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THE SUPERINTENDENT’S TOOLKIT FOR
COOPERATING ASSOCIATIONS
1
Table of Contents
ABOUT THE TOOLKIT 3
TOOLS FOR CHOOSING A PARTNER 3
Determining Your Partnership Goals ........................................................................................................................ 3
TOOLS FOR CHOOSING A COOPERATING ASSOCIATION ..................................................................................... 6
Which cooperating association? ................................................................................................................................. 6
Partnering with an existing CA [multi-park option] ................................................................................................ 7
Partnering with a new CA [single-park option] ........................................................................................................ 7
Partnering with a national CA [multi-region option] ............................................................................................... 8
Preparing for your new cooperating association ...................................................................................................... 8
TOOLS FOR MANAGING EXPECTATIONS 11
Communication tools ................................................................................................................................................. 11
Operating Tools ......................................................................................................................................................... 12
Evaluation Tools ........................................................................................................................................................ 14
Training Tools ............................................................................................................................................................ 14
ISSUES RESOLUTION 16
Options ....................................................................................................................................................................... 16
FAQ’S 18
Donations .................................................................................................................................................................... 18
Fundraising ................................................................................................................................................................ 18
Concessions ................................................................................................................................................................ 18
APPENDICES 20
Appendix 1: The cooperating association Principles adopted by the NLC .......................................................... 20
Appendix 2: Partnership Matrix .............................................................................................................................. 21
Appendix 3: Partnership Authorities ....................................................................................................................... 22
Appendix 4: Cooperating Association Authorities and Policy ............................................................................... 24
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ABOUT THE TOOLKIT
The Superintendents Toolkit for Cooperating Association (Toolkit) is designed to address key issues facing
superintendents in managing of the cooperating association (CA) partnership. Where appropriate, the toolkit will
incorporate the Cooperating Association Principles that guide the National Park Service in working with CAs. The
principles were adopted by the National Leadership Council in 2008.
Principle 1: The NPS reaffirms that the primary purpose of CAs (associations) is to support the educational,
scientific, historical, and interpretive activities of the National Park Service. Associations accomplish this
primarily through the sale of interpretive and educational books and materials to the public. While the sale
of these materials may result in a profit returned to the NPS in the form of a donation, profit-generation
through retail sales is secondary to the CA purpose.
Management decisions regarding CA operations, retail sales items selection, and other factors shall be based
first on accomplishing the primary purpose of CAs, and second, on the potential of profit generation resulting
in donations to the NPS.
The tools provided are specialized and have been chosen because they will help navigate through issues such as:
“How to choose a CA partner”
“How to manage expectations in the partnership” and finally
“How to troubleshoot when the partnership falters and expectations are not met”
The toolkit is not intended to replace Director’s Order 32: Cooperating Associations and the accompanying
Reference Manual 32 (RM 32). RM 32 is still the most comprehensive guide for National Park Service (NPS)
employees and CA employees and their boards on the day-to-day management of CAs.
TOOLS FOR CHOOSING A PARTNER
There are several ways to learn more about working with partnerships including trainings, websites, manuals,
regional coordinators, and the Partnership Office in Washington, DC. The Toolkit is specific and is meant to provide
guidance on how to:
1) Determine goals a superintendent wants to accomplish with a CA.
2) Understand what policies, limitations or even prohibitions exist that may affect which partner, if any, is chosen.
3) Look at the world of partnerships: both nonprofit partners and, to the degree they affect CAs, concessions
operators.
4) Help determine whether a CA is the most appropriate partnership for the goals attempted.
DETERMINING PARTNERSHIP GOALS
What is trying to be accomplished? Are there planning documents to support the goals? Who should be at the table?
Is there need for consultation with the appropriate regional or Washington Support Office? All of these questions
can help the visioning process for the new partnership.
What is trying to be accomplished?
List the activities the park wants done. Here are some ideas:
Support resource protection projects
Provide educational products through sales
Interpretative, education, and outreach programs/institutes
Manage volunteers
Develop site-specific products
Fundraising
Who are the potential partners that could help achieve those goals?
CA
Friends group
Other government agencies
Education partners
Other agencies
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Recreation Groups
Youth organizations
Concession operators
Which partner has the authority and ability to help?
Principle 3: Every park should have the opportunity to have a partner(s) to provide interpretive sales items and services.
The NPS is dedicated to identifying visitor needs for such items and services, and identifying appropriate mechanisms to
allow every park to fulfill those needs through its partners.
Here is a quick tool you can use that looks at some of the activities listed above taking into account partnership
authorities and policy. An “x” indicates whether it is appropriate for the listed partner to do the job. This matrix will
not help decide which partner is the best one to do a particular job. In the end, that determination must be made by
the superintendent.
Partnership Matrix Tool
[Double-click or see Appendix 2]
C:\Documents and
Settings\fennellr\Desktop\CASC\tool kit\MEGA\Partnership agreements matrix.xls
What planning documents will help?
GMP
LRIP
CSP
Strategic plan
Business plan
Who are the stakeholders?
Advisory group
Park staff
Community organizations
CA
Friends group
Concessions operator
Other nonprofit
Other governments
Other agencies
When to consult the region or WASO?
Principle 8: As per current policy, signature authority for CA agreements is and should remain the Regional Director for
operations within a single region or the Director for operations in more than one region.
In addition, a change in partner-provided services which involves more than one type of organization within a park—a
CA, a concession, or a friends group can be approved at the Regional Director level, unless there are irreconcilable
differences or unless there are potential impacts beyond the region upon which it will be elevated to require the Director’s
review and approval.
Could the creation of the partnership have impacts beyond the park? Beyond the region?
Are there political sensitivities?
Will other local, tribal, state, or federal governments or agencies be involved?
Will the work of the partnership trigger any financial thresholds requiring regional review?
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PUTTING OUT AN RFP
One method for selecting a nonprofit partner is to let an RFP to clearly articulate goals, expectations, roles,
responsibilities, money, operations, accountability, etc.
[Double-click on sample RFP: Gettysburg]
The World of Nonprofit Partners
Park Specific Organizations
Cooperating Associations [link to NPS CA website: www.nps.gov/interp/coop_assn/index.htm]
Associations are authorized under 16 U.S.C. Sec 1-3, 6, 17j-2(e) and are guided by policy provided in Director’s
Order 32: Cooperating Associations.
