[Federal Register Volume 60, Number 174 (Friday, September 8, 1995)]
[Proposed Rules]
[Pages 46798-46802]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-22267]



=======================================================================
-----------------------------------------------------------------------

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1206

[RIN 3095-AA43]


National Historical Publications and Records Commission; Grant 
Program Procedures

AGENCY: National Archives and Records Administration.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The National Archives and Records Administration (NARA) 
proposes to update and clarify current regulations in 36 CFR Part 1206 
relating to the National Historical Publications and Records Commission 
(NHPRC) grant program. In particular, language has been revised to 
reflect an internal reorganization; to address revisions to the state 
historical records coordinator and advisory board program; to include 
mention of archival administration and documentary editing fellowships 
for individuals; to include prior approval requirements for changes in 
the grant project; to cite Office of Management and Budget Circulars A-
110, A-128 and A-133, which stipulate requirements for grant 
administration and audit; and to make grantees aware of the lobbying 
certification requirement for grants of $100,000 or more. The rule will 
affect NHPRC applicants and grantees.

DATES: Comments must be received by November 7, 1995.

ADDRESSES: Comments should be sent to Director, Policy and Planning 
Division (PIRM-POL), National Archives and Records Administration, 8601 
Adelphi Rd., College Park, MD 20740-6001.
FOR FURTHER INFORMATION CONTACT: Mary Ann Hadyka or Nancy Allard at 
301-713-6730.

SUPPLEMENTARY INFORMATION:

Background

    The purpose of the National Historical Publications and Records 
Commission (NHPRC) is to promote the preservation and use of 
historically significant documents. The Archivist of the United States 
awards grants recommended by the NHPRC. Publications grants are made 
for the preparation (compiling, editing and publishing) of printed, 
microform, and electronic publications. Subvention grants are made to 
nonprofit presses to help defray publication costs of Commission-
supported editions. Records grants are made for activities relating to 
the preservation, arrangement and description of historical records. 
Educational programs sponsored by the NHPRC include an institute to 
provide training in documentary editing and fellowships in the fields 
of documentary editing and archival administration. The Catalog of 
Federal Domestic Assistance (CFDA) number for this program is 89.003.

Provisions of the Proposed Rule

    In 1991, the publications and records programs of the NHPRC were 
merged. The proposed rule updates program descriptions and procedures 
to reflect this internal reorganization. The NHPRC has also been 
working with the state historical records coordinators and advisory 
boards to revise their program sections and has made changes 
accordingly. In addition, we have added language to reflect current 
guidelines that stipulate prior approval requirements for changes in a 
grant project once an award has been made, and to mention specifically 
the archival administration and documentary editing fellowships.
    The proposed rule also seeks to clarify Governmentwide requirements 
for applicants and grantees by including language that specifies the 
certification 

[[Page 46799]]
regarding lobbying for grants of $100,000 or more; adds a new section 
regarding audits, citing OMB Circulars A-128, ``Audits of State and 
Local Governments,'' and A-133, ``Audits of Institutions of Higher 
Education and Other Nonprofit Organizations''; and cites OMB Circular 
A-110, ``Uniform Requirements for Grants and Agreements with 
Institutions of Higher Education, Hospitals, and Other Nonprofit 
Organizations.''
    Finally, the proposed rule revises reporting requirements to 
reflect reductions in reporting frequency that are being made as part 
of the President's regulatory reform initiative.
    The information collections contained in this proposed rule have 
been approved by the Office of Management and Budget under the 
Paperwork Reduction Act. This rule is not a significant regulatory 
action for purposes of Executive Order 12866 of September 30, 1993, and 
has not been reviewed by the Office of Management and Budget. As 
required by the Regulatory Flexibility Act, it is hereby certified that 
this rule will not have a significant impact on small entities.

