Natural Resources Budget Formulation

Exhibit 1 - Natural Resources Stewardship and Science Project Funding

Table of Contents
I. Types of Projects
II. General Requirements for Project Proposals
III. Project Submittal Process
Approximate Natural Resources Project Funding Schedule

Several funding programs are administered by the staff offices of the Associate Director, Natural Resources Stewardship and Science (NRSS), and are available on a servicewide basis to parks, through a project proposal process. The general programs and basic requirements for NRSS funding sources are outlined below and have been approved by the Natural Resource Advisory Group (NRAG). Please note that details may vary from year to year and that the individual programs may also have other specific procedural requirements or criteria that apply.

I. Types of Projects

Natural Resource Preservation Program (NRPP): Resource ManagementSmall Park NRPP: A portion of NRPP ($1,000,000) is set aside to fund projects in "small" parks. When Congress first established this category of funding, "small park" was not defined, but interpreted to be aimed at providing access to project funding for parks that have a difficult time competing against larger parks, both in terms of issue significance and in terms of staff capability for preparing proposals. Based on NRAG recommendations for meeting this objective, funds are allocated to regions based on the relative natural resource management workload of the poorest one-third of parks with natural resources. In practice, this means that poorest one-third of the Inventory and Monitoring Parks are determined, the Natural Resources Management Assessment Program (NR-MAP) workload equivalent for natural resource management determined for each of these parks, and the funding divided among the regions based on the percent of the total workload attributable to their parks on the list. A minimum of $10,000 per region also was recommended by NRAG when the total funding amount was $500,000, and was since been doubled when the small park funding was doubled. Thus, if the total for any region is less than $20,000, that amount is automatically provided "off the top" to the region and the percentages calculated based on the proportional workload share of the remaining regions. Regions use their own procedures to determine types of projects eligible, but are to provide the funding to parks in their region that are relatively "poor." The projects must be natural resource-management related and the RMP and PMIS requirements apply. Regional Project: Funding is also provided to regions to allocate for projects. Broad funding guidelines are provided; regions may impose additional guidelines.

Other NRPP: All natural resource management projects with costs ranging from $50,000 to $900,000 are eligible for this NRPP funding, except those projects funded through other servicewide natural resource programs. That is, eligible projects are those that may focus on any natural resource other than:

• air as an entity (e.g., visibility and pollutant monitoring and meteorological monitoring are not eligible, while the natural resource impacts of air resource threats are eligible);
• acid precipitation as an entity (e.g., monitoring of precipitation and water body acidification changes are not eligible, while natural resource impacts of acidification on species or habitats are eligible);
• water as a geohydrologic resource or commodity (e.g., determining the location and amount of water available for human consumption is not eligible, but projects relating to water as biological habitat are eligible, including fisheries projects); or
• research, except certain biological research, is eligible as a project or component. (Non-biological research may be combined with follow-up resource management or mitigation actions. Such projects must meet the duration limits and must be reviewed after research is completed and before the management/mitigation funds are allotted. Basic biological research is not eligible for NRSS funding. If a project is dependent upon the results of biological research, the project statement must delineate that portion which is ineligible and must address how the biological research is to be accomplished. For projects dependent upon research, the research component and its cost must be listed separately.)

NRPP, Biological Research: Biological research funding has been transferred to the U. S. Geological Survey, Biologic Research Division (USGS-BRD). The call for park proposals, review and rating of proposals, and transmittal to USGS-BRD of approved proposals for the biological research NRPP will be made by NPS regional groups that are established in partnership with each BRD region. Each collaborative NPS group will announce its requirements and schedule. Contact the NPS regional science advisor for information on specific requirements for the biological research NRPP proposal submission, evaluation, and reporting process.

Disturbed Lands Restoration/Abandoned Mineral Lands Funding: Project funding for restoration of physical disturbance to parklands is available, with specific fund sources dependent on the project type and funding requirements. Disturbed lands restoration projects include those addressing damage caused by past human developments that have significantly altered the landscape structure and function. Examples of such disturbances include abandoned structures; abandoned or unauthorized roads; abandoned mineral development sites; disrupted natural stream channels, floodplains, wetlands, or shoreline processes; and other abandoned developments or facilities (excluding prescribed fire or fire rehabilitation). Abandoned mineral lands (AML) include surface and underground mines, oil and gas well-sites, mineral material sites (e.g., sand and gravel) and ancillary disturbances, such as access roads and structures. Activities related to restoration such as inventory, characterization, contaminants screening, design, and compliance, are eligible as long as the primary project purposes are the resolution of natural resource impacts and/or safety problems. Restoration should address the biological and physical components of impaired natural systems as necessary to reestablish naturally functioning terrestrial and aquatic habitats and processes. Site-specific activities may include mitigating impaired soil conditions; reestablishing natural hydrologic patterns, original contours, and native vegetation; and reestablishing critical habitat elements. Activities related to site restoration, such as characterization, design, and compliance, are eligible as long as the primary project purposes are the resolution of natural resource impacts from human-caused disturbance.