After more than 85 years of collaboration with government agencies, CAs are well established as mechanisms for
providing exceptional interpretive and educational services.
Friends Groups [link to Making Friends Handbook: www.nps.gov/partnerships/making_friends_handbook.pdf]
Association of Partners for Public Lands [link to APPL’s website: http://www.appl.org/].
National Park Foundation [link to NPF’s website: http://www.nationalparks.org/]
The National Park Foundation (NPF) is the Congressionally-chartered nonprofit partner of America's National
DESIGNATING A PARTNER
Depending on the partner choice, there may be different approval authorities.
If a CA is chosen, then the partnership must be authorized through a cooperating association agreement signed at the
appropriate level.
APPROVAL OF A COOPERATING ASSOCIATION AGREEMENT
Principle 8: As per current policy, signature authority for CA agreements is and should remain the Regional
Director for operations within a single region or the Director for operations in more than one region.
In addition, a change in partner-provided services which involves more than one type of organization within
a park—a CA, a concession, or a friends group can be approved at the Regional Director level, unless there
are irreconcilable differences or unless there are potential impacts beyond the region upon which it will be
elevated to require the Director’s review and approval.
If the organization will affect:
1) One or more park units within one region: authority to designate is delegated to the regional director and may
not be re-delegated to superintendents.
2) More than one region: authority to designate resides with the Director.
3) Supplemental agreements must be signed by the same approving official.
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CHOOSING A COOPERATING ASSOCIATION
This section looks at how to choose a new CA where there had not previously been one or how to change CA
partners.
WHICH COOPERATING ASSOCIATION?
WHO TO CONSULT
When seeking to establish the initial partnership with a CA, the regional director and the regional CA coordinator
should be consulted.
Discussion of the role of an association should be part of park planning and included in such documents as the GMP
and Comprehensive Interpretive Plan (CIP). It may be that a proposed association’s activities are subject to
commercial services planning. Even though the primary mission of coop associations is to provide interpretive
services, commercial activities such as the sale of convenience items, should be considered in the context of all
commercial services in the park unit.
Stakeholders
Existing concessions operator
Existing friends group
Park management team
QUESTIONS TO THINK ABOUT WHEN CHOOSING A COOPERATING ASSOCIATION PARTNER
1) Does the park want to sign on with CA that is already partnering with the NPS?
a) If yes, the park is, by default going to be part of a multi-park association.
b) If no, will the park
i) Look to develop a new CA from a new partnership?
ii) Look to develop a new CA with an existing partner?
2) Is there an existing concessions operator?
3) What is the governance structure of the potential CA?
a) How many board members?
b) What are their terms (to show stability balanced against allowing for new directors)?
c) Will the same BOD govern all functions?
d) Is the board expected to fundraise?
e) Are board members representative of the local community and can therefore assist with outreach?
4) Will the association engage in more than just a CA function?
5) What is the financial structure of the organization?
a) Are all monies pooled from all sources? Revenue sharing?
b) What is the donations policy?
i) Is it a set % per park based on income?
ii) Is there some other method?
6) What agreement(s) will need to be put in place with this partner: standard CA agreement, fundraising
agreement, cooperative agreement, or supplemental agreement?
7) Does the organization have a business plan?
8) Are there any changes to the corporate structure or function planned for the next 5 years?
9) How closely are the association’s goals aligned with park management goals?
10) How often will the association meet with park management?
11) Is there an opportunity for the association to be engaged in a CIP or other interpretive planning process in the
next 5 years?
12) Does the organization have a strong track record in retail? As a bookstore?
13) How strong is the publications program and expertise?
14) What is the organization’s experience with volunteer management?
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TOOLS FOR CHOOSING A CA
Intangibles Ranking Tool
This tool will help prioritize the intangible benefits of CAs.
Is it more important to have a partner that is good at branding but has no experience with community
engagement?
Is the park’s outreach program so important that it cannot even consider an association that is limited in its
ability to support in this area?
Do the CA need to only provide excellent interpretive sales?
[Double click icon to open Intangibles Ranking Tool]
C:\Documents and
Settings\fennellr\Desktop\CASC\tool kit\MEGA\Intangible Benefits Ranking tool.xls
Cooperating Association Models
This is a simple document that looks at some current CA models wherein a nonprofit organization is operating under
a CA agreement and sometimes one or more other agreements. These organizations are often called hybrid
organizations. [Double-click icon to open Hybrid Models]
C:\Documents and
Settings\fennellr\Desktop\CASC\tool kit\MEGA\Hybrid Models.doc
PARTNERING WITH AN EXISTING CA [MULTI-PARK OPTION]
This option automatically means being part of a multi-park association. When the NPS considers designating an
existing association to serve a new area or areas, the association’s executive and board should be involved in
negotiations as early as possible. Expanding association operations to include a new area will require important
financial decisions, so adequate lead-time is essential.
Pros:
An existing association may be well-equipped to serve a new area for reasons of proximity, expertise, and/or
availability of funds for start-up operations.
There is a track record for references.
Familiarity with NPS.
Cons:
Less control.
Potentially larger overhead expenses.
Less focus on individual parks.
Less flexibility.
The need to request park specific financial reporting rather than organization-wide reporting.
Potential for revenue earned in park to go to another park or even agency.
Potential for superintendent’s at one park to make decisions about the CA that affect another park.
PARTNERING WITH A NEW CA [SINGLE-PARK OPTION]
A new association may be another viable alternative. Superintendents considering this alternative should be prepared
to work closely with their regional CA coordinator to evaluate not only the workload involved, but also the funding
required and the potential for revenues to support a new association.
Pros:
More control
Strong community ties through board members
Park focused
Clearer reporting
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Cons:
No history
No predictability
Greater opportunities for failure
Potentially insular
PARTNERING WITH A NATIONAL CA [MULTI-REGION OPTION]
If a park wants to join a multi-regional association, consultation with the Servicewide Cooperating Association
Coordinator is in order.
Pros
Tremendous resources
Possible revenue sharing for small parks
vast majority of the parks are small and lesser known that can provide valuable visitor services only because
of these conglomerate cooperating associations that share revenues with smaller parks
Cons
[see multi-park]
Need for director approval(s) rather than regional director
PREPARING FOR THE NEW COOPERATING ASSOCIATION
SIGNING THE CA AGREEMENT
Principle 4: The NPS will only sign a CA agreement with an organization whose purpose as identified in its
by-laws is consistent with supporting the interpretive, educational, and research activities of the National
Park Service.
