![](media/image1.png){width="0.7777777777777778in" height="1.0in"} THPO
Annual Report and Work Plan Guidelines

The following information is provided for THPOs to use in the
development of their FY 2005 annual reports and FY 2006 grant
application work plans. The criteria listed below, excerpted from the
Historic Preservation Fund (HPF) Grant Manual, were originally intended
to provide guidelines for the State Historic Preservation Offices
(SHPO). The guidelines have been abridged and adapted for use by the
THPO program.

THPO programs that do not have a full copy of the HPF Grant Manual are
encouraged to download it from the NPS Tribal Preservation Program
website at <http://www.cr.nps.gov/hps/tribal/thpo.htm>, and to print and
keep a copy on file for ready reference. A copy of the manual in Word
6.0 and Adobe Reader formats will be made available directly from the
NPS Tribal Preservation Program upon receipt of a written request. In
addition to the information contained within the HPF Grants Manual,
basic documentation requirements are provided in the THPO MOA and THPO
Grant Agreement as summarized below.

**THPO MOA**

The THPO MOA contains minimum requirements for each THPO report:

1.  *The number of additional properties surveyed and added to the
    Tribe\'s inventory.*

2.  *The number of Federal undertakings reviewed pursuant to Section 106
    of the Act, and*

3.  *A description of any educational activities and programs carried
    out.*

**THPO Grant Agreement**

Current THPO Grant Agreements reporting requirements appear in article
7. (a.), (b.), and (c.), and are reiterated below for your convenient
reference.

**Reporting Requirements**

a\. [Annual Report]{.underline}. An annual report on the Tribal Historic
Preservation Office's activities as required in the Memorandum of
Agreement executed with the Secretary of the Interior must be provided
to NPS by January 31 of each year. The *Grants Products Summary*
included with the Grant Agreement must also be completed annually (by
January 31 of each year) and submitted with the Annual Report. (The form
and guidance are appended).

b\. [Work-Cost Budget]{.underline}. A final work-cost budget breakdown
comparing actual expenditures to the budgeted line items of this
agreement (Condition 16) or as amended by NPS is required by **January
31, 2008,** or prior to the final payment, whichever is sooner.

c\. [Grant Expenditures and the Use or Lose Policy]{.underline}. An SF
269A detailing all expenditures/commitments as of **December 31, 2005**,
must be submitted to NPS by **January 15, 2006**. The report must
confirm that the tribe has expended and/or committed at least 75% of
this grant award. (See Condition 20 below) The *Attachment to SF 269A,*
included with the Grant Agreement packet, must be submitted with the SF
269A form.

The grantee shall furnish to NPS sample copies of any major
publications, reports, studies, or similar materials that are produced
with this grant assistance (see Grant Condition 17). This requirement
covers major products of the Tribal Preservation Office but not routine
correspondence or reports.

Further guidance for reporting on THPO activities found in the HPF Grant
Manual should be independently reviewed by the THPO tribe to determine
specific applicable program areas. Guidelines for developing the report
are excerpted from the HPF Grant Manual Chapter 25 and then followed
immediately afterwards with guidance for developing THPO work plans from
Chapter 7.

Historic Preservation Fund Grants Manual

Chapter 25 Monitoring and Reporting Program Performance

[Monitoring and Reporting Program Performance]{.underline}

A. [Purpose]{.underline}. This Chapter sets forth procedures and
requirements for monitoring and reporting grantee program performance in
accordance with OMB Circular A-102, as codified in 43 CFR 12.80, for
States and OMB Circular A-110, as codified in 43 CFR 12.951, for the
National Trust.

B. [Standard for Monitoring by Grantees]{.underline}. Each grantee is
responsible for administering and monitoring its own HPF assisted
activities and activities performed under its subgrants and contractual
agreements to ensure that schedules are being met, work is being
accomplished and other performance goals are being achieved under the
provisions of the HPF Grants Manual. HPF grant funds shall not be paid
for any work or activity that does not conform to the terms and
conditions of the NPS Grant Agreement, including the appropriate
\"Secretary\'s Standard(s)", and the specified scope of work. This
prohibition also applies to the cost of goods and services claimed as
matching share for HPF monies. The grantee is responsible to NPS for
repayment of misapplied funds.