Due to different sources of funding, disturbed lands restoration projects compete separately in three categories:

• Large Disturbed Lands Restoration: Projects ranging in cost from $50,000 to $250,000 to restore all types of human disturbances, including AML.
• Small Disturbed Lands Restoration: Projects between $5,000 and $50,000 total cost and addressing all types of human disturbances, except AML.
• Small Abandoned Mineral Lands Reclamation: AML projects only, ranging in cost from $5,000 to $50,000.

Threatened and Endangered Species Funds: Project funding may be available to assist parks with Approved Recovery Plan Actions. Project proposals must identify the listed species, the specific recovery action that it will implement, and the U.S. Fish and Wildlife Service approved recovery plan. Annual project costs may not exceed $150,000.

Water Resources Funding: Funding for water resources projects is available in the areas of water quality mitigation and restoration; wetlands restoration and protection; wetlands inventory; and hydrology, watershed management, and planning. Funding is limited to $50,000 per project and project duration may not exceed two years. Larger projects may be eligible for disturbed lands or NRPP funding. Water resources funding for monitoring is intended for establishment of new programs that will be supported later by park base funds, or short-term monitoring that could be completed as part of the project. Baseline water quality inventories may be eligible for funding under the Servicewide Inventory and Monitoring Program.

NPS-U. S. Geological Survey Water Quality Partnership projects, using USGS funding, may be available to address the park water quality assessment and monitoring needs. Parks compete for new partnership projects and collaborate with USGS District Offices that will conduct the water quality studies to satisfy the park needs. The local USGS District Chief must certify that the work is feasible and costs are appropriate. Variable size and multi-park projects will be considered for funding through this program.

Inventory and Monitoring Funding: The Servicewide Inventory and Monitoring program acquires 11 of the 12 Level 1 inventories identified in RM-77. The 12th data set-vegetation mapping-is funded through the U.S. Geological Survey (USGS) Biological Resources Division and NPS. The 12 inventories include, in addition to vegetation mapping: an automated, historical database (bibliography); surveys/lists of vascular plants, vertebrates, threatened and endangered species, nonvascular plants and invertebrates, and other species of special concern for a particular park; digital vegetation maps, cartographic data, geology and soils maps; inventory of water bodies, water quality use classifications, and basic water chemistry for key water bodies; identification of nearest air quality monitoring stations and sources; list of air quality-related values and visibility goals; and basic precipitation and meteorological data. The acquisition is based on park priorities, updated periodically.

Level 1 inventory acquisition does not use the annual unified call and is not dependent on specific park requests or proposals. Beginning in fiscal year 2000, funding provided annually to regions is available to complete comprehensive, integrated inventories of vertebrates and vascular plants in networks of parks throughout the Service. Regions prepare and submit pre-proposals outlining initial tasks such as compilation of existing inventory information, establishing priorities for new inventories, and developing a detailed study plan for conducting the inventories over the next several years. Once the pre-proposal is completed, approved, and implemented, each region will have a plan and schedule for conducting its biotic inventories. Abiotic inventories will continue to be acquired centrally through the I&M Program.

II. General Requirements for Project Proposals

Resource Management Planning and Project Management Information System PMIS requirement: A park must have conducted resource management planning, resulting in an approved, up-to-date plan to be eligible for servicewide funding managed by NRSS offices. These fund sources include NRPP, Disturbed Land Restoration/Abandoned Mineral Lands, Threatened and Endangered Species, and Water Resources funding (see above). Exceptions to the resource management planning requirement are granted for new parks, which have six years after establishment to complete resource management planning. In proposals involving several parks or clusters or regions, a project must be reflected in each of the appropriate parks' plans. In addition, projects must be entered in the PMIS and assigned a PMIS number.

Exclusions: Servicewide Natural Resources project funds may not be used for:

• salaries of permanent NPS employees,
• maintenance of existing structures, or
• construction or rehabilitation of structures that are not directly related to preservation or restoration of natural resources or in excess of $500,000.

Projects with Components Other Than Natural Resource Management: These project components are eligible for funding subject to the following conditions.

• Cultural Resource Elements: Projects dealing with the natural resources components or processes of historic scenes or cultural resources are eligible if their primary purpose is to focus on the natural resource components.
• Environmental Planning and Compliance: Projects involving resource management planning or environmental compliance elements are eligible as long as the primary purpose is to resolve a natural resource management concern.
• Interpretation Elements: Project statements may include an interpretive element, which may be eligible for Parks as Classrooms funding, a cost-sharing program with Interpretation. The interpretive element should not exceed more than 5% of the total funding, and the matching NRSS funds should be no more than 50% of the cost of the interpretive element. The proposal must include concurrence from the park interpretation division.
• Social Science Elements: Social science projects are eligible if they directly relate to a need to protect or interpret natural resources.