Principle 8: As per current policy, signature authority for CA agreements is and should remain the Regional
Director for operations within a single region or the Director for operations in more than one region.
In addition, a change in partner-provided services which involves more than one type of organization within
a park—a CA, a concession, or a friends group can be approved at the Regional Director level, unless there
are irreconcilable differences or unless there are potential impacts beyond the region upon which it will be
elevated to require the Director’s review and approval.
There is one standard CA agreement that must be used by all NPS CAs. Any special circumstances can be
addressed through other stand alone agreements or with supplemental agreements. The Cooperating
Association Agreement is a general agreement.
[Double-click icon to open the Standard CA Agreement]
C:\Documents and
Settings\fennellr\Desktop\CASC\tool kit\MEGA\Standard CA Agreement.doc
Activities authorized under the CA Agreement
Associations focus their activities on purposes related to interpretation, education and visitor services.
Some of the more common activities include:
Sales: Principle 2: The NPS has identified the ongoing need for, and value in working with both non-
profit and for-profit partners to provide for the sale of interpretive materials (the NPS has no legal
authority to directly sell), and the provision of interpretive services. The NPS recognizes our non
profit and business partners’ abilities to help the NPS build capacity to serve the public and enhance
our interpretive programs. NPS policy states that these services can be provided under the laws cited
in a CA agreement as well as concessions law.
Based on a written agreement with the National Park Service, CAs may produce and sell interpretive
items such as publications, maps, visual aids, handcrafts, and other objects that are directly related to
the understand and interpretation of the park or the National Park System. Associations may offer
some interpretive services to augment those of the National Park Service.”
Only CAs and concessions operators can sell in parks unless the seller has special legislation. [36 CFR 5.3]
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Product development: producing materials—especially site-specific materials—that may increase the
understanding and appreciation of park units and the NPS
Programming: supporting park and NPS interpretive, educational, and scientific programs, including
presentations and demonstrations. Superintendents must give written approval of interpretive program and
any fees to be charged for association-conducted interpretive programs.
Providing cash aid to NPS: supporting NPS interpretation and research by providing cash aid.
Providing funds for or serving as contract manager for design and construction: supporting design and
construction necessary to complete the development of park areas, when use of those facilities is consistent
with the association’s purposes.
Participating in activities of organizations whose goals and objectives are compatible with those of the
NPS: by providing logistical support and staff leadership and a nexus to the community bringing a citizen-
perspective to the NPS.
Activities Prohibited or limited under the CA Agreement
Associations must maintain their tax exempt status under Section 501(c)(3) corporation to operate as a CA or
will be prohibited from operating under the agreement.
Associations are prohibited from advocacy by the Internal Revenue Code.
While associations can lobby and still retain their tax-exempt status, lobbying activities are limited by the
Internal Revenue Code.
WHAT ACTIVITIES REQUIRE SUPPLEMENTAL AGREEMENTS?
The Standard Agreement contains a provision to implement supplemental agreements for activities not covered.
Those activities must support the mission of the NPS and be compatible with the purposes for which the association
was established. Activities that typically require supplemental agreements are as follows:
Regular participation in sales activities outside of the assigned sales area,
Construction of permanent structures on NPS property,
Other special, or unusual or complex activities not specified in the standard agreement but related to
CA activities.
Supplemental agreements cannot be used to circumvent use of a contract. Supplemental agreements should
undergo review by the appropriate solicitor and must be signed at the same level as the CA Agreement.
IS THERE A NEED FOR A COOPERATIVE AGREEMENT?
Will there be any transfer of ONPS money to the CA? If so, transfer of federal funds is done under a cooperative
agreement, procurement contract, or grant. Cooperative agreements are legal instruments that establish a relationship
between a federal agency and a state or local government, tribal government, or other recipient.
DEVELOP A WRITTEN OPERATING PLAN
See section below. Operating Plan
ESTABLISHING ROLES AND RESPONSIBILITIES: DOS AND DON’TS
See Reference Manual 32 for a complete list of NPS and CA roles and responsibilities and for a more thorough
explanation of the ethics issues surrounding CAs.
NPS generally
The NPS may not manage associations.
NPS staff may not supervise or evaluate association employees.
Park superintendents
Park superintendents usually delegate day-to-day liaison with associations to their park CA coordinators, often the
park’s chief of interpretation. However, as the official responsible for overall management of a park area, the
superintendent’s role in working with an association typically includes:
Providing information to association board and staff on current park management issues, goals and objectives
from the management perspective including at least one annual meeting.
Approving sales items in accordance with the Scope of Sales.
Approving donation requests prepared by park staff.
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Serve as park liaison with association fundraising activities.
Establishes the roles of the association and other partners in the parks, such as concessions or friends groups.
Ethics issues
Any NPS employee who is responsible for oversight of association activities or who has the potential to
affect association operations as part of his or her NPS duties must ensure that all actions are free from even
the appearance that the association is seeking to influence that employee through favors or gifts, or that the
employee may benefit financially through decisions made in the course of carrying out his or her official
duties.
Associations are considered “prohibited sources” for the purposes of applying ethics and conduct rules and
regulations.
Employees may not accept loans from associations.
Employees may not accept discounts from associations unless discounts are a benefit of membership and the
employee, as private citizen, has paid the appropriate fee for association membership.
NPS employees are strictly limited in the gifts (including meals, lodging, and transportation) that they can
accept from associations. The employee may accept gifts with a market value of $50 or less per occasion,
with a limit not to exceed $50 in a calendar year.
NPS will not accept funds donated from organizations in which a NPS employee is an officer on the board
of directors, or otherwise engaged in a leadership role, unless the arrangement has been approved by the
Department of the Interior solicitor and NPS ethics officer.
The rules on NPS employees working for associations
1) Services performed for an association by a NPS employee are best accomplished under the authority of the
Standard Agreement, as part of the employee’s official duties on government time.
2) NPS personnel can assist in the development of association publications
a) During duty hours.
b) During off-duty hours. Involvement where there is compensation may be allowed but is subject to ethics
policy.
