2017 Maritime Grants Proposal Guidelines and Manual.pdf

NATIONAL MARITIME HERITAGE ACT

NATIONAL MARITIME HERITAGE GRANTS PROGRAM

Federal Assistance for Preserving the Maritime Heritage of the United States

MARITIME HERITAGE

GRANTS PROPOSAL

GUIDELINES AND

GRANT MANUAL

Administered by the National Park Service, U.S. Department of the Interior, State Historic Preservation Offices And the Maritime Administration, U.S. Department of

Transportation ii

Contents

MARITIME HERITAGE GRANTS MANUAL

INTRODUCTION

GOALS

GRANTS PROGRAM SUMMARY

Eligible Applicants

Federal Applicants

Application and Selection Procedures:

WHAT IS FUNDED

Types of Historic Maritime Resources

1. Historic Maritime Properties:

2. Maritime Heritage Collections:

3. Traditional Maritime Skills:

4. Maritime History Topics:

Approved Project Categories:

Education:

Preservation:

What is Not Eligible:

AMOUNTS FOR GRANTS AND ADMINISTRATIVE EXPENSES

APPLICATION AND SELECTION PROCEDURES

Grant Priorities

Grant Funding Levels

Grants Program Announcement

Distributing Applications

Completing Applications

The SF-424 family

The NPS Maritime Heritage Grant Application Form

File Naming and Document Limit

Letters of Support

SHPO Assistance:

Submitting Applications and Timing of Submittals

Screening Applications:

iii

Commenting on Applications

Forwarding Applications to the Review Committee

Selecting Projects to Recommend for Funding

Submitting Recommendations to the Secretary

Secretarial Approval

Other Duties of the Review Committee

NOTIFICATION AND EFFECT OF GRANTS

Notification

Grant Agreements and Application for Awards

(1) Required Content of Direct Grant Agreements:

(2) Required Content of Subgrant Agreements:

Effect of the Grants

GRANTS PROGRAM REQUIREMENTS AND CONDITIONS

Section 106 and NEPA Compliance:

Education Project Requirements:

(1) Curation of Maritime Heritage Collections:

Preservation Project Requirements:

(1) Secretary of the Interior's Standards:

(2) Predevelopment Requirements:

(3) Continued Upkeep and Maintenance:

(4) Archeology Projects:

(5) Acquisition:

(6) Reconstruction:

Acknowledgement of NPS Assistance

Additional Program Requirements

(1) Conflict of Interest

(2) Quality Partnerships

(3) Contingent Fees

(4) Dual Compensation

(5) Religious Institutions

(6) Safety Precautions

(7) Site Supervision iv

(8) Assurances

FINANCIAL AND ADMINISTRATIVE REQUIREMENTS

Matching Share

Method of Payment and Financial Reporting

Allowable Costs

Audit Responsibilities

Project Reporting Requirements

Procurement Standards

Program Income

Property Management

Inventions and Patents

Retention of Records

Grant Closeout, Suspension, and Termination

ADMINISTRATIVE RESPONSIBILITIES

OTHER FEDERAL LAWS AND REGULATIONS

Civil Rights

Coastal Barrier Islands

Coastal Zone Management

Construction Work

Convict Labor

Environmental Compliance

Flood Insurance

Floodplain Management

Hatch Act

Lead-Based Paint

Lobbying with Appropriated Funds

Relocation Assistance

Travel Allowances

Wild and Scenic Rivers

APPENDIX 1. INSTRUCTIONS FOR COMPLETING THE SF-424………………………………………………………………….23

Maritime Heritage Grants Manual

MARITIME HERITAGE GRANTS MANUAL

INTRODUCTION

The Grants Program is authorized by the National Maritime Heritage Act (NMHA), P.L. 103-451. Projects are overseen at the Federal level by the National Maritime Heritage Program of the National Park Service, Department of the Interior (NPS), and the Maritime Administration, Department of Transportation (MarAd). Funds are distributed as direct grants to State Historic Preservation Offices (SHPOs), who administer the Grants Program at the State level and make funds available to applicants via subgrants. Any eligible organization seeking Grants Program assistance must work with their SHPO. The Grants Program is funded from 12.5% of the proceeds from the sale or scrapping of those obsolete vessels of the National Defense Reserve Fleet administered by the Maritime Administration, U.S. Department of Transportation.

Of the total funds available for grants:

• 1/2 shall be awarded to Preservation Projects.

• 1/2 shall be awarded to Education Projects.

• No more than 40% of funds may be awarded to projects relating to federally owned or managed historic maritime resources.

In accordance with the Act, 15% of the total amounts available for the grants program, or $500,000 (whichever is less), is the maximum amount that may be applied towards program administrative costs. The administrative cap may be divided between SHPOs for administering Education and Preservation Project grants and the NPS for carrying out their responsibilities under the Grants Program.

The purpose of the Maritime Heritage Grants Application Guidelines and Grants Manual is to assist the National Park Service, MarAd, and the SHPOs in administering Preservation and Education Project grants and subgrants.

