phone email inquiries to nps
Phone/Email Inquiries to NPS


    Grant Number

    Contact name and Tribe

    Email address/Phone number