3) Any employment of NPS staff by an association
a) Must be in compliance with ethics policy
b) Must be approved in writing by the NPS.
4) An association may employ NPS staff if
a) The employee is off-duty from his or her NPS job.
b) The duties performed for the association are substantially different from those performed for the NPS.
c) The employee, their spouse or immediate family members have no influence over policy and operational
decisions of the NPS that affect the finances of the association.
COOPERATING ASSOCIATION ROLES
Board of directors
The association board of directors is the voluntary governing body legally responsible for the organization.
NPS staff may not serve as members or officers of association boards.
It is strongly recommended that each association board of directors adopt a policy on conflicts of interest.
Association staff
The chief administrator often called the executive director, reports to the association’s board of directors and has
responsibility for the association’s day-to-day operations and will most likely act as the main point of contact
between park managers and the association.
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TOOLS FOR MANAGING EXPECTATIONS
Principle 5: The NPS and CAs will work together to identify and implement System-wide standards, tools,
and a variety of training opportunities to create and communicate a mutual understanding of what
constitutes success in a partnership. Included in this effort will be jointly developed criteria to assist in
evaluating the health and success of the partnership including both the business practices and the working
relationship.
Principle 12: The NPS encourages integrated planning in parks for all revenue generation activities and
visitor services. This integrated planning will take the form of an integrated visitor services strategy, and will
not fall under, nor be subject to the requirements of the formal planning process. The NPS encourages parks
to have regular communication and coordination among all partners. The NPS is pledged to work with its
non-profit and commercial partners to arrive at reasonable and equitable solutions when questions arise.
Once an association has been designated, both the NPS and association are responsible for the well-being of the
partnership. Although the agreement is signed by the regional director or director, the day-to-day operations of the
association are part of the superintendent’s responsibility. Any evaluation should be approached as a tool for
communication, identifying both successes and potential problem areas, and as a step toward ensuring the
continuing success of the association-NPS partnership.
1) Each superintendent must meet with the association annually, at a minimum, to review and assess the
partnership. Board members should be encouraged to be at the meeting.
2) At least once during the term of the agreement, the NPS in consultation with the association should perform a
more formal review. This may be accomplished on a park-by-park basis, or for an entire association that serves
multiple parks. Operations reviews may be coordinated by park manager in consultation with the regional,
and/or Servicewide coordinators. The outcome of the review should ultimately lead to a more positive relation,
visitor experience, better support for park interpretive programs, and improved operations of the association.
3) The NPS has a responsibility to monitor association operations. For instance, the NPS may inspect assigned
facilities and audit interpretive and other activities authorized through the Standard Agreement. The Agreement
also allows the Director or his designee to review association financial records.
COMMUNICATION TOOLS
COOPERATING ASSOCIATION MEETINGS: NPS AND THE BOARD OF DIRECTORS
Notification of NPS of Board Meetings
Associations will give reasonable notice to the superintendent and park coordinator regarding upcoming Board
meetings and appropriate committee meetings, and will invite NPS representatives to attend those meetings.
NPS Serving on Boards
NPS employees can
1) Attend association meetings and participate in association committees meetings
2) Attend association board meetings in an advisory, non-voting capacity
3) Serve on appropriate association committees, including committee leadership positions excluding the Executive
Committee.
NPS employees cannot
1) serving on association boards, even in an ex-officio capacity,
2) participate in deliberation or decisions on the following topics:
a) Matters of a confidential and proprietary nature such as personnel or compensation issues.
b) Matters not directly relating to the association’s operation as an association of the NPS,
c) Any association action where NPS staff might be viewed by a third party as a representative or agent of the
association.
NPS MEETINGS
Principle 9: We affirm the importance of park superintendents involving CAs and other partners in
comprehensive interpretive planning and the Interpretation and Education Renaissance. This includes both
long range and annual operations planning that will result in setting priorities for park interpretive and
educational needs. Likewise, we encourage CAs to conduct their own strategic planning, and involve the NPS
in this process.
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At least once a year, the superintendent should sit down with CA senior management.
The CA should be part of any planning meetings as relates to interpretation of visitor center operations involving the
bookstore. Depending on the activities with which the association is engaged, the superintendents may be the
conduit to set up meetings between multiple park partners. An example of when it would be appropriate to bring
multiple partners together is when planning large-scale special events.
If the park has a retail concession partner, the superintendent should meet with the concession operator and the CA
together at least once a year, a quarterly meeting is preferred. This meeting provides an opportunity to review the
following:
new merchandise approval procedures
wholesale opportunities
new policies or procedures as relates to commercial services
resolve potential conflicts
planned park operations that might have an impact on retail partners
whether sales projections are being met
OPERATING TOOLS
OPERATING AGREEMENT
Whereas each association has one standard agreement approved by the Regional Director or Director (wherein the
CAs activities cross regional boundaries), there should be an operating agreement in each unit of the NPS where the
CA does business. The operating agreement should spell out all of the superintendent’s expectations of the CA and
the NPS responsibilities toward the CA. The agreement details how the CA will operate as a CA partner in that
particular park unit and is the document of accountability between the two organizations.
Principle 11: Within the parameter's identified as the primary purpose of CAs, the NPS will work together
with its CA partners to create an environment of innovation that will encourage and foster creativity and
experimentation in the programs and services provided by the CAs
A good operating agreement will make clear how the park envisions the partnership. Questions answered by the
agreement include the following:
1) Who are the key contacts?
2) How often will the park and CA meet?
3) What does the park need in the way of financial reporting in addition to the standard CA agreement
requirements?
4) How will the park convey changes in NPS policy such computer and Internet protocols?
5) What facilities are assigned to the CA and what is their responsibility toward them?
6) In addition, the agreement should take into account NPS resources to be invested in partnership.
NPS Cost/Benefit of CA Partnership
The agreement will outline what resources the park expects to put into the partnership. By having a clear accounting
of what the park and its partner are putting into the relationship, the superintendent will have a more accurate picture
of the real costs and benefits of the CA relationship. The ledger sheet should include amounts for the following:
NPS staff cost including interpretation, maintenance, law enforcement, administrative.
Cost per square foot of any retail, storage and office space provided per FMSS.
Utility costs
Regular NPS maintenance costs
Housing costs, if applicable
Other costs the park may incur to have the CA partner operate
CA Cost/Benefit of CA Partnership
The operating agreement will also contain an accounting of the activities and resources the CAs expects to put into
the operations. Do the CA’s expectations match those of the park? If so, then everyone is on a path to success. If not,
then the issues should be resolved before signing off on the operating agreement.
The operating agreement could be appended with any of the items discussed in the next several sections.
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STORE PROCEDURES MANUAL
The store procedures manual contains detail for how your CA partner will operate the sales outlet in the visitor
center. The manual should be as detailed as necessary in order to affect a smooth-running operation. The manual is
where the park makes expectations known as to how the store will operate overall. The association may have a
separate procedures manual for their employees and for NPS employees working in the store.
SCOPE OF SALES
The Scope of Sales Statement (SoS) is a collaborative effort between the park and the CA. It is the opportunity for
the NPS to make clear expectations for the sales offerings of the CA and clarify the distinction between CA and
concession sales. It addresses the following:
1) themes, quantity, audiences, price ranges
2) offers guidance for seeking out or developing new merchandise
3) contains a rationale for sales items review
All materials offered for sale by an association must be related to the interpretive themes of the park or the NPS or
must provide orientation and safety information or it must be sold under a concession contract.
Superintendent and the SoS
The breadth of types of materials sold is determined by each association and park superintendent and is
deferential to concession contractual rights.
The park superintendent must approve each new sales item added.
Refer to Reference Manual 32: Section 3.5.3—Scope of Sales for detailed guidance on superintendent’s role
concerning scope of sales.
Sales Item Review
The Scope of Sales Statement provides guidance for the review and approval process.
The park CA coordinator, working with the association staff, should assume the primary responsibility for
reviewing sales items.
No employee involved in this process can have a financial or proprietary interest in the item.
Refer to Reference Manual 32: Section 3.5.4—Sales Item Review for detailed guidance on superintendent’s role
concerning scope of sales.
DONATIONS TO NPS PROCEDURES
The question is often asked: “What percentage of an association’s revenue is appropriate to be given as “aid to
NPS?”
There is no required or prescribed percentage. CAs are not authorized for the purpose of giving financial aid to the
NPS. CAs are authorized for the purpose of “providing assistance.” One type of assistance is financial assistance.
If the park is focused on financial assistance rather than in-kind and staffing support, that should be made clear to
the CA with both working collaboratively toward maximizing revenues.
Donations should be considered a combination of tangible and intangible contributions.
If a percentage of financial aid is to be specified, it should take into consideration the following:
1) The percentage is clearly documented.
2) Net revenue (sales minus cost of goods plus other income) and not gross revenue (all revenue without
subtracting the cost of goods sold)
3) The NPS level of engagement can influence association income and outflow. By being supportive of association
activities to increase sales and providing expertise and advice on operations efficiency, the NPS can have a
direct affect on monies available for donations at the end of a fiscal cycle.
4) The percentage should be based on income earned not projected income.
5) The NPS should also recognize that unique mitigating circumstances, such as initial start-up years of an
association, construction of needed facilities, saving for large capital projects, completion of a major “aid”
project, natural disasters, or business emergencies such as pending lawsuits, may affect this percentage.
Benchmarks
In determining a percentage of return as a donation to the park, consider the following:
Association costs for office and warehouse space
13
Location of an association’s operation, which may require construction of employee housing in remote areas,
high wages in high cost of living or urban areas, etc.
Ability of an association to generate contributions through donations and sources other than sales outlets,
seminar programs, or more traditional association activities
Nature of association’s operations, such as whether the association is operating low volume, high cost outlets
at the request of the NPS, or is operating only in more profitable areas.
Do a cost/benefit analysis to determine the appropriate mix of NPS or association staff needed to support the
bookstore operation.
One association provides its partner parks with a tool called the Predictive Model. Depending on how the questions
are answered, a superintendent can see how decisions made by the park directly affect financial support.
[Double click icon to open Predictive Model Tool]
C:\Documents and
Settings\fennellr\Desktop\CASC\tool kit\MEGA\Predictive Model.xls
EVALUATION TOOLS
ANNUAL SUPERINTENDENT’S MEETING
This may be the keystone for the success of the CA partnership. The superintendent’s attendance at the annual
meeting should not be delegated to staff. This meeting is an opportunity to review the previous year’s successes and
challenges and to formulate a plan to tackle to upcoming year.
Principle 10: The NPS is dedicated to promoting an environment for sustainability of an organization serving
the CA function.
ANNUAL ASSESSMENT
The Intangible Benefits Ranking Tool was initially used in helping to choose a partner. Now it is time to look at that
list again and rate the partner on how well they provided the intangible benefits being sought. The rating of each
benefit is then compared with how each benefit was initially ranked to come up with a score.
[Double click icon to open CA Assessment Rating Tool]
C:\Documents and
Settings\fennellr\Desktop\CASC\tool kit\MEGA\Jenny--_Intangible Benefits Rating tool.xls
CA SELF ASSESSMENT
Self assessments are internal reviews done by the association. APPL has guidance on the self assessment process.
[Double click icon to open the CA Self Assessment]
C:\Documents and
Settings\fennellr\Desktop\CASC\tool kit\MEGA\Self Assessment.doc
TRAINING TOOLS
There is an array of training resources available to NPS and CA staff. If you are working with a new CA, a new CA
manager, or park CA coordinator, take advantage of the training that is out there. Contact your regional coordinator
for more information.
APPL conventions and training courses
NPS cooperating association training courses
NPS superintendents academy
NPS Division of Interpretation training courses
Online training
Eppley Institute
14
Published references
Detailed assignments with other parks and/or CAs
Regional cooperating association coordinator guidance
Servicewide cooperating association coordinator guidance
Other CA guidance
15
ISSUES RESOLUTION
Principle 6: The NPS and partners will work together to clarify and implement the process for identifying,
coming to a mutual understanding of, and, if necessary, arbitrating problems in park-CA relationships. We
affirm the need to resolve problems at the lowest possible level.
CONSULTATION WITH APPROVING AUTHORITY
There may come a time you will need additional support to resolve a CA issue in your park. At this point, it is appropriate to
contact the regional office CA coordinator. If your park is part of a national CA, then your regional coordinate will work with
you and the servicewide coordinator.
COMMUNICATIONS CHECKLIST
Review your communications checklist to verify that you and your partner have held in your commitments.
OPERATING TOOLS CHECKLIST
Review the Operating Agreement. Are the goals and expectations clearly articulated? If not, re-visit the agreement with the CA
to resolve where clearer goals need to be expressed.
FORMAL REVIEW
Putting together a review team
The composition of the review team can include a combination of NPS and non-NPS outside expertise.
Sample review
Sample Review
Stakeholders
Roles and Responsibilities
Cost
MEDIATION
[this section is under development]
OPTIONS
CONTINUATION OF THE SAME CA AGREEMENT
DECIDING TO TERMINATE THE AGREEMENT
Authority to Terminate an Agreement
Where an Association serves one or more park areas within a region, authority to terminate an Association
agreement is delegated to the regional director and may not be re-delegated to superintendents. Where an
Association serves park areas in more than one region, termination authority resides with the Director.
Steps to Terminate an Agreement
1) A park and/or its association may evaluate their partnership and determine that termination of the CA agreement
is desirable.
2) This evaluation must include the regional director (or Director as appropriate).
3) The evaluation should:
a) include review(s) of the association’s past support of the site,
b) include a projection of the association’s ability to meet future park needs,
c) give consideration of the impact such a change may have on other park units served by the association,
d) be completed prior to any discussion of other partnership opportunities and shared with current association
management.
Termination without Cause
Almost every government contract will contain some type of "Termination for Convenience" clause. The NPS
reserves the right to terminate the Cooperating Association Agreement or any part thereof for the convenience of the
16
government, at any time, when it is determined to be in the best interest of the public to do so. The affected parties
will be notified in writing within five (5) working days following the termination.
Termination with Cause
Either partner may terminate the Cooperating Association Agreement for cause but must give thirty (30) days
written notice of its intent to do so and must provide an opportunity to meet with the affected party to discuss its
reasons for termination within the 30-day termination period.
WORK OUT A NEW AGREEMENT AND OPERATING PLAN
17
FAQ’S
DONATIONS
Donations to CAs on behalf of NPS
Although the NPS is authorized to accept direct donations, associations are often in a better position to grow
a donation, and may therefore be more attractive to a donor.
When NPS personnel have responsibility for completion of projects funded through donations to
associations, the association and NPS must coordinate carefully to ensure timely project completion and
funds accountability.
Donations to NPS from CAs (Aid to NPS)
Donations may be financial assistance or in-kind service.
There is no Servicewide prescribed level of aid. The association and its park partners should jointly determine the
level of aid and a procedure for requesting, approving, and accounting for donations. Donations policy should be
part of a Donations SOP. See “Managing Expectations—Operating Plans.” Acceptance of donations follow
guidance in DO 21.
Types of Donations
Lists of acceptable donations can be found in RM 32.
Donations for NPS Salaries
Donations from CAs may not be used for federal salaries, with the following exceptions:
Support for temporary federal employees engaged in interpretive and/or educational activities
Salaries and other costs associated with projects undertaken by the Harpers Ferry Center that are funded by
the association.
Seasonal employees are not temporary employees by OPM definition and, therefore, association funds cannot
be used to pay for seasonal employees.
NPS Travel Paid by Donations
Employees may accept donations of travel expenses from associations only as a part of an approved donations
program of support and projects.
FUNDRAISING
FUNDRAISING BY COOPERATING ASSOCIATIONS
Association fundraising activities that are done for purposes other than interpretive, educational, and/or research
must be authorized under a separate partnership general agreement and not the cooperating association agreement.
They must be approved by the NPS and governed by Director’s Order #21.
ASSOCIATION MEMBERSHIP PROGRAMS
Associations should have clear goals when instituting membership programs.
The NPS encourages associations with membership programs to recognize membership discounts given to members
of other associations.
It is strongly recommended that members not be given voting privileges in the association.
http://www.nps.gov/partnerships/membership_programs.htm.
CONCESSIONS
OVERVIEW
The concession program administers nearly 600 concession contracts that gross over $750 million annually.
Concessioners employ over 25,000 hospitality industry people during peak season. Learn more at Concessions
Training for Superintendents.
SALES
The sale of merchandise in parks can be authorized through a concessions contract. Contracts are competitively bid.
18
Commercial Use Authorizations are used to allow:
(1) In-park services with annual gross receipts of not more than $25,000 from commercial services originating and
provided solely within a park area. An example of an in-park service is firewood sales to visitors in a park area
campground.
(2) Out-of-park services by operations that provide commercial services originating and terminating outside of the
park area An example of an out-of-park service is a horseback trail ride operation that is based outside of the park
area but takes visitors on rides into and out of the Visitor Convenience Items Sales by Coops
See Sales of Visitor Convenience Items
Learn more about concessions operations at http://concessions.nps.gov/
Concession Sales
Cooperating associations are not prohibited from providing concession services in addition to interpretive material
sales.
A concessions permit is required for an association to sell non-interpretive/educational items, considered to
be visitor conveniences.
A Scope of Sales statement is required for merchandise sold under the CA agreement and the concessions
permit.
Detailed information about the following sales-related topics can be found in RM-32.
Types of sales items
Selling friends-Group-Produced Materials
CAs selling Visitor Convenience Items
Setting up a sales outlet either in park or out of park
Special Event Sales
Multi-Agency or Interagency Sales Outlets
Mail Order Sales and Approvals
Internet Sales
Concessions-related issue resolution
Superintendents, with assistance from park association coordinators and NPS concessions staff, should monitor the
activities of associations and concessioners in an effort to encourage cooperation and keep potential conflicts to a
minimum. In all matters of question, it is visitor benefit and safety that is paramount. Park staffs and associations
should also look for opportunities to work collaboratively with concessions, such as wholesaling interpretive sales
items, joint training, and co-sponsoring projects to improve visitor services.
Association management should be familiar with the Internal Revenue Code pertaining to Unrelated Business
Income Tax (UBIT), which establishes the parameters for relatedness of sales items (and other non-retail activities)
to an exempt organization’s mission. Revenue derived from unrelated activities, including sales, may be subject to
state and federal income taxes. Failure to comply with the Internal Revenue Code could result in serious
repercussions, including fines, penalties, and the revocation of the association’s tax-exempt status.