This document:

• Provides criteria for eligible applicants

• Describes the program funding source and specifies overall amounts to be used for grants and amounts allowed to be used for Grants Program administration

• Provides criteria for eligible maritime heritage Education and Preservation Projects and defines the types of historic maritime resources that may be supported by the program

• Outlines procedures and provides guidance on application, screening, comment, and project selection

• Specifies Grants Program requirements and conditions and provides guidance for meeting those requirements and conditions

• Provide points of contact for Grants Program assistance, information, and submitting applications

IMPORTANT: Unlike previous maritime heritage assistance efforts which were funded from portions of the Historic Preservation Fund (HPF), the National Maritime Heritage Grants Program has its own enabling legislation and funding source and therefore is not administered as part of the HPF. However, the administrative structure and many of the requirements for the Grants Program are similar to those for the HPF. Thus, the Historic Preservation Fund Grants Manual should be used in conjunction with this document in administering the grants program. All administrative requirements and procedures which are unique to the National Maritime Heritage Grants Program are specified in this document. For those administrative requirements and procedures that are applicable to the Grants Program as well as HPF, the Historic Preservation Fund Grants Manual is referenced as the source for further guidance in complying with those requirements. See https://www.nps.gov/preservation-grants/HPF_Manual.pdf

GOALS

The National Maritime Heritage Grants Program (Grants Program) is established to help State and local governments and private nonprofit organizations preserve and interpret their maritime heritage. It is a national, competitive matching grants program which provides funds for Maritime Heritage Education Projects and Maritime Heritage Preservation Projects designed to reach a broad audience and enhance public awareness and appreciation for the maritime heritage of the United States.

https://www.nps.gov/preservation-grants/HPF_Manual.pdf

GRANTS PROGRAM SUMMARY

Eligible Applicants To be eligible for a grant, the applicant must:

• Be a unit of state, federally recognized tribal, or local government or a private nonprofit organization

• Demonstrate that the project has the potential for reaching a broad audience

• Match the requested grant amount on a 1-to-1 basis with nonfederal contributions from nonfederal sources

(this includes cash or donated services and property valued at fair market rates. See the Historic Preservation Fund Grants Manual, chapter 14: https://www.nps.gov/preservation-grants/HPF_Manual.pdf

• Agree to maintain and allow access to records which will allow for an effective accounting of project funds and any required audits

Eligible applicants will be considered for, but are not guaranteed funding.

Federal Applicants Federal agencies may not apply directly for assistance. However, projects involving federally owned historic maritime resources are eligible for funding.

Proposals relating to federally owned or managed historic maritime resources should be submitted by a nonfederal organization working under a legal written agreement (such as a cooperative agreement, memorandum of agreement, or memorandum of understanding) with a Federal agency to carry out the objectives of the project. Any grants awarded will be made to the nonfederal applicant, not the Federal agency owning or managing Federal historic maritime resources. As well, nonfederal organizations applying for funds to support activities relating to federally owned maritime resources must match the requested grant amount on a 1-to-1 basis with nonfederal contributions from nonfederal sources.

Application and Selection Procedures:

(1) The NPS and MarAd publicize the Maritime Grants Program. SHPOs may participate in publicizing the program as desired.

(2) Application procedures are established by the Secretary of the Interior. A completed SF-424 must be submitted (see Completing Applications). A single project proposal is used for Education and Preservation project proposals. It is available at www.grants.gov (a link is provided from the National Maritime Heritage Website: http://www.nps.gov/maritime/)

(3) Applicants, including SHPOs, may submit more than one application.

(4) The NPS screens all application packages for completeness and forwards electronic copies of those that pass initial screening to SHPOs for comment and rating via a points system.

(5) The NPS forwards all applications and SHPO comments to a maritime review committee.

(6) The review committee reviews applications and makes funding recommendations to the Secretary of the

Interior.

(7) The Secretary of the Interior makes final decisions regarding distribution of awards.

(8) Funds are apportioned and obligated to SHPOs after the amounts for individual awards are decided by the

Secretary.

(9) The NPS announces awardees and begins grant paperwork.

WHAT IS FUNDED

The Grants Program funds maritime heritage Education Projects and Preservation Projects designed to reach a broad audience and enhance public awareness and appreciation for the maritime heritage of the United States. Historic maritime resources include: Historic Maritime Properties, Maritime Heritage Collections, Traditional Maritime Skills, and Maritime History Topics and are defined below.

https://www.nps.gov/preservation-grants/HPF_Manual.pdf http://www.grants.gov/ http://www.nps.gov/maritime/

Types of Historic Maritime Resources The Grants Program supports various maritime heritage Education Project and Preservation Project activities which focus on four broad categories of historic maritime resources. Based on the provisions of the Act, NPS guidelines, and Secretary of the Interior Standards, historic maritime resources, for the purposes of the Grants Program, shall consist of: Historic Maritime Properties, Maritime Heritage Collections, Traditional Maritime Skills, and Maritime History Topics as defined below:

1. Historic Maritime Properties: Although grant properties do not have to be listed in or eligible for the National Register of Historic Places, historic maritime properties are defined in accordance with the criteria established by the National Register, and refer to those properties associated with the sea or inland waters, especially those relating to naval, navigational or commercial activities associated with the sea or inland waters, and include:

(1) Maritime Districts which make up a geographically definable area possessing a significant concentration of maritime sites, buildings, structures or objects united by past events;

(2) Maritime Sites such as submerged or terrestrial maritime-related archeological sites or other maritime sites which are the location of significant event or activity, where the location itself maintains historical or archeological value regardless of the value of any existing structure or building;

(3) Maritime Buildings such as lighthouses, lifesaving stations, custom houses, warehouses, hiring halls, sailors homes, marine hospitals, or other maritime buildings or building complexes created to shelter any maritime-related form of human activity;

(4) Maritime Structures such as locks, drydocks, canals, stationary waterfront cranes, large vessels (over 40 feet in length), or other maritime structures consisting of large-scale engineering projects where a work is made up of interdependent and interrelated parts in a definite pattern of organization;

(5) Maritime Objects including quayside fixtures such as bollards, capstans, winches, or cranes or other maritime objects that are relatively small in scale, often moveable, yet related to a specific setting or environment; which are significant in American history, architecture, archeology, engineering, or culture at the national, State, or local level and possess integrity of location, setting, materials, workmanship, feelings, and association. To be considered significant, a maritime property must meet one of the four National Register criteria:

A. Be associated with events that made a significant contribution to the broad patterns of American History, or B. Be associated with the lives of persons significant in our nation's past, or C. Embody characteristics that are distinctive of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic value; or represent a significant and distinguishable entity whose components may lack individual distinction, or D. Have yielded or may be likely to yield, information important in prehistory or history.

In general, maritime properties must be 50 years of age or older to be considered historic and therefore eligible for funding considerations under the Grants Program. However, a maritime property which has achieved significance within the past 50 years may also be considered eligible if it is of exceptional importance.

Historic maritime properties can also consist of archeological resources which include the submerged or terrestrial remains of historic or prehistoric shipwrecks, hulks, lighthouses, lifesaving stations as well as canals, piers, docks, waterfront properties and other maritime districts, sites, structures, buildings, or objects.

2. Maritime Heritage Collections: Maritime heritage collections consist of assemblages of objects, documents, and archeological resources pertinent to the understanding of the maritime heritage of the United States which are collected according to a rational scheme and maintained so they can be properly cared for, studied, and interpreted for public benefit.

(1) Objects: An object when used within the context of a maritime heritage collection is considered a material thing possessing functional, aesthetic, cultural, symbolic, or scientific value, usually portable by nature or design. Objects which are part of a maritime collection consist of those material things reflective of human activity associated with the sea or inland waters and may include prehistoric and historic maritime artifacts, small craft, models, works of art, and fragments or components of maritime buildings, maritime structures, or maritime objects which are obtained or collected through non-archeological methods or techniques.

(2) Documents: A document when used in the context of a maritime collection refers to recorded information that will contribute substantially to the understanding and interpretation of maritime heritage in the United States. These records should be directly linked to those human activities associated with maritime history and culture, and shall be organized in a manner which facilitates access, especially for research and reference use. Such recorded information consists of assemblages of archival records, manuscripts, or published materials comprised of textual, electronic, sound, or visual formats and may include plans, drawings, blueprints, books, reports, journals, pamphlets, microforms, photographs, film, and other documents related to the maritime heritage of the United States.

(3) Archeological Resources: Archeological resources within the context of maritime collections consist of those submerged or terrestrial material remains that have been excavated or removed from their original site in connection with an archeological investigation of prehistoric or historic maritime properties. Archeological resources shall also consist of associated records that are prepared or assembled in connection with the archeological investigation of prehistoric or historic maritime properties. Classes of material remains may include excavated fragments or components of shipwrecks (pieces of hulls, rigging, armaments, cargo, associated material culture, etc.), and other historic (non-shipwreck) maritime properties, as well as excavated artifacts such as tools, weapons, and other materials related to maritime history and culture. Classes of associated records include all records relating to the investigation of a resource, records relating to the identification of a resource, and records essential to understanding the resource.

3. Traditional Maritime Skills: Traditional maritime skills consist of those naval, commercial, and navigational activities relating to the sea or inland waters which are handed down from generation to generation, by word of mouth or by practice. Traditional maritime skills may be considered endangered and generally not used in contemporary maritime occupations and are no longer taught through standardized, institutionalized maritime training programs or current established educational facilities. These traditional activities include those maritime skills, arts, crafts, trades, techniques, or occupations generally thought of as requiring use of hands or special training.

4. Maritime History Topics: Maritime History Topics consist of intangible maritime resources rather than tangible properties, collections, or skills, and include any topic related to the maritime heritage of the United States.

Where appropriate, projects should reflect current scholarship in maritime and general historical theory.

Approved Project Categories:

Based on the provisions of the Act, seven (7) general categories of grant-supported activities have been developed each for Education Projects and four (4) for Preservation Projects. Each category describes a basic set of activities associated with particular types of historic maritime resources that may be supported by the Grants Program. These project categories serve as the basic criteria for identifying the types of projects which are eligible for funding considerations and for which proposals may be submitted. Applicants may choose only one category, and projects should conform to these basic criteria.

Note: Documentation of historic maritime resources, up to and including nominations for the National Register of Historic Places (NRHP) or National Historic Landmark (NHL) program, is considered a preservation activity.

Projects designed to document a historic maritime resource must meet the minimum Preservation project funding threshold.

Education: Education Projects should focus on providing information about the maritime heritage of the United States. Activities address curation, instruction, and interpretation of maritime heritage collections, traditional maritime skills, historic maritime properties, and maritime history topics. Education Project categories include:

(1) Maritime Heritage Collections Activities focus on exhibit services, curatorial services, information management services, or any other activities which serve to enhance public access, use, and appreciation for Maritime Heritage Collections. Collections may include items such as maritime art, manuscripts, photographs or any other media which is pertinent to the understanding of the maritime heritage of the United States. (NOTE: Acquisition or purchase of collection items is not supported by the Grants Program.)

(2) Maritime Heritage Area Programs Projects should focus on introducing the public to, and promoting awareness of, groups of historic maritime properties which are linked together though common historic, geographical, and cultural themes. Activities focus especially on planning, developing, and interpreting maritime heritage trails, corridors, and areas. (NOTE: Preservation treatments of historic maritime properties are not included under this project category.)

(3) Maritime Field Programs Informal, hands-on participation rather than formal training is used as the means to introduce the non-professional maritime enthusiast to various aspects of maritime history, technology, and culture. Activities may include, but are not limited to, waterborne-experience programs in historic vessels and field schools designed to introduce the novice to maritime archaeological resources.

(4) Maritime History Programs Includes activities necessary to establish and carry out any sort of program or activity which will facilitate an exchange of ideas and information and enhance participants' understanding and appreciation of various maritime history topics.

(5) Preservation of Maritime Skills Activities address programs involving serious formalized instruction or apprenticeships that teach, in order to preserve, the traditional skills, techniques, and methodologies of maritime occupations, crafts, or art forms such as boatbuilding, sail training, woodcarving, etc.

(6) Maritime Resource Replicas Covers activities associated with the reconstruction or reproduction of historic maritime resources to be used for educational purposes upon completion. Educational activities utilizing replicas should only be considered if the resource to be produced no longer exists or would be damaged or consumed through direct use.

(7) Facilities Improvements Allows for minor physical improvements which will enhance public access, use and appreciation of existing educational facilities and exhibit spaces of maritime museums, historical societies, or other maritime heritage organizations. (NOTE: This category is for non-historic buildings. If your facility is located in a historic building, please choose a category from one of the Preservation Project Categories below and include the predevelopment requirements specified under the Grants Program Requirements and Conditions section of this manual.)

Preservation: Preservation Projects encompass all facets of preservation planning and treatment for historic maritime properties (which include archeological sites). Preservation Project categories are keyed to the Secretary of the Interior’s Standards for the Preservation of Historic Properties, and include:

(1) Preservation Activities include measures designed to sustain the historic form and original fabric of a historic maritime property. Focus is on the regular maintenance and repair of the property rather than extensive replacement or new construction of materials and features. Projects may also include preliminary treatments necessary to protect and stabilize a property against immediate peril or decay. Preservation may also involve, but are not limited to, the following activities:

• Acquisition Includes activities associated with acquiring ownership of, or responsibility for, historic maritime properties for the purposes of preservation. Such activities may include completing required application packages, organizing and funding the relocation of a historic vessel, or acquiring fee title to a historic maritime property.

• Planning Includes those activities associated with identification, inventory, and evaluation of maritime resources, as well as those activities necessary to establish maritime preservation management plans, programs and policies which address guidelines and procedures for immediate and long-term treatment, use, and maintenance of historic maritime properties.

• Documentation Activities involve researching and recording all available information about a historic maritime property's history, significance, design, construction, or present condition, including the survey and recording of underwater sites and other maritime archeological sites.

This includes nominations to the NRHP and NHL.

(2) Rehabilitation Activities include measures designed to return a historic maritime property to a useful state through repair or alteration while still preserving those portions or features of the property which convey its historical, cultural, technological, or architectural value.

(3) Restoration Activities include measures designed to depict a historic maritime property as it appeared at a particular period of time by removing features from other periods of its history and reconstructing missing features from the restoration period.

(4) Reconstruction Activities include measures designed to depict a historic maritime property by means of new construction. Reconstructions must be used for educational purposes upon completion and may only be considered for funding if the resource no longer exists and a reconstruction is vital to the interpretation of the vanished resource type. Reconstructions will only be eligible for grant assistance when the maritime property to be reconstructed is well-documented.

What is Not Eligible:

In general, the Grants Program does not fund projects which will train the individual maritime heritage professional to do his or her job better or assist in career recognition or promotion. This includes activities such as developing training or continuing education courses for the maritime heritage education or preservation professional, personal research, or research resulting in highly specialized reports or publications with narrow audience appeal and little potential for public use or applications. Although such activities improve the skills of the education and preservation professional and ultimately may benefit the public, the grants are to support projects which will directly touch a broader audience and enhance public awareness and appreciation for the maritime heritage of the United States.

AMOUNTS FOR GRANTS AND ADMINISTRATIVE EXPENSES

The Grants Program administrative cap is determined for each new grants cycle and calculated from the total new funds credited for that year. After the administrative cap is calculated, the remaining amount shall be divided equally to determine estimated amounts for Education and Preservation Project grants.

APPLICATION AND SELECTION PROCEDURES

Grant Priorities All seven categories of Education Projects and all four categories of Preservation Projects shall be eligible for funding with each grants cycle.

Grant Funding Levels Funding levels for each maritime grants cycle shall be determined by the NPS. The total amount available in the 2017 grants cycle is $2,535,826. Awards for the 2017 grants cycle will range from $15,000 to $200,000. Education awards will be awarded from $15,000-$50,000; Preservation awards will be awarded from $50,000-$200,000. The amount requested must be matched on a 1-to-1 basis with nonfederal contributions from nonfederal sources.

Project activities should be designed with these funding levels in mind.

Grants Program Announcement For each annual grants cycle the NPS and MarAD will announce the availability of maritime heritage grants through various preservation media. The following items will be included in the announcement:

• A brief description of the Grants Program

• Minimum and maximum funding levels

• Project funding priorities and brief descriptions of project categories

• NPS point of contact for more information and application materials

• Application deadline (3 months from the date applications become available)

SHPOs may participate in publicizing the program as desired.

Distributing Applications Application materials will be available, and must be submitted, via www.grants.gov.

Completing Applications The application package is composed of two parts: 1) the SF-424 form and any sub-forms (SF-424A, SF-424B, SF- 424C, SF-424D) required; and 2) the Maritime Heritage Grant Project Proposal. The SF-424 is required for all federal funding requests, and is available at www.grants.gov. The SF-424 is the official application form. The Maritime Heritage Grant Project Proposal is specific to this grant program and the NPS, and provides the grant committee with additional project and budget detail not found in the SF-424. It is available at our website:

http://www.nps.gov/maritime/grants/intro.htm Applications missing any required parts of the SF-424 or the Maritime Heritage Project Proposal will face a delay in processing and may not be accepted.

The SF-424 family The SF-424 is a federal government-wide form used for all federal funding requests, regardless of agency.

Applicants should consult Appendix 1 of this manual for instructions for completing the SF-424 and sub-forms required (necessary sub-forms depend on the type of project). The SF-424 is your official application form for this grant. Failure to complete or submit any of these forms will result in an application being removed from consideration. The SF-424 family consists of:

1. SF-424—General project and applicant data; 5 pages. Required for all projects.

2. SF-424A—Top level budget information. Required for all projects.

3. SF-424B—Assurances Document. Required for Education projects only.

4. SF-424C—Budget worksheet. Required for Preservation projects only.

5. SF-424D—Assurance document. Required for Preservation projects only.

The NPS Maritime Heritage Grant Project Proposal The Maritime Heritage Grant Project Proposal is specific to the NPS and gives the applicant the opportunity to fully explain the proposed project to the committee. The document template is provided for the applicant’s use. Use of this specific template is not required, but is strongly recommended, as the committee will expect to see each topic on the template addressed in some manner. The Maritime Heritage Grant Project Proposal is submitted as an attachment to the end of page 3 of the SF-424, by clicking the “Add Attachment” button. It consists of seven parts:

Part 1- General Project Data—basic information about the project topic and project team Part 2- National Environmental Policy Act (NEPA) compliance questions Part 3- The Project Description—three questions that allow the applicant to provide narrative responses explaining the proposal in detail and how it conforms to the Maritime Heritage Grant Program guidelines.

Part 4- The Proposed Budget—a worksheet and justification page. Budget Categories are explained below.

The budget justification page is where applicants will explain how the proposed cost items are necessary to accomplish the grant objectives. Costs in this section must match amounts listed in the SF-424A.

Part 5- The Proposed Completion Schedule—the expected schedule of project activities, as of the date of application submittal. Use an estimated start date; exact dates and schedules will be determined if the project receives a grant.

Part 6- Supporting Documents—Create separate files for supporting documents from the main application; do not embed in the application form. All supporting documents are also submitted as attachments on page 3 of the SF-424.

Part 7- Submission Instructions—a list of required materials for a complete application package.