List of Subjects in 36 CFR Part 1206

    Grant programs--Archives and records, Grant administration.
    For the reasons set forth in the preamble, NARA proposes to amend 
Part 1206 of Title 36 of the Code of Federal Regulations as follows:

PART 1206--NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMISSION

    1. The authority citation of part 1206 continues to read as 
follows:

    Authority: 44 U.S.C. 2104(a); 44 U.S.C. 2501-2506.

    2. Section 1206.1 is revised to read as follows:


Sec. 1206.1  Scope of part.

    This part prescribes the procedures and rules governing the 
operation of the grant program of the National Historical Publications 
and Records Commission.
    3. Section 1206.2 is amended by revising paragraphs (e), (f), and 
(g) to read as follows:


Sec. 1206.2  Definitions.

* * * * *
    (e) The term State projects means records projects directed by 
organizations operating within and involving records or activities 
within one State. Records or activities of such projects will typically 
be under the administrative control of the organization applying for 
the grant. The records or activities need not relate to the history of 
the State.
    (f) The term regional projects means records projects involving 
records or activities in more than one State in a region. Regional 
projects include those undertaken by regional archival groups or 
consortia.
    (g) The term national projects means records projects involving 
records or activities in several regions or in widely separated States. 
In general, the location of the records and/or the site of grant-funded 
activities will determine the category of submission.
    4. Section 1206.6 is revised to read as follows:


Sec. 1206.6  The Commission's Grant Program.

    The Commission operates primarily through a grant program 
supporting publications projects (subpart B) and records projects 
(subpart C). Fellowships for individuals in archival administration and 
documentary editing are also offered, as well as an annual institute 
for the editing of historical documents.
    5. Section 1206.7 is added to subpart A to read as follows:


Sec. 1206.7  Organization.

    The Executive Director, Program Director, and the staff of the 
Commission administer the publications and records grants, fellowships, 
and institute under the guidance of the Commission and the immediate 
administrative direction of its chairman, the Archivist of the United 
States.
    6. Section 1206.10 is revised to read as follows:


Sec. 1206.10  General.

    This subpart describes the scope, purpose, and operation of that 
part of the grant program relating to publications projects and 
prescribes requirements applicable to printed, microform, and 
electronic publication projects. Grant application and administration 
procedures are given in subpart D of this part.
    7. Section 1206.12 is revised to read as follows:


Sec. 1206.12  Scope and purpose.

    Publications projects are intended to ensure the dissemination and 
accessibility of documentary source material important to the study and 
understanding of U.S. history. Projects should therefore be based upon 
material of widespread interest among scholars, students, and informed 
citizens. Documents should have historical value and interest that 
transcend local and State boundaries.


Sec. 1206.14  [Removed]

    8. Section 1206.14 is removed.
    9. Section 1206.16 is revised to read as follows:


Sec. 1206.16  Project requirements.

    (a) Each publications project shall include either the papers of a 
U.S. leader in a significant phase of life in the United States or 
documents relating to some outstanding event or to some topic or theme 
of national significance in U.S. history. These projects shall consist 
of collecting, compiling, editing, and publishing, either selectively 
or comprehensively, the papers or documents. Publication may be in the 
form of printed, microform, or electronic editions. Electronic formats 
for publication of documentary sources will be considered only when 
suitable preservation of the data can be assured. Three copies of each 
book publication should be deposited with the National Historical 
Publications and Records Commission (NHPRC), Washington, DC 20408. 
These copies may be included as part of the five complimentary copies 
to be sent by presses receiving subvention grants.
    (b) For microform projects, the grantee shall make positive prints 
and all finding aids available to institutions, scholars, or students 
through interlibrary loan and for purchase. Five complimentary copies 
of guides and indexes produced by the projects shall be sent to the 
Commission.
    10. In Sec. 1206.18, paragraphs (a) and (c) are revised to read as 
follows:


Sec. 1206.18  Subsidies for printing costs.