19
APPENDICES
APPENDIX 1: THE COOPERATING ASSOCIATION PRINCIPLES ADOPTED BY THE NLC
October 2008 Final, Q & A Format
1. What are the NPS’s priorities for the cooperating association mission?
The NPS reaffirms that the primary purpose of cooperating associations (CAs) is to support the educational, scientific, historical, and
interpretive activities of the National Park Service. Associations accomplish this primarily through the sale of interpretive and educational
books and materials to the public. While the sale of these materials may result in a profit returned to the NPS in the form of a donation,
profit-generation through retail sales is secondary to the CA purpose.
Management decisions regarding CA operations, retail sales items selection, and other factors shall be based first on accomplishing the
primary purpose of CAs, and second, on the potential of profit generation resulting in donations to the NPS.
2. Are nonprofit CAs the only organizations that should be permitted to sell interpretive materials and provide supplementary
interpretive services in parks?
The NPS has identified the ongoing need for, and value in working with both non-profit and for-profit partners to provide for the sale of
interpretive materials (the NPS has no legal authority to directly sell), and the provision of interpretive services. The NPS recognizes our
non profit and business partners’ abilities to help the NPS build capacity to serve the public and enhance our interpretive programs. NPS
policy states that these services can be provided under the laws cited in a CA agreement as well as concessions law.
3. Should every park have the opportunity to have a partner(s) to provide interpretive sales items and services?
Every park should have the opportunity to have a partner(s) to provide interpretive sales items and services. The NPS is dedicated to
identifying visitor needs for such items and services, and identifying appropriate mechanisms to allow every park to fulfill those needs
through its partners.
4. What types of organizations can provide the CA function in a park?
The NPS will only sign a CA agreement with an organization whose purpose as identified in its by-laws is consistent with supporting the
interpretive, educational, and research activities of the National Park Service.
5. What constitutes success in a CA partnership? How should the criteria to evaluate the health and success of the partnership be
developed?
The NPS and CAs will work together to identify and implement System-wide standards, tools, and a variety of training opportunities to
create and communicate a mutual understanding of what constitutes success in a partnership. Included in this effort will be jointly
developed criteria to assist in evaluating the health and success of the partnership including both the business practices and the working
relationship.
6. At what level and by what process should problems in park-CA relationships be resolved?
The NPS and partners will work together to clarify and implement the process for identifying, coming to a mutual understanding of, and, if
necessary, arbitrating problems in park-CA relationships. We affirm the need to resolve problems at the lowest possible level.
7. Should a CA be permitted to serve other, non-CA functions in a park?
An organization that serves the CA function (providing interpretive materials and services) may serve other functions to support the NPS,
such as fundraising or a concession operation, only when authorized by the appropriate legal instruments.
8. At what NPS level should signature authority rest with for a CA agreement?
As per current policy, signature authority for CA agreements is and should remain the Regional Director for operations within a single
region or the Director for operations in more than one region.
In addition, a change in partner-provided services which involves more than one type of organization within a park—a CA, a concession, or
a friends group can be approved at the Regional Director level, unless there are irreconcilable differences or unless there are potential
impacts beyond the region upon which it will be elevated to require the Director’s review and approval.
9. What level of involvement should CAs have in comprehensive planning for interpretation and visitor services in a park?
We affirm the importance of park superintendents involving CAs and other partners in comprehensive interpretive planning and the
Interpretation and Education Renaissance. This includes both long range and annual operations planning that will result in setting priorities
for park interpretive and educational needs. Likewise, we encourage CAs to conduct their own strategic planning, and involve the NPS in
this process.
10. To what degree is the NPS responsible for the sustainability of a CA?
The NPS is dedicated to promoting an environment for sustainability of an organization serving the CA function.
11. To what extent does the NPS want to encourage innovation among our CAs?
Within the parameters identified as the primary purpose of Cooperating Associations, the NPS will work together with its CA partners to
create an environment of innovation that will encourage and foster creativity and experimentation in the programs and services provided by
the CAs.
12. How should the various nonprofit and commercial revenue generating partners coordinate to maximize visitor service and
minimize competition in the provision of retail sales opportunities and visitor services?
The NPS encourages integrated planning in parks for all revenue generation activities and visitor services. This integrated planning will
take the form of an integrated visitor services strategy, and will not fall under, nor be subject to the requirements of the formal planning
process. The NPS encourages parks to have regular communication and coordination among all partners. The NPS is pledged to work with
its non-profit and commercial partners to arrive at reasonable and equitable solutions when questions arise
20
APPENDIX 2: PARTNERSHIP MATRIX
Fundraising (small scale)
Fundraising (large scale)
Community Outreach
Historic Preservation
Resource Protection
Education Programs
Operate an Institute
Concessions Sales
Interpretive Sales
Land Acquisition
Fee Collection
Sales Product
Development
Development
Free Product
Free Tours
Fee Tours
Advocacy
Lobbying
Activity
Organization
agreement
Cooperating
Association
CA agreement x x x x x x x x ? ? x x x
contract x x x x
fundraising
agreement x
Park Friends
Group
general
agreement x x ? x x x x ? x
fundraising
agreement x x x x x
no agreement x x x
Other
Nonprofits
general
agreement x x ? ? ?
cooperative
agreement x x x ? ? x x x x
no agreement x x x
Governmental
Agency
Interagency
agreement x x x x x x
Education
Partner
no agreement
general
agreement
no agreement
Contractor/
Concession
Operator
contract
21
APPENDIX 3: PARTNERSHIP AUTHORITIES
Authority Purpose Opportunities for How to Criteria and
Revenue Implement Restrictions for Use
Cooperating To provide interpretation and Sales by the CA of interpretive Standard, non- must be nonprofit
Associations education services and and education products and negotiable CA 501( c)(3)
products to the public, as well services. agreement.
16 USC 1-3, 6 as research support. Also authorizes CAs to lead
and 17j-(2)e Associations may also fund-raising efforts for the
accept donations on behalf NPS and donate funds to the
of the NPS and lead NPS- NPS.
approved fundraising.
NPS To provide commercial Franchise fees paid by Competitive Should not be provided
Concessions visitor services concessions operations stay in offering of within a park if the identified
Management the NPS, with 80% remaining concessions needs for visitor services can
Improvement with the park and 20% prospectuses. be adequately met outside
Act of 1998 allocated to the concessions park boundaries.
