# Presentation: 735694

## 2007 ProTracts Contracting New Forms

**October 19, 2006**

**Phone: 888-889-1956    CODE:  1104381 **
**Please Use *6 or Mute **

## Agenda

- Update on CSP: Ricke
- CPM- 512 Changes to Forms Process: Slawter & Norton
- New Form Features and ProTracts: Grande
- New Appendices: Brzostek
- Retired CCC-1200: Ramsey
- Current Contracting Forms Access: Ramsey
- New Cost List Rules: Grande
- Cost Over Run Accounts: Ramsey
- New Eligibility Matrix: Slawter
- Q&A: all

## Status of modifications in preparation for the 2007 CSP payments

***“******Undo Submit for Approval*****”** button to be available October 27th
- Any person with the permission to *Submit* for Approval can also *Undo Submit* for Approval.
- The Undo feature applies to all programs not just CSP. This will give offices more flexibility to backup and correct problems.

## Revised CSP Timeline

- Few changes to guidance, only extending timeline by two weeks.
- CSP “04 and ’05 Contract Improvement Modifications developed between 8/1 and 9/15 to be ***Submitted*** by **November 3****rd**.
- CSP ’04, ’05, and ’06 Maintenance Modifications to be ***Completed*** and ***Submitted*** by November 3rd.
- Bulletin will be issued under the Chief’s signature.

## Background: Changes to Forms 

- Existing forms were expiring;
- Needed new OMB review and form approval;
- Contracting policy team had suggested overhaul two years ago;
- Time was opportune to update forms and retrofit to new electronic business, including ProTracts;
- Continues to put more responsibility on participant to self certify.

## New & Revised Contracting Forms 

**NRCS-CPA-1200    Conservation Program Application**
**NRCS-CPA-1202     Conservation Program Contract**
**NRCS-CPA-1155     Conservation Plan or Schedule of               **
**                                  ****Operations**
**NRCS-CPA-1156     Revision of Plan/Schedule of Operations**
**                                  ****or Modification of a Contract**
**NRCS-CPA-152       Contract Transfer Agreement**
**NRCS-CPA-1236      Assignment of Payment **
**NRCS-CPA-153        Contract Non-Compliance**
**NRCS-CPA-1245       Practice Approval and Payment                   **
**                                   ****Application**

## CPM-512 Changes to Forms Process

**512.20 B.  How to Apply**
- (1)  To apply, applicants must submit a signed and dated Form **NRCS-CPA-1200**, Conservation Program Contract Application, to the local NRCS office.
- (2)  **All applicants should receive a copy of the following documents:**
-          (i)  CPC (Form **NRCS-CPA-1202**).
-          (ii) CPC **Appendix**.
-          (iii)  State or locally developed fact sheet or other materials that emphasize key terms and conditions within the CPC Appendix (e.g., not starting a conservation practice until the contract has been signed by the NRCS Approving Official).

## New Form Features 

- Inherited forms from other agencies and are now updating for NRCS business.
- Changes based on policy changes for better internal controls.
- Changes based on user enhancement requests and user group input for improved readability.
- ‘Smart’ forms for column headers and data.
- Applicable forms will be implemented in Toolkit SP-3.

## Printing Application Forms

## NRCS-CPA-1200

**NRCS-CPA-1200**

## Slide 11

## New Appendices

**Changes and additions were made to:**
- make appendices as uniform as possible for all programs in order to standardize contract administration for the field;
- accommodate new contracting forms;
- strengthen the agency’s position when dealing with appeals;
- inform participants of additional program requirements;
- Incorporate latest federal compliance provisions.

## New Appendices

-  Major Changes
**Item 2** **Selecting Offers From Producers**
- Added Form NRCS-CPA-1200 and appendix are a request to enter into the program. (Separation of application and contract)

## Appendices Changes Continued

- Item 3 Agreement ( Further explained program requirements)
**A.** **The Participant agrees to**: (Continued)
**Added (3)** Secure funding for TSPs through contract development or modification before engaging the services of a TSP.
**(5) **Complete all cost-share practices at least one year before the expiration date of the Contract

## Appendices Changes Continued

**3 Agreement ( Further explains program requirements)**
**12)** Develop and implement all practices identified in a comprehensive nutrient management plan in those contracts that include a waste storage or treatment facility for contracts funded under 16 U.S.C. 3839; and
**(13) **Implement a program of conservation measures that will result in a net savings, as defined by the STC, of ground and surface water resources in the agricultural operation of the producer for contracts funded under 16 U.S.C. 3839aa-9, Ground and Surface Water Conservation

## Appendices Changes Continued

**Item number - 4 Conservation Plan**
- Plan (1155) is now part of contract
- Practices must be implemented and maintained according to plan.
**Item number – 5 Payments**
- Payments based on units rates in NRCS-CPA-1155
- Payment schedule language for practices scheduled after 2007subject to availability of funds.
- Delayed practices will not receive updated payment rate.

## Appendices Changes Continued

**Item 8 Changes To Terms And Conditions Of This Contract**
- Provision added for unilateral modification of a contract when the amount of payment of a single contacted item increases by not more than $1000 as a result of an increase in the number of units applied.

## Appendices Changes Continued

**Item 14 Rights To Appeal and Request Equitable Relief ( Used to be Appeal Rights only)**
- Added Participant may also request equitable relief
**Item 18 Certification and Assurances**
- Added federal criteria concerning small businesses, non profits, and institutions per advise of OGC.

## Additional Appendices Changes - CSP

- Minimal difference with EQIP appendices mostly cosmetic
- Item 5d was moved to 1E for consistency with CPC.
- Item 8C(3) regarding participant modifications to transfer a contract amended to include “provided the contract remains intact ...”
- Item 18 expanded to include certifications and assurances to financial assistance, allowing deletion of specific reference to non-segregated facilities, Clean Water Act and Federal Water Pollution Control Act. ( formerly referenced in Item 18 & 19)

## NRCS- CPA-1155

## NRCS-CPA-1155 Conservation Plan or Schedule of Operations

- The form can be generated when contract status is pending, eligible, cancelled, deferred, pre-approved or approved AND contract modification number and contract change number are zero.
- After contract modification or change are made the CPA-1155, for FY07 contracts forward, will be an un-editable “snapshot”.

## NRCS-CPA-1155 or 1156 Practice Lifespan

| Practice Code | Practice Lifespan Substitution |
| --- | --- |
| SP or EPP | Annual Payment |
| PRO | Pro-ration |
| EPA | Payment Advance |
| CCIA or CCIB | Incentive |
| EAM, EDR, EEM, EGM, EHM, ENM, etc and the benchmark indicator is true | Benchmark Enhancement |
| EAM, EDR, EEM, EGM, EHM, ENM, EPM,  etc if the benchmark indicator is false | Enhancement |
| 910, 911, 912, 913 | Technical Assistance |

## Retired CCC-1200

- Copies of the Retired CCC-1200 Will Not be maintained in ProTracts.
- Copies of Existing CCC-1200 Forms in Contracts will be Maintained in the Appropriate Contract Files (hard copy).

## ProTracts Application Data Entry Screen Changes to Populate New Forms

- Data Fields Variable by Applicable Program Requirements

## Application: Applicant Information

- Data Fields Variable by Applicable Program Requirements

- Populates the NRCS-CPA-1202 for each participant

## Other Program button will search ProTracts for contract participant customer IDs or contract participant tax IDs that are linked to one or more contracts where the contract status is Active. 
If no links are found message indicates: “No active contracts found for this participant.”
If links found Open Other Program Enrollment page and each program, contract number and fiscal year is displayed. 
Contracts must be manually reviewed to 
determine how to answer this question:

- If no links are found message indicates: “No active contracts found for this participant.”
- If links found Open **Other Program Enrollment** page and each program, contract number and fiscal year is displayed.
- Contracts must be manually reviewed to
- determine how to answer this question:

- Application: Applicant Information

## Application: Land Ownership

- Select Predominate Land Ownership

## Application: Crop and Livestock Type

- Selection  is Required based on Predominance

## Application: Crop Type for CSP

## NRCS-CPA-1202

- The NRCS-CPA-1202 replaces the signature page and continuation signature page of the CCC-1200 Application.
- A snapshot of the 1202 data must be saved when the contract is signed/obligated in ProTracts.
- The 1202 represents the contract at the time of obligation without modifications or changes.
-  When the contract is changed or modified, the 1202 can be printed but cannot be regenerated.

## NRCS-CPA-1202

| 
Name, Address, Telephone
<decision maker contract participant name>
<decision maker contract participant address>
<decision maker contract participant city, state, zip>
<decision maker contract participant telephone> | SSN or TAX ID if applicable
****<last 4 digits of decisionmaker contract participant SSN/tax id> |
| --- | --- |
| Signature
Date | Payment Shares
<decision maker contract participant payment share>% |
| Signature required for modifications           yes      no | Signature acceptable for payments         yes       no |

| 
20XX | 20XX | 20XX | 20XX | 20XX | 20XX | 20XX | 20XX | 20XX | 20XX | Total |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 |
| $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 | $999,999 |
|  |  |  |  |  |  |  |  |  |  | $450,000 |

**NRCS-CPA-1202**

**FA**
**TA**

- Obligation

## SP and EPP items will be printed on a single line.

## NRCS-CPA-1156

**Planned** displays contract planned amount
**Certified** or **Partial Certified** displays extent performed.
-  **Deleted **is blank.
**Basis for Modification or Revision** will now print
- before the modification has been approved by NRCS Representative Signature

## Printing Contracting Documents

- The most recent change or modification is printed.

## Estimated Forms Deployment

- NRCS-CPA-1155
- NRCS-CPA-1156
- Anticipated delivery on October 26:
- NRCS-CPA-1200 with application screen
- NRCS-CPA-1202

## Under Development

- NRCS-CPA-152
- NRCS-CPA-1245
- NRCS-CPA-1236
- Following slides are informational on new developments that do not yet have estimated deployment dates.

## NRCS-CPA-152: Contract Transfer

******    ****LAND TRANSFER **
**The undersigned hereby certify that the present participant has transferred to the new participant the following right and interest in the land unit described in the above numbered contract. By this transfer, it is agreed:**
**The new participant agrees to be bound by all the terms and conditions of the above-numbered contract shall be the same as the rights of the present participant.**
**The new participant agrees that his right to cost shares or other assistance under the above-numbered contract shall be the same as the rights of the present participant.**
**The Natural Resources Conservation Service agrees to provide cost sharing and other assistance necessary to the new and present participants under the above-numbered contract. Cost sharing and assistance provided under this transfer agreement shall be in accordance with applicable program rules and regulations.**

| 
Present Participant Name, Address, Telephone |  | New Participant Name, Address, Telephone |
| --- | --- | --- |
| Signature
Date |  | Signature
Date |

## NRCS-CPA-152: Contract Transfer

******    ****PAYMENT SHARE TRANSFER**
**The undersigned hereby certify that the present participant has transferred to the new participant the following <insert text applicable to payment share transfer>. By this transfer, it is agreed <insert text>.**

| 
Participant Name, Address, Telephone
<contract participant name>
<contract participant address>
<contract participant city, state,  zip>
<contract participant telephone> |  |  | Participant Name, Address, Telephone
<new contract participant name>
< new contract participant address>
< new contract participant city, state,  zip>
< new contract participant telephone> |  |
| --- | --- | --- | --- | --- |
| SSN or Tax ID <SSN or tax ID> |  |  | SSN or Tax ID |  |
| Payment Shares | New Payment Shares |  | Payment Shares | New Payment Share |
| Signature
Date |  |  | Signature
Date |  |

## NRCS-CPA-152: Contract Transfer

- Planned enhancement will provide the following list of modification reasons and selection of Land Transfer or Payment Shares would provide access to the CPA-152.

| 1. Acreage or Land Unit   |  7. Land Transfer  |
| --- | --- |
| 2. Appeal Decision  |  8. Payment Shares  |
| 3. Add or Delete Practices or Components  |  9. Practice Design or Specification Changes  |
| 4. Contract Length  | 10. Practice Substitution or Reapplication  |
| 5. Cost Share Method or Cap  | 11. TA Items  |
| 6. CSP Tier | 12. Other  |

## E-Forms Access

**512.20  General**
**    ****A.  Application Forms**
-     Program application forms*** ***(NRCS-CPA-1200) are available in NRCS field offices, conservation district offices, and on the Internet.  Submit e-form applications in accordance with the instructions found at _[http://www.sc.egov.usda.gov.](http://www.sc.egov.usda.gov/)_

## NRCS-CPA-1200CONSERVATION PROGRAM APPLICATION

- Is the only contracting e-Form as it is client initiated.
- SF-1199A – Direct Deposit Sign-Up Form also Located at this Site
- Can be Accessed at: _[http://forms.sc.egov.usda.gov/eforms/mainservlet](http://forms.sc.egov.usda.gov/eforms/mainservlet)_
- Click *Browse Forms *and Enter Form Number
- Will Be Available Once Final Approval is Received from USDA

## Forms Access

- The following forms are available at
-  _[http://forms.sc.egov.usda.gov/eforms/mainservlet](http://forms.sc.egov.usda.gov/eforms/mainservlet)__ _
- Forms AD-1026
- CCC-501A
- CCC-526
- NRCS-CPA-09
- NRCS-CPA-13
**Enter** **eAuthentication Login to Access Forms**

## Forms Access: Coming Soon

**Available Once Approval is Received from USDA**
- _h__[ttp://forms.sc.egov.usda.gov/eforms/mainservlet](http://forms.sc.egov.usda.gov/eforms/mainservlet)_
**NRCS-CPA-152**
**NRCS-CPA-153**
**NRCS-CPA-1155**
**NRCS-CPA-1156**
**NRCS-CPA-1202**
**NRCS-CPA-1202 – Appendix**
**NRCS-CPA-1236 **
**NRCS-CPA-1245**** **

## New Forms & ProTracts

- Forms NRCS-CPA-1155, 1156, 1202 & 1202 Appendices will also be Available Through
-    ProTracts at the Program Level

## New Forms: Support Issues

- Program specific questions on forms from State Program Managers to National Program Managers.
- Business questions on forms from state support to Chip Ramsey or Mary Grande.
- Software problems with new forms to ProTractsSupport@ftc.usda.gov

## New Cost List Rules

**Subpart D – Cost-Sharing and Incentive Payments**
**512.30  Methods of Making Cost-Sharing and Incentive Payments**
**A.  Basis for Cost-share Payments**
- (1)  Cost-sharing in CPC agreements obligated after September 30, 2006, will be based on the** **following:
- (i)  Average cost – AC
- (ii)  Flat rate – FR
- (iii)  Actual Not-to-Exceed a Specified Maximum – AM (Available only for Technical Service Provider Not to exceed payment rates, e.g., code 900 practices.)
- (2)  Actual cost, not to exceed the average cost (AA) and actual cost, not to exceed a specified maximum cost (AM) methods of cost sharing may be present in fiscal year 2006 and earlier contracts.  These methods are not available for contracts initiated during fiscal year 2007 and later.

## New Cost List Rules

**C.  Cost Caps**
- “Cost caps” are another tool for limiting the cost**-**share amount for a practice.  Cost caps are available and applied only at the practice level in ProTracts for achieving one of the following:
- (1)  Limit practice cost to a fixed amount regardless of the participant’s cost.
- (2)  Impose a regulatory payment limitation for a conservation activity such as historical stewardship.

## ProTracts Cost List Rules

- Cost lists that do not follow the new national guidance will have error messages upon upload.
- Will provide greater internal controls that appropriate unit costs are provided.
- Will include rule check that when items are uploaded from Toolkit same cost list controls are in place.
- Continues to link to CPS for active practice status.

## ProTracts Cost Lists

## Cost Over-Run Accounts

- Cost Overrun Funds are Created from Monies Recovered from Terminated Contracts and Contract Items being Completed Below Estimated Contract Costs
- At the end of FY2006, the Financial Management Division Recalled all Cost Overrun Funds from States
- Reallocation of Funds back to States to Cover Contracting needs Should have been Posted
- If Additional Funds are Needed in a State, Request for Additional Cost Overrun Funds can be Made to the Deputy Chief for Programs.
**           ****(Section 512.84 of Contracting Policy)**

## New Eligibility Matrix

- Where members required is "Yes," Forms CCC-501A or CCC-502 MUST be on file with FSA. All members must file Form CCC-526 for AGI certification. Payment limits for the entity will be reduced for members share not meeting AGI.  All members with a 5% or greater share must be recorded. For entities with greater than 100 members and no member having a 5% or greater share, members will be consolidated into a single entry as business type 99. The 99 code is slated to be decommissioned.
- HELC/WC is done at both the Joint Operation level AND the member level since a member may be ineligible on another tract.
- AGI eligibility is read only at the member level for Joint Operations (business type 2 & 3) from Form CCC-501A, and NOT at the entity level.
- Some Joint Ventures do not have an EIN.  These Joint Ventures will be paid to the individual members based on their TIN.
- A "members of" record must be entered in SCIMS as a General Entity member with no tax id per FSA 2-PL (Rev 1) Amend 11 paragraph 418 B when no member has more than a 5% interest in the entity and there are more than 100 members. Members with greater than 5% share must be entered into the entity file.  AGI must be present for a "members of" record for 100% of the members if AGI Required = Yes.
- BIA submits Forms AD-1026 & CCC-526 for the land unit(s) attached to an application.

## Training Materials

**Coming Soon to my.nrcs/programs**

##  Program Manual Training on November 7, 2006 at 2-4 pm EST

- The esteemed Contracting Manual Team have developed and will distribute training materials for states use and customization for training delivery.

- Coordinates will be sent via email

## Slide 54