    (a) The Commission will consider grant applications from university 
and other nonprofit presses for the subvention of part of the costs of 
manufacturing and disseminating volumes that have been formally 
endorsed by the Commission. Grants not exceeding $10,000 per volume 
($3,000 for reprints) are awarded upon recommendation of the Commission 
to promote the availability of Commission-supported documentary 
editions.
* * * * *
    (c) The Commission shall receive five complimentary copies of each 
published volume for which a subvention grant is made.
    11. Section 1206.20 is revised to read as follows:


Sec. 1206.20  Microform publication standards.

    Technical standards for NHPRC-sponsored microform projects are 
stated in the brochure ``National Historical Publications and Records 
Commission: Microform Guidelines,'' which will be 

[[Page 46800]]
supplied to applicants upon request and to grantee institutions at the 
time a grant is made for a microform project.
    12. Section Sec. 1206.30 is revised to read as follows:


Sec. 1206.30  General.

    This subpart describes the scope, purpose, and operation of that 
part of the grant program relating to records projects. Grant 
application and administration procedures are given in subpart D of 
this part.
    13. Section 1206.32 is revised to read as follows:


Sec. 1206.32  Scope and purpose.

    Through its support for records projects, the National Historical 
Publications and Records Commission encourages a greater effort at all 
levels of government and by private organizations to preserve and make 
available for use those records, generated in every facet of life, that 
further an understanding and appreciation of U.S. history. In the 
public sector, these historical records document significant activities 
of State, county, municipal, and other units of government. In the 
private sector, historical records include manuscripts, personal 
papers, and family or corporate archives that are maintained by a 
variety of general repositories as well as materials in special 
collections relating to particular fields of study, including the arts, 
business, education, ethnic and minority groups, immigration, labor, 
politics, professional services, religion, science, urban affairs, and 
women. In addition to recommending the supporting of projects relating 
directly to a body of records, the Commission may also recommend 
support for projects to advance the state of the art, to promote 
cooperative efforts among institutions and organizations, and to 
improve the knowledge, performance, and professional skills of those 
who work with historical records.
Sec. 1206.34  [Removed]

    14. Section 1206.34 is removed.
    15. Section 1206.36 is revised to read as follows:


Sec. 1206.36  State historical records coordinator.

    (a) The governor of each State desiring to participate fully in the 
program shall appoint a State historical records coordinator 
(coordinator), who shall be the full-time professional official in 
charge of the State archival program or agency. If the State has 
another state-funded historical agency or agencies, the official(s) in 
charge shall be a member of the State historical records advisory board 
(board). The coordinator is appointed to a minimum four-year term, but 
may continue to serve until replaced by the governor or until 
resignation. The coordinator shall serve as chair of the board and 
shall be the central coordinating officer for the historical records 
grant program in the State. The person appointed will not be deemed to 
be an official or employee of the Federal Government and will receive 
no Federal compensation for such service. The pamphlet ``Guidelines for 
State Historical Records Coordinators and State Historical Records 
Advisory Boards,'' which is available from the Commission and from 
State historical records coordinators, provides further information on 
the role of the coordinator.
    (b) In the event of the resignation of the coordinator or other 
inability to serve, a deputy coordinator, if one has been designated, 
will serve as acting State coordinator until the governor makes an 
appointment. In the absence of a deputy coordinator, the NHPRC will 
recognize an acting coordinator, selected by the state board, who shall 
serve until the governor appoints a coordinator in order to conduct the 
necessary business of the board.
    16. Section 1206.38 is revised to read as follows:


Sec. 1206.38  State historical records advisory board.

    (a) Each State desiring to participate in the program shall define 
an appointment process and appoint a State historical records advisory 
board consisting of at least seven members, including the State 
historical records coordinator, who chairs the board. The coordinator 
shall provide the Commission with a description of the appointment 
process. A majority of the members shall have recognized experience in 
the administration of government records, historical records, or 
archives. The board should be as broadly representative as possible of 
the public and private archives, records offices, and research 
institutions and organizations in the State. Board members will not be 
deemed to be officials or employees of the Federal Government and will 
receive no Federal compensation for their service on the board. They 
are appointed for three years with the possibility of renewal; and 
preferably terms are staggered so that one-third of the board is newly 
appointed or reappointed each year. If the board is not established in 
State law, members' terms continue until replacements are appointed. 
The board may adopt standards for attendance and may declare membership 
positions open if those standards are not met.
    (b) The board is the central advisory body for historical records 
planning and for Commission-funded projects developed and carried out 
within the State. The board serves as a coordinating body to facilitate 
cooperation among historical records repositories and other information 
agencies within the state and as a state-level review body for grant 
proposals as defined in the Commission's guidelines. Specifically, the 
board may perform such duties as sponsoring and publishing surveys of 
the conditions and needs of historical records in the State; soliciting 
or developing proposals for projects to be carried out in the State 
with NHPRC grants; reviewing proposals by institutions in the State and 
making recommendations about these to the Commission; developing, 
revising, and submitting to the Commission State priorities for 
historical records projects following guidelines developed by the 
Commission; promoting an understanding of the role and value of 
historical records; acting in an advisory capacity to the state 
archives and other statewide archival or records agencies; and 
reviewing, through reports and otherwise, the operation and progress of 
projects in the State financed by NHPRC grants.
    17. In Sec. 1206.50, paragraph (c) is revised to read as follows:


Sec. 1206.50  Types of grants.

* * * * *
    (c) Matching grants. An application for a matching grant should be 
made when an applicant has prospects of securing financial support from 
a third party or, in the case of a State or local government agency, 
new funds from the institution's own appropriation source are provided 
expressly for the project proposed in the application. Upon Commission 
approval of a matching grant request, the applicant shall present 
written documentation certifying that matching funds have been provided 
for the project by the non-Federal source. In the case of a State or 
local government agency, the matching requirement may also be met 
through matching funds from the State or local government, provided 
that it can be demonstrated to the Commission's satisfaction that the 
matching amount has been provided above and beyond funds previously 
allocated or planned for the agency's budget and that the funds are set 
aside exclusively to support the project proposed for an NHPRC grant. 
Applicants need not, however, have 

[[Page 46801]]
money in hand to make a matching grant request; they need only assure 
the Commission that they have reasonable prospects of obtaining the 
needed amounts.
* * * * *
    18. Section 1206.52 is revised to read as follows:


Sec. 1206.52  Grant limitations.

    Grant limitations are described in the grant program guidelines 
pamphlet, available on request from the Commission.
    19. Section 1206.54 is revised to read as follows:


Sec. 1206.54  Who may apply.

    The Commission will consider applications from State and local 
government agencies, nonprofit organizations and institutions, 
Federally acknowledged or state-recognized Native American tribes or 
groups, and, under certain conditions, from individuals. Proposals for 
State projects falling under the Commission's goals, ``To Assure the 
Preservation of the Nation's Documentary Heritage through State 
Collaborative Efforts'' and ``To Achieve Progress in the Preservation 
and Use of Original Source Material,'' as defined in the grant program 
guidelines, will be accepted only from applicants in States in which a 
State historical records coordinator and a State historical records 
advisory board are currently appointed. This requirement does not apply 
to regional or national projects.
    20. Section 1206.56 is revised to read as follows:


Sec. 1206.56  When to apply.

    Grant proposals are considered during Commission meetings held 
three times during the year. For current application deadlines contact 
the grant program staff or State historical records coordinators (for 
records grant proposals). Some State boards have established pre-
submission review deadlines for records proposals; further information 
is available from State coordinators.
    21. In Sec. 1206.58, paragraphs (b), (c), and (d) are revised to 
read as follows:


Sec. 1206.58  How to apply.