Project Duration: Projects must be non-recurring, must provide useful results even if no follow-up work is undertaken, and must be completed in one to three years including any funded reports or publications. In unusual circumstances and with Washington Office approval, project duration may be extended an additional year where necessary for such things as completion of reports. However, in such cases no additional funding will be provided.

Project Geographic Scope: Proposals may be submitted that include parks in more than one region. The participating regions should agree who will have lead responsibility. Where regional funding caps apply, the proposal should identify the proportion of funding attributable to each region. Where regions have a maximum number of projects, the proposal must identify which region's total the project counts against.

III. Project Submittal Process

Unified Project Call: Each year the Associate Director for Natural Resource Stewardship and Science issues a formal call to NPS regional directors with the details and schedule for all NRSS project funding submittals. The call identifies the amount or number of projects in each funding category to be submitted by each region. To ensure an adequate pool of high quality priority projects, the call requests approximately twice as many projects as are expected to be funded. The number of projects requested per region is determined based on NR-MAP or other relevant workload analysis. For example, if a region has approximately 10% of the total NR-MAP workload for the NPS, it will be allocated approximately 10% of the total projects or total funding amount being solicited.

Project Format: All proposals for competitive funding sources must be submitted as project statements, generally in the format prescribed in the December 1994 Resource Management Plan instructions, but specifically as indicated in the annual call instructions. The statement should be revised, if needed, to fully meet the criteria and requirements of the funding source. Project statements shall not exceed the 12-page maximum, using standard 10- or 12-pt-sized fonts. An additional two pages may be appended to provide a map and graphic, if these contribute substantially to explaining the project. Any additional documentation requirements are detailed in the annual call.

Project Evaluation Criteria: A standard set of ranking criteria are used for NRPP - Resource Management, Disturbed Land Restoration/AML, and Water Resources funding. Submitted proposals must contain a brief response to each of the criterion, as an attachment to the project statement. This procedure has been developed based on recommendations of project reviewers to facilitate fair and objective comparisons among competing projects. Project statements must still stand on their technical merit. In cases where fee program funding is provided, an additional ranking adjustment will be made based on a park's fee status. Other such adjustments may be reflected in annual project calls.

Proposal Review Panel: For each competitive funding category, the program office convenes a technical review panel consisting of one representative from each region that sends a panel member. As part of the project call, the regional directors are requested to nominate a panel member for each funding category. Panel nominees should have significant technical knowledge, broad resource management, or broad research experience, as appropriate to the particular panel. The nominees must be available for the indicated panel dates. The panels evaluate projects against applicable criteria. Panel members are not called on to advocate for regional projects and their rankings on projects are not available for individual attribution. Panel members will be asked to recuse themselves from evaluating any projects potentially involving conflicts of interest.
The review panel members score the projects according to the evaluation criteria. Total scores of the panel are then compiled to develop a recommended project list. Projects below the "cut line" are those of generally lower quality and/or urgency that the panel does not recommend be funded. These projects can be revised and resubmitted in response to future calls.

Associate Director Review: The panel recommendations for competitive funding sources are submitted to the Associate Director for review and approval. In general, the list will be funded in scoring order with the highest scoring projects funded first. However, the Associate Director may make adjustments to the recommended list, particularly related to the order in which projects are funded, if there are extenuating circumstances. The Associate Director then sends the list of approved projects to the Regional Directors, with a request for submittal of detailed study plans. Regional directors may make adjustments in project funding sequence within their regions (but not funding level per region within any given year). Region directors should advise the Associate Director of intended adjustments as soon as they are aware of the circumstances requiring a priority adjustment. Adjustments affecting projects from other regions (multi-regional Projects) may also be made, but only with the agreement of the affected regions.

Detailed Implementation Plans: For each of the competitive projects chosen for funding, a detailed study plan must be developed. Funds will not be transferred to a park/region until detailed study plans have been reviewed and approved. The study plans will be evaluated for technical adequacy by the responsible funding office with the assistance of independent reviewers, as appropriate. The objective of the review is to ensure that sufficient planning has been completed to conclude that the project will meet its stated objectives. These detailed study plans should generally include a statement of the problem, specific objectives to be addressed, approach and methods, schedule and milestones, detailed budget and staffing needs, anticipated products, quality control, interpretation components, and identification of staff responsible for managing the project.

Reporting Requirements: All natural resource funding sources measure accountability through accomplishment reports. Parks must submit, through their regions, annual accomplishments reports using the RMP reporting process, the Investigator's Annual Report submissions, or other similar formats approved in the project's detailed study plan. Progress reports are required and an acceptable progress report must be received before second-year funds are transferred. For completed projects, parks will not be eligible for additional natural resource funding until a completed report has been received.

Approximate Natural Resources Project Funding Schedule: