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NPS Historic Preservation FundGrant Application Instructions

Fiscal Year 2016

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THPOs must submit a separate funding application each year if they wish to receive their share of the Congressionally-appropriated FY HPF funds.

Application requirements may change from year to year, but NPS will always provide instructions for the current year’s application.

Funding Application Requirements

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HPF Grant Agreements - 2 Year LifeEach THPO HPF grant runs for 2 years and has a start date of October 1 of the fiscal year under which the funds are appropriated by Congress (regardless of when the grant agreement is written/signed), ending September 30, two years later.

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Overlapping GrantsBecause THPO HPF grants are awarded every year, THPOs will typically have two active grants at any point. One will be in its first year the other in its second year. Example:

FY 2014 grant: 10/01/2013 - 09/30/2015FY 2015 grant: 10/01/2014 - 09/30/2016(both grants cover 10/01/2014 - 09/30/2015)

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Pre-Application RequirementsNEW THPOS: To apply for a grant, the tribe must already be registered in the following Federal Systems:

• Dun and Bradstreet. (http://fedgov.dnb.com/webform). A DUNS number, like an EIN or TIN number is a Federal identification number.

• System for Award Management (SAM) (https://www.sam.gov). SAM is the Official U.S. Government system for all non-federal entities looking for financial assistance.

• Automated Standard Application for Payments (ASAP) (www.asap.gov) ASAP

is the Federal payment system used by NPS. • Grants.gov (www.grants.gov) is the Federal grant application system.

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Pre-Application RequirementsNone of the Federal systems require a fee for registration.

Some of the systems take several week to complete registration.

New THPOs, begin the registration process now!

Existing THPOs, confirm that your registration hasn’t expired!

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To be eligible to apply for an annual award, THPOs must : • Be in compliance with their THPO MOA • Have a permanent or acting THPO• Be in compliance with all past HPF grant

requirements• Have no other issues that would legally bar the

tribe from receiving Federal funds

Funding Eligibility Requirements

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THPO Grant Application Process1. THPO submits application through www.Grants.gov.

2. NPS reviews the application and if approved, creates the grant agreement and emails a copy to the THPO. The grant is now active. No counter-signature from the THPO is needed on the agreement. The THPO’s acceptance of the grant conditions is confirmed by the Tribe’s drawing down funds from its ASAP grant account.

3. Funding is available in the THPO’s ASAP account within 48 hours of the THPO receiving the emailed grant agreement.

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Application PackageThe forms required under the FY 2016 application include:

• SF424, Application for Federal Assistance• SF424A, Budget for Non-Construction Programs• Budget Narrative/Justification• SF424B, Non-Construction Assurances • SF424C, Budget Construction Programs • SF424D, Construction Assurances• Annual Anticipated Activities List (aka Workplan)• Audit Certification – NEW IN FY 2016

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Application PackageMost of the application forms are completed on www.grants.gov. However, three reports must be completed offline and then attached to the “attachments form” on grants.gov. These are the:

• Annual Workplan,• Budget Narrative/Justification, and• Audit Certification

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SF424 – Application For Federal Assistance

The SF424 is a form for collecting general information about the applicant.

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SF424A- Non-Construction Budget Form, Section B

Non-Construction costs must be broken out into 3 columns, separating expenses for: Administration, Operations and Contractual activities/expenses

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Administration Costs (Column 1)

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

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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

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25% Limit on Administration Costs

Column 1 (Administration costs) + Line J (indirect costs) may not total more than 25% of total budget (see red area).

This requirement was included in the NHPA when the HPF award program was created.

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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.

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Sample Operating Costs

• Personnel costs for staff performing tasks related to THPO activities/projects/goals

• Equipment/supplies needed for eligible THPO projects

• Travel expenses for THPO program meetings/conferences

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Subgrants /Contracts (Column 3)

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

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Budget Categories

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Personnel vs ConsultantPersonnel - 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.

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Supplies vs EquipmentSupplies: Includes items costing less than $5,000.

Equipment: Includes non-construction items costing $5,000 or more per unit. Requires NPS approval prior to purchase.

*Equipment purchases have annual and grant close-out reporting requirements.

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Indirect Costs

Indirect Costs - 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.

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Indirect Costs (IDC) Rate Agreement

Each THPO’s Indirect Cost Rate Agreement (IDC) covers a different set of expenses. What is included in your tribe’s IDC is determined and stated in its IDC agreement.

The THPO must have an executed IDC covering the FY to which it’s charging indirect costs for these costs to be allowable.

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Indirect Costs (IDC) Rate Agreement

If the tribe has never had an IDC, 2 CFR 200, allows for it to charge a de-minimus indirect cost rate of 10% of all direct costs.

The 10% cannot simply be applied to the grant, the rate must be negotiated with the NPS.

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“Other” Budget CategoryOther - This category 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.

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(Un)Allowable CostsCosts must be eligible, reasonable and defendable in order to be charged to the grant.

Appendix B of the THPO HPF Grant Quick Guide contains cost guidance.

*2 CFR 200, contains most recent detailed Federal requirements for (un)allowable costs.

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Common Unallowable Costs• Curation of artifacts after the grant end date• Entertainment and Alcohol, most food• Honoraria (stipends to elders allowed)• Lobbying/fundraising• NAGPRA activities• Indirect Costs if no current IDC in place• Travel expenses beyond Federal per diem rates

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Program Income

Program income = income earned through grant-funded activities during the grant period. Program income activities must be approved by NPS and be reported by the grantee in its financial reports.

All program income earned is counted as part of the grant funds.

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Consultation Fees • Fees for consultation refer to the practice of tribes

charging fees from Federal agencies (or their applicants) for the tribe’s participation in the Section 106 process. This practice is allowable.

• NPS has determined that, for consultations on projects outside those covered under the HPF grant, the fees are not considered program income for the THPO HPF grant program and so do not have to be reported to or approved by NPS.

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Budget Narrative/JustificationThe Budget Justification contains both the calculations used to develop your SF424B budget amounts as well as a justification for each cost. (Why is it necessary, why is it a reasonable cost, etc.).

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SF424B, Non-Construction Assurances

The SF424B contains a number of general assurances the applicant must agree to in order to be eligible to receive Federal funding.

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SF424C, Construction Budget

The SF424C is used to breakdown the total construction costs listed on the SF424B, Non-Construction Budget Form.

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SF424D, Construction Assurances

The SF424D contains a number of construction-related assurances the applicant must agree to in order to be eligible to receive Federal funding.

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Each Application must include an annual Workplan (narrative) stating all activities the THPO plans to accomplish with the grant funds during the fiscal year. The THPO must report on each program area it agreed to administer under its MOA partnership agreement with NPS.

Application Workplan

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At the minimum, the workplan must state:

• Number of properties expected to be added to inventory.

• Number of Section 106 undertakings expected to be reviewed or consulted.

• Proposed preservation education activities.• Other activities that will be paid for through the

Federal funds.

Application Workplan

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Any activity in the Workplan that NPS identifies as requiring review under the National Environmental Policy Act (NEPA) will be flagged for review.

NPS will contact the THPO to review the work, as required by NEPA, and determine if it falls under an NPS categorical exclusion or requires an Environmental Assessment (EA) or Environmental Impact Statement (EIS).

Application Workplan

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Audit Certification

Beginning in FY 2016, tribes must complete an Audit Certification confirming that the tribe is in compliance with all Federal audit requirements. Tribes out of compliance with Federal Audit requirements may not receive funding.

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NPS Application Review Checklist

This is the checklist NPS will use to document if the application is complete and in compliance with grant regulations.

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ASAP Payment System

• Once an application is approved, the grant funds are deposited directly into the Tribe’s ASAP federal payment system.

• It is the Tribe’s responsibility to register in, and stay active in, ASAP so that it can access its funds.

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Grant Payment Requests

As the Tribe incurs expenses, it may request reimbursement for those expenses from its HPF grant account in ASAP.

Advances are allowed but may only be taken for the amount that the Tribe will expend with in the following few days.

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THPO Grants Forms/Information

Information regarding grant requirements and reporting are available from the THPO Program and THPO Grants Website:

http://www.nps.gov/thpo/index.html

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Helpdesk NumbersIf you have problems with Grants.gov or ASAP please contact their helpdesks directly at:

Grants.gov – 1-800-518-4726

ASAP – 1-855-868-0151