[Federal Register Volume 61, Number 30 (Tuesday, February 13, 1996)]
[Rules and Regulations]
[Pages 5656-5660]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-3097]




[[Page 5655]]

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Part IV





National Archives and Records Administration





_______________________________________________________________________



36 CFR Parts 1206 and 1210



National Historical Publications and Records Commission, Grant Program 
Procedures; Uniform Administrative Requirements for Grants and 
Agreements With Institutions of Higher Education, Hospitals and Other 
Non-Profit Organizations; Final Rules

  Federal Register / Vol. 61, No. 30 / Tuesday, February 13, 1996 / 
Rules and Regulations   

[[Page 5656]]


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: Final rule.

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

SUMMARY: The National Archives and Records Administration (NARA) is 
updating and clarifying 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 government-wide 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.

EFFECTIVE DATE: This rule is effective March 14, 1996.

FOR FURTHER INFORMATION CONTACT: Nancy Sahli at 202-501-5603.

SUPPLEMENTARY INFORMATION: On September 8, 1995, NARA published a 
notice of proposed rulemaking in the Federal Register at 60 FR 46798. 
Twelve comments were received on the proposed rule. Eight of the 
comments were favorable and recommended adoption of the rule in its 
existing form. Four comments recommended changes or modifications to 
the rule which have been addressed as follows:
    Two commenters associated with State archival organizations 
suggested that the sentence in Sec. 1206.36 dealing with appointment of 
State historical agency officials other than the State archivist be 
clarified. Their concern was that the current wording might result in 
the required addition of numerous officials of State historical 
agencies to the State historical records advisory boards, thereby 
making the boards unwieldy in size. The wording of the sentence has 
been changed to read as follows: ``If the State has another state-
funded historical agency or agencies with archival and/or records 
responsibilities, the official(s) in charge of at least one of these 
shall be a member of the State historical records advisory board 
(board).''
    One commenter, director of a State Department of Archives and 
History, suggested a modification to the language in Sec. 1206.38(a), 
regarding the designation of the State historical records advisory 
board chair, to accommodate boards operating under state statutes that 
specify that a chair should be elected. The wording of the sentence in 
question has been changed to read as follows: ``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, unless otherwise specified in state 
statute.''
    The Territorial Archivist of American Samoa had two suggestions. 
First, he recommended that the term ``international'' be added to 
language in Sec. 1206.2(f) to accommodate projects needing to involve 
state or territorial records held by countries outside the United 
States. We believe that his recommended wording change is better placed 
in Sec. 1206.2(g) and have changed the wording of the first sentence to 
encompass activities of the type he has in mind: ``The term national 
projects means records projects involving records or activities in 
several regions, in widely separated States, or that have an 
international component.''
    His second suggestion aimed at broadening the options for matching 
funds as described in Sec. 1206.50(c) by adding the word ``old.'' We 
believe that the same purpose is served by eliminating the word ``new'' 
that currently exists in the first sentence in the section. State and 
local government grantees would still be required to demonstrate that 
matching funds had 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 NHPRC grant. The revised sentence 
would read as follows: ``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, 
funds from the institution's own appropriation source are provided 
expressly for the project proposed in the application.''
    In addition to these changes suggested by commenters, NARA has 
replaced references to OMB Circular A-110, ``Uniform Administrative 
Requirements for Grants and Agreements with Institutions of Higher 
Education, Hospitals and Other Non-Profit Organizations'' with 
references to NARA's regulations in 36 CFR part 1210 that implement 
that Circular. These NARA regulations were published as an interim 
final rule on October 16, 1995, at 60 FR 53514. A final rule confirming 
the interim rule without change is published in today's Federal 
Register.
    The information collections contained in this final rule have been 
approved by the Office of Management and Budget under the Paperwork 
Reduction Act. This final rule has not been reviewed by the Office of 
Management and Budget under Executive Order 12866 of September 30, 
1993. 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, Part 1206 of Title 36 of 
the Code of Federal Regulations is amended 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 

[[Page 5657]]
activities in several regions, in widely separated States, or that have 
an international component. 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 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 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 with archival and/or 
records responsibilities, the official(s) in charge of at least one of 
these 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 

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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, unless otherwise 
specified in state statute. 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, 
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 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 

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(OMB Control Numbers 3095-0011, 3095-0012, or 3095-0014). 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, particular 
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 the regulations in part 1210 of this chapter 
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 
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 (OMB Control Number 3095-
0013).
    (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 Secs. 1210.51 and 1210.52 or Secs. 1207.40 and 1207.41 of this 
chapter, as appropriate.
    25. Section 1206.79 is added to read as follows: 
    
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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. 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 part 
1210 or part 1207 of this chapter, as appropriate, and part 1209 of 
this chapter.

    Dated: February 6, 1996.
John W. Carlin,
Archivist of the United States.
[FR Doc. 96-3097 Filed 2-12-96; 8:45 am]
BILLING CODE 7515-01-P