C. [Required Performance Reports]{.underline}. Each grantee shall submit
annual performance reports to NPS and a final performance report after
the completion of each project. These requirements are addressed by use
of: 1) An annual \"End-of-Year Report\" and 2) a \"Final Project
Report\" for each sub grant or contract, if applicable (see HPF Grant
Manual Chapter 8, Section G for Reduced Review sub grant requirements).

> In addition, between the required performance reporting dates, the
> grantee must inform the NPS as soon as problems, delays or adverse
> conditions become known which will materially affect the ability to
> attain program objectives or prevent the meeting of time schedules and
> goals. This disclosure shall be accompanied by a statement of the
> action taken, or contemplated, and any Federal assistance needed to
> resolve the situation. The grantee shall submit a written request for
> budget revision if any performance review conducted by the grantee
> discloses the need for change in the budget estimates in accordance
> with the criteria in Chapter 15.

D. [End-of-Year Report \-- Tribes]{.underline}. The End-of-Year Report
provides a framework for NPS to compare actual results achieved during
the annual grant period (October 1 through September 30) to the planned
performance specified in the grant application and approved through the
Grant Agreement. It includes all activities for which costs were
incurred during the grant period, whether funded by the previous or the
current year\'s Annual Grant, or both. NPS expects that the Tribe\'s
tracking and reporting system results in data which are accurate,
replicable, and based upon regularly updated source records.

+-----------------------------------------------------------------------+
| [End-of-Year Report Documents]{.underline}. All End-of-Year Reports   |
| must contain the following:                                           |
+-----------------------------------------------------------------------+
| [Grant Products Summary Form]{.underline}                             |
|                                                                       |
| [Significant Preservation Accomplishments Summary]{.underline}.       |
| (Section D.1., below)                                                 |
|                                                                       |
| [SF269A, Financial Status Report short form for the current and       |
| closing fiscal years.]{.underline}                                    |
|                                                                       |
| [Attachment to SF 269A, Listing of Grant Commitments]{.underline} (   |
| Contracts and Other Firm Commitments)                                 |
+-----------------------------------------------------------------------+
| [Accomplishments Narrative]{.underline}. (Section D.2., below)        |
+-----------------------------------------------------------------------+

> 1\. [Significant Preservation]{.underline} [Accomplishments
> Summary]{.underline}. Each Tribe must include a brief Accomplishments
> Narrative, (not more than three pages), that discusses three to five
> of the Tribe's significant accomplishments (\"success stories\") that
> resulted from HPF grant assistance during the fiscal year. The
> narrative must explain how each selected project or activity is
> identifying, evaluating, documenting, designating, preserving, or
> protecting significant historic and archeological properties. (These
> "success stories" may be used by NPS in annual reports and other
> written material to illustrate the benefits of the HPF grant program.)
>
> 2\. The Accomplishments Narrative describes the Tribe\'s
> accomplishments in the last fiscal year in relation to the Narrative
> transmitted with the Annual Grant Application. The Accomplishments
> Narrative parallels the organization of the Application Narrative. For
> each major task described in the Annual Grant Application Narrative,
> briefly report the actual status to date. For tasks that were
> completed as described, report \"Completed\" and describe the specific
> accomplishments and products relative to the task. For planned tasks
> partially completed or amended, tasks not accomplished at all, or
> tasks that were canceled, report \"Partially Completed,\" \"Not
> Accomplished,\" \"Carried Over,\" or \"Canceled\" and explain why.
>
> 3\. [Transmittal of the End-of-Year Report]{.underline}. The deadline
> for submitting the End-of-Year Report in its entirety is December 31.
> In certain cases, NPS may require Tribes to submit some End-of-Year
> Products data earlier than December 31 for apportionment purposes,
> upon prior written notice.

E. [Overdue or Unacceptable Reports]{.underline}.

> 1\. [Policy]{.underline}. NPS may take administrative action when
> required reports (including Project Notifications, Final Project
> Reports, End-of-Year Reports, etc.) are not submitted to NPS on a
> timely basis.
>
> 2\. [Procedures for Obtaining Compliance]{.underline}. If required
> reports are not submitted, or are substantively incomplete, the Tribe
> may be advised in writing that one of the following steps will be
> taken by NPS:
>
> a\. Suspending the Tribe\'s Electronic Funds Transfer privileges
> and/or withholding of NPS action on SF 270 Requests for Advance or
> Reimbursement until the delinquent documents are received.
>
> b\. Withholding the award of additional grants until the relevant
> documents are received.
>
> c\. Halting the processing of the Annual Grant Application.
>
> d\. Making the timely submittal of an acceptable End-of-Year Report a
> special grant condition on the following year\'s Annual Grant
> Agreement.
>
> e\. Suspending the Grant by formal written notice that requests for
> reimbursement will not be processed for activities funded in the
> second year of the Annual Grant. See Chapter 22, Section D.
>
> f\. Making the Tribe ineligible to participate in any subsequent
> reapportionment of HPF funds during that year.
>
> g\. Imposing additional reporting requirements.
>
> h\. Failure to supply adequate data may result in a reduced subsequent
> HPF apportionment.
>
> i\. The Tribe may lose its Reduced Review Status (see Chapter 8,
> Section G, for procedures and criteria).
>
> j\. NPS may take other appropriate administrative action.
>
> Similar steps, including adjusting the grantee's obligational
> authority, may be taken by NPS (with prior written notice) if the
> grantee is significantly overdue in submitting acceptable grant
> applications or amendments to obligate funds.

F. [NPS On-site Review]{.underline}. NPS will make site visits as
necessary or as requested to review program accomplishments and
management control systems; and to provide technical assistance.

Chapter 6 should be used in conjunction with Chapter 7 by which Program
Areas are related to the annual grant application.

Historic Preservation Fund Grants Manual

Chapter 7 Application for Federal Assistance

[General Annual Grant Application Information]{.underline}.

A. [Program Areas]{.underline}. Activities eligible for HPF assistance
under the Act and related legislation are organized around Program
Areas. Program Areas for grantees are detailed in Chapter 6.

B. [Completing the Historic Preservation Fund Annual Grant
Application\--Tribal Historic Preservation Offices]{.underline}.

1.  [Completing the Application]{.underline}. A complete set of forms
    and certifications listed below must be submitted for the annual
    grant application. Each of the forms described below can be found in
    this chapter; however, original copies of all of these forms can
    also be obtained by contacting the Historic Preservation Grants
    Division

> All THPO Annual Grant Applications must contain the following Standard
> Forms and Certifications.
>
> **Application for Federal Assistance Form** (SF 424) (Exhibit 7-A)
>
> **Nonconstruction** **Assurances** (SF 424B)
>
> **Certifications Regarding Suspension, Debarment, Drug-Free Workplace,
> and Lobbying** (DI-2010)
>
> **Anticipated Activities List** (see below, also known as work plan or
> scope of work)
>
> a.) [Anticipated Activities List]{.underline}. The Anticipated
> Activities List is the means by which the Annual Grant Application
> identifies the activities which the Tribe will carry out that will, in
> part, help achieve the goals and objectives in the Tribe's Historic
> Preservation Plan. The list (along with the Cumulative Products Table)
> provides a brief indication of how the Tribe intends to use its HPF
> grant for this purpose.
>
> 1\) For each Program Area, the Tribe must list by brief descriptive
> title each major project or activity and reference the THPO Program
> Plan goal(s) and objective(s) to which the project/activity helps
> achieve, if any. See Chapter 6, Section G. There need not be a
> complete one-to-one correlation between [every]{.underline} activity
> or project undertaken with HPF assistance and the State Plan. The
> project title must be descriptive rather than numeric. For example,
> use \"Inventory Computerization\" or \" Pre-Historic Hunter's Camp
> Archeological Survey,\" but not \"14-BAL-42B10.\" Projects with
> multiple phases must include the phase number in the title. There must
> be enough information in the descriptive title to indicate the
> tangible nature of the project or activity. Multiple goals and
> objectives may be referenced for an activity, if that activity helps
> achieve more than one goal or objective.
>
> 2\) Each Program Area must be listed, even if only to indicate that no
> major projects/activities are planned. For example, if a Tribe plans
> only routine Review and Compliance activity, it should state this in
> the List.
>
> For example:
>
> [Survey and Inventory Program Area]{.underline}
>
> 1\. Western Counties Mining Resources Survey (Phase III)\--Goal VI,
> Objective 4
>
> 2\. Test software for possible automation of tribal inventory\--Goal
> II, Objective 1
>
> 2\) Each Program Area must be listed, even if only to indicate that no
> major projects/activities are planned. For example, if a Tribe plans
> only routine Review and Compliance activity, it should state this in
> the List.
>
> 4\) If the Goals or Objectives of the THPO Plan are not numbered or
> lettered, some other means, such as a short title or description must
> be used
>
> 5\) Each anticipated activity listed in the annual application must be
> reported on in the End-of-Year Report.