* * * * *
    (b) Application forms. Applicants for NHPRC grants shall use 
Standard Form 424, Application for Federal Assistance, and NA Form 
17001, Budget Form (OMB Control Number 3095-0004). Applicants for 
subvention grants also submit the NHPRC subvention grant application 
(OMB Control Number 3095-0021), and applicants for archival 
administration fellowship host institution grants submit a special 
application (OMB Control Number 3095-0015). Applicants for NHPRC-
sponsored fellowships complete the appropriate fellowship application. 
Copies of these applications and forms are available from the 
Commission. Project proposals and related correspondence should be sent 
to the National Historical Publications and Records Commission (NHPRC), 
Washington, DC 20408.
    (c) Assurances and certifications. All grant applications to the 
Commission must include the following assurances and certifications 
signed by an authorized representative of the applicant institution, or 
in the case of an individual applicant, by that individual: Standard 
Form 424B, Assurances: Non-Construction Programs; the Certification 
Regarding Debarment, Suspension, and Other Responsibility Matters 
specified in part 1209, appendix B; the Certification Regarding Drug-
free Workplace Requirements specified in part 1209, appendix C, of this 
chapter; and, if the application requests more than $100,000 in Federal 
funds, a signed Certification for Grants, Loans, or Cooperative 
Agreements in Excess of $100,000 (certification regarding lobbying). 
Assurance and certification language is included in the program 
pamphlet.
    (d) Program guidelines pamphlet. Supplementary information for 
applicants is contained in the pamphlet, ``Program Guidelines: 
Applications and Grants,'' which is available from the Commission upon 
request. The pamphlet is also available from State historical records 
coordinators. This pamphlet includes copies of the application form and 
certifications, guidelines on the preparation of project budgets and 
program narrative statements, and other guidance on applying for and 
administering NHPRC grants. OMB Control Number 3095-0013 has been 
assigned to this information collection.
    22. In Sec. 1206.66, paragraphs (b) and (c) are revised to read as 
follows:


Sec. 1206.66  Review and evaluation of grant proposals.

* * * * *
    (b) Publications grant proposals. The Commission staff reviews 
publications grant proposals for completeness, conformity with 
application requirements, and relevance to the objectives of the grant 
program. Proposals are sent to specialists in American history and 
documentary editing for review and recommendations. The recommendations 
are considered by the full Commission at regular meetings.
    (c) Subvention grant applications. The Commission staff reviews 
subvention grant applications to ensure their adherence to established 
technical standards for the production of printed volumes, particularly 
in the quality of paper and ink. Staff recommendations are considered 
by the full Commission at regular meetings.
    23. Section 1206.68 is revised to read as follows:


Sec. 1206.68  Grant administration responsibilities.

    Primary responsibility for the administration of grants is shared 
by the grantee institution and the project director designated by the 
institution. In the case of grants made to individuals, the individual 
named as project director has primary responsibility for the 
administration of the grant. Grants shall be administered in 
conformance with either OMB Circular A-110, ``Uniform Requirements for 
Grants and Agreements with Institutions of Higher Education, Hospitals, 
and Other Nonprofit Organizations'' (available from the Commission 
office by writing to NHPRC, National Archives and Records 
Administration, Washington,DC 20408, or OMB by writing to the Executive 
Office of the President, Publications Service, 725 17th Street NW, 
Suite G2200, Washington, DC 20503) or, in the case of State and local 
governments, with the regulations in part 1207 of this chapter. All 
grants shall be in conformance with part 1209 of this chapter.
    (a) Changes in the grant project:
    (1) Extension of the grant period. Requests for extension of the 
grant period must be made before the end of the grant period and must 
be signed by the grantee institution's authorized representative as 
indicated on the grant application form (SF 424). No extensions will be 
allowed unless grantees are up-to-date in their submission of financial 
and narrative reports.
    (2) Rebudgeting. To meet unanticipated program needs, grantees may 
adjust the amounts allocated to existing budget lines for both grant 
funds and cost sharing and may transfer grant funds among existing 
NHPRC-funded direct cost categories that appear in the final project 
budget approved by the Commission at the time of the grant award. Cost-
sharing funds may also be shifted among existing cost-sharing 
categories. For grants where the NHPRC's award is less than $100,000, 
grantees may make these transfers without NHPRC approval. When 

[[Page 46802]]
Commission grant awards are for $100,000 or more, grantees must obtain 
prior approval from the NHPRC when cumulative transfers among direct 
cost categories total more than 10 percent of the total project budget 
(i.e., grant funds plus other funds). In addition, the Program Director 
of the Commission may approve the use of NHPRC grant funds for new cost 
categories for which Commission funds were not provided in the final 
approved budget where such action seems appropriate for the fulfillment 
of the original purposes of the grant and where the amount of funds 
involved does not exceed 10 percent of the amount of the award or 
$5,000, whichever is less. Requests to establish these new cost 
categories must be made in writing and signed by the grantee 
institution's authorized representative. Requests that exceed this 
limit are subject to approval by the full Commission.
    (3) Other changes requiring prior approval. Prior written approval 
from the Commission must be obtained for financial or programmatic 
changes in all cases involving the following: revision of the scope or 
objectives of the project; change of the project director or other key 
project personnel who have been specifically named in the grant 
application or award or related correspondence; and, contracting out, 
subgranting, or otherwise obtaining the services of a third party to 
perform activities central to the purposes of the grant, unless 
specified in the grant proposal.
    (b) Submission of requests for changes. All requests for approval 
of budget or programmatic changes must be submitted in the form of a 
letter signed by the grantee institution's authorized representative 
for the grant and addressed to the Program Director. A written response 
signed by the Program Director of the Commission will constitute 
approval for the changes.

    24. Section 1206.78 is revised to read as follows:


Sec. 1206.78  Grant reports.

    (a) Financial status reports and narrative progress reports are 
required for all grants. Standard Form 269, Financial Status Report, 
shall be used for all financial reports. The pamphlet, ``Program 
Guidelines: Applications and Grants,'' which is provided to each 
grantee and is available from the Commission on request, specifies the 
content of the narrative progress reports.

    (b) Financial reports are due annually 30 days after the end of 
each reporting period. Narrative progress reports are due 30 days after 
the end of each six-month period. Final financial and narrative reports 
are due within 90 days after the expiration or termination of the grant 
period. Grants with a duration of six months or less require a final 
report only. Additional rules on financial and performance reports are 
found in OMB Circular A-110 and Secs. 1207.40 and 1207.41 of this 
chapter, as appropriate.

    25. Section 1206.79 is added to read as follows:

Sec. 1206.79  Audits.

    Grantees are responsible for obtaining audits in accordance with 
either the Single Audit Act of 1984 (31 U.S.C. 7501-7), for which audit 
requirements have been set forth in Office of Management and Budget 
(OMB) Circular A-128, ``Audits of State and Local Governments,'' or 
requirements established under OMB Circular A-133, ``Audits of 
Institutions of Higher Education and Other Nonprofit Organizations,'' 
as appropriate. Copies are available from the Commission office or from 
OMB at the addresses given in Sec. 1206.68 of this part. The grantee is 
responsible for ensuring that the NHPRC receives a copy of the audit 
report for any audit performed during the grant period or for three 
years thereafter. A reasonable portion of grant funds, as defined in 
the OMB Circular, may be used to comply with audit requirements. The 
Commission prefers that the grantee assume such costs as institutional 
cost sharing.

    26. Section 1206.94 is revised to read as follows:

Sec. 1206.94  Compliance with Governmentwide requirements.

    In addition to the grant application and grant administration 
requirements outlined in this part 1206, grantees are responsible for 
complying with applicable Governmentwide requirements contained in OMB 
Circular A-110 or part 1207 of this chapter, as appropriate, and part 
1209 of this chapter.

    Dated: August 30, 1995.

John W. Carlin,

Archivist of the United States.

[FR Doc. 95-22267 Filed 9-7-95; 8:45 am]

BILLING CODE 7515-01-P