Public Law 105- program overall.
391
Title IV—
36 CFR 51
Federal Lands · Reducing the backlog of Admission and visitor use fees Fee Management Those who lawfully enter the
Recreation maintenance to improve the charged by the National Park Agreements park for activities not related
Enhancement quality of the visitor Service including to recreation will not be
Act experience contracts. charged recreation fees. This
· Habitat restoration directly includes First Amendment
related to wildlife dependent Fee collection can activities, SUPs, NPS-
16 USC 6801- recreation be contracted. authorized research, and
6814 · Provide visitor information, outings for education
interpretation and services purposes by schools and
other bonafide educational
institutions.
Historic To ensure preservation of Lessee may use property to Competitive Use must not unduly limit
Property historic properties provide a commercial service offering. public appreciation of the
Leasing if the service will be property; interfere with
patronized by park visitors to nonprofits can visitor use and enjoyment of
only a minor extent. receive leases non- the park; or preclude use for
competitively other mgt purposes,
16 USC 1a-2(k) Rental income to the NPS that including administrative,
is at least fair market value. judged more appropriate or
cost effective
Special Park To allow short-term activities Fees for cost recovery, Issuance of a
Uses that provide a benefit to an including those incurred in Special Use Permit
individual, group, or writing the permit, monitoring, by the park
organization rather than the providing protection services,
public at large; is not restoring park areas, or
initiated, sponsored, or otherwise supporting a special
conducted by the NPS; and park use will be reimbursed.
requires some degree of mgt When appropriate, the NPS
control to protect park will also include a fair charge
resources and public interest for the use of the land or
facility (Management Policies
8.6.1.2)
No fees charged for First
Amendment activities
22
Fee To sell at fair market value Fee interpretation by the NPS This authority The 1a2(g) authority may not
Interpretation products and services and other organizations. allow the NPS to be used to charge fees for
produced in the conduct of charge fees, as core interpretive tours,
living history exhibits and Sale of handmade crafts by well as to enter including cave tours, historic
16 USC 1a-2(g) interpretive demonstrations in cultural demonstrators who are into contracts home tours, and other
areas of the NPS system for not NPS employees. including programs that are not related
products and services that are cooperative to living history exhibits and
directly related to the park’s agreements with interpretive demonstrations;
living exhibits and others and to credit
interpretive demonstrations; the proceeds to the Handicrafts need to relate to
enter into contracts and appropriation the park’s interpretive
cooperative agreements to bearing the cost themes
provide living exhibits and
interpretive demonstrations; Handicrafts need to be self-
and, place income received made
from these authorized
activities into accounts that All fees using the 1a2(g)
pay the cost of conducting the authority must be submitted
activities. annually as part of the
Service-wide Fee Rate
Change Request
Funds used to support the
specific program for which
they were imposed are
available only for
expenditure in the fiscal year
in which they are collected.
Cooperative gave the NPS the broad cooperative substantial involvement is
Agreements authority to enter into agreements that expected
31 U.S.C. 6305 beneficial partnerships, to involve the
carry out public purposes of transfer of
National Park Service National Park
programs Service
appropriated funds
to State, local and
tribal
governments, other
public entities,
educational
institutions, and
private nonprofit
organizations
Special Events Special events are activities, The sale of food is allowed Permit authorized Cannot conflict with a
Sales such as sporting events, only when the sale: (1) does by park. Fees may concession contract.
pageants, regattas, public not conflict with the activities apply.
spectator attractions, of an NPS concession, (2) is The sale of T-shirts,
8.6.2.4 Mgt entertainment, ceremonies, managed under a permit, and clothing, arts and crafts, and
Policies large group camps or (3) is conducted in compliance any other merchandise in
rendezvous, which fall under with Director’s Order #83: connection with a special
the category of privileges. Public Health. The event or a First Amendment
activity is prohibited.
36CFR 2.52 for sale of printed material in Printed material cannot be
printed connection with a special solely commercial
materials event or First Amendment advertising (applies to sale
activity is allowed, and distribution of printed
materials)
Friends and authorizes the NPS to accept
Fundraising donations for the purposes of
the National Park System:
Section 6 of 16
U.S.C.
23
APPENDIX 4: COOPERATING ASSOCIATION AUTHORITIES AND POLICY
Authority to designate CAs is delegated to the Director and is re-delegated to the regional directors. This authority
may not be re-delegated to superintendents. [31 F.R., p. 4255]
Authority to designate or terminate an association is assigned to the regional director (or Director, where
appropriate). Designation of an association occurs through a designation letter, but must be accomplished and
authorized through a signed Cooperating Association Agreement (“Agreement”).
Authority to partner with associations “…accept the assistance of any federal, state, or municipal department or
agency; or any educational or scientific institution; or any patriotic association or individual for the protection,
preservation, maintenance or operation of historic sites, objects or property.” [16 U.S.C. Sec 461-468e].
Authority for NPS employees to work with and for associations: “appropriations shall be available for the
services of field employees in cooperation with such nonprofit scientific and historical societies engaged in
educational work in the various parks and monuments.” [1937 Interior Appropriations Act]
Authority to provide space and facilities allows the NPS to make available facilities “to such nonprofit scientific
and historical societies engaged in educational work in the various parks and monuments…” [Public Law 79-633],
Authority to provide supplies and equipment “on a reimbursement of appropriations basis, supplies, and the
rental of equipment to persons and agencies that ... render services or perform functions that facilitate or supplement
the activities of ... the National Park Service ...Provided that reimbursement hereunder may be credited to the
appropriation current at the time reimbursements are received.” [16 U.S.C. Sec 1b5].
NPS Management Policies state that CAs
“will be used wherever possible to facilitate the conservation, education, and interpretive programs of a
park, as authorized under 16 U.S.C. 17j-2(e).
may produce and sell interpretive items such as publications, maps, visual aids, handcrafts, and other
objects that are directly related to the understanding and interpretation of the park or the National Park
System.
associations may offer some interpretive services to augment those of the National Park Service”
may, in certain circumstances and with NPS approval, sell, under concession authorizations, visitor
convenience items unrelated to the park theme, as described in the Concessions Management
Guidelines. A concessioner and an association will generally not operate duplicative, competitive sales
outlets in the same building; however, compatible sales arrangements may be established.”
24