Budget Worksheet: The budget worksheet is provided to allow you to present the committee with more detail than the budget in the SF-424A, which will assist the committee in funding decisions. You may use the worksheet provided or your own format, but the format you choose should be your best estimate of cost items as of application submittal, and it should reflect the same information as that in the provided worksheet. If project or costs specifics change substantially during the application review period, please inform the staff of the Maritime Heritage Program as soon as possible. Minor changes can be incorporated should you receive a grant.

If you cannot find a budget category that fits your requirements precisely, use the one(s) that are closest and explain any discrepancies in the Budget Justification.

1. Personnel. Only for personnel from within the applicant’s organization, who are not hired from outside the organization.

http://www.nps.gov/maritime/grants/intro.htm

2. Fringe Benefits. Benefits such as medical, dental, pension, or others that are a condition of employment for the Personnel listed in Category 1.

3. Consultant/Contractor Fees. All fees and payments, including labor, expected from professional or technical consultants and contractors participating in the project that will be hired from outside the applicant organization. Use Categories 5 and 6 to record materials costs. All outside consultants/contractors used for this project must be competitively selected, even if they have been used by the applicant organization for previous projects. The maximum daily rate of compensation cannot exceed that in the Federal Civil Service equal to 120% of a GS-15, step 10 salary. See https://www.opm.gov/policy-data-oversight/pay-leave/pay-systems/general-schedule/ for salary tables.

4. Travel and Per Diem. For any travel expected to be undertaken for the project, whether for in-house personnel, or for outside contractors, if not included in the daily rate recorded in Category 3.

5. Consumable Supplies and Materials. For any supplies or materials, excluding building repair materials, that will cost less than $500 (total) or have an estimated useful lifespan of less than two years. Examples:

printing materials or brochures, gas or fuel, painting supplies, etc.

6. Building Repair Materials. Construction materials—e.g. bricks, lumber, etc.

7. Equipment. Unlike Category 5, Equipment refers to items with a total value of $500 or more. Examples:

wayside markers, diesel engine, computers, etc.

8. Other. Any cost item that does not easily fit into one of the other categories, such as fees for dry docking.

9. Indirect Costs. Any cost that benefits more than one category above, such as rental of office space or electric or heating costs, postage, telephone service, etc. Indirect costs cannot amount to more than 15% of the total funds charged to the grant. If you are planning to charge indirect costs, you must include a copy of your most recent Federally-approved indirect cost rate agreement.

File Naming and Document Limit Because all application materials—the Maritime Heritage Grant Project Proposal, Supporting Documents, and Photographs—are submitted as attachments to the SF-424, it is important that all files follow a common naming convention. Please use the following name format when creating files and attaching them to the SF-424:

Year _Applicant Name (or Acronym)_Type of Document (See examples below)

File names may contain a maximum of 70 characters, and cannot include spaces. If the applicant’s name is long, it may be necessary to use an abbreviation to avoid exceeding 70 characters. Use reasonable, easily understood name abbreviations when necessary (see example below). In addition, there is a limit of 10 files submitted for each grant, exclusive of the SF-424 documents. The SF-424 will accept 15, but no more than 10 will be forwarded to the grant review panel. If more than 10 are submitted, only 10 will be forwarded to the panel. Therefore, it is important to combine like documents, such as individual photographs, or individual support letters, into one pdf file for that document type (i.e. one pdf for photos, a separate pdf for support letters)

To name a file, choose one of the following options for the file name:

• Application;

• Photos;

• PredevDocs;

• Resumes;

• IRSCert;

• FedConsent;

• ArcheologyDesign;

• ConsPlan;

• SupportLetters

Examples:

2017 _CapeHatterasNationalSeashore_ Application 2017_CHNS_Photos 2017_CapeHatterasNationalSeashore_IRSCert https://www.opm.gov/policy-data-oversight/pay-leave/pay-systems/general-schedule/ https://www.opm.gov/policy-data-oversight/pay-leave/pay-systems/general-schedule/

Letters of Support Letters of Support, while permitted, are not required for application packages. The Grant Review Panel evaluates and recommends each proposal based on its own merits and degree of appropriateness to the grant program’s goals;

support letters do not improve, nor does a lack of support letters harm, an applicant’s chances of receiving a grant.

If an applicant wishes to submit support letters nonetheless, any letter(s) should be sent by the writer to the applicant and submitted by the applicant with the rest of the application materials, as attachments to the SF-424, and using the File Naming convention above. Letters submitted outside of the application package may not be seen by the grant panel.

SHPO Assistance:

Applicants must contact the SHPO to discuss their project proposals prior to submitting completed application materials to www.grants.gov. Contact information for SHPOs may be found here:

http://www.ncshpo.org/shpodirectory.shtml SHPOs are requested to inform applicants of any requirements specified by the State. SHPOs are also requested to advise applicants in completing application materials and supporting documentation to ensure proposed activities meet Secretarial Standards and Grants Program requirements, including compliance with Section 106 if necessary, according to the provisions specified in the 2015 Programmatic Agreement for Maritime Heritage Grants.

Submitting Applications and Timing of Submittals Applicants may submit more than one project proposal, but for each project proposal, applicants must submit a complete application packet through www.grants.gov. This means a separate SF-424 for each project. Applicants must have an account with www.grants.gov to use the site, which requires a user number with the System for Award Management, or SAM. Be aware that previously established SAM passwords expire and accounts become inactive after certain periods; information about SAM accounts can be found here: www.sam.gov . DO NOT wait until the application deadline to check SAM or www.grants.gov user status. It is critical that applicants apply for their SAM number and register at www.grants.gov as early as possible; registrations can take up to two weeks to process.

Extensions will not be granted due to incomplete or lapsed grants.gov or SAM registration.

Screening Applications:

The NPS screens all applications to ensure the following five requirements are met:

(1) The application package is complete.

(2) Proposals conform to funding levels.

(3) Proposals conform to Education or Preservation Project categories and eligibility requirements.

(4) Proposals are submitted by an eligible applicant.

(5) The requested grant amount is matched on a 1-to-1 basis with nonfederal contributions from nonfederal sources.

Applications which do not meet all five requirements cannot be considered further for funding. Amended application forms may be accepted up to the application deadline.

Commenting on Applications After screening, SHPOs will be notified of eligible applications and asked to comment on and assign points for each application in their state. The SHPOs evaluate projects using the criteria for evaluation listed below. A total of 25 points is possible (each criterion is given 1-5 points).

Criterion 1 The project objectives are clearly described.

Criterion 2 The project objectives address important aspects of maritime history, technology, or culture that are significant to the maritime heritage of the United States.

Criterion 3 The budget is reasonable to accomplish the project objectives.

Criterion 4 The project objectives can be accomplished in a realistic and timely manner.

Criterion 5 Key project personnel are appropriate for achieving the project objectives.

http://www.ncshpo.org/shpodirectory.shtml http://www.grants.gov/ http://www.grants.gov/ http://www.sam.gov/

SHPOs will ultimately be asked to manage, as subgrants, projects which have been recommended by the Advisory Committee and approved by the Secretary. Thus, SHPOs are highly encouraged to examine the applications they receive and assess the quality of the proposed project. This is to ensure that any opinions they may have regarding the proposal will be conveyed to the Advisory Committee and considered in the recommendation process.

Forwarding Applications to the Review Committee Following SHPO review, the NPS will organize all applications and submit them to a maritime review committee for review. The committee will review proposals individually, then meet collectively to confer and finalize recommendations. The committee consists of members who are representatives or knowledgeable of various sectors of the maritime heritage community. Federal agencies represented include the National Park Service, Maritime Administration, National Oceanic and Atmospheric Administration, Naval History and Heritage Command, United States Coast Guard, the Advisory Council on Historic Preservation, the Smithsonian Institution, and the National Archives and Records Administration.

Selecting Projects to Recommend for Funding The review committee reviews and evaluates all application packages and provides funding recommendations to the Secretary of the Interior. The Committee's funding recommendations to the Secretary are based on their overall evaluation of project proposals as well as any comments provided by SHPOs. The Committee evaluates projects using the criteria listed below. A total of 25 points is possible (each criterion is given 1-5 points). Members will have approximately 30 days prior to the committee meeting (s) to complete their reviews. During the committee meeting (s), members will discuss applications and make final decisions to recommend or not recommend projects for funding.

Criterion 1 The project objectives address aspects of maritime history, technology, or culture that are significant to the maritime heritage of the United States.

Criterion 2 The project plans demonstrate the potential for reaching a broad audience with an effective educational program.

Criterion 3 The budget is reasonable to accomplish the project objectives.

Criterion 4 The project objectives can be accomplished in a realistic and timely manner.

Criterion 5 Key project personnel are appropriate for achieving the project objectives.

The committee must assure that half of the funds available is allocated to Education Projects, half is allocated to Preservation Projects, and not more than 40% of those funds are allocated to projects relating to federally owned or managed resources.

Committee members shall participate in reviewing and discussing all Education and Preservation project proposals.

They shall be in simple majority agreement regarding those projects recommended for funding. Members of the Committee will be required to recuse themselves from reviewing, scoring or voting on any applications submitted from an organization in which they, or an immediate family member are an officer, member, or employee.

Submitting Recommendations to the Secretary The committee's final funding recommendations to the Secretary shall describe projects recommended to receive funding and alternate projects qualified to receive awards should funds become available. The NPS assists the committee in preparing this data for the Secretary.

Secretarial Approval The NPS is responsible for submitting the committee's funding recommendations to the Secretary for final review and approval or disapproval of awards. Upon Secretarial approval of awards, the NPS shall prepare funding notifications and grant agreements for SHPOs, and notify each applicant of the outcome of its funding request.

Other Duties of the Review Committee In addition to reviewing and recommending projects for funding, the Committee is to identify and advise the Secretary regarding priorities for achieving the National Maritime Heritage Policy, stipulated in Section 3 of the

National Maritime Heritage Act. As well, the Committee is asked to recommend maritime heritage education and preservation project priorities for future grants cycles. The Committee is also requested to include recommendations for encouraging Federal leadership, direction, and support in maritime heritage activities and to review the annual report on the Grants Program before it is submitted to Congress by the Secretary.

NOTIFICATION AND EFFECT OF GRANTS

Notification Upon Secretarial approval of an apportionment certificate stipulating Education and Preservation Project grant awards, funding decisions shall be made public. The apportionment certificate serves only as a notice of fund availability and is not considered the formal award of grant assistance.

The NPS will notify all applicants of final funding decisions by the Secretary for all project proposals. Should any applicants be unable to accept an award, these funds may be offered to alternate applicants recommended for funding or, amounts may be reserved for subsequent grants cycles.

Grant Agreements and Application for Awards Upon formal notification of grant offers, grant agreements shall be issued, stipulating requirements and descriptions for each Education or Preservation Project to be supported by an award. The NPS shall issue direct grants to SHPOs for each project in their State that is awarded funding. SHPOs shall issue subgrant agreements to each organization in their State that receives the award.

(1) Required Content of Direct Grant Agreements: The grant agreement establishes the terms and conditions of the grant award and must include at a minimum:

• Legal name and address of the grantee agency to whom the grant is awarded

• Identifying grant number assigned by the NPS

• Grant period, which specifies the length of time the NPS intends to support the proposed effort, and during which costs may be charged to the grant

• Federal share awarded and minimum nonfederal share required

• Obligations assumed by the grantee through acceptance of the Federal assistance award, including the applicability of Federal cost principles and administrative requirements, other Federal laws and regulations requiring compliance, and any additional program requirements or grant conditions

• Brief summaries of the projects to be carried out as subgrants

• Other information or provisions deemed necessary by NPS to carry out its granting activities or to accomplish the purpose of the grant.

(2) Required Content of Subgrant Agreements: When the applicant agrees to accept an award, this action is formalized with a written grant agreement between the SHPO and the grantee. The grant agreement:

• Specifies all Grants Program requirements and conditions applicable to the grantee

• States the grant-supported activities to be performed by the grantee, the period for conducting those activities, and the maximum amount of Federal Funds obligated to the grantee under the agreement

• Contains suitable provisions for termination by the SHPO and the grantee

• Contains any additional provisions the SHPO considered necessary

Effect of the Grants Grants become effective upon the submission and NPS approval of the Standard Form 424 "Application for Federal Assistance" and when the Grant Agreement is signed by the NPS authorized Grant Awarding Official. This certifies that the Grant Agreement is complete and the NPS-approved grant application is in keeping with applicable laws, regulations, and program requirements.

GRANTS PROGRAM REQUIREMENTS AND CONDITIONS

SHPOs shall administer maritime heritage direct grants and subgrants in accordance with the relevant Grants Program requirements and conditions listed below, applicable Federal financial and administrative requirements listed in subsequent sections, as well as any relevant requirements specified by the State.

Section 106 and NEPA Compliance:

All projects, whether in an Education or Preservation category, must comply with Section 106 of the National Historic Preservation Act, and the National Environmental Policy Act (NEPA). Section 106 requires Federal agencies to take into account the effect of their grant-assisted activities on historic properties included on or eligible for inclusion on the National Register of Historic Places; NEPA requires agencies to consider the effects of grant-assisted projects on the environment. Preservation projects especially may require consultation under Section 106 and NEPA. Applicants should consult their SHPO early in the application process about whether it will be necessary to initiate Section 106 review. When applicable, SHPOs are requested to assist the NPS in assuring compliance with Section 106 in accordance with procedures established by the Programmatic Agreement among the National Park Service, the Advisory Council on Historic Preservation, and the National Conference of State Historic Preservation Officers for the National Maritime Heritage Grants Program. A list of SHPO offices may be found at the National Conference of State Historic Preservation Officers website: http://www.ncshpo.org/shpodirectory.shtml For further information and guidance on Section 106, applicants should also consult Protecting Historic Properties:

A Citizen’s Guide to Section 106 Review, at http://www.achp.gov/citizensguide.html, and the Section 106 Applicant Toolkit, at http://www.achp.gov/apptoolkit.html, both published by the Advisory Council on Historic Preservation.

NEPA regulations will be met by processes in place during and after the application process, including part 2 of the Maritime Heritage Grants Application Form. Projects that do not show compliance with either of these programs will not be considered for funding.

Education Project Requirements:

(1) Curation of Maritime Heritage Collections: Curation of any federally-owned and administered archeological collections must be carried out in accordance with 36 CFR 79, "Curation of Federally-Owned and Administered Archeological Collections."

Preservation Project Requirements:

(1) Secretary of the Interior's Standards: All Preservation Projects must be carried out in accordance with applicable preservation standards prescribed by the Secretary of